AITC-AIT 2006

International Conference on Tribology

20-22 September 2006, Parma, Italy

THE EFFECT OF SHOT PEENING ON SURFACE INTEGRITY

AND TRIBOLOGICAL BEHAVIOUR OF TOOL STEELS
N.M.VAXEVANIDIS1 , D.E.MANOLAKOS2, A.KOUTSOMICHALIS1, G.PETROPOULOS3,
A.PANAGOTAS2, I. SIDERIS4, A.MOURLAS5, S.S.ANTONIOU5
1
Hellenic Air-Force Academy, Fac. of Aerospace Studies, GR 19005, Greece
2
Nat. Technical Univ. Athens, Manufacturing Technology Division, Athens, GR 15780, Greece
3
Univ. Thessaly, Mechanical and Industrial Engineering Dept., Pedion Areos, Volos, Greece
4
Uddeholm Greece s.a., 20 Athinon Ave., Piraeus, GR 18540, Greece
5
Laboratory of ICE and Tribology, Techn. Educ. Inst. of Piraeus, Egaleo, GR 12244, Greece
1
vaxev@central.ntua.gr, 2manolako@central.ntua.gr, 3
gpetrop@mie.uth.gr,
4
sideris@uddeholm.gr, 5ssa@hol.gr

ABSTRACT
In the present paper we report on the effect of shot peening on the surface integrity and the
tribological behaviour of tool steels (a premium AISI H13 and a modified AISI P20 grades).
Shot peening of steel discs was performed by using two different shot sizes (S110 and S230)
combined with two different blast pressures (40 psi and 80 psi).
For the evaluation of surface integrity parameters (surface roughness, topography and
microhardness) typical standardized methods were used. For the evaluation of friction and wear
characteristics sliding friction tests were performed on a state-of-the-art pin-on-disc apparatus.
Main findings are summarized as follows: (i) A surface morphology characterized by randomly
overlapping craters with dimensions increasing with the increase of shot size and/or pressure
was identified in all cases. (ii) A thin work-hardened zone was developed on all specimens; the
extent of this zone and the position of peak microharness value depends upon the peening
parameters. (iii) It was verified that, in general, shot peening exerts a beneficial effect on
tribological behaviour reducing wear and friction coefficient.
KEYWORDS Shot peening, AISI tool steels, microhardness, friction and wear characteristics.

1 INTRODUCTION

Shot peening is a cold mechanical surface treatment widely used in the aerospace,
automotive, gas turbine, pump and power industries mainly for improvement of the fatigue
structural integrity of metallic components. Shot peening is accomplished by bombarding the
surface of metallic materials with small spherical shots made of cast high carbon steel, iron,
conditioned cut-wire, glass or ceramic, projected with high impinging velocities. Each shot acts
as a peen-hammer and impact with the exposed surface produces localized stretching of the
surface layer and cold working to a depth of up to 500µm. Upon completion of the process, a
compressive residual stress field is developed on the workpiece that has been found to be highly
effective in preventing premature failure of components subject to cyclic loads [1].
The beneficial effects of shot-peening depend upon the work hardening of the surface layer
and formation of compressive residual stresses, caused by the bombardment of the workpiece
with shot. It has been found that great benefits can be obtained if the intensity of residual
stresses and the extent of work hardening zone are maximized. Evidently, the effectiveness of
the shot-peening process is dependent upon the energy transfer that occurs during the impact of
shots with the target surface and the uniformity of the induced compressive residual stresses. In
practice the process efficiency is evaluated by means of intensity, saturation and coverage [2].
In general, a large number of variables control the efficiency of shot peening. These
parameters can be classified in three groups: shot (size, shape and material), target (material and
prestress conditions) and flow (velocity or air-blast pressure, angle of impingement and stand-
off distance) parameters. Due to this multiplicity of parameters and the stochastic nature of the
process the theoretical analysis is rather difficult. However, some understanding of the
processes can be gained by considering the ideas of contact mechanics [3] and in particular the
available solutions associated with axisymmetric or two-dimensional indentation by a spherical
indenter [4-6].
Published literature on shot peening is quite extensive; review of this topic is beyond the
scope of the present research. However, it should be noted that a great deal of effort has been
devoted either to measurement and/or simulation of residual stresses arising from shot peening;
see for example [7-11] or to the study of the effect of the process on the fatigue behaviour of
peened components; see for example [12]. On the other hand very few studies concern the effect
of shot peening on wear [13] and particularly on sliding wear [14, 15].
In the present paper we report on the effect of shot peening on the surface integrity and the
tribological behaviour of tool steels (a premium AISI H13 and a modified AISI P20 grades).
Shot peening of steel discs was performed by using two differnt shot sizes (S110 and S230)
combined with two different air-blast pressures (40 psi and 80 psi).
For the evaluation of surface integrity parameters (surface roughness, topography and
microhardness) typical standardized methods were used. For the evaluation of friction and wear
characteristics sliding friction tests were performed on a pin-on-disc apparatus.

2 EXPERIMENTAL

2.1 Materials and specimens

The test materials were a modified AISI P20 type tool steel (Impax Supreme) and a premium
AISI H13 (THG 2000) produced by Uddeholm, in the form of round bars (d = 40 mm). The
mechanical properties of the test materials are summarized in Table 1. Impax Supreme is a
premium quality vacuum degassed Cr-Ni-Mo alloyed steel mainly used for injection moulds
and extrusion dies for thermoplastics. THG 2000 is Cr-Mo-V alloyed steel mainly used for
highly stressed drive shafts, rolls in continuous casting machines and conveyor rollers. Discs
with thickness of 15 mm were cut from the bars, face-grinded and were used as test specimens.

Table 1: Mechanical properties.

Material Type Yield stress (N/mm2) UTS (N/mm2) Hardness (HRC)
Impax Supreme AISI P20 900 1020 33
THG 2000 AISI H13 1280 1420 42

2
2.2 Shot peening
Shot peening was performed on an air-blast type PEENAMATIC machine manufactured by
Metal Improvement Co (USA). The required pressure and exposure time were set by means of a
pressure gauge and a timer. Stand-off distance was kept constant at 10 mm. Four different sets
of parameters were applied, namely:
- shot size: S110 (hard cast steel shots) and air-blast presure: 40 psi.
- shot size: S110 (hard cast steel shots) and air-blast presure: 80 psi.
- shot size: S230 (hard cast steel shots) and air-blast presure: 40 psi.
- shot size: S230 (hard cast steel shots) and air-blast presure: 80 psi.
Each set of parameter was applied on three specimens from each material. Note, that the
operational parameters selected are frequently applied to aerospace parts and components. Prior
to shot peening, following standarized procedures and by using type A Almen strips the
saturation curves for all four experimental conditions were constructed; based on these curves
the exposure time was selected 60 sec.
2.3 Surface integrity evaluation
The shot peened specimens before the subsequent tribological testing, were evaluated in
terms of surface integrity [16], by using standard metallographic methods, microhardness
testing and surface profilometry.
The topography of the peened samples were observed under a metallographic microscope
(Leica DMR) whilst microhardness testing was performed on a Shimadzou HVM-200 tester
equipped with a Vickers indenter under a load of 5 Ν; the microhardness values obtained
being the average of five indentations.
Surface roughness was measured with a Rank Taylor-Hobson Surtronic 3+ profilometer
equipped with the Talyprof software. The cut-off length was selected at 0.8 mm whilst 10
measurements were conducted on each specimen.
2.4 Tribological testing
For the evaluation of friction and wear characteristics sliding friction tests were performed
on a state-of-the-art CSEM pin-on-disc apparatus properly modified to accommodate as pins
cutting tool coated inserts (ISO P25-P45, code: Iscar VNMG 12T304-NF/grade IC3028,
coating: TiCN by PVD, approximate hardness: 90 HRA). Two normal load were selected,
namely 1 N and 3 N whilst the linear speed was kept constant at 0.4 m/s. A photograph of the
tribometer used is shown in Figure 1.

Figure 1: A photograph of the tribometer used.

3
 The coefficient of friction (µ), was deduced by the ratio FT /FN, (where FT the frictional force
recorded continuously during the experiment and FN the normal applied load). The wear was
evaluated by measuring with a stylus profilometer (Taylor-Hobson) the track cross-sectional
area and height at ten different points on the wear track. The wear volume was calculated by
multiplying the average track area (calculated by numerical integration) by the circumference of
the slide circle; see also [17].

3 RESULTS AND DISCUSSION

3.1 Surface integrity evaluation

The configuration of the surface of a shot peened specimen clearly reflects the nature of the
process by which it has been created. Such surfaces consist of a large number of randomly
overlapping craters with no specific texture or preferential direction. The mean chordal diameter
of the craters formed due to the impact of the shots increases with increasing shot size and/or
blast pressure. The typical topography of shot peened surfaces is shown in Figures 2(a) and
2(b); the relation of the size of the craters to the peening parameters isevident.

(a) (b)
Figure 2: Topography of shot peened surfaces (material: Impax) with varying peening conditions – (a) S110/40 psi
and (b) S230/80 psi.

The size of the craters is also directly related to the surface roughness measured; average
values are tabulated in Table 2. As it is expected the harder material (THG 2000) exhibits less
rough surface for the same peening conditions; see also [1].

Table 2: Surface roughness of shot peened surfaces.

Material: Impax Supreme (AISI P20) THG 2000 (AISI H13)
Ra (µm) Rt (µm) Ra (µm) Rt (µm)
untreated 0.97 7.87 0.63 6.21
S110/40 1.83 12.18 1.67 12.00
S110/80 3.04 21.05 2.07 15.21
S230/40 1.99 13.01 1.44 10.09
S230/80 3.19 19.15 2.08 12.83
Ra : arithmetic average height; Rt : maximum height of the profile

4
 It should be noted that the characteristics of shot peened surfaces are influenced by the
degree of coverage achieved. According to DIN 4761 (1978) surfaces produced by impact of
hard shots are characterized as “flat-trough-shaped”. Only with the assumption of 100%
coverage such surfaces could be considered as uniform and isotropic; in this case conventional
stylus measurement offers an acceptable average description; see also [18].
Τhe strain hardened depth of a shot peened component is a parameter of crucial importance
to the fatigue resistance of the peened material [1]. After shot peening, increased microhardness
typically is taken as an indication of the extent of the plastically deformed zone [6]. Typical
microhardness profiles for specimens impacted with varying peening conditions are presented in
Figure 3. These profiles can be used for an estimation of the plastic zone extent by considering
the depth below surface where the measured microhardness equals that of the original untreated
material [5]. In general, the depth of the plastic zone increases with the increase of shot size
and/or impact velocity (i.e., blast pressure).
Microhardness profiles obtained from the present series of experiments are characterized by
two discreet patterns indicative of different mechanisms of localized plastic deformation; see
also [5, 7] for details. The first mechanism is the direct plastic elongation of layers very close to
the surface as a consequence of tangential forces due to numerous multiple shot indentations.
This mechanism is comparable to hammering of the surface and results in a peak microhardness
value at, or very near to the impacted surface, see Figure 3(a).
The other microhardness pattern is governed by a kind of dynamic Hertzian pressure
resulting in a maximum microhardness value at some distance below the shot peened surface.
This pattern is predominant when a rather hard material is impacted with high peening intensity,
see Figure 3(b). Note also that similar patterns are observed for the residual stress distributions
due to shot peening, see [5, 7] however, the zone of compressive residual stresses is
systematically greater than the zone of increased microhardness [5].

(a) (b)
Figure 3: Variation of microhardness with depth below surface for various peening conditions – (a) S110/40 psi.,
material Impax and (b) S230/80 psi, material THG 2000.

3.2 Tribological behaviour

The tribological characterization of shot peened specimens included the measurement of
friction coefficient and the calculation of wear volume in relation to the peening conditions and
the normal loads applied. The variation of friction coefficient with sliding distance for selected
peening conditions and normal loads applied is presented in Figure 4.

5
 The variation presented in these plots is typical for most combinations of peening conditions
and loads applied. A running-in stage was identified in all cases examined. It was observed that
the end of running-in period corresponded to a sliding distance of approximately 50-60 m under
the load of 1N and 25-30 m under the load of 3 N, uncorrelated to the peening conditions.
During this period the value of the friction coefficients increased due to high adhesive micro-
contacts between the mating surfaces of the tribocouples, see also [17]. Starting from these
“break-in” values and through an intermediate oscillating stage, with an up-ward trend, friction
coefficient approaches an almost constant value. Up-ward trend is attributed to the increase of
the real contact surface, due to the progressive development of the wear processes; see similar
observations in [15].

Figure 4: Variation of friction coefficient with sliding distance for various peening conditions and normal loads
applied.

Mean values of friction coefficient (µ) are summarized in Table 3. Based on these values it is
evident that friction coefficient increases, in all but one cases, with the increase of the applied
load. Higher mean values were determined in general for the harder material, i.e., THG 2000.
Note that normal load or the contact stress is the first, most obvious and easily monitored
parameter that can affect wear. Moreover, the magnitude of the normal load or the contact stress
is important since it increases both the area of contact and the depth below the surface at which
the maximum shear stress occurs as well as the elastic or plastic deformation states; see also [3,
14, 17].

Table 3: Mean values of friction coefficient for all normal loads and peening conditions.
Material: Impax Supreme (AISI P20) THG 2000 (AISI H13)
Normal load: 1N 3N 1N 3N
untreated 0.64 0.65 0.66 0.85
S110/40 0.55 0.64 0.70 0.69
S110/80 0.63 0.70 0.59 0.69
S230/40 0.63 0.67 0.57 0.90
S230/80 0.64 0.68 0.62 0.71

The evolution of the wear volume of the shot peened specimens with sliding distance is
presented in Figure 5 for all tribological tests performed. The favorite effect of shot peening on
sliding wear is clearly demonstrated; for all four combinations of materials and testing loads,
peened specimens exhibit less wear that the untreated (unpeened) ones. For the untreated
materials wear volumes for THG 2000 are systematically lower that than those of Impax,

6
probably due to the difference in hardness, see Table 1. As far as the peened specimens are
concerned a simple direct relation between peening conditions and wear cannot be suggested.
For THG 2000, peening with small shot size and low blast pressure i.e., S110/40 psi, seems to
lead to optimum (=less) wear behaviour, see Figure 4(b) whilst for Impax no conclusion about
optimum conditions can be drawn; compare Figure 4(a) with Figure 4(c). As it is outlined in the
Introduction, only a limited number of relative data is available; the conclusions of the present
research agree well with the previous published works [14, 15] verifying thus the beneficial
effect of shot peening on the tribological behaviour of tool steels.

(a) (b)

(c) (d)
Figure 5: Evolution of the wear volume of the shot peened specimens with sliding distance
for all normal loads applied; (a) material Impax and testing load 1 N, (b) material THG 2000 and testing load
1 N, (c) material Impax and testing load 3 N and (d) material THG 2000 and testing load 3 N.

4 CONCLUSION

Main findings are summarized as follows:

(i) A surface morphology characterized by randomly overlapping craters with dimensions
increasing with the increase of shot size and/or presure was identified in all cases. The
size of the craters is directly related to the surface roughness values measured.
(ii) A thin work-hardened zone was developed on all specimens; the extent of this zone and
the position of peak microhardness value depends upon the peening conditions.

7
(iii) For the evaluation of friction and wear characteristics sliding friction tests were
performed with two different normal loads. It was verified that, in general, shot peening
exerts a beneficial effect on tribological behaviour reducing wear rate and friction
coefficient.

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