26 GEAR SOLUTIONS • JUNE 2004 • gearsolutionsonline.

com
 There is a long list of factors to consider
when heat treating gears.
Here is an in-depth
examination of those
variables that will help you
minimize distortion
ReduciN G
during the process.

in Heat-Treated Gears
by Daniel H. Herring and Gerald D. Lindell

P
Power transmission gear manufacturing for critical industrial applica-
tions (Figure 1) requires an understanding of many factors, including
both heat treat process-related variables (pretreatment, load arrange-
ment, process selection and technique, quench considerations, and
equipment design) and the various component-related variables that
Figure 1 — Typical
Heavy Duty Power
Transmission Gearing
influence distortion (material chemistry, hardenability, part geometry, Airport Fire Truck
design considerations, and steel quality). Transmission (top)
with Clutch Pack
Assembly (bottom)
Factors That Influence Distortion
Of these factors, those resulting from transformation during heating (Photographs Courtesy
and cooling (Fig. 2, page 28) produce internal stress/strain induced by of Twin Disc, Inc.)
volumetric changes due to these transformations and result in local-
ized deformation and general part distortion.
Part design/geometry, steel production methods, and steel quality
are important as well. The shape of the part, or the “design geometry,”
dictates to a large extent the post heat treat distortion results. Most
often this parameter is fixed for a given application. Steel production
methods and steel quality, including cleanliness (inclusion level and distribution), Jominy (harden-
ability over a given range), grain size, and tramp element percentages also play a significant role.
When a precision machined gear is put in a furnace, raised to austenitizing temperature, carburized
for an extended time and then quenched to produce a martensitic microstructure, distortion is

gearsolutionsonline.com • JUNE 2004 • GEAR SOLUTIONS 27

Figure 2
Figure 3 — Depth of High Hardness Atmosphere Carburized (top) and
Vacuum Carburized (bottom)
unavoidable. There are, however, ways to minimize and/or
control the amount and type of distortion, making it more
predictable from part to part and lot to lot. As a result, machin-
ing processes can be developed which will consistently yield
28 GEAR SOLUTIONS • JUNE 2004 • gearsolutionsonline.com
gears that meet the design requirements, both
dimensionally and metallurgically.
A common misconception by designers unfa-
miliar with these effects leads to adding more
stock and specifying a deeper case depth in an
attempt to compensate for part distortion. Not
only does this add cost, but post grinding opera-
tions will result in the unintentional removal of
some or all of the “depth of high hardness” (that
is, that part of the case where the hardness is ≥ 58
HRC). Thus the best part of the case, whether
atmosphere or vacuum carburizing is specified
(Fig. 3), is being sacrificed.
Irrespective of the effective case depth specified,
for a given geometry and loading arrangement,
heat can only be removed from the part by the
quench medium at a fixed rate. This means that
even though the depth of 50 HRC may be greater if
a deeper effective case depth is specified, the depth
of the surface layer where the hardness is ≥ 58 HRC
is not proportionally deeper and, as a result, exces-
sive grinding sacrifices surface hardness.
Importance of Normalizing
A necessary first step in the heat treatment process
involves “normalizing,” a process designed to
present a homogenous microstructure to the car-
burizing process. To reduce overall part distortion,
it is highly undesirable to have this homogeniza-
tion take place during the carburizing cycle of a
finished gear component. A separate normalizing
cycle removes the problems associated with
pearlite and ferrite segregation. Ferritic areas do
not transform to the same hardness and stress lev-
els as pearlitic areas when homogenized during
the carburizing cycle, resulting in more—not
less—distortion.
Normalizing is a process that involves heating a
part above the upper critical temperature and then
typically air cooling outside the furnace to relieve
residual stresses in a gear blank and to aid dimen-
sional stability. Normalizing is often considered
from both a thermal and microstructural stand-
point. In the thermal sense, normalizing is austeni-
tizing followed by cooling in still or slightly agitat-
ed air or nitrogen. In a microstructural sense, the
areas of the microstructure that contain about 0.8
percent carbon are pearlitic, while the areas of low
carbon are ferritic. A normalized part is very
machinable but harder than an annealed part. It
also relieves any residual stresses present from the
steel making and forging processes that could cause
later distortion during carburizing.
A good normalizing cycle consists of holding
the rough material “at temperature” for two hours minimum,
or one hour per inch of section thickness. The temperature
should be the same or higher than the carburizing tempera-
ture later used.

Part Size
Within the industry, the benefits of normalizing small
gears—typically those under 5” (125 mm) or certain AGMA
classes of gears—has been the subject of intense scrutiny and
investigation[3]. On large gears, manufacturers have been
able to demonstrate more consistency and lower distor-
tion[4] which results in a number of benefits (less time in
finish machining operations, reduced scrap rates, labor sav-
ings) and a reduction in overall cost.
Using a stress relief step during the heat treatment cycle in
lieu of a separate normalizing operation for rough machined
gears of carburizing grade materials has not been found to be
effective[4]. Typically, a cutting tool can impart significant resid-
ual stress into a stress-relieved part with a martensitic
microstructure if the part hardness is above HRC 30. A softer
normalized part with a pearlite/ferrite microstructure will usual-
ly not be subject to significant residual stresses since the cutting
tool will separate the material along the grain boundaries.
Figure 4 — Horizontal (left) and Vertical (right) Loading Arrangements
Influence of Equipment Design
The elimination of equipment-induced variability is perhaps
the least recognized yet most significant factor with respect to
producing consistency in the heat treatment process.
Understanding this aspect of the overall process results in
predictable, and repeatable, distortion patterns. The areas of
primary focus are:
• Fixture design (tray/grid flatness, basket and support
hardware flatness)
• Load size/weight (uniformity)
• Part orientation
• Heating rate
• Soak time
• Process choice (hardening method, carbon source)
• Transfer time (heat to quench)
• Quenchant choices (type, temperature, quality)
• Quench tank design (volume, agitation)
One—if not the biggest—factor which affects the distortion
of parts is how they are placed and supported in the furnace
by the fixturing. Any heat treatment process that requires
heating the part to above the transformation temperature
causes the part to lose most of the strength that it possesses
gearsolutionsonline.com
at room temperature. A part subjected to extended times at
elevated temperature, as in carburizing, experiences high tem-
perature creep, and resulting plastic deformation, due to its
own weight unless properly fixtured and supported. Single
parts are better than stacked parts. If parts have to be stacked,
support is important between the layers, especially for thin-
walled parts. Also important is making sure that the parts are
freely exposed to both the heat transfer medium and the
quenching medium.
In some instances, fixturing is impractical. In the case of a
heavy precision gear, its size may dictate that it be laid direct-
ly onto a grid, and if that grid is warped you can expect the
gear to attempt to conform to the tray shape during carburiz-
ing. Even if the gear is later press quenched this distortion
can be difficult if not impossible to correct (if you can get the
gear flat again, this still will have affected the precision gear
geometry). Furnace trays are often overlooked when trying
to find the causes of distortion. As a general rule, if you can
see light between a straightedge and the tray, you should not
use that tray. Some heat treaters grind the trays flat periodi-
cally when there are no other fixturing
alternatives. Today, a new generation of
high temperature materials has been
developed to dramatically reduce dimen-
sional change in trays and fixtures and
lengthen useful life.
There is no general solution for the
design of the loading arrangement for
gears. Loading (Fig. 4A, B) depends on
the furnace used, the part geometry, and
the cooling medium. For example,
research has shown that a horizontal
loading in carburizing with continuous
furnaces and quenching in oil lead to the
lowest statistical (average and standard
deviation) degree of distortion. In addition, there is a rela-
tionship between the length of time a fixture is in use and
the degree of distortion[5].
To yield consistent and minimal distortion, there is also an
optimum time from furnace to quench to achieve repeatable
distortion patterns. If the parts are to be run in different fur-
naces, the time from heat to quench times must be kept as
close to the same as possible. A common misconception is
that, when press quenching, all the parts will come out the
same. Although the parts are under closely controlled condi-
tions while in a quench press, very often the part is trans-
ferred to the quench press manually. This leads to variability
due to the differences in operators. A well-designed and con-
trolled robotic transfer system is highly desirable.
Quench Variables and Quench Tank Design
Quench-related variables also have a significant affect on part
distortion. In general, the selection of a quench medium
depends on the following general factors[6]:
• Cooling Rate (measured by the efficiency, or “speed” of
an oil quench media).
• Mechanisms of Heat Removal (largely dependent on part
• JUNE 2004 • GEAR SOLUTIONS 29
 geometry for a given material which dictates the require- and metallurgical properties. The reason oil quenching is so
ments of the quench system). popular is due to its excellent performance results and stabil-
• Properties of the Quench Media (the ideal quenching ity over a broad range of operating conditions.
medium is one that would exhibit high initial quench- Oils are classified by their ability to transfer heat as fast,
ing speed in the critical hardening range and a slow final medium, or slow “speed” oils (including marquench oils).
quenching speed through the lower temperature range). Fast (8-10 second) oils are used for low hardenability alloys,
• Temperature of the Quench Media (this has a dramatic and large cross sections that require high cooling rates to
influence on the rate of part cooling). produce maximum properties. Medium (11-14 second) oils
• Degree of Agitation (to allow the stages of cooling to are typically used to quench medium to high hardenability
occur as close to the same time as possible at all points steels. Slow (15-20 second) oils are used where hardenability
on a given part geometry). of steel is high enough to compensate for the slow cooling
• Quench Tank Design (volume and type of quench medi- aspects of this medium. All of these oils are used when
um, method of agitation/circulation, etc.) quenching carburized and carbonitrided parts
• Physical Properties of the Quenchant (factors such as It is important to remember that deterioration of the quen-
viscosity, etc.) chant over time will change the heat extraction rate and must
• Overall Condition of the Quench
Medium (during extended use, includ- Table 1 — DISTORTION COMPARISON
ing maintenance related issues, replen- (Atmosphere Oil Quench vs. Vacuum Oil Quench)
ishment, and replacement)
Before H.T.* Atmosphere Vacuum
Oil quenching has been around a very Average 5.6923 5.6915 5.6910
long time and is unique in its ability to cool Standard Deviation 0.0005 0.0015 0.0009
a part and to be controlled. It is the de-facto 3 Sigma 0.0015 0.0045 0.0027
Predicted High 5.6938 5.6960 5.6937
standard against which all other quenching
Predicted Low 5.6908 5.6870 5.6883
media are measured. Oil quenching is used
Predicted Range 0.0030 0.0090 0.0054
when the hardenability of the steel is high
* Note: Measurement over wires. Values before heat treatment = 5.692 / 5.690
enough to achieve the desired mechanical

30 GEAR SOLUTIONS • JUNE 2004 • gearsolutionsonline.com

be taken into account if distortion is to remain under con- rate of the heat transfer. Reduced gas pressure can lead to a longer
trol. Quenchants should be tested at frequent intervals dictat- vapor phase at the interface between liquid and part and to a more
ed by experience and replaced or reconditioned as necessary uniform collapse of the film layer (Fig. 5). Reducing the gas pres-
Another important consideration is the use of vacuum oil sure (from 1 atmosphere to 0.2 atmospheres) led to more uniform
quenching as compared to atmosphere oil quenching. A cooling rate and subsequently to reduce profile distortion.
study of these methods (Table 1) has shown less overall dis- In highly loaded fixtures the liquid temperature is
tortion using vacuum oil quenching methods. increased as the liquid flows through the charge, subsequent-
The explanation for this phenomenon[7], [8] is based on the ly changing velocity and directions, and can lead to different
kinetics of the heat transfer that is influenced by the type of the liq-
cooling rates of the parts in the fixture. The result can be that
uid and the conditions of contact between the part and the flowing parts at the bottom of the fixture show a different distortion
liquid. Additionally, the gas pressure over the liquid can affect the
pattern than parts at the top.
By comparison, the use of high pressure gas quench-
Figure 5 — The Influence of Gas Pressure Variation Over the Quench Oil ing techniques has become a popular alternative to oil
quenching when hardenability (especially core hard-
ness) permits. Part size, material, and wall thickness all
must be considered when gas quenching[9].
The effects on dimensions during hardening can be
very severe. After carburizing components can be direct
quenched after cooling from the carburizing to the
hardening temperature, or they can be slow cooled,
reheated, and then quenched to cause hardening to
occur. Whichever method is used, the hardening results
from the transformation of austenite to hard martensite,
which is accompanied by a volume expansion (4.64
minus 0.52 times the percentage of carbon). This trans-
lates to a linear range of 1.37 percent to 1.53 percent
expansion due to differences in the carbon content.

Eliminate Secondary Broaching Operations

on Gears, Sheaves, Hubs and Pulleys
• Driven by your machine’s
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gearsolutionsonline.com • JUNE 2004 • GEAR SOLUTIONS 31

 In general, going directly from the carburizing to quench
yields slightly less distortion due to fewer phase changes to
the part. More retained austenite results, but that can be
addressed by other means such as cryogenic (deep freeze)
treatment of the parts later[10]. However, in certain aerospace
gear applications, a subcritical anneal at 1150ºF - 1250ºF
(620ºC - 675ºC) is performed after carburizing and slow
cooling to precipitate carbides and produce a finer structure
with less retained austenite after subsequent hardening.
The vapor layer formed at the beginning of liquid quench-
ing insulates the surfaces from the oil and slows the cooling
rate. During nucleate boiling, despite extremely high heat
transfer coefficients[11], the vapor layer can linger longer in
pockets (such as the root area of a gear tooth) and slow the
overall transfer rate. As such, this uneven transitory step cre-
ates huge temperature differentials and is the major factor in
distortion when quenching in these media. Since gas quench-
ing forms no vapor layer, the overall result is lower distor-
tion. It is important to note that the distortion that does
occur is therefore different than that produced by oil quench-
ing, and those choosing this alternative must be prepared to
adjust their post-grinding procedures.
Most heat treaters who use high pressure gas quenching
techniques adjust their quench parameters to the part and
material being run to yield the lowest distortion while pro-
ducing the desired properties. In some cases, a material
change might also be necessary[12].
32 GEAR SOLUTIONS • JUNE 2004 • gearsolutionsonline.com
Many parts have shown high pressure gas quenching tech-
niques to yield even less distortion then press quenching[3].
Test trials should always be run and dimensions compared
before switching.
Influence of Material
Gears under load are subject to gradient stresses both on the
active flank and at the root fillet. Proper material selection, as
well as heat treatment, will produce strength gradients that
are adequate to withstand the stress gradients and provide an
acceptable margin of safety.
In all gears, the choice of material must be made only after care-
ful consideration of the performance demanded by the applica-
tion. Material choice must be a balance between overall cost and
required service life. Key design considerations require an analysis
of the type of applied load, whether gradual or instantaneous, and
the desired mechanical properties, such as bending fatigue
strength or wear resistance. The required mechanical properties
will define core strength and heat treating requirements.
Manufacturing economics plays an important role as well.
Each area in the gear tooth profile sees different service
demands. For example, in the root area, good surface hardness
and high residual compressive stress are desired to improve
bending fatigue life. On the active flank, a combination of high
hardness and adequate subsurface strength are necessary for
adequate resistance to macropitting and subcase fatigue.[13]
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Table 2 — Comparison of H-band and RH-band Steel Chemistries
than 65 percent of the hardness
range for standard H-band steels in
%C %Mn % Si %S %P %Ni %Cr %Mo %Cu %Fe
the “inflection” region. Generally,
8620H .17/.23 .60/.95 .15/.35 .25 .25 .35/.75 .35/.65 .15/.25 .35 balance
the restricted hardenability band
8620RH .18/.23 .70/.90 .15/.35 .25 .25 .40/.70 .40/.60 .15/.25 .35 balance
follows the middle of the corre-
sponding standard H-band.
As an example of the impor-
Proper material hardenability selection is Table 3 — Comparison of H-band and tance of this concept, foreign
critical since, if the material hardenability is RH-band Steel Jominy automakers purchase steel for
too high for the gear tooth pitch size, the result particularly distortion prone gears
will be more distortion and higher mid-tooth J1 J4 J6 J8 with as little as a one Rockwell C
core hardness than is necessary or desirable. 8620H 41-48 27-41 21-34 N/A-30 point hardness variation through-
Restricted hardenability carburizing steels 8620RH 42-47 30-38 24-31 21-28 out the Jominy range[3].
make distortion more predictable from lot to Most gear manufacturers have
lot. This should not adversely affect cost or availability of the charts that allow them to select the proper Jominy range to
raw material due to the better steel-making processes now determine which material will yield the desired mid-tooth
being used by forging and bar stock suppliers. and root-core hardness in the gear for different pitch gears
Hardenability (H-band and RH-band) steels incorporate using standard hardenability information. These charts are
slightly different carbon and possibly other chemistry ranges available for atmosphere carburizing and oil quenching of
(Table 2) and hardenability (Table 3); they are generally gears, and there are some under development for low pres-
broader than the standard alloy steels; and they have a more- sure carburizing using high pressure gas quenching.
restricted hardenability range at each Jominy distance. By way of an example, typical data (Fig. 6, 7) can be used
In general, H-Band steels offer a wide range of mechanical for thin and thick section gears.
properties that depend on the development of tempered Assume we want to select the most cost-effective grade of material
martensite after quenching and tempering. RH-Band steels will to manufacture gears of four and six pitch, given a core hardness
exhibit a hardness range not greater than 5 HRC at the initial requirement of 30-40 HRC at the mid-tooth. For the purpose of this
position (on the end-quench hardenability bar) and not greater example, we will assume that Steel A is more expensive than Steel B.

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gearsolutionsonline.com • JUNE 2004 • GEAR SOLUTIONS 33

 Figure 6 — Jominy Data for Figure 7 — Jominy Data for
Thin Section Gears Thick Section (Solid) Gears

Figure 8 — Comparison of Jominy Values as a Function of

Steel Chemistry

If we look at Figures 6 and 7 we determine that, as a func-

tion of gear section thickness, a four-pitch gear requires a
Jominy value between 4.5 and 5.5. By contrast, the values for
a six-pitch gear are in the range of 3.0 to 3.25. From Figure 8
we find that four-pitch gears require Steel A to meet the min-
imum core hardness, but that a six-pitch gear can be manu-
factured from the less expensive steel B.[14]

Influence of Design Factors

A number of other design factors are often overlooked as
contributing to distortion related issues. These include:

• Large, heavy sections adjacent to small, thin sections

• Section radii
• Helix unwind
• Holes

Designs with heavy sections adjacent to thin sections or

with sharp radii should be avoided since they will almost
certainly create distortion issues. The use of as large a radius
as possible will greatly reduce distortion. Often a designer
can add stock to areas adjacent to thin sections to help com-
pensate for distortion. Another possibility is to design the
gear as two separate parts.
Helix gears and helix “unwind” issues, and how to compen-
sate for this phenomenon, is another area of great interest.
Common practice is to hob in correction or add more stock
allowance so as to allow for helix unwind. Particular attention

34 GEAR SOLUTIONS • JUNE 2004 • gearsolutionsonline.com

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ABOUT THE AUTHORS:
Daniel H. Herring—also known as “The Heat Treat Doctor”—
is president of The Herring Group, Inc. He can be reached at
(630) 834-3017, or via e-mail at dherring@heat-treat-doctor.com.
His Web site is [www.heat-treat-doctor.com]. Gerald D. Lindell is
corporate engineering metals specialist for Twin Disc, Inc. The
company’s Web site is [www.twindisc.com].

REFERENCES
Edenhofer, B, Grafen, W., and Muller-
Ziller, J., Umgang mit der
Verzugsproblematik in der indus-
triellen Warmebehandlungspraxis,
HTM 6/2003, pp. 328-335 (in
German).
Herring, D.H., Lindell, G. D., Breuer,
D.J., and Matlock, B., An Evaluation
of Atmosphere and Vacuum
Carburizing Methods for the Heat
Treatment of Gears, SAE Off-Highway
Road Conference, Las Vegas, NV, 19-
23 March 2002.
Private Correspondence, Toyota.
Unpublished research, Twin Disc, Inc.
Funatani, K., State of Materials, Heat
Treatment and Surface Engineering
for Automotive Components,
Proceedings MTEC and IFHTSE
Conference on Heat Treatment and
Surface Engineering in the
Production of Automotive
Components, 27 – 30 January 2003,
Bangkok, Thailand.
Herring, D.H., A Review of Quenching
Technology, Part One: Factors That
Influence Quenching, HOT TOPICS in
Heat Treatment and Metallurgy, Vol. 2
No.3, March 2004
Herring, D.H., Sugiyama, M., and
Uchigaito, M., Controlling Oil Surface
Pressure in Vacuum Oil Quenching,
Heat Treating, July 1987.
Herring, D.H., Sugiyama, M., and
Uchigaito, M., Vacuum Furnace Oil
Quenching – Influence of Oil Surface
Pressure on Steel Hardness and
Distortion, Industrial Heating, June
1986.
Altena, H., Juric, P., and Stola, P., Gas
and Oil Quenching Effects on Gear
Distortion, Industrial Heating, March
2004, pp. 45 – 47.
Howes, M.A.H., Factors Affecting
Distortion in Hardened Steel
Components, ASM Conference and
Proceedings on Quenching and
Distortion Control, 22
– 25 September 1992, Chicago, IL,
pp 254 - 258.
Herring, D.H., A Review of High
Pressure Gas Quenching Technology,
Part One: The Heat Transfer
Coefficient, HOT TOPICS in Heat
Treatment and Metallurgy, Vol. 1
No.2, December 2003.
Highly advanced, simple to use & extremely accurate...
Otto, F. and Herring, D.H., Gear Heat
Treatment, Part I & II, Heat Treating MicroCheck can be adapted to your existing gear rolling tester of any
Progress, June 2002, July/August
2002.
make or model. Evaluating your gears to AGMA, DIN, or your own
specific tolerances, your test results will be observed on the screen or
Herring, D.H., Gear Heat Treatment: The
Influence of Material and Geometry, quickly downloaded to your printer. “SPC & STATISTICS”
Gear Technology, March/April 2004.
Herring. D.H., Jominy Testing: The
Practical Side, Industrial Heating,
MicroGear
13338 Monte Vista Avenue • Chino, CA 91710
October 2000.
phone 909 590-7363 • fax 909 590-8784

gearsolutionsonline.com • JUNE 2004 • GEAR SOLUTIONS 35