Shengyi Liu

Roger A. Dougal
Department of Electrical Engineering,
University of South Carolina,
Columbia, SC 29208

Jed S. Lyons
Department of Mechanical Engineering,
University of South Carolina,
Columbia, SC 29208

Heat Treatment of Metal Surfaces

by a Conformal Electron Beam
The electron beam formed between a conformal plasma cathode and a metal workpiece
can be used to heat treat the workpiece. Analyses of the electron energy deposition
profiles, heat conduction rates, and austinitizing rates show that it is possible to heat the
entire surface of an object to a depth of 1 mm within microseconds, to hold the temperature above the austinitizing critical point in the near-surface volume without melting
the surface for milliseconds, and to self-quench rapidly. This leads to the prospect of
surface hardening of metals by a conformal electron beam. DOI: 10.1115/1.1338480

Introduction
Surface hardening of metals can be accomplished by heating
with an energetic electron beam. This offers advantages of accurate control of power flow, low hardness distortion, and relatively
high-energy efficiency Schiller et al. 1. Counteracting disadvantages are dominated by the fact that the usual beam spot is a
few millimeters in diameter and hence must be tediously scanned
from spot to spot to treat an entire surface. The time lag between
heating of consecutive spots causes spatial variations of the temperature, variations in hardness, and some degree of distortion. It
is time consuming and perhaps even difficult to treat surfaces
having complex shapes. These problems can be overcome by an
electron beam system based on the conformal plasma cathode,
which has been described in detail elsewhere Dougal and
Liu 2.
Briefly, a conformal plasma cathode is the ephemeral electron
emitter that momentarily surrounds a highly charged anodic workpiece under special conditions that exist only transiently in a rarefied atmosphere of ionized gas. The plasma cathode forms quasicoplanar with the surface and some short distance from it. The
large voltage MV impulse that forms the plasma cathode accelerates plasma electrons toward the workpiece so that they
strike at near normal incidence with a high kinetic energy
MeV. The electrons deposit their energy as heat, and treat the
surface of the entire object instantly s. The concept is, in
some respects, complementary to plasma-source ion implantation
Conrad, 3. The system promises several benefitstime efficiency, uniform treatment over the entire surface, and remarkable
simplicity.
Since heating in a conformal plasma cathode system is accomplished very quickly, in nanosecond to microsecond times, it is
appropriate to question whether or not the proper conditions for
hardening of steels can be achieved. To that end, we analyze the
heating requirements for surface hardening and then compare
those requirements to the computed thermal trajectory of the nearsurface volume following illumination by an intense pulsed electron beam. Our results show that a conformal electron beam is
capable of producing, with high energy efficiency, conditions that
are likely to lead to surface hardening.

Heating Requirements
Hardening of steels entails 1 heating above the upper critical
temperature 800C, 2 holding the elevated temperature long
enough to dissolve the carbides and form austinite at the end of
Contributed by the Materials Division for publication in the JOURNAL OF ENGINEERING MATERIALS AND TECHNOLOGY. Manuscript received by the Materials
Division July 22, 1999; revised manuscript received September 15, 2000. Associate
Editor: G. Johnson.

210 Vol. 123, APRIL 2001

which time the equilibrium state has the carbon in solution in a

face centered cubic lattice, and 3 rapidly cooling the supersaturated solution to form martensite.
Austenitizing is essentially a diffusional process. The completion time depends on the heating rate, the holding time and temperature, the alloy composition, and the initial microstructure. At
higher temperatures, more energy is available for atoms to overcome the activation energy barrier, so less time is needed to austenitize. According to the experimental and calculated results of
Melander and Nicolov 4, complete 99% austenitizing of AISI
4142 steel requires several seconds at a holding temperature of
800C but only 0.1 s at a holding temperature of 850C, as shown
in Fig. 1.
A conformal electron beam source of typical parameters
of beam energy MeV, current density kA/cm2 and beam duration 100 ns can heat the surface of the steels above 1000C
at a rate of 109 C/s Dougal and Liu 2, and hold that temperature for milliseconds, as will be described later. Unfortunately, the dynamic behavior of the austenitic phase transformation in such short times and such high temperatures is not well
understood. However, recent development in electron beam surface hardening shows that fast transformation from ferrite to austenite in the range of milliseconds is not only possible but also
realistic. The surface hardening of steels was successfully demonstrated Elmer et al. 5 by experiments using a linear and pulsed
electron beam of 6 MeV energy, 60 ns pulse duration and 5 pulses
per treatment, and average 21 J/mm2 fluence. In Elmers experiments, the beam was operated at a pulse repetition rate of 2 kHz,
therefore the energy was actually delivered in about 2.5 milliseconds. Measured microhardness of 34 times greater than untreated materials and a hardened depth of 1.75 mm, without melting the surface, were achieved in these experiments. The results
obtained in Elmers experiments strongly support the subject of
this study, surface hardening by a conformal electron beam
source, which actually offers some advantages over linear energy
beam sources.
The detailed kinetics of phase transformation is beyond the
scope of this study. In what follows, we estimate the effectiveness
of rapid heating on the austenitizing process by assuming that the
mechanisms of transformation on such a fast time scale are the
same as those involved in the transformation described by the data
in Fig. 1. The hypothesis made here, in the absence of both theoretical and experimental analysis in literatures on phase transformation in such a short time scale, is conceivable due to the facts
Elmer et al. 5 that the hardening effect can be achieved within
the time scale of interest to this study. From that data in Fig. 1, we
then extrapolate down into the microsecond range, within which
such high heating rates can be applied by the action of intense
pulsed energy beams such as formed in the conformal electron
beam source, which exhibits beam parameters similar to those
obtained in Elmers experiments, as will be shown.

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Fig. 1 Time to 99% austenite formation for isothermal heating

of AISI 4142 heating rate1020Cs. The upper and lower
critical temperatures are Ac3 802C, Ac1 749C. Data from
Melander and Nicolov 4.

Fig. 2 Time to 99% austenite formation for isothermal heating

of AISI 4142 as obtained from Eq. 1

The extrapolated curve is described by Eq. 1, and graphed and

compared to Melander and Nicolovs results in Fig. 2, where t 0.99
is the time for 99% austenite formation, and T(t 0.99) is the holding
temperature.
T t 0.99 818.023.42 3.708 2 1.584 3 0.292 4 .
(1a)

log10 t 0.99 .

their kinetic energy over a considerable range, rather than only at

the surface, thereby allowing volumetric heating without melting
the surface. Several mechanisms are involved in transformation of
the electron energy to heat, including ionization, excitation,
bremsstrahlung, relaxation radiation, and secondary electron production Seltzer and Berger 6,7. It is appropriate to use the
moments method Spencer 8 or the Monte Carlo method
Berger and Seltzer 9 to calculate energy deposition in the electron track. However, for a simple and fast evaluation, it is necessary and sufficient for this study to adopt an analytical expression
for the energy deposition distribution. The expression Tabata
et al. 10 which can accurately reproduce the Monte Carlo and
experimental results, is given by

Heating Dynamics
We consider here the temporal profile of the internal temperature distribution produced by electron irradiation. The detailed
energy deposition process that produces heating is described, and
a depth-dependent source function is obtained. A one-dimensional
thermal diffusion model is then applied to determine the spatiotemporal temperature distribution.
Heat Source Function. One important advantage of the conformal electron beam source, compared to a conventional beam
source, is the higher emitted electron energy that allows a deeper
penetration into the surface. The penetrating electrons deposit

dK K 0

D x
dx
R

(2)

where dK/dx is the kinetic energy loss of an electron per unit

linear pathlength at the position x in eV/cm, K 0 the initial kinetic
energy of incident electrons in eV, R the linear penetration range
in cm. D(x), the normalized energy distribution, is given by Eq.
3:
D x a 1 a 2 1a 3 s a 3 s 1

(1b)

In Fig. 2, the curve is constrained to the data of Fig. 1 for t

0.1 s. For t0.1 s, Fig. 2 shows that the time for 99% austenite
formation monotonically decreases as the holding temperature
goes up. At T845C, complete austenitizing takes 0.1 s, but at
1390C which is still below the 1500C melting point the process apparently needs only 105 s. This is commensurate with
the electron beam heating times, so we are now driven to explore
the temporal evolution of the heating produced by the electron
beam.

Journal of Engineering Materials and Technology

Fig. 3 Normalized energy deposition as a function of penetration depth for three incident electron energies. The material is
assumed to be AISI 4140 with m 7.844 gcm3, Z 26.0,
A t 55.9.

exp a 1 sa 2 s 1a 3 s

(3)

where
s

x m
,
Rm

Rm
.
m

(4)

Constants a 1 , a 2 , a 3 , , and in 3 are semiemperically related

to the atomic number Z and the atomic weight A t of the material,
and to the initial energy K 0 . R m is the electron mass penetration
range in g/cm2, and m is the material mass density in g/cm3. For
K 0 1 MeV the mass penetration range is R m 0.5997 g/cm2
Berger and Seltzer 11, so R0.8 mm for steel according to 4.
The above equations assume that energy losses due to backscattering and radiation are zero. Figure 3 shows the normalized energy
distributions, calculated according to 3, as a function of x distance from the surface for initial electron energies of a few typical values 300, 500, 1000 keV. The material is assumed to be
AISI 4140 with m 7.844 g/cm3, Z 26.0, A t 55.9. From
Fig. 3, the energy distribution range is larger than the actual linear
penetration range due to the effects of radiation and secondary
electrons. The linear penetration ranges for 300, 500, and 1000
keV are approximately 0.15, 0.3, and 0.8 mm. The maximum
energy loss rate occurs at about 1/3 of the penetration range.
APRIL 2001, Vol. 123 211

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Here Q 1 fluence in J/cm2 and Q 3 in J are the heat sources.

The factor 2 accounts for the lack of heat loss at the surface.
Expressions 8 and 9 were normalized by their maximum temperatures and plotted in Fig. 4 to show that heat loss is much
faster in the case of pointwise heating than in the case of uniform
surface heating. The uniform heating by a conformal electron
beam maintains the temperature above the austenitizing temperature above 58% of T max1390C almost 9 times longer compared to heating by a conventional scanned beam source.
Considering the penetration depth of a conformal electron
beam, the solution to Eq. 6 for a semi-infinite workpiece with a
heat-insulated boundary can be described by Carslaw and Jaeger
13:
Fig. 4 Normalized temperature variations as a function of time
at 1 m beneath the surface. T 1 n , Eq. 8, corresponds to a
plane source, T 3 n , Eq. 9, a point source. Material AISI 4140
with m 7.844 gcm3, 0.25 Jcm"s"C, c 0.67 Jg"C.

T x,t

d P/R

m c 4 t

D exp

The heat generated per unit volume per unit time q(x) at a
distance x within the penetration range R, upon using Eqs. 2 and
3, is

j
dK
j K0
D x
q x

D x P
e
dx
e R
R

Diffusion Process. At the boundary of the plasma cathode

and the workpiece, the plasma is quite tenuous so it cannot conduct any appreciable heat. Heat loss by radiation is estimated to be
less than one percent of the total beam input power Zenker and
Muller 12 and therefore is negligible. The main heat loss is then
mainly due to conduction to the interior. Notice also that in the
case of a linear electron beam source both conventional or
pulsed, electrons travel free of any electric field near the workpiece surface, and hence losses due to electron backscattering can
approach 25% Zenker and Muller 12. With a conformal electron beam source, electron backscattering is automatically suppressed by high surface fields.
The one-dimensional thermal diffusion equation, which is then
adequate for conformal electron beam heating, is given below:

T
d 2T q x
2
t
dx
mc

m c 4 t

e x

2 /4 t

2Q 3
2
T 3 x,0,0,t
e x /4 t .
m c 4 t 3/2
212 Vol. 123, APRIL 2001

(8)

d P/R
D x .
mc

T x,t

f 1 f 2 x ,t d

(10)

(11)

f 1 f 2 x ,t d .
(12)

where
f 1 x

d P/R
D x
mc
1

4 t

exp

x 2
.
4t

(13)

(14)

Equation 12 describes a convolution of functions f 1 and f 2 with

respect to the dummy variable x, with t as a parameter. However,
f 2 is an impulse heat source at x that approaches infinity during
convolution when 0, and t0. To avoid numerical difficulty,
an algorithm as described below was developed to evaluate 12
without using the functional form of 14.
First, f 1 (x) was digitized at a frequency N/R where N is a large
positive integer. The value of f 1 (x) in the region of
x nR/N, n1 R/N
is approximated by
f 1n f 1 nR/N f 1 nR/N ,

(9)

x 2
d
4t

Equation 10 simply states that the temperature at the spatial

coordinate x and time t is an integral result of contributions from
all volume elements within the electron penetration range 2nd
term and from hypothetical volume elements of the image source
1st term that describes heat reflection from the insulated
boundary between the plasma and the material surface. According
to 10, the temperature rise is directly proportional to the electron
beam fluence, a product of the beam current j, the acceleration
potential V a , and the energy accumulation time d . Therefore,
heating can be easily controlled by tuning one of these
parameters.
Equation 10 can be rewritten as

(7)

mc

2Q 1

T x,0

f 2 x,t

x 2
d
4t

(6)

where is the material thermal diffusivity in cm2/s, is the thermal conductivity in W/cmC, c is the specific heat in J/gC,
and all these material properties are assumed constants. The heat
source function q(x) is given by 5.
To demonstrate the advantage of conformal electron beam heating over scanned-beam heating, two trivial solutions of Eq. 6 for
the instantaneous transfer of energy (t0) to a surface (x0) by
a uniform source e.g., conformal plasma source and by a point
source are given below by 8 and 9, respectively.
T 1 x,t

D exp

where d is the beam duration time. The initial temperature distribution is given by

(5)

where q(x) is in J/cm3s. The factor j/e is the electron number

density flux, j is the electron beam current density in A/cm2 and e
the electronic charge. K 0 eV a is the electron energy at the target
surface in eV. The voltage drop V a across the conformal anode
sheath is the agent that accelerates the electrons. P jV a represents the electron beam power density in W/cm2.

n ,2,1,0,1,2,

Now 12 can be approximated as

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T x,t

f 1n U
n1 R
N

nR
N

f 2 x ,t d

(15)

where the term in the rectangular bracket is a series of unit gate

functions, and the gate width is R/N. Using 13 and 14, after a
few steps of mathematics see Appendix, 15 can be finally written as

R
d P/R
n1m R/N
T m ,t
D erf
N
2 m c n n
4 t
erf

nm R/N

4 t

(16)

where

R
x
N

D n D n D n

R
N

(17)

n ,2,1,0,1, ,
m0,1,2,

Because the error function in 16 has a value of 1 when t0, the

difficulty with the impulse function has been avoided. Equation
16 is convenient to program since only summation is needed,
and can be used to calculate the temperature at any point x,t by
choosing an appropriate digitizing frequency. Because the electron penetration range is finite, the summation can be truncated to
an appropriate number of terms such that the values of D n in
discarded terms are insignificant. The calculated results according
to Eq. 16 are presented in the next section.

Numerical Results
The following conditions were assumed for numerical calculations: Beam duration d 100 ns, beam energy1 MeV, material to be hardenedAISI 4140, physical properties of the
material m 7.844 g/cm3,
0.25 J/cmsC), and c
0.67 J/gC).
The evolution of the temperature field as a function of the spatial coordinate x and the time t is plotted in Fig. 5. This shows the
temperature distribution for the case of an electron current density
of 4.25 kA/cm2 applied for 100 ns, which produced a maximum
internal temperature just below the melting point. The maximum

Fig. 5 Temperature distributions at different times according

to Eq. 16. Electron beam current 4.25 kAcm2, sheath voltage
1 MV, beam duration 100 ns; material AISI 4140 with m
7.844 gcm3, 0.25 Jcm"s"C, c 0.67 Jg"C.

Journal of Engineering Materials and Technology

temperature rise, about twice the surface temperature rise, occurred 0.023 cm beneath the surface. After about 1 s, the effects
of conductive cooling were apparent, but nonetheless, the temperature remained above the upper austenitizing point (Ac3 ,
800C) for several milliseconds. Near a depth 1/3 of the penetration range, considerable overheating occurred, but still the
temperature remained below the melting point. The surface temperature increased from its initial value to a maximum of 1160C
in about 6 ms. The temperature remained above the austenitizing
temperature adequately long 30 milliseconds for the austenite
formation to be completed as per the analysis of Section II. After
50 milliseconds the temperatures dropped quickly to the background temperature, quenching the steel. Notice that the surface
temperature never reached the zone-maximum temperature during
the entire process so melting of the surface was avoided.
It is worthwhile to do comparisons. In Elmers experiments
Elmer et al. 5, 5 pulses of 6 MeV, 0.9 kA, 60 ns duration were
delivered at a pulse repetition rate of 2 kHz to treat an area 5 mm
in radius. Thus a total fluence of 21 J/mm2 was delivered over a
2.5 millisecond period. Because of a predominantly threedimensional heat conduction loss, the temperature holding time
was probably in the range of milliseconds. On the other hand,
the method of conformal plasma cathode allows a beam of 1
MeV, 4.25 kA/cm2, and 100 ns duration to impinge on the entire
surface not just one spot. Under these conditions, computed results show that the predominantly one-dimensional thermal diffusion process allows the temperature within the beam penetration range to remain above the austenitizing temperature for more
than 30 milliseconds. Based on the comparison data, we conclude
that there exists a strong probability of achieving an increase in
hardness.
Figure 6 shows the temperature distribution at t1 s as calculated by several different electron beam current densities at a
beam duration of 100 ns. The position of the maximum temperature is invariant with current density; that position depends only
on the beam energy. The heating effect is small for low current
densities 1 kA, but can be increased by increasing the pulse
duration, though the beam duration should be limited to microseconds to avoid substantial conduction losses. The other limit for
beam duration and current density is placed by the melting point.
In general, the beam fluence, according to 11, should satisfy

d jV

m cRT m
D max

(18)

where T m is the melting point. Since the maximum temperature is

located beneath the surface, inequality 18 is a safe limit. For

Fig. 6 Temperature distributions for different electron beam

currents at t 1 s according to Eq. 16. Sheath voltage 1 MV,
beam duration 100 ns; material AISI 4140 with m
7.844 gcm3, 0.25 Jcm"s"C, c 0.67 Jg"C.

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Fig. 7 Time variation of temperature at the surface and at

three depths below the surface according to Eq. 16. Electron
beam current density 4.25 kAcm2, sheath voltage 1 MV, beam
duration 100 ns; material AISI 4140 with m 7.844 gcm3,
0.25 Jcm"s"C, c 0.67 Jg"C.

T m 1400C, R0.1 cm, m 7.844 g/cm3, c0.67 J/gC),

and D max1.28 see Fig. 3, then Eq. 18 gives an upper limit of
the beam fluence

d jV 600 J/cm2
Notice that the fluence calculated by Eq. 18 is more than 3 times
lower than that reported by Elmer et al. 5, where a considerable
conduction loss occurs for a linear beam heating, as predicted by
comparison of Eqs. 8 and 9 and shown by Fig. 4. Therefore, a
conformal electron beam source suggests a more energy-efficient
surface hardening.
The time-variation of temperature at several depths is shown in
Fig. 7. Within the first microsecond after heating, little change in
the temperature field is observed at any depth. After that, the
temperature at the surface (x0) increases to its peak value of
1160C at about 6 ms. The temperature remains at this elevated
value, but below the melting point, for a few ms allowing complete austenitization. The maximum temperature in the heated
zone occurs at xR/3 and persists for about 6 ms. Figure 7 also
shows that the temperature at xR remains below 800C. This
implies that the austenitizing depth is less than the electron penetration range, or that austenitization is incomplete near the edge
of the penetration depth. Figure 7 thus gives an estimate of the
hardening profile, but a more precise definition of the degree of
austinite formation and the depth of hardening requires a more
detailed analysis that considers the initial microconstituents of the
steel and the dynamics of the phase transformation.

appropriate to conformal electron beam heating. The algorithm

avoided convolution in order to eliminate the dilemma created
when x and t0.
The thermal characteristics afforded by a conformal electron
beam source are superior to those afforded by a conventional
beam source. The thermal behavior of an object heated by a conformal electron beam source can be summarized as follows. 1
Isothermal surfaces are quasi-planar and parallel to the surface
since the electron beam is uniformly and normally incident on the
workpiece surface. This yields a uniform heat treatment over the
entire surface. 2 Rapid heating can be achieved, without melting
the surface, because maximum heating occurs below the surface at
a depth about equal to 1/3 of the beam penetration range. 3 The
austenitizing temperature can be held longer, at lower energy cost,
when heated by a conformal plasma cathode source than when
heated by a conventional beam source because heat loss in onedimensional thermal diffusion is slower than heat loss in threedimensional diffusion.

Appendix
Heat flowing toward an insulated boundary will be reflected
back to the interior of the workpiece. This type of problem can be
treated mathematically by using image source methods. This
method is used as illustrated in Fig. 8 to derive Eq. 16.
Note that the medium on the right-hand side of the space is
assumed to extend into the left-side space, and is continuous at the
boundary position x0. For each digitizing step from nR/N to
(n1)R/N, the initial normalized temperature can be approximated as

D x D n D n

R
N

(A1)

where
x

nR n1 R
,
, for n, ,1,0,1, , (A2)
N
N

Therefore Eq. 15 can be approximated by

T x,t

d P/R
mc

D n U

n1 R
N

nR
N

f 2 x ,t d

(A3)

The nth term in A3 now is

Conclusions
We have extrapolated the requirements for heat treatment of
steels to very short heating times in order to show that a plasma
system based on the conformal plasma cathode may be useful for
rapid austenitizing of steels. Such rapid treatment requires local
heating substantially above the austinitizing temperature but
while keeping the temperature below both the -ferrite formation
temperature and the melting point and to hold that temperature
sufficiently long. The conformal plasma cathode is an electron
beam source that can provide heat treatment parameters equivalent to those demonstrated to achieve surface hardening for linear
beam sources.
The depth-distribution of electron energy dissipation allowed a
detailed investigation of the thermal behavior of the near-surface
volume. This analysis involved, incidentally, developing a simple
algorithm to solve the one-dimensional thermal diffusion equation
214 Vol. 123, APRIL 2001

Fig. 8 The performance of a heat-reflecting boundary is like a

source that is the image of the initial source. The image and the
initial source are symmetric with respect to the boundary.

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T n

d P/R
mc

D n U

n1 R
N

nR
N

f 2 x ,t d

d P/R
2
D n
2 mc

d P/R
nR/Nx
n1 R/Nx
D n erf
erf
2 mc
4 t
4 t

n1 R/Nx / 4 t

nR/Nx / t

exp y 2 dy

(A4)

The nth term expressed by A4 can be explained as the temperature fraction at the position x and the time t contributed by the
source within the gate width nR/N,(n1)R/N . Therefore, the
total temperature at the space coordinate x at the time t should be
the summation over the expression in A4 for all possible values
of n. This results in Eq. 16.

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