To cite this article: H. H. Pan & G. J. Weng (1992) THERMAL STRESS AND VOLUME CHANGE DURING A COOLING PROCESS
INVOLVING PHASE TRANSFORMATION, Journal of Thermal Stresses, 15:1, 123, DOI: 10.1080/01495739208946117
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THERMAL STRESS AND VOLUME CHANGE DURING A
COOLING PROCESS INVOLVING PHASE
TRANSFORMATION
H. H. Pan and G. J. W e n g
D e p a r t m e n t of M e c h a n i c a l a n d Aerospace E n g i n e e r i n g
Rutgers University
N e w B r u n s w i c k , N e w Jersey 08903
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INTRODUCTION
When austenite is quenched down from above the eutectoid temperature (723OC), it
may transform into martensite. If the initial temperature is high enough, such as at
point A in the phase diagram of Fig. la, the quenching process will result in the
Invited Paper: Dedicated to Bruno A. Boley and presented at the SixtyFifth Birthday of Bruno A.
Boley Symposium. Winter Annual Meeting, American Society of Mechanical Engineers, Atlanta. Geor
gia. December 16, 1991.
This work was supported by the National Science Foundation, Solid and GeoMechanics Program.
under grants MSS8918235 and MSS9114745.
Fig. I (a) Typical phase diagram of carbon steel: (b) continuous cooling transformation diagram of a
4043 stccl.
8.4"C/s. At a slower rate of 0.33"C/s, bainitic transformation will take place first,
and at the even slower 0.023"C/s, austenite + ferrite transformation can also be
expected. (Both figures have been generated using the information given in Reed
Hill [ I ] . ) We will be concerned primarily with the martensitic transforniation under
a quenching process, which commences at the martensitic start temperature (M,) and
may end at the martensitic finish temperature (Mf),so that at a temperature T below
M,, the transformed fraction of austenite is a known quantity.
Two important proble~nsassociated with such a physical process are the devel
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opment of thermal stress in the matrix and the volume change of the system. To be
sure, martensitic transforrr~ationoccurs not only in carbon steels, but also in many
nonferrous alloys (e.g., AuCd, CuAI, and CuZn). Regardless of whether the
system is a two or a threephase solid, the individual phases may possess different
elastic moduli, thermal expansion coefficients, and crystal structures, which in turn
can influence the magnitude of phasetransformation strain. If the habit planes are
randomly oriented in the matrix, the dual or threephase metal will display an overall
isotropy. The objective of this article is to develop a theoretical principle with which
to examine the two stated problems. The inclusions will be taken to be perfectly
bonded with the matrix and, during the cooling process, no plastic deformation is
assumed to occur. While ductile metals tend to undergo plastic flow at higher stress,
the pure hydrostatic nature of thermal stress developed in the matrix of the isotropic
systems considered here niay render this assumption more acceptable. The deter
mination of local yielding and its influence on the stated problems is not a simple
problem; we hope to be able to look into it in the future.
THEORETICAL MODEL
For generality we shall consider the threephase solid, which corresponds to an initial
condition of point B in Fig. la. A schematic representation of such a solid is depicted
in Fig. 2, where phase 0 is the matrix phase (ferrite here), phase I is the martensite
inclusions, and phase 2 is the other type of inclusions (austenite here). For simplicity,
the randomly oriented inclusions are assumed to be spheroidal in shape, each type
with a common aspect ratio a . If the system is a twophase solid, such as the one
with an initial condition of point A , the matrix phase would become austenite, and
phase 2 disappears completely. During phase transformation, the phasetransfor
mation strain in each inclusion as measured from the habit plane can be taken to be
constant. This implies that, in the local, oriented axes along the principal direction
of the spheroid, each martensite island possesses a constant phasetransforma
tion strain ~ 5 The
~ magnitude
. of E P , ~can be determined from the crystal structure of
the parent and transformed phases, as outlined in the Appendix. For now, E G ~is
taken as a known quantity in the local axes, with direction 1 chosen along the sym
metric axis of the spheroid.. It becomes an orientationdependent value &fh(0,+)
when transformed to the external axes, (0, +) being the angles specifying its ori
entation.
While several methods could be called upon to consider the present problem,
the simplest one that can account for both the inclusionshape effect and the distinct
inclusion/matrix microgeornetry is probably the Eshelby [2] and MoriTanaka [3]
4 H. H. PAN AND G . J . WENG
 phase 2
(austenite in the
3phase system)
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I
phase 0 (austenite in the 2phase system,
and ferrile in the 3phase one)
Fig. 2 Schematic representation of the threephase system.
theory. This approach has been comprehensively formulated by Weng [4] to study
the effective elastic moduli of a composite material, and it will be extended here to
include the effect of phase transformation and thermal strain. The initial state at A
or B will be taken as the reference state, without any stress or strain.
Suppose the quenching process starts from an initial temperature Ti, and reaches
a temperature T below M,. The volume fraction c, of the rth phase then can be
determined from the initial condition at B (or A ) , and the CCT diagram or the Kois
tinen and Marburger 151 equation [see Section 5, Eq. (37)j. Denoting the coefficient
of thermal expansion of the rth phase by a,, we have the uniform thermal strain in
the absence of other constituents:
where Su is the Kronecker delta. For phase 1, the martensite region, it is given by
as it had not existed until the temperature reached M , (a, should be replaced by a,
in the twophase case). The phase I region further possesses a phasetransformation
strain E $ ~ ( o , +) when expressed in the global coordinates. The value of a, may de
crease with decreasing temperature; its average value may be used if it does not
remain constant over the temperature range considered.
To determine the average stress and strain state of each phase at a given tem
perature T, we may first bring both phase I and phase 2 out of the matrix, and then
let all three phases undergo separate stressfree thermal expansion (or contraction)
and, in the case of phase I, an additional phase transformation. The inclusions are
THERMAL STRESS AND VOLUME CHANGE 5
then brought back to fit into the deformed holes. This is Eshelby's [6] inhomoge
neitytransformation problem, but involving finite concentration of inclusions. Fol
lowing Weng's [4] symbolic notation, the corresponding mean stress in the matrix
can be written as
in the absence of an externally applied stress, where L,(T) is the elastic moduli tensor
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of the matrix [and L,(T) for phase r] at temperature T , and is the generated internal
strain in the fitting proce:is. For a phase 1 , martensite inclusion oriented with ( 0 ,
+), its average stress and :itrain will experience an additional "perturbedn value with
respect to its surrounding matrix, so that its mean stress can be written as
where ~ * ( 0+)
, is the equivalent eigenstrain introduced into the considered inclusion
region so that its moduli I,,(T) can be replaced by Lo(T) to yield the same ~ " ' ( 0 ,
4). Likewise, for a phase 2 inclusion one has
m e 'perturbed" portion of the strain is connected to the total stressfree strain through
Eshelby's S tensor; this, however, must be done in the local, oriented axes as
leading to
H. H. P A N A N D G. J. WENG
where the brackets ( ) signify the threedimensional, orientational average of the said
quantity, and 1 is the symmetric, fourthorder tensor.
The average stressor the thermal stress of the titled problemin the matrix
then follows as
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which is purely hydrostatic due to the isotropic nature of the material. The overall
strain of the system, which is contributed by both the thermal expansion (actually
contraction) and the phase transformation, is given by
representing the volume change. The strain E'*"' is included in Eq. (I 1) as the matrix
had undergone such a stressfree deformation before the inclusions were brought
back into the deformed holes. This is our second titled problem.
While E'~"', E"", and c, are known quantities, E*"' and E * ' ~ ' are not, and need
to be solved from the last equation of (4) and (5), incollaboration with ( 6 ) ,(7), and
(9).
For a spheroidal inclusion, S is a transversely isotropic tensor; its components
depend on the aspect ratio a and can be found from Eshelby [2] or Mura 171. A
simple scheme to evaluate the inner product and orientational average of a trans
versely isotropic tensor, for instance, can be found in Qiu and Weng [8]. Following
this scheme and writing L, = ( 3 ~ , ,2p,) in terms of its bulk and shear moduli, we
finally arrive at
THERMAL STRESS AND VOLUME CHANCE 7
It must be noted that, ever1 though E? possesses the shear components, their influ
ence disappears after the orientational average. The constants p , , p2, p,, p:;',
p depend on the elastic moduli and the S tensor; they are listed in the
p:;', and ; '$
Appendix. Furthermore, p, = 1 + cIp:" + c2pi2'.These relations furnish the required
information for Fkkin (12).
The average stress of the matrix, which has only the hydrostatic component, can
be subsequently evaluated from Eq. (10) as
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where the additional coefficients g,,, g2,, and g3, are also listed in the Appendix.
If L,(T) = Lo(T), then E*"' = 0; evaluation of the orientational average in Eqs.
(10) and (12) could proceed by taking E*'" = 0 at the outset. One may also use
these established results by taking
as K, = K~ and F, = FO.
Of considerable interest are the simplified results of a twophase system (c, = O),
which corresponds to the ini~:ialcondition at A (without any fenite) in Fig. la. Equa
tions (15) and (12), (13) then become
with p, = py'. More explicit results can be found when the inclusions possess the
following three types of shapes.
8 H. H . PAN A N D G . J . WENG
Sphere: a = 1
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Needles: a + m
If the randomly oriented inclusions are of the needle shape, we have
and
where p,, p l l , p,,, p,, correspond to pi1),pl:', p:\), p::', respectively, in Eq. (13)
Disks: a 6 1
Especially pertinent to the ferrous system is the disk shape of the martensitic plates,
with the aspect ratio of much less than one, but not equal to zero. Again with c, =
0, the pertinent coefficients in Eqs. (15) and (13) take the following forms:
THERMAL STRESS AND VOLUME CHANGE 9
where
11 = 8 1 % k ( ~ 1 I(O)(CLI  C L O ) ( ~ ~ ) ~ %(PI
f  k ) [ 4 k ( k + 3%)
where
12 =  2 7 c o % k ( ~ 1  KO)(PI  P o ) ( ~ a )+
~ P PI  ~ ) [ ~ K I K O ( ~fK 7O k )  4 k
In the limiting case of a thin flake, a * 0, the results carry the simple values
The formulae derived in Section 2 also deliver a side product: the effective thermal
expansion coefficient of a twophase composite containing randomly oriented sphe
roidal inclusions. By assuming phase transformation not to occur (c, = 0 and E~~ =
O), and reassigning the original phase 2 (austenite) as phase 1, the effective strain
of the composite during the cooling process reduces to
H . H . PAN AND G . J . WENG
from Eqs. (12) and (14), where p2 is the original pi2' term in Eq. (14). In terms of
the effective coefficient of thermal expansion a, this translates into
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The p2/plcomponent in Eq. (30) depends strongly on the shape of inclusions, and
therefore so does the effective thermal expansion coefficient a of the composite. We
may recall from Tandon and Weng [9] that the effective elastic moduli of a two
phase isotropic composite also depends strongly on the shape of inclusion, and for
the effective bulk modulus K , it is given by
between a and K . This connection coincides with Rosen and Hashin's [ l o ] exact
connection between the two, indicating the selfconsistency of the MoriTanaka the
ory for this class of composite. Thus, if K is derived from Tandon and Weng's
formula (31), the effective coefficient a follows from Eq. (32), and vice versa. Takao
I I I I also used Mori and Tanaka's method to calculate the effective thermal expansion
of a composite with randomly oriented spheroidal inclusions, but its precise con
nection with K apparently was not realized. Such a connection has also been estab
lishcd by Benveniste and Dvorak 1 121 with aligned inclusions, the effective thermal
expansion in this case being first derived by Takao and Taya [13].
The theory developed in Sections 2 and 3 will now be applied to estimate the thermal
, stress in the matrix and overall volume change of the two and threephase systems
during a cooling process involving phase transformation. T o this end we choose the
ironcarbon system as an example, and refer to Fig. la as the phase diagram.
We shall first consider a twophase system. The initial temperature at point A
is taken as 100O0C, and the system is cooled down rapidly to room temperature 25°C.
To see the influence of carbon content, we here consider two cases: one at 0.1 wt%,
and the other at 0.4 wt%. The elastic moduli and thermal expansion coefficients of
both phases are 1141
THERMAL STRESS AND VOLUME CHANGE 11
,,  0.0323
ph with 0. I wt% carbon (34)
assuming the martensite to possess the lath and the twin structure, respectively. Such
a distinction is made as various morphological studies on martensite 115, 161 have
disclosed the lath structure at low carbon content and the twinned structure at a higher
one.
The M , temperature generally decreases with increasing carbon and other alloy
ing contents. A useful relacion has been provided by Andrews 1171:
in "C and wt% of the alloy content. Based on this formula and considering the plain
carbon steels, the martensi1:e start temperatures are 497°C and 370°C, respectively,
at these two carbon contents. The martensite finish temperature M, is usually not
definitive, as the manensitic transformation becomes more and more difficult when
the total amount of remaining austenite is small. This in many cases results in re
tained austenite even at room temperature. The rate of transformation is faster when
the temperature just passes below M,; following Koistinen and Marburger's [5] study,
the volume fraction of martensite after T has fallen below M , can be represented by
where the rate constant b for most plain carbon steels was found to be 0.01 l/"C.
This is taken in our calculations.
With 0.1 wt% carbon, the average hydrostatic stress, ui!'/3, developed in the
austenite matrix during the cooling process is shown by the three curves of Fig. 3a,
when the randomly oriented martensite inclusions take the three selected shapes. The
needle shape is not included here, as at this carbon content such a shape is not
commonly found. Furthemlore, the invariant plane would not be perpendicular to
the local axis I , which is required to give rise to Eq. (34) or (35) for E $ ~ .At a higher
carbon content, say, above 1 wt%, Marder and Krauss [I51 have found the needle
12 H . H. PAN A N D G.J . WENG
0.1 w t % carbon
\.
\ 0.1
\
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e,, . 7.6
0.1 wl YO c:tl.bo~l
shaped martensite, the socalled acicular structure. As austenite cools down from
1000°C to 497'C before phase transformation starts, no thermal stress develops in
the matrix. When the temperature further decreases from M , (moving from the right
to the left along the abscissa), tensile thermal stress rapidly develops in the austenite
matrix. The tensile nature of the hydrostatic stress is apparently due to the volume
expansion of the inclusion associated with phase transformation, by which a com
pressive stress is induced in itself. This figure indicates that, when the martensite
takes the form of spheres, thermal stress develops more rapidly, and with disks, its
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Such a distribution remains unchanged until the temperature reaches M,, after which
the austenite evolves as
with c, remaining constant. At 750°C, the carbon content is 0.5625 wt% in austenite
and 0.0171 1 wt% in ferrite, regardless whether the total carbon content is 0.1 wt%
or 0.4 wt%. This gives rise lo a M , temperature of 301°C in both cases for the plain
carbon steels. At this carbon content in austenite, the e.Pt is calculated based on the
twinned structure, and this gives E';: = 0.0455. At room temperature the bulk and
shear moduli of ferrite are K, = 171.6 GPa, po = 76.5 GPa, and its thermal ex
14 H. H. PAN AND G . J . WENG
2phase
0.4 w t % carbon
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These general features are also observed in Fig. 6 with the carbon content of
0 . 4 wt%. The difference between the 0. I wt% and 0.4 wt% in the threephase case
is quite significant, even though both possess the same E P , ~ .This is due to the sig
nificantly different initial volume fractions of austenite. Though in the twophase
case the higher carbon content also leads to a higher thermal stress, it is not as
dramatic as it is here (even with different E $ ~values). This comparison shows that,
when quenched down from the A and B regibns, some fundamental differences such
as this may be expected.
While the morphology of martensite tends to display the lath structure at low
carbon content and the twinned structure at a higher one, it is possible that both
types of microstructure can coexist over a wide range of carbon content. The theory
developed here also allows us to predict how the fraction of twinned martensite may
increase (or the lath martensite may decrease) with increasing carbon content.
To this end, we note that various experiments have been carried out to measure
the volume change by a dilatometer during phase transformation. In particular, Moyer
and Ansell [I81 have measured such volume change for an Armco steel (a twophase
metal, or point A case) at five different carbon contents: 0.19, 0.38, 0.60, 0.80, and
1 .O1 wt%. The specimens were quenched down from 982°C to room temperature,
and the data were given as the ratio of specific volume change to the specific volume
of austenite at room temperature. Such measured data are equivalent to removing
the thermal contraction term of pure austenite matrix, and are exactly equal to the
second term in Eq. (18):
At these five carbon contents and the contained alloying elements, they also reported
that the corresponding M, temperature are 479"C, 412"C, 334"C, 264"C, and 202"C,
with the retained austenite 0, 0.9%, 1.7%, 2.8%, 4.0%, respectively at room tem
perature. The thermal exparision coefficient of austenite a, was found to be nearly
constant with temperature a, = 23 X ~o~/"c. The a,for martensite was found to
increase with increasing temperature and decreasing carbon content. By extrapolating
the data given in their Table V from 25°C to M,, the average values of a at these
five wt% of carbon are found to be approximately 15.13 X IO~/"C, 14.50 X low6/
"C, 13.34 x IO~/"C, 12.80 X IO~/"C, and 12.26 X IO~/"C, respectively; these
average values are taken here to calculate the thermal strains of martensite from M,
to 25°C.
The experimentally measured volume changes at these five carbon contents are
16 H . H . PAN AND G. J . WENG
d:/3 , h4Pa
500
3phase
400  0.1 w t L70 carbon
\.
\.
300  \aI
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\.
200 
\.
1.
\.
100
1.
0
 ........_._..._.__.
.i00
i hfs=301°~
200,
0 200 400 600 800
(8) T.'C
ent, %
3pliasc
0.1 WI % carb011
2.0
d:/3. MPa
2WO ~
\. 3phase
0.4 WI % carbon
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IWO

En;. Q
1 .o
\/
3plinsc
0 . 4 wl % carbon
.?.O
j
j Mrs301 OC
Fig. 6 (a) Average thermal stress in the
.3.0,
0 21NJ
I/ ,
4M (AN XIXI
ferrite matrix; (b) volume change of the
threephase system, from 750°C to room
temperature with a twinned martensite
(b) 'I" "' structure at 0.4 wt% carbon.
18 H . H. PAN A N D G . J . WENG
shown by the filled circles in Fig. 7. The volume change tends to increase with
increasing carbon content, but generally lies around 3.5%. We first took all mar
tensite inclusions to possess the lath structures, and this results in 0.0199, 0.021 l ,
0.0224, 0.0235, 0.0246, respectively, for E';: at these five carbon contents (E;: =
E ~ ,,
h 0). The independently calculated volume changes by the developed theory are
given by the bottom five triangular points, with a result lying around 3% (regardless
of inclusion shapes). We then took all martensitic inclusions to possess the twinned
structure, and this gives rise to 0.0340, 0.0346, 0.0353, 0.0359, 0.0364, respec
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tively, for E:':. The calculated volume changes are given by the five top octagonal
points, with a value lying between 4 and 4.5%. The underestimate of volume change
from the assun~ptionof all lath martensite and the overestimate associated with all
twinned martensite made it clear that the microstructure of martensite in this steel
could possess a mixture of twinned and lath morphology. It was found that, at 0.19
wt% carbon, the theory would give rise to the experimental value of 3.37% if we
assume the martensite inclusions to possess 21.6% of twinned structures and 79.4%
of lath structures, whereas at 1.01 wt% carbon, the theory would yield the desired
volun~echange of 3.73% for the system if the twinned portion of martensite is 72%
and the lath portion is 28%. (This is strictly a threephase problem, but since the
twinned martensite and lath martensite are taken to possess the same elastic moduli
and thermal expansion coefficient, it could be treated as a twophase problem where
D..... All I w i ~ l n c J
.......
'0
..f3....
?. I
0.0

Carlwn c o ~ t l c n l( w l %)
 1
Fig. 7 Comparison between experiment and
theory for the total volume change of a two
a linearly increasing
twinned martensite structure with carbon con
tent.
THERMAL STRESS A N D VOLUME CHANGE 19
the E $ ~of the inclusion is given by the proportional mixture of the two.) The increase
of twinned structure with increasing carbon content is then apparent, and this is
consistent with known martensitic morphology [IS, 161. By assuming a linear in
crease of twinned structure as a function of carbon content, we then calculated the
volume change of the system at the three intermediate carbon contents (0.38 wt%,
0.60 wt%, 0.80 wt%). The results are shown by the three open diamondshaped
points (one barely visible). These three points are seen to agree closely with the
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three experimental data. This calculation suggests that a linear increase of twinned
structure with carbon content could be a reasonable expectation of the martensite
structures here.
APPENDIXES
b(!"  (') S
I  all(  1 ) + o:;)S1122+ a:;)S1133,
by' = [(a:: + a l ' : ) ( ~ ~1 ~) +~ (a:;' + (a:;' + a : ; ' ) ~ ~ ~ ~ , 1 / 2
~ + a:;')S1122
Calculation of from
E $ ~ :Lattice Constants
According to Khachaturyan's [I91 theory, the phasetransformation strain E:* can be
calculated from the lattice parameters of the parent and transformed phases. These
parameters are dependent on the carbon content in the ironcarbon system. The the
ory is briefly outlined here for twinned and lath martensites, by taken the martensite
to be of the platelet shape.
Twinned martensite. The vector n normal to the habit plane as measured in the
crystal lattice of the parent phase and the shear E J are determined by
where u,, are the lattice constants of the facecenteredcubic austenite, and a , anc
c,,,are those of the tetmgonal martensite. The eigenvectors el and e, are calculatec
from
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e, = (0.0, I)
where
where
The lattice constants depend on the wt% carbon content x, and are given by [18
THERMAL STRESS AND VOLUME CHANGE 23
The a, value corresponds to that of the retained austenite. These values have been
used to calculate the E:~ fix both lath and twinned martensites in Figs. 3 through 6.
The a, value in Fig. 7 ha:; been taken as
in Armco steel is quite similar to that of the equilibrium austenite, given above.
REFERENCES