Selecting the Best Carburizing

Method for the Heat Treatment of Gears

Daniel H. Herring
The HERRING GROUP, Inc.

David J. Breuer Gerald D. Lindell

Metal Improvement Company, Inc Twin Disc, Inc.

ABSTRACT

A very good compromise between cost and

performance is achieved by atmosphere
carburizing, the present day de facto standard
processing method used in the gear industry. A
typical workload is shown in Figure 1.

All indications are, however, that the greatest

potential for future growth will come in vacuum
carburizing. Figure 2 shows a load of gears ready
to be charged into a typical vacuum carburizer.
This method of carburizing has been shown to
offer proven metallurgical and environmental
benefits.

For the industry to stay competitive both

technologies will be needed in the future. This is
to insure that the challenges posed by ever Figure 1: Load of Production Gears (650 lbs net)
increasing performance requirements in smaller
in Position for Loading into an Atmosphere
packages and by a new generation of materials
Carburizing Furnace followed by Oil Quenching.
and manufacturing methods can be met.

INTRODUCTION

Of paramount importance today is lowering unit

cost that can only be achieved by improved
dimensional control and more cost effective
manufacturing methods. The benefits achieved
by vacuum carburizing can be realized in high
volume, critical component manufacturing.

Vacuum carburizing has proven itself a robust

heat treatment process and a viable alternative to
atmosphere carburizing. Gear manufacturers of
heavy duty, off-road transmissions and related
equipment such as Twin Disc Corporation have
found numerous benefits in substituting vacuum
carburizing with high gas pressure quenching for Figure 2: Load of Production Gears (650 lbs net)
either atmosphere or vacuum carburizing with oil in Position for Loading into a Vacuum
quenching technology. This paper will present Carburizing Furnace followed by High Gas
scientific data in support of this choice. Pressure or Oil Quenching
HISTORICAL BACKGROUND

It is unfortunate that atmosphere and vacuum

technology are viewed as competitors instead of
as complements to one another. The existing us
versus them mentality created by constant
negative comparisons has hurt both technologies.

In the 1960s the need for better atmosphere

control prompted a series of R&D efforts to find
a solution. One of these led to the development
of vacuum carburizing, viewed as an alternative
to atmosphere carburizing providing enhanced
metallurgical properties and shorter cycle times.
However, it was promoted within the heat
treatment industry as a panacea for all the
problems of atmosphere carburizing, and, thus,
initiated competition between the two
technologies.

Had vacuum carburizing proved to be a robust

technology at that time, it is generally believed
that a significant portion of todays installed Figure 3: Typical heavy duty Transmission Used
equipment base would use this technology. Its for Airport Fire Vehicles.
failure to achieve commercial success can be
directly related to reliability and cost. The Fatigue is a major cause of failure in gears.
creation of soot was the Achilles heel of vacuum Fatigue failures fall into two classes: tooth root
carburizing. Perhaps a more accurate statement is bending fatigue and tooth flank contact related
that the equipment designs and process failures. In this work residual stress and
parameters of vacuum carburizing were not microhardness testing were used as indicators to
optimized, and the technologys capabilities compare the atmosphere and vacuum carburizing
oversold to the heat-treating community. processes.

Today these problems have been addressed and

sooting is no longer a limitation of the process.
New equipment designs, controls, and
processing methods assure excellent up time
productivity and high volume capacities.

POWER TRANSMISSION COMPONENTS

The application and manufacture of high quality

transmission gearing used in demanding
applications such as shown in Figures 3 and 4
require careful consideration of a number of
critical factors including: component design;
material selection; heat treatment method; and
Figure 4: Heavy Duty Marine Transmission
the influence of post heat treatment
manufacturing operations. Transfer Gears.

Gearing is subject to both sliding and rolling The greater the magnitude and depth of
compressive stress the greater the ability to
contact stresses on the gear flanks in addition to
bending stress in the tooth roots. The most improve fatigue properties. A high compressive
stress value at the surface helps the component
desirable gear properties to meet these two
criteria would be hardened gears for strength and resist crack initiation. The deeper the
compressive layer the greater the resistance to
contact properties with residual compressive
surface stress for bending fatigue properties. crack growth for longer periods of time.
Residual stress values are an important factor in In atmosphere carburizing parts are heated to
fatigue critical components. Residual stresses are austenitizing temperature in an Endothermic or
additive with applied stress. Compressive equivalent atmosphere containing approximately
residual stresses are desired as they oppose the 40% hydrogen, 40% nitrogen, and 20% carbon
applied, repetitive, and undesirable tensile stress monoxide. Small percentages of carbon dioxide
that causes fatigue failure. X-ray diffraction (up to 1 1/2%), water vapor (up to 1%), and
methods allow measurement of residual stress methane (up to 1/2%) along with trace amounts
levels. of oxygen are also present. This "neutral" or
"carrier gas" atmosphere is generally considered
For the purposes of this investigation, the neither carburizing nor decarburizing to the
vacuum and atmosphere carburizing processes surface of the steel.
were studied using x-ray diffraction techniques
and microhardness measurements. Specimens of In order to perform the carburizing process
AISI 8620 material were manufactured, enriching gas is added to the carrier gas
carburized by the different methods and atmosphere. The enriching gas is usually either
subjected to identical post heat treatment natural gas which is about 90 - 95% methane
operations. Grinding and shot peening were (CH4) or propane (C 3H8). In atmosphere
selected as representative. carburizing it is common practice to begin the
flow of enrichment gas just after the furnace has
recovered setpoint. This practice contributes to
CARBURIZING PROCESSES case non-uniformity as various parts of the
workload are not uniform in temperature and
Carburizing of a steel surface is both a function carburize at different rates.
of the rate of carbon absorption into the steel and
the diffusion of carbon away from the surface The water gas reaction (Equation 1) is important
and into the metal. Once a high concentration of in the control of the atmosphere carburizing
carbon has developed on the surface, during process. Instruments such as dew point analyzers
what is commonly called the "boost stage", the monitor the H2O/H2 ratio of this equation while
process normally introduces a "diffuse stage" infrared analyzers and oxygen probes look at the
where solid state diffusion occurs over time. This CO/CO2 ratio.
step results in a change in the carbon
CO + H2O = CO 2 + H2 (1)
concentration, or carbon gradient between the
carbon rich surface and the interior core of the In atmosphere carburizing, intergranular
metal. The result is a reduction of the carbon oxidation is one of the phenomena taking place
concentration at the surface while increasing the as a result of the constant changes occurring in
depth of carbon absorption. the furnace atmosphere.

In the carburization process the residual This can be explained by considering an

compressive stress results from the delayed alternative form of the water gas reaction
transformation and volume expansion of the (Equation 2). Here we see that the transfer of
carbon-enriched surface. This induces the carbon in atmospheres containing CO and H2 is
desirable residual compressive stress through the connected with a transfer of oxygen, giving rise
case hardened layer. to an oxidation effect in steel with alloying
elements such as silicon, chromium, and
Atmosphere Carburizing manganese

Atmosphere carburizing is an empirically based,

CO + H2 = [C] + H2 O (2)
time-proven process in which a carbon-rich
atmosphere surrounding a workload is used to Figure 5 shows results from an actual gear
chemically react with the surface of the parts to sample that was atmosphere carburized.
allow an adequate quantity of carbon to be
absorbed at the surface and diffused into the
material.
 Figure 5: Pitch Line & Root Comparison: Atmosphere Carburized (Oil Quenched) Gear

Results show carburization to an effective case Disadvantages of atmosphere carburizing

depth (50 HRC) of 0.030 (0.76 mm) in the root include:
and 0.052 (1.33 mm) at the pitch diameter. Of
greater significance is the value for the depth of A requirement of knowledge gained through
high hardness (58 HRC), namely 0.014 (0.35 empirically methods is required to achieve
mm) at both the gear tooth pitch line and root. repeatable results. This is due to a wide
From this depth the hardness values quickly variability in the type of equipment, its
diverge. These results are typical of the vast operation, maintenance and constantly
majority of carburized gears currently in service. changing process conditions.
The need to condition equipment if idled
Advantages of atmosphere carburizing include: or shut down prior to processing work.
The need for large material allowances for
The lowest initial capital equipment post-processing operations due to accuracy
investment cost. and finish requirements. Case depths
Capability of high volume output using a typically are specified in wide ranges (e.g.
wide variety of equipment styles, types, and 0.030 to 0.050 in. (0.75 to 1.25 mm) to
workload sizes. Furnace types include box, compensate for cycle induced variability.
pit, mechanized box (integral- and sealed- Case depth quality issues; the best part of
quench furnaces), pusher, conveyor (mesh the case often is lost due to the amount of
belt and cast link belt), shaker hearth, rotary stock removal required.
hearth, rotary drum (rotary retort), and The need to constantly be concerned about
carbottom. safety and fire prevention issues (e.g., fire
Adequate process control; that is; all of the from combustible gases and quench oils, hot
process variables are understood and reliable contact surfaces and pinch points).
control devices are available to provide a The need to monitor environmental
measure of process repeatability. pollution issues including air quality (for
Capable of being easily automated with potentially hazardous gases, such as CO and
recipe and/or part-number control of heat NOx), water quality (for contamination
treat cycles. concerns such as oil, minerals, etc.), waste
Well-understood process problems allowing disposal (quench oils). and safety issues
troubleshooting based on an established Processing techniques that produce non-
theoretical and empirical knowledge base. uniformity of case and carbon profiles
throughout the gear geometry (tip-pitch line-
The last point is very important. Often in the real root).
world, cost or other considerations mean that
problems cannot be avoided, but it is the ability It is important to note that a great deal of the
to quickly and easily address the issues that non-uniformity of case depth can be avoided if
arise, which dictates the success of a given adequate soak time at temperature is used or if
technology. This certainly is one of biggest load preheating techniques are employed.
advantages of atmosphere carburizing.
Vacuum Carburizing In vacuum carburizing the breakdown of
hydrocarbon gases involve non-equilibrium
Vacuum carburizing is a proven method of pure reactions. This means that the surface of the steel
carburizing and pure diffusion in which carbon is very rapidly raised to the saturation level of
penetrates into the surface of the steel being carbon in austenite. By repeating the boost and
processed without interference from external diffuse steps desired carbon profile and case
influences such as gas chemistry or surface depth can be achieved.
contaminants.
Depending on the type of hydrocarbon gas used,
Vacuum carburizing is a modified gas carbon is delivered to the steel surface via
carburizing process in which the carburizing is reactions such as
done at pressures far below atmospheric pressure
(760 Torr). The typical pressure range for low C2H 2 2C + H2 (1)
pressure vacuum carburizing is 1-20 Torr.
C3H 8 C + 2CH4 (2a)
The advantage of this method is that the steel
surface remains very clean and the vacuum C3H 8 C2 H4 + CH4 C + 2CH4 (2b)
environment makes the transfer carbon to the
steel surface faster (higher carbon flux values) C3H 8 C2 H2 + H2 + CH4 C + 2CH4 (2c)
since atmosphere interactions such as found in
the water gas reaction do not take place. In C2H 4 C + CH4 (3)
addition no intergranular oxidation can occur.
The control of the low pressure vacuum
The carbon produced by the breakdown of the
carburizing process is on a time basis. The
hydrocarbon gas introduced into the chamber is
carbon transfer rates are a function of
free to penetrate into the surface of the steel
temperature, gas pressure, and flow rate.
while the hydrogen and residual hydrocarbon
Simulation programs have been created to
byproducts are removed from the system by the
determine the boost and diffuse times of the
vacuum pumps.
cycle.
The hydrocarbon gases currently being used for
Figure 6 shows results from an actual gear
vacuum carburizing are acetylene (C 2H4 ),
sample that has been low pressure vacuum
propane (C3H8 ) and to a lesser degree ethylene
carburized.
(C2 H4). Methane (CH4) is essentially non-
reactive at these low pressures, unless the
temperature is near 1900
F (1040 C).

Figure 6: Pitch Line & Root Comparison: Vacuum Carburized (Oil Quenched) Gear
Results show carburization to an effective case One also observes a far greater consistency in the
depth (50 HRC) of 0.040 (1.00 mm) in the root root and pitch line hardness through the depth of
and 0.052 (1.33 mm) at the pitch diameter. Of high hardness.
greater significance was the value for the depth
of high hardness ( 58 HRC), namely 0.032 Figure 7 below shows an actual gear sample that
(0.80 mm) at both the gear tooth pitch line and has been vacuum carburized and high gas
root. pressure quenched. These results, when
compared to Figure 5 and Figure 6 allow us to
The overall case depth of maximum hardness for conclude that a more uniform case depth has
the vacuum carburized part is noticeably deeper been developed between the gear pitch line and
than the atmosphere carburized part in Figure 5. root.

Figure 7 : Pitch Line & Root Comparison: Vacuum Carburized (High Gas Pressure Quenched) Gear

This is due in large part to the absence of a vapor Consumption of energy by the equipment
layer in gas quenching resulting in a more and process only when needed due to the
uniform quenching rate in the gear tooth and root nature of the vacuum operation.
profiles. Typically less distortion results provided
adequate measures are taken in loading.
Advantages of vacuum carburizing include:
Disadvantages of vacuum carburizing include:
Absence of intergranular oxidation.
Capability of higher temperatures due to the Higher initial capital equipment cost than
type of equipment and the nature of the atmosphere carburizing equipment.
process. Part cleanliness is more critical in order to
Process and cycle flexibility allows a wider achieve desired results.
variety of materials to be processed. Empirical process control, which requires
Processing methods produce more uniform processing loads to determine optimum
case and carbon profiles throughout the gear settings or to fine tune simulator.
tooth geometry (tip-pitch line-root). Formation of soot and tar, which occur due
Easy integration into manufacturing. The to the type, pressure, and quantity of
process is clean, safe, simple to operate and hydrocarbon gas introduced.
easy to maintain. Also, working conditions
are excellent (that is, there are no open It is important to note that research during the
flames, heat and pollution). past six years has succeeded in finding
Full automation capability using recipe or combinations of pressure, gas type, and flow
part-number control of heat treating cycles. parameters to minimize soot and tar formation
Precise process control achieved using and eliminate these factors as a concern in the
computer simulations, which allow vacuum carburizing process.
adjustments to established cycles.
Shot Peening measured. The sub-surface measurements were
made by electrochemically removing small
Shot peening is a process that induces a high amounts of material. These sub-surface
magnitude, residual compressive stress. It is measurements were subsequently corrected for
most effective for parts subject to high cycle stress gradient and layer removal effects using
fatigue loading as the compressive stress at the standard analytical calculations.
surface results in significantly enhanced fatigue
life. Figure 8 below illustrates a typical S-N The technique measures strain by measuring
curve for a high cycle fatigue application. changes in atomic distances. It is a direct, self-
calibrating method that measures tensile,
compressive, and neutral strains equally well.
Strains are converted to stresses by multiplying
by elastic constants appropriate for the alloy and
atomic planes measured.

For this study, chromium K radiation was

chosen to diffract the (211) planes at
approximately 1562. The area measured was
nominally 4 mm in diameter.

TEST PROCEDURE
Figure 8: Stress versus Load Cycles
The following procedure was performed in order
This graph shows that a linear reduction in to evaluate the influence of atmosphere and
tensile stress results in an exponential vacuum carburizing as well as the influence of
improvement in fatigue life. A 35% reduction in shot peening and grinding.
stress - from 110 ksi (759 MPa) to 70 ksi (483
MPa) results in a 400% improvement in fatigue o Five coupons were cut and stamped
life, - from 40,000 cycles to 160,000 cycles. from the same heat lot of AISI 8620.
Additional reductions in tensile stress result in o A separate manufacturing process was
significantly more fatigue enhancement. created for each coupon according to
the following stamped identifications:
The residual compressive stress from shot
peening counteracts applied tensile stresses in o VC: Vacuum Carburize
the material. The compressive stress from shot o VC & SP: Vacuum Carburize &
peening is induced from small, spherical media Shot Peen
striking the surface. The impact from each o AC: Atmosphere
particle stretches the surface enough to yield it in Carburize
tension. The surface cannot fully restore itself o AC & SP: Atmosphere
thus producing a permanent compressed state. Carburize & Shot
Peen
Shot peening is a surface treatment that results in o VC & DSP: Vacuum Carburize &
a magnitude of residual compression that is ~ 55 Dual Shot Peen
- 60% of the materials ultimate tensile strength
at the surface where most fatigue cracks initiate. o The coupons were sent out for vacuum
For carburized gears the amount of surface or atmosphere carburizing.
compression is typically 170 - 230 ksi (1173 o The coupons were ground to size
1587 MPa) offering significant improvement in removing no more than 0.006 (0.15
fatigue properties. mm) from the non-stamped side.
o Three of the five coupons were sent out
for shot peening.
TEST METHODS o All five coupons were sent out for X-
ray diffraction analysis on the non-
X-Ray Diffraction stamped side.

X-ray diffraction measures residual stresses at

surface and sub-surface locations in a sample.
The method is considered a surface analysis
technique since only a few atomic layers are
PROCESS COMPARISON

The carburizing parameters used are summarized in Table 1 below:

Table 1
Carburizing Parameters

Carburizing Temperature Boost Diffusion Hardening Quenching Tempering

Method Time Time Temperature Method
(minutes) (minutes)
Atmosphere 1725
F 300 120 1550F Oil @ 60 C 350 F
(940C) (845
C) (140 F) (175 C)
2 hours
Vacuum 1725
F 32 314 1550F Nitrogen 350 F
(940C) (845
C) gas @ 20 (175 C)
bar* 2 hours

*Note: 1 bar = 14.7 psia

Influence of Carburizing Method

Vacuum carburizing produced a deeper case Figure 9 showing a comparison of atmosphere

depth of high (58 HRC) hardness as seen in and vacuum carburized test coupons.

Figure 9: Comparison of Vacuum Carburizing Using High Pressure Gas Quenching

and Atmosphere Carburizing Using Oil Quenching
Figure 10 shows a comparison of core bar using nitrogen, helium, argon or gas blends.
microstructure. Samples shown are from the A properly designed gas quench system will
pitch line with the area below the root showing produce a core microstructure in a heavy section
similar results. Today, vacuum carburizing thickness that consists of tempered martensite
techniques can employ either oil or high pressure with some transformation products (bainite and
gas quenching technology in the range of 6-20 ferrite) present in the microstructure as well.

AISI 8620 Gears Vacuum Carburized

Atmosphere or Vacuum Part Weight = 26 lbs.
Carburized &Gas Quenched Sample.
Load Weight = 500 lbs net Core microstructure consists of
& Oil Quenched Sample.
Core microstructure consists of tempered martensite and
tempered martensite. transformation products
Core Hardness is 37 HRC. Core Hardness is 29 HRC.

Figure 10: Comparison of Core Microstructure

Influence of Shot Peening crack to develop must first overcome the

compressive stress that is ~ 150 ksi (1035 MPa)
Figure 11 shows the residual stress distributions at the surface and ~ 220 ksi 0.002 (1518 MPa
of the carburizing processes followed by 0.051mm) below the surface.
grinding with shot peening.
The three residual stress curves have the
representative shape of a carburized and shot
peened material. The maximum compressive
stress of all three curves is similar and is ~ 220
ksi (1518 MPa). This value is approximately 55 -
60% of the materials ultimate tensile strength at
the surface. Since all three coupons were 59 - 62
HRC, they had similar hardness & tensile
strength (at the surface). The reason that the
curves shown in Figure 11 do not cross the
neutral axis is due to the carburization process
that induces residual compressive stresses prior
to shot peening.

The depth of the compressive stress layer is a

Figure 11: Vacuum and Atmosphere Carburized
function of the intensity or energy of the shot
Ground Samples With Single and Dual Shot
stream. It can be increased by increasing the shot
Peening
size and/or velocity. The depth is the location
where the curves would cross the neutral axis
The graph shows that a solid layer of
(into tension) if the positively sloped lines were
compression exists using all three methods.
extended. A deeper depth of compression is
From a fatigue standpoint, excellent resistance to
desired as this is a layer resisting crack growth.
the initiation and growth of fatigue cracks will
The tradeoff to increasing the intensity is that
result. The tensile stress required for a fatigue
there is additional cold work and material
displacement at the point of shot impact. This
generally results in a less compressed surface
stress (at depth = 0.000) and a more aggressive
surface finish.
Figure 12 shows visually how increasing the shot
peening energy changes the shape of the residual
stress curve.

Figure 12: Influence of Shot Peening Energy on Residual Stress

Coupon VC & DSP was dual peened. Dual This is particularly evident between 0.003
peening consists of shot peening the same (0.076 mm) and 0.008 (0.203 mm). At 0.004
surface twice. First, a higher intensity is utilized (0.102 mm) below the surface there is still 200
and then followed by a lower intensity, usually ksi (1380 MPa) of compression for the VC &
with a smaller media. The second peening DSP coupon versus 170 ksi (1173 MPa) for
operation is able to reduce the cold work at the coupon AC & SP and 145 ksi for coupon VC &
surface by improving the surface finish thus SP.
making the surface more compressed.
The dual shot peened coupon should result in a
The use of dual shot peening should be weighed significant increase in high cycle fatigue
via a cost/benefit analysis. Typically, dual properties over the (single) peened coupons.
peening approximately doubles the cost while
offering the potential to double or triple the In terms of fatigue performance, the additional 5
fatigue life produced by a single shot peen. ksi (34.5 MPa) of compression measured in the
vacuum carburizing coupon (without shot
An analysis of Figure 11 indicates that the best peening or grinding) should yield significant
fatigue performance should come from the increases in gear life under high cyclic fatigue
coupon dual shot peened as it has the best loading over the atmosphere carburized coupon.
combination of surface compression and
compressive layer depth properties.
CONCLUSIONS

The primary focus of this study was to determine o Higher Surface Hardness
which carburizing process was more suitable for o Greater Depth of High Hardness
heavy duty transmission gears manufactured o Deeper Effective Case Depth in the
from AISI 8620 steel. Vacuum carburizing was Tooth Root
found superior to atmosphere carburizing in this o Higher Surface Residual Compression
instance as the data in Table 2 indicates, for the o Uniformity of Case at Pitch line of the
following reasons: Gear Flank & Roots

Table 2: Comparison of Atmosphere and Vacuum Carburizing Results

Process Surface Surface High (58 High (58 Surface Deviation of

Hardness Hardness HRC)Hardness HRC)Hardness Residual Case at Pitch
(before (after (coupons) (gears) Compression Line
grinding) grinding) (ksi)

Vacuum 60 HRC 62 HRC 0.023 0.032 19.6 0.011

Atmosphere 59 HRC 58 HRC 0.008 0.015 14.2 0.026

Both the atmosphere carburized and vacuum atmosphere carburizing and Midwest Thermal-
carburized surfaces responded equally to the shot Vac, Kenosha, Wisconsin for the vacuum
peening treatment. carburizing of gears and test coupons and both
organizations for the load photographs.
Maximum compressive stress: ~ 220
ksi (1518 MPa) REFERENCES

Compressive layer depth: ~ .007 - 1. Lindell, G., Herring, D., Breuer, D., and Matlock,
.008 (0.178 - 0.203 mm) B., An Analytical Comparison of Atmosphere and
Vacuum Carburizing Using Residual Stress and
The dual shot peening resulted in a greater Microhardness Measurements, 2001 Heat Treating
depth of compression by ~ .001 - .002 (0.025 Conference Proceedings, ASM International.
- 0.051 mm). The surface stress of the dual
peening was very similar to the previously 2. Herring, D., Pros and Cons of Atmosphere and
discussed shot peened coupons at ~ 135 ksi (932 Vacuum Carburizing, Industrial Heating Magazine,
MPa). The (higher) first peen would have January 2002.
resulted in a less compressed surface but the
secondary peen further compressed it to ~ 135 3. Shot Peening Applications, 8 th Edition, Metal
ksi (932 MPa). Improvement Company, 2001.

RECOMMENDATION 4. Herring, D., Practical and Scientific Aspects of

Low Pressure Carburizing, 2001 Heat Treating
Testing of actual gears must be performed to Conference Proceedings, ASM International.
conclude with certainty that changes to the
manufacturing process (material, geometry, heat 5. Sugiyama, M., Acetylene Vacuum Carburizing,
treatment, shot peening, grinding) will yield 1998 Heat Treating Conference Proceedings, ASM
benefits such as those observed in this study. International.

ACKNOWLEDGEMENT 6. Ptashnik, William J., Influence of Partial Pressure

Carburizing: Its Effect on Bending Fatigue
The authors would like to thank Bodycote Durability, Heat Treating Magazine, Pt. 1&2,
Thermal Processing, Racine, Wisconsin for June/July 1980.