This article provides an overview of the effects of various material- and process-related parameters on residual stress, distortion control, cracking, and microstructure/property relationships as they relate to various types of failure. It discusses phase transformations that occur during heat treating and describes the metallurgical sources of stress and distortion during heating and cooling. The article summarizes the effect of materials and the quench-process design on distortion and cracking and details the effect of cooling characteristics on residual stress and distortion. It also provides information on the methods of minimizing distortion and tempering. The article concludes with a discussion on the effect of heat treatment processes on microstructure/property-related failures.

Hydraulic cylinder housings were being fabricated from 4140 grade seamless steel tubing. During production, magnetic-particle inspection indicated the presence of circumferential and longitudinal cracks in a large number of cylinders. Analysis (visual inspection, dye penetrant inspection, 50x/90x/400x SEM micrographs, and metallographic analysis) supports the conclusion that the cracking problem in these components was identified as quench cracks due to their brittle, intergranular nature and the characteristic temper oxide on the fracture surfaces. Although the steel met the compositional requirements of SAE 4140, the sulfur level was 0.022% and would account for the formation of the sulfide stringers observed. Apparently, the combination of the clustered, stringer-type inclusions and the quenching conditions were too severe for this component geometry. The result was a high incidence of quench cracks that rendered the parts useless. Recommendations included changing the specification, requiring the steel to have lower sulfur concentrations. Magnetic-particle cleanliness standards should be imposed that will exclude material with harmful clusters of sulfide stringers, for example, modified AMS 2301.

Several of the aluminum alloy 6061-T6 drawn seamless tubes (ASTM B 234, 2.5 cm (1.0 in.) OD with wall thickness of 1.7 mm (0.065 in.)) connecting an array of headers to a system of water-cooling pipes failed. The tubes were supplied in the O temper. They were bent to the desired curvature, preheated, then solution treated, water quenched, and then aged for 8 to 10 h. Analysis (visual inspection, slow-bend testing, 65x macrographic analysis, macroetching, spectrographic analysis, hardness tests, microhardness tests, tension tests, and microscopic examination) supported the conclusions that bending of the connector tubes in the annealed condition induced critical strain near the neutral axis of the tube, which resulted in excessive growth of individual grains during the subsequent solution treatment. Recommendations included bending the connector tubes in the T4 temper as early as possible after being quenched from the solution temperature. The tubes should be stored in dry ice after the quench until bending can be done. The tubes should be aged immediately after being formed. Flattening and slow-bend tests should be specified to ensure that the connector tubes had satisfactory ductility.

The engine of an automobile lost power and compression and emitted an uneven exhaust sound after several thousand miles of operation. When the engine was dismantled, it was found that the outer spring on one of the exhaust valves was too short to function properly. The short steel spring and an outer spring (both of patented and drawn high-carbon steel wire) taken from another cylinder in the same engine were examined in the laboratory to determine why one had distorted and the other had not. Investigation (visual inspection, microstructure examination, and hardness testing) supported the conclusion that the engine malfunctioned because one of the exhaust-valve springs had taken a 25% set in service. Relaxation in the spring material occurred because of the combined effect of improper microstructure (proeutectoid ferrite) plus a relatively high operating temperature. Recommendations included using quenched-and-tempered steel instead of patented and cold-drawn steel or using a more expensive chromium-vanadium alloy steel instead of plain carbon steel; the chromium-vanadium steel would also need to be quenched and tempered.

The heads of two AISI 8740 steel bolts severed while being installed into an Army tank recoil mechanism. Both broke into two pieces at the head-to-shank radius and the required torque value had not been attained nor exceeded prior to the failure. A total of 69 bolts from inventory and the field were tested by magnetic particle inspection. One inventory bolt failed because of a transverse crack near the head-to-shank radius. It was deduced that either a 100% magnetic particle inspection had not been conducted during bolt manufacturing, or the crack went undetected during the original inspection. Optical and electron microscopy of the broken bolts revealed topographies and the presence of black oxide consistent with quench cracking. The two bolts failed during installation due to the presence of pre-existing quench cracks. Recommendations to prevent future failures include: ensuring that 100% magnetic particle inspections are conducted after bolts are tempered; using dull cadmium plate or an alternative to the electrode position process, such as vacuum cadmium plate or ion-plate or ion-plated aluminum, to mitigate the potential for delayed failures due to hydrogen embrittlement or stress-corrosion cracking; ensuring that the radius at the shoulder/shank interface conforms to specifications; and replacing all existing bolts with new or reinspected inventory bolts.

Several type 304L stainless steel dished ends used in the fabrication of cylindrical vessels developed extensive cracking during storage. All of the dished ends had been procured from a single manufacturer and belonged to the same batch. When examined visually, several rust marks were observed, indicating contamination by rusted carbon steel particles. Liquid penetrant testing was used to determine the extent of the cracks, and in situ metallographic analysis was performed over the cracked region. The morphology of the cracks was indicative of transgranular stress-corrosion cracking (TGSCC). Conditions promoting the occurrence of the TGSCC included significant tensile stresses on the inside of the dished ends, the presence of surface contamination by iron due to poor handling practice using carbon steel implements, and storage in a coastal environment with an average temperature of 25 to 32 deg C (77 to 90 deg F), an average humidity ranging from 70 to 80%, and an atmospheric NaCl content ranging from 8 to 45 mg/m2 /day. Recommendations preventing further occurrence of the situation were strict avoidance of the use of carbon steel handling implements, strict avoidance of cleaning practices that cause long-term exposure to chlorine-containing cleaning fluid, and solution annealing of the dished ends at 1050 deg C (1920 deg F) for 1 h followed by water quenching to relieve residual stresses.

SAE grade 5 U-bolts were used to fasten auxiliary dual wheels to the axles on a farm tractor. Under typical farm usage, the bolts are expected to have infinite life. However, several U-bolts made of 29 mm diam rod broke after less than 100 h of service. The bolt legs in which the failures occurred were all in the same position relative to the direction of wheel rotation. Visual examination showed the break was a fairly flat transverse fracture in the threaded section between the washer and the nut. The appearance of the fracture surfaces was characteristic of failure by low-cycle fatigue, with a smooth matte fatigue failure region showing beach marks and generally extending over about 40 to 60% of the fracture surface, which indicated severe overload. The point of initiation of fatigue was at the root of the last thread at the edge of the nut on the side toward this washer. The U-bolts fractured in fatigue because the bolt material had poor hardenability relative to the diam of the bolts. The bolt material was changed from 1045 steel to 1527 steel, a warm-finished low-alloy steel. The diameter of the bolts was reduced to 27.2 mm and the threads were rolled rather than cut.

A hypoid pinion made from 4820 Ni-Mo alloy steel was the driving member of a power unit operating a rapid transit car. The pinion had been removed from service at the end of the initial test period because it showed undue wear. The mode of failure was severe abrasive wear. The cause of failure was insufficient surface hardness, resulting from improper heat treatment. A service recall for the remaining pinions was immediately initiated.

The lower receiver of the M16 rifle is an anodized forging of aluminum alloy 7075-T6. Degradation of the receivers was observed after three years of service in a hot, humid atmosphere. The affected areas were those in frequent contact with the user's hands. There was no question that the material failed as a result of exfoliation corrosion, so an investigation was undertaken, centered around the study of thermal treatments that would increase the exfoliation resistance and still develop the required 448 MPa (65 ksi) yield strength. The results of the study concluded that rolled bar stock should be preferred to extruded bar stock. Differences in grain structure of the forgings, as induced by differences in thermal-mechanical history of the forged material, can have a significant effect on susceptibility to exfoliation corrosion. Regarding thermal treatment, the results show conclusively that large changes in strength and exfoliation characteristics of 7075 forgings can be induced by changes in temperature or time of thermal treatment. With regard to the effect of quenching rate on exfoliation characteristics, a cold-water quench below 25 deg C (75 deg F) would appear to be far superior to an elevated-temperature quench to minimize exfoliation for 7075 forgings in the T6 temper.

Several fractures occurred in flange studs used for remote handling of radioactive equipment. The studs, of quenched-and-tempered type 414 stainless steel, fractured in the HAZs produced in the studs during the circumferential welding that joined the studs to the flanges. The weld deposits were of type 347 stainless steel, and the flanges were type 304 stainless steel. Metallographic examination of the failed studs revealed that the HAZs contained regions of martensite and that intergranular cracks, which initiated at the stud surfaces during welding, propagated to complete separation under subsequent loading. The studs fractured under service loads as a result of intergranular crack propagation in the HAZ. Rapid heating and cooling during attachment welding produced a martensitic structure in the HAZ of the stud, which cracked circumferentially from the combination of thermal-gradient and phase-change stresses. Joining the studs to the flanges by welding should be discontinued. They should be attached by screw threads, using a key and keyway to prevent turning in service.

Screens made of stainless steel X5 Cr-Ni-Mo 18 10 (Material No. 1.4401), which were exposed to cooling water from the mouth of a river, became unserviceable after a few months because of the breaking out of parts of the bars. The multiple fracturing of the screen bars in the brackish water of the mouth of the river was attributed to stress corrosion and pitting. The steel used, which contained molybdenum, would have withstood the severe corrosive conditions in the heat-treated condition, i.e. quenched after high temperature anneal. However, the stresses caused by deformation and welding, as well as the intensification of corrosive conditions brought about by design, i.e. creation of corrosion currents in the poorly aerated gaps (Evans elements), made this impossible.

A tool used to stretch reinforcement wires in prestressed concrete failed. All eight individual jaws were broken. Visual examination of the fracture surfaces indicated that about half of the broken parts had a partially dendritic appearance. Further, fracture surfaces near the exteriors of the parts were clean and smooth, and there was evidence of a case. Examination of the flat surfaces of the parts revealed surface cracking where actual failure had not occurred. Chemical analysis showed the material to be a low-alloy carburizing steel. The microstructure was compatible with a steel which is cast, carburized, quenched, and tempered. The structure was generally satisfactory, except for the presence of severe shrinkage porosity. It was concluded that the presence of shrinkage porosity in critical areas was the primary cause of fracture. Extremely high hardness indicating a lack of adequate tempering was the secondary cause.

A hollow, splined alloy steel aircraft shaft (machined from an AMS 6415 steel forging – approximately the same composition as 4340 steel – then quenched and tempered to a hardness of 44.5 to 49 HRC) cracked in service after more than 10,000 h of flight time. The inner surface of the hollow shaft was exposed to hydraulic oil at temperatures of 0 to 80 deg C (30 to 180 deg F). Analysis (visual inspection, 15-30x low magnification examination, 4x light fractograph, chemical analysis, hardness testing) supported the conclusions that the shaft cracked in a region subjected to severe static radial, cyclic torsional, and cyclic bending loads. Cracking originated at corrosion pits on the smoothly finished surface and propagated as multiple small corrosion-fatigue cracks from separate nuclei. The originally noncorrosive environment (hydraulic oil) became corrosive in service because of the introduction of water into the oil. Recommendations included taking additional precautions in operation and maintenance to prevent the use of oil containing any water through filling spouts or air vents. Also, polishing to remove pitting corrosion (but staying within specified dimensional tolerances) was recommended as a standard maintenance procedure for shafts with long service lives.

Several crankshaft failures occurred in equipment that was being used in logging operations in subzero temperatures. Failure usually initiated at a cracked pin oil hole, and the failure origin was approximately 7.6 mm (0.3 in.) from the shaft surface. The holes were produced by gun drilling, giving rise to surface defects. The fracture surface was characteristic of fatigue in that it was flat, relatively shiny, and exhibited beach marks. The crack surface was at a 45 deg angle to the axis of the shaft, indicating dominant tensile stresses. The material was the French designation AFNOR 38CD4 (similar to AISI type 4140H) and was in the quenched-and-tempered condition, with a yield strength of about 760 MPa (110 ksi). It was treated to have compressive surface stresses, and the prior-austenite grain size was ASTM 8. Analysis (visual inspection, stress analyses, and macrographs) supported the conclusion that failure was caused by fatigue stress caused by surface defects in the oil holes. Recommendation includes drilling the oil holes by a technique that essentially eliminates surface defects.

Component slippage in the left-side final drive train of a tracked military vehicle was detected after the vehicle had been driven 13,700 km (8500 miles) in combined highway and rough-terrain service. The slipping was traced to the mating surfaces of the final drive gear and the adjacent splined coupling sleeve. Specifications included that the gear and coupling be made from 4140 steel bar oil quenched and tempered to a hardness of 265 to 290 HB (equivalent to 27 to 31 HRC) and that the finish-machined parts be single-stage gas nitrided to produce a total case depth of 0.5 mm (0.020 in.) and a minimum surface hardness equivalent to 58 HRC. Investigation (visual inspection, low-magnification images, 500X images of polished sections etched in 2% nital, spectrographic analysis, and hardness testing) supported the conclusion that the failure occurred by crushing, or cracking, of the case as a result of several factors. Recommendations included reducing the high local stresses at the pitch line to an acceptable level with a design modification. Also suggested was specification of a core hardness of 35 to 40 HRC to provide adequate support for the case and to permit attainment of the specified surface hardness of 58 HRC.

Sudden and unexplained bearing cap bolt fractures were experienced with reduced-shank design bolts fabricated from 42 CrMo 4 steel, quenched and tempered to a nominal hardness of 38 to 40 HRC. Fractographic analysis provided evidence favoring stress-corrosion cracking as the operating transgranular fracture failure mechanism. Water containing H7S was subsequently identified as the aggressive environment that precipitated the fractures in the presence of high tensile stress. This environment was generated by the chemical breakdown of the engine oil additive and moisture ingress into the normally sealed bearing cap chamber surrounding the bolt shank. A complete absence of fractures in bolts from one of the two vendors was attributed primarily to surface residual compressive stresses produced on the bolt shank by a finish machining operation after heat treatment. Shot cleaning, with fine cast shot, produced a surface residual compressive stress, which eliminated stress-corrosion fractures under severe laboratory conditions.

Fasteners, made in high-production progressive dies from 0.7 mm thick cold-rolled 1060 steel, were used to secure plastic fabric or webbing to the aluminum framework of outdoor furniture. It was found that approximately 30% of the fasteners cracked and fractured as they were compressed to clamp onto the framework prior to springback. The heat treatment cycle of the fasteners consisted of austenitizing, quenching, tempering to obtain a tempered martensite microstructure, acid cleaning, zinc electroplating, coating with a clear dichromate and thereafter baking to remove the nascent hydrogen. It was revealed that fasteners treated in this manner were brittle due to hydrogen embrittlement as the baking process was found to not be able to remove all the nascent hydrogen which had induced during acid cleaning and electroplating. The heat treatment cycle was modified to produce a bainitic structure and the method of plating the fastener with zinc was changed from electroplating to a mechanical deposition process to thus avoid hydrogen embrittlement.

An automotive front-wheel outer angular-contact ball bearing generated considerable noise shortly after delivery of the vehicle. The inner and outer rings were made of seamless cold-drawn 52100 steel tubing, the balls were forged from 52100 steel, and the retainer was stamped from 1008 steel strip. The inner ring, outer ring, and balls were austenitized at 845 deg C (about 1550 deg F), oil quenched, and tempered to a hardness of 60 to 64 HRC. Investigation (visual inspection) supported the conclusion that failure was caused by fretting due to vibration of the stationary vehicle position without bearing rotation. Recommendations included improving methods of securing the vehicle during transportation to eliminate vibrations.