Proceedings of the 2019 IEEE 23rd International Conference on Computer Supported Cooperative Work in Design
Numerical Analysis on 5esidual 6tress )ield of
Brake Discs by Ultrasonic Shot Peening
Shanjin Niu, Chong Su
School of Mechanical Engineering
Dalian Jiao tong University
Dalian, P.R. China
nsj_1993@163.com, chn_s@126.com
Abstract—In order to improve the lifetime of high-speed
train brake disc, the ultrasonic shot peening can be used to
strengthen surface made of cast steel. According to the principle
of ultrasonic shot peening equipment, biased structure FEM
models for single pellet and multiple pellets are established based
on Johnson-Cook equation. Explicit dynamic analysis of ANSYS /
LS-DYNA is used to study effects on the residual stress of brake
disc under shot peening of different parameters. The FEM
analysis shows that the higher density material, the larger
diameter and the higher velocity of projectile can produce the
deeper total compressive stress layer under the condition of single
projectile. Under the condition of multiple projectiles, its average
of residual compressive stress impact is larger than that single
projectile. the maximum tensile stress decreases with the increase
of surface coverage, which improves the surface quality of the
brake disc. The maximum residual stress can be increased by
increasing the overlap ratio of projectiles. The maximum residual
stress increases slowly and finally tends to be constant after
repeated striking for certain times. Above results shows the
strengthening of materials after ultrasonic peening. The FEM
results about shot peening parameters can provide a reasonable
basis for actual tests of ultrasonic shot peening equipment in the
future, so that better ultrasonic peening effects of the surface of
train brake disc can be achieved.
Keywords—brake disc; Ultrasonic shot peening; Residual stress;
high speed train; ANSYS/LS-DYNA
I. INTRODUCTION
The failure of most engineering materials (fatigue, corrosion
and wear, etc.) begins on material surfaces, Therefore, it is an
effective to improve mechanical properties of engineering
materials by changing the surface state of the engineering
materials [1]. High-speed train brake disc is a key component of
brake system. When trains apply brake forces a large amount of
kinetic energy is converted into thermal energy. Severe high
temperature friction and a large amount of heat transfer directly
causes brake disc wear and thermal fatigue damage. Because of
the above reasons, it is necessary to improve the wear resistance
and stability of brake discs. Ultrasonic shot peening is a kind of
deformation process when the projectile impacts repeatedly the
surface of metal parts, and high macroscopic residual
compressive stress are formed [2]. Research results show that
ultrasonic shot peening can improve the fatigue strength and
978-1-7281-0350-1/19/$31.00 ©2019 IEEE
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Xiaozhen Mi
School of Locomotive & Rolling Stock Engineering
Dalian Jiao tong University
Dalian, P.R. China
mxz@djtu.edu.cn
wear resistance of parts, and significantly improve service life.
Therefore, ultrasonic shot peening process has been widely used
in industry [3].
In fact, the research on friction, wear and working stability
of brake discs of railway vehicles has always been an important
direction for domestic and foreign scholars to explore. The
LAMIH Laboratory of France has studied a brake disc of
cermets coating based on plasma spraying technology [4].
Based on the bionic design idea of bio-coupling, Chang fang
has been used to fabricate zirconia and alumina ceramic
coatings on the surface of vermicular graphite cast iron brake
discs by laser cladding [5]. As a surface strengthening process,
ultrasonic shot peening has the characteristics of fast, efficient,
green and pollution-free, so it has been widely used. The choice
of ultrasonic shot peening strengthening parameters depends on
experiment or experiences. Using finite element method to
simulate the ultrasonic shot peening strengthening process can
shorten the period of ultrasonic shot peening test and speed up
the parameter’s determination of ultrasonic shot peening
strengthening. Therefore, it is necessary to carry out numerical
simulation of ultrasonic shot peening strengthening. Hassani
calculated theoretically the mechanism of shot peening by
single shot peening model and deduced the relationship between
the depth of plastic deformation layer, residual stress
distribution and shot peening parameters [6]. Meguid
established a three-dimensional finite element model of single
and two rigid body projectiles [7]. G. H. Majzoobi used
Johnson-Cook constitutive equation to simulate the impact
process of a single projectile with LS-DYNA [8]. The
experimental results are used to verify the feasibility of LS-
DYNA numerical simulation. Yan Linlin established a
theoretical model of the pit depth and residual stress distribution
during pin impact processes, and used ABAQUS to simulate the
impact process with different diameter, velocity and impact pins
number [9]. At present, the research on ultrasonic impact
mainly are focused on improving the mechanical properties and
fatigue resistance of welded joints [10]. However, it is seldom
reported that different parameters of ultrasonic shot peening are
used to improve the wear resistance of train brake discs.
In this paper, ANSYS/LS-Dyna software is used to simulate
the dynamic process of ultrasonic impact brake disc. The effects
of different ultrasonic shot peening parameters (material type,
projectile diameter, projectile velocity, coverage, overlap rate,
impact times) on the relationship between residual stress field of
200
and the depth of residual stress layer are studied. Results will Table 1. Basic Mechanical Properties of Materials
provide a database for optimizing the actual process path, and
Part Name Material Density Elastic Poisson
develop intelligent ultrasonic shot peening equipment with (g/cm3) modulus (GPa) P)
ratio(P
Computer Supported Cooperative Work in Design, and achieve
Brake disc 15CDV4.10 7.83 200 0.3
the function of timely feedback of on-line measurement system
and the ultrasonic shot peening control system. Steel ball YG25 13.2 206 0.3
Ceramic
II. FINITE ELEMENT MODEL OF SHOT PEENING Ceramic 3.8 350 0.26
ball
A. Finite element model description of shot peening C. Constitutive equation of material
The process of ultrasonic strengthening is very complex. In the process of ultrasonic shot peening, the elastic and
With the increase of shot peening time, not only the coverage plastic deformation of the workpiece material occurs due to the
increases, but also the surface of the sample will be repeatedly high velocity and strain rate of the projectile. A reasonable
impacted. Therefore, it is more accurate to combine the finite constitutive model should be selected to describe the
element models of single projectile and multiple projectiles to mechanical properties of the workpiece. The Johnson cook
describe the changes of residual stress and material properties in viscoplastic constitutive model is adopted to deal with the high
actual ultrasonic peening [11]. Figure 1 is a biased structure strain rate, work hardening and temperature effect of metal
finite element model of 12 projectiles built by Hyper Mesh. The materials. The relationship between yield stress V and
workpiece model size is 1 * 1 * 1mm.The Lagrange mesh and equivalent plastic strain in the model is as follows:
8-node solid element solid164 were selected when the mesh of
the workpiece and projectile was divided. The top view of the ª m
º
plane position of 12 projectiles is shown in Figure 2. V A  BH ˜ 1  C In H ˜ «1  §¨¨ TT TT
n
0
·
¸¸ »
«¬ © 0 ¹ »¼
Considering the symmetry of the projectiles and the calculation
m
 (1)
efficiency, one quarter of the four projectiles are close to each A is the initial yield stress under surrounded temperature T0.
other in the first layer, and the distance between the center of B is strain hardening parameter. C is a strain rate sensitive
the projectile is D (D is the diameter of the projectile). The coefficient. Hn is equivalent plastic strain. H* is the initial strain
following three layers deviate from the first group of projectiles rate. T is the working temperature. Tm is the melting
in the X-Z plane by 0.5 overlap rate. The first four layers mainly temperature of materials. T0 is the reference temperature. n is
reduce the area of blind spot to ensure that the projectile does
not repeatedly impact at the same position, and the whole area strain hardening exponent. m is the thermal softening
of the ejected area is covered. The last four layers of projectiles coefficient. In the paper, the material and its corresponding
are superimposed to simulate four repeated impacts at the same Johnson-Cook model parameters are as follows: A = 790 MPa,
position of the actual shot peening, and to simulate the impact B = 510 MPa, C = 0.014, n = 0.26, m = 1.03.
of the actual shot peening process on the workpiece under high In order to apply Johnson-cook constitutive equation in LS-
coverage. Using the above-mentioned modeling structure and DYNA, the corresponding equation of state (EOS) is necessary
method, it is convenient to simulate various working conditions to represent the relationship between pressure and density. The
that change the relevant parameters, and it also reflects the Gruneisen equation of state is used in the paper which is an
continuous effect of projectiles on the workpiece as time goes adiabatic entropy equation of state. The formula is as follows:
on. Therefore, it has certain practical significance and feasibility
to approximate the prediction of residual stress field with the ª § J0 · D 2º
U 0 c 2 P «1  ¨1  ¸P  P »
¬ © 2¹ 2 ¼
change of relevant parameters by the biased structure model. P 2
 J 0  DP E
ª P2 P3 º
«1  S1  1P  S 2 S3 2»
Fig. 1 Finite element model Fig. 2 Top view of 12 projectiles
B. Mechanical properties of materials
The brake disc is made of cast steel ˄15CDV4.10˅and
three types of projectiles are YG25 steel and ceramic. Because
hardness and strength of projectiles are much greater than the
workpiece, the projectiles can regard as rigid body. Table 1
shows the basic material properties.
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¬ P  1 P  1 ¼  (2)
஡
P stands for pressure (GPa). ߤ ൌ െ ͳ (U is the current
஡బ
density). U0 represents initial density(g/cm3). C stands for sound
speed(cm/μs). J refers to the Gruneisen parameter of material. D
is the first order correction for J and μ. E stands for elastic
modulus (GPa). S1, S2, S3 stands for curve fitting parameters.
The relevant parameters are as follows: D=0.46, c=0.45, J=0,
S1=1.49, S2=0, S3=0.
D. Boundary conditions and contact conditions
In fact, the workpiece is fixed on the worktable and the
projectile moves in a certain direction along the straight line in
ultrasonic peening. Therefore, the full degree of freedom
constraint is applied to the bottom of workpiece model during
the simulation of ultrasonic peening. Four sides and bottom
surfaces are defined to avoid stress wave reflection on the
boundary by the keyword *BOUNDARY_NONREFLECTING in
LS-DYNA. The rotation freedom and X, Z direction of the
projectiles are constrained. The projectiles can only move in a
straight line in the Y direction. The keyword
*CONTROL_HOURGLASS in LS-DYNA is defined and the
mesh of the contact face is refining to limit the extension of the
hourglass pattern. The contact algorithm between the workpiece
and projectiles are defined by the keyword *CONTACT_
ATUOMATIC_SURFACE_TO_SURFACE in LS-DYNA. The
workpiece unit nodes are defined as the slave node and the
projectiles nodes are defined the main node.
III. SIMULATION RESULTS AND ANALYSIS
A. Influences of shot materials on depth distribution of residual
stress
The shot peening strengthening effect of YG25 tungsten
steel ball and ceramic ball on the brake disc are simulated
increases from 0.06 mm to 0.15 mm. As the kinetic energy
increases with the diameter, the stress wave propagates deeper
along the incident direction. Surface residual compressive stress
decreases with the increase of projectile size, and its value
decreases from - 122 MPa to - 22 MPa. Cracks will germinate
prematurely from discontinuity and stress concentration of
materials. This is detrimental to the fatigue life of the workpiece.
Although the residual compressive stress of 0.4mm and0.6mm
projectiles are higher, their value decreases rapidly with the
increase of depth. In the actual large diameter shot peening
process, the roughness of the workpiece surface will increase
accordingly. Therefore, a smaller diameter (0.8mm) projectile is
used for subsequent calculation.
200

Residual stress/MPa
respectively under the condition of single shot with injection 100
velocity of 15 m/s and diameter of 0.8mm. Because the 0
hardness of glass ball is much lower than that of workpiece and 0 0.03 0.06 0.09 0.12 0.15 0.18 0.21 0.24 0.27 0.3
-100
it is easy to break. Therefore, this paper does not simulate any
more. The stress depth curve is shown in Figure 3. -200 Depth/mm
-300 D=0.4mm
-400 D=0.6mm
200 D=0.8mm
Residual stress/Ma

-500
100 D=1.0mm
Fig.4 Influence of diameter on depth distribution of residual stress
0
0 0.03 0.06 0.09 0.12 0.15 0.18 0.21 0.24 0.27 0.3 (V=10m/s)
-100
-200 Depth/mm C. Influence of shot speed on depth distribution of residual
-300 stress
Ceramic ball
-400 Under the condition of single tungsten projectile with a
diameter of D=0.8mm, the shot peening effect of different
-500 YG25 steel ball
projectile velocities (V=5m/s, 10m/s, 15m/s) on the material
Fig.3 Influence of materials on depth distribution of residual stress model of brake disc was simulated. The stress layer depth curve
(V=15m/s, D=0.8mm)
is shown in Figure 5.
200
The simulation result shows that the maximum residual
100
compressive stress obtained from tungsten steel pellets is the
Residual stress/MPa

largest, up to -436MPa. The depth of overall compressive 0

strength for tungsten steel balls is greater than that of ceramic -100
0 0.03 0.06 0.09 0.12 0.15 0.18 0.21 0.24 0.27 0.3
projectile, up to 0.16mm, because the density of tungsten steel Depth/mm
balls is almost four times that of ceramic balls. At the same -200
speed, the kinetic energy of tungsten steel shot is greater, so -300
V=05m/s
more energy is released to impact on the surface of material in V=10m/s
the process of ultrasonic shot peening, which affects the -400
material plastic deformation greater and deeper inside of V=15m/s
-500
material. Therefore, tungsten steel pellets should be
preferentially selected in the process of ultrasonic shot peening Fig.5 Influence of shot speed on depth distribution of residual stress
of actual brake disc treatment. (D=0.8mm)

B. Influences of shot diameter on depth distribution of residual
stress
The shot peening effect of different diameters (D=0.4mm,
0.6mm, 0.8mm,1.0mm) on the brake disc is simulated under a
tungsten projectile velocity of 10m/s. The stress layer depth
curve is shown in Figure 4.
The simulation results show that the diameter of projectile
increases from 0.4 mm to 1.0 mm, the maximum residual
compressive stress fluctuates between -387.4 MPa and -350
MPa, and the depth of residual compressive stress layer
As shown in Figure 5, the stress distribution curves
produced by different shot peening impact velocities are very
similar. With the increase of velocities, the curves in the figure
move downward to the right, which reflect the maximum
residual compressive stress and the depth of plastic zone
increase gradually. The maximum depths formed by projectiles
impacting the surface of workpiece are 0.02mm, 0.05mm and
0.08mm respectively under three working conditions. It can be
seen that the greater the velocity, the greater the pits depth. The
depth of the pit reflects the appearance of the workpiece surface.

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The surface roughness of the workpiece increases with the pit
depth. Therefore, the actual shot peening should reasonably
control the impact velocity according to the demand.
D. Influences of projectile coverage on residual stress depth
distribution
Under the impact velocity of 10m/s, Using the method of
multi-layer projectiles, four groups of working conditions with
different number of projectiles (4, 6, 8, 9) are set to simulate the
impact influences under different coverage rates.
(a) (b)
(c) (d)
Fig.6 Distribution of residual stress under different coverage
(stress unit: 105MPa),
projectiles: (a)4, (b) 6,(c) 8,(d) 9
Figure 6 shows that the coverage increases with the increase
of projectile layers, and the high stress areas gradually converge,
but the tensile stress areas are still located at the edge of the
crater in the impact area. Although not eliminate the high tensile
stress area (red), but the surface of the maximum tensile stress
value is gradually reduced. It improves the stress corrosion
resistance of materials. Residual compressive stress (blue)
increases slowly with the increase of coverage, and its value
fluctuates around -383 MPa. However, the value of residual
compressive stress under multi-projectile impact is larger than
that under single projectile impact. The reason is that when
multiple projectiles impact the surface of steel plate at the same
time, the shock waves carried by each projectile overlap each
other, which enhances the shot peening effect in the impact
zone.
E. Influences of lap ratio on depth distribution of residual
stress
The influence of overlap area on residual stress can reflect
the effect of coverage. The ratio of pellet overlap area to pellet
diameter is called overlap ratio. The definition formula of
overlap rate [=L/D. Figure 7 shows the schematic diagram of
overlap. L is the length of the intersection of two projectiles, and
D is the diameter of the projectile. When the overlap ratio is
equal to 0, there is no overlap area between two pellets. When
the overlap ratio is greater than 1/2, the crater overlaps. When
the lap ratio is equal to 1, the pellets are completely overlapped
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and hit repeatedly on the surface of the workpiece. Coverage
increases as the overlap ratio increases.
Fig. 7 Schematic diagram of overlap
The shot peening strengthening effects of different overlap
ratios ([= 0, 0.5, 1) on the brake disc material model were
simulated under two projectiles with D=0.8mm in diameter and
10 m/s in velocity. The stress layer depth curve is shown in
Figure 8.
200
100
Residual stress/MPa 0
-100 0 0.03 0.06 0.09 0.12 0.15 0.18 0.21 0.24 0.27 0.3
-200 Depth/mm
-300
ζ=0
-400
ζ=0.5
-500
-600 ζ=1
Fig.8 Influence of lap ratio on depth distribution of residual stress
(V=10m/s, D=0.8mm)
The results of numerical simulation show that the maximum
residual stress produced by lap ratio under three different
working conditions is - 358.2 MPa, - 401. 7MPa, - 516.9 MPa.
The maximum residual stress increases with the increase of lap
ratio and the total depth of residual compressive stress occurs in
the subsurface layer with a depth of 0.13mm. In conclusion,
larger lap ratio can not only form more uniform residual stress
field on the workpiece surface, but also form higher residual
compressive stress on the sub-surface.
F. Influences of repeat shot times on depth distribution of
residual stress
In order to simulate the higher coverage, four groups of
working conditions were established with 1, 2, 3, 4 projectiles
repeatedly striking at the same position on the surface of the
workpiece. Figure 9 shows that the distribution of residual stress
components X and Z is approximately symmetrical. The
residual compressive stress is located in the lower surface layer
of the workpiece, while the residual tensile stress is located
outside the workpiece pit. Because the stress field in any
material needs to be balanced, the residual tensile stress around
the material is used to balance the residual compressive stress
introduced by the plastic deformation of the parts caused by
shot peening. Repeated impact can effectively reduce the
residual tensile stress and increase the residual stress gradient.

(a)
(c)
Fig.9 Residual stress in cross sections with different impact times
(stress unit: 105MPa),
(a)1 times (b) 2 times(c) 3 times (d)4 times
The effect of residual stress impact times on the distribution
of residual compressive stress along the depth direction is
shown in Figure 10.
200
100
Residual stress/MPa
0 combination of tungsten steel projectiles (10m/s-0.8mm-0.5 lap
-100 0 0.03 0.06 0.09 0.12 0.15 0.18 0.21 0.24 0.27 0.3
-200
-300
-400
-500
-600
Fig.10 Influence of repeat times on depth distribution of residual stress
(V=10m/s D=0.8mm)
As shown in Figure 10, the surface residual compressive
stress, the maximum residual compressive stress and the layer
depth increase with the increase of impact times. After the
fourth impact, the maximum depth increases slightly along the
depth direction and maintains stabile. This indicates that higher
coverage rate of Shot Peening in practice can effectively
enhance the reinforcement effect.
G. Result verification
Verify the results from the following two aspects. Firstly,
the simulated residual stress field is basically consistent with the
typical experimental shot peening residual stress distribution.
The surface layer is a region of residual compressive stress,
which increases with depth. After reaching the maximum
residual compressive stress, it gradually decreases to zero. Then
it enters the residual tension stress zone, and the residual tension
stress increases first and then decreases, and finally it
approaches zero. Secondly, the strengthening layer is formed on
the surface of the material after shot peening, which is
obviously very thin compared with the thickness of the whole
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part. Its depth depends on the performance of the shot peening
device and the shot peening parameters, about 0.07-0.5mm [9].
In this paper, the depth of strengthening layer is within a
reasonable range, which proves the validity of the simulation.
IV. CONCLUSION
A FEM model with 7 layers and 12 projectiles of ultrasonic
(b)
shot peening for high speed train brake disc was established by
ANSYS/LS-DYNA. Different parameters have significant
effects on the residual stress field. Conclusions are as follows˖
1. The higher density projectiles can increase the residual
compressive stress and its depth.
2. The projectile diameter is proportional to the depth of
residual compressive stress layer, but it has little effect on the
maximum residual compressive stress.
(d)
3. The projectile velocity can enhance the strengthening
effect, but cause the deeper pit and rougher surface so that
should be controlled.
4. Increasing the projectile coverage can decrease the
tensile stress. The average residual compressive stress of multi-
projectile impact is larger than that of single projectile.
5. Increasing the lap ratio of projectiles can increase the
distribution uniformity of the residual compressive stress layer.
6. Repeat hitting can enhance the strengthening effect,
but will be stable after certain times.
To sum up, the simulation results can provide a reasonable
basis for the process parameter tests. For example, under the
ratio-4 repeated impact), ultrasonic shot peening strengthening
Depth/mm train brake disc can achieve better strengthening effect.
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