Mechanical Surface Treatments

A. Klumpp1, J. Hoffmeister1 and V. Schulze 1

1 Institute of Applied Materials (IAM - WK), Karlsruhe Institute of Technology, Germany

Abstract
In the present work, an overview of modern mechanical surface treatments is given. The avail-
able technologies are classified by the type of tool -workpiece interaction. Selected treatments
are presented in detail. Besides the description of each process technology, main focus is
given to the characteristic resulting surface layer states. To this end, typical residual stress
profiles and work hardening states as well as surface topographies are presented and com-
pared for those processes.

Keywords surface treatments, surface layer states, residual stresses, topography, shot peen-
ing, ultrasonic shot peening, deep rolling, diamond finishing, machine hammer peening, laser
shock treatment, high pressure water peening, cavitation shotless peening.

Introduction
Technological practice today, particularly in the spring-manufacturing, automotive and aero-
space industries, is hardly imaginable without mechanical surface treatments [1]. Such treat-
ments are used to reinforce the workpiece surface layer which is often subjected to the highest
loading. Reinforcement is achieved by local plastic deformation of near-surface areas which
leads to compressive residual stresses and work hardening. The main goals of surface treat-
ment are the increase of resistance against fatigue, wear and corrosion. Since Tilgham in 1871
invented the sand blast process, i.e. the precursor of present-day shot peening [2], [3], the
correlation between mechanical surface treatment and increased fatigue strength was estab-
lished by Foppl in 1929 [4], [5], and the systematic examinations of the relation of rolling and
fatigue strength, corrosion fatigue and fretting fatigue were carried out by Thum in the early
1930s [6]-[8], a great variety of mechanical surface treatments with specific properties have
been developed. Most of them are used for mechanical components subjected to cyclic load-
ings during operation, since they can improve the fatigue strength. Yet, each technology pro-
duces specific resulting surface layer characteristics, which, in turn, have direct impact on the
work piece properties.
Plastic deformation Plastic deformation with relative movement
without relative between workpiece and tool
movement between Rolling Sliding
workpiece and tool Solid tool Liquid tool

u
Deep rolling, Spinning,
.::; Autofretting,
Embossing finish rolling, diamond
....tel stressing
V)
size rolling finishing

Machine hammer
peening, laser shock
Cl.I Regular treatment, high pressure
>
vi water peening
'S
a.
§ Shot peening, variants of
Irregular shot peening

Figure 1: Overview of mechanical surface treatments

This paper aims to provide an overview of modern mechanical surface treatments and to pre-
sent the surface layer states achieved by different mechanical surface treatments. A system-
ized compilation of non-cutting surface treatment processes is given in Fig. 1. The treatments

12
are divided whether they are with or without relative movement between the tool and the work-
piece and the latter are subdivided whether the tool contact is static or impulsive. The descrip-
tion of methods without relative movement is limited to impulsive impact. Comparison of sur-
face layer states is carried out exemplarily on quenched and tempered low alloy steel AISl4140
(German grade 42CrMo4) provided that experimental data are available.

Procedures of mechanical surface treatments without relative movement between work-

piece and tool - impulsive irregular
Shot peening, as defined by ASTM 8851 [9], is a "process for cold working surfaces by bom-
barding the product with shot of a solid and spherical nature propelled at a relatively high ve-
locity", where surface-near plastic deformation leads to compressive residual stresses and
work hardening. Rotating wheel, compressed-air, injector and injector gravitational peening
systems are utilized for accelerating the shot which acts as "tool" in the shot peening process.
The most important shot materials used on metals are cast steel, cut wire, glass beads and
ceramic beads [10]-[12], while the latter have also been tried out for shot peening of compo-
sites [13]. Hard metal peening media have been used for the strengthening of ceramic samples
[14]-[16]. Steel workpieces are usually treated with steel shot. The shot diameter typically var-
ies between 0.05 mm and 2.5 mm [17] while the hardness must be, at least approximately,
equal to the hardness of the workpiece [11 ], [18], [19]. Type and size of the shot must fit to the
workpiece. Glass and ceramic beads are often used to avoid contamination with iron, e.g. for
aluminum and titanium alloys [12]. Owing to their hardness, these shot media are also an
option for achieving high compressive residual stress states. However, it must be taken into
account that their lower density results in a smaller impulse upon impact on the workpiece and
thus, less deep influence of the peening process [20]. Due to the achieved process cleanliness,
dry ice has been examined as shot peening medium and showed great potential for special
applications [21], [22]. Recent investigations by [23] have focused on the development of a
clean peening technology using recirculating shot accelerated by water jets in a water-filled
chamber, thus avoiding sparks and dust explosions. Due to its high flexibility, the shot peening
process is applied in technical mass production, such as for springs, con-rods, gears, stepped
or grooved shafts and axles, turbine vane and blade bases and heat-affected zones of welded
joints [1].
Warm peening is a modified shot peening process mostly used on steels, in which the work-
piece exhibits an elevated temperature. The latter usually ranges from 170 °C to 350 °C [24]-
[29] and leads to static and dynamic strain ageing effects stabilizing the dislocation structure.
Thus, more stable residual stress states are reached. A nozzle used for warm peening is
shown in Fig. 2. The shot should not be heated up significantly to avoid a decrease of hardness
due to annealing effects. Similar effects with reduced complexity can be achieved by a combi-
nation of conventional shot peening with subsequent annealing [30], [31]. Examinations of
warm peening applications in technological practice have so far focused on the surface treat-
ment of steel springs (see: [25], [32], [33], for instances).
Hot air

Cold air
+ shot r--.,----c------c--"

.....~===:=:::~~~--~
Figure 2: Nozzle for warm peening, schematically [28]

Stress peening is a modified shot peening process in which mechanical prestress of the same
direction and sign as the future operational load is applied to the workpiece during the peening
treatment [34]-[37]. This prestressing is used to shift the residual stress state resulting from
the shot peening process towards higher compressive values [1], [38]. Stress peening is pri-
marily used in the final treatment stage of leaf, coil, turning-rod and brake accumulator springs
[39]-[41]. Combined warm and stress peening processes have been tried out on different ma-
terials [13], [28], [33], [38].

13
Ultrasonic peening is a widely used variant of shot peening. The shot, usually ball bearings,
and the workpiece are placed together in a chamber and are exposed to a strong ultrasonic
field at frequencies of about 20 kHz [42], [43]. The shot is accelerated by this field and interacts
with the workpiece surface in an impact process at similar velocities as in conventional shot
peening procedures. As the shot deviates only slightly from exact spherical shape, the aim is
to achieve lower degrees of surface roughness [42], [44].
Micropeening is a variant of shot peening with micro shots (diameter: d < 100 µm) and currently
in development. The shots, usually glass beads or ceramic particles, are accelerated to high
velocities (v < 200 mis) [45]. Besides compressive residual stresses and work-hardening, the
generation of nanocrystalline surface layers has been observed in literature [46].
Dual shot peening denotes successively applied shot peening processes with different param-
eters. Peening with coarse shot and subsequently with fine shot is used for surface roughness
reduction [47]-[49] after generation of residual stresses while the opposite case is used for
welded joints [11], [18], [19].
In recent years, peening processes utilizing cavitation have been developed. Here, gas bub-
bles work as "tool". Ultrasonic wet peening is a mechanical surface treatment where the work-
piece is held within a suspension exposed to a ultrasonic field. Plastic deformation on the
surface occurs based on the acceleration of blasting shots in a fluid by ultrasonically induced
cavitation [46]. Cavitation shotless peening merely uses the effects of cavitation [50] and has
successfully been applied in water and in air [51]-[53]. Because of its retarding effect on hy-
drogen assisted fatigue crack growth and stress corrosion cracking, cavitation shotless peen-
ing has been used on several components of stainless steel and Ni-base alloys in nuclear
power plants [50], [54].

Procedures of mechanical surface treatments without relative movement between work-

piece and tool - impulsive regular
Machine hammer peening denotes mechanical surface treatment by repetitive regular me-
chanic impulses. Conventional machine hammer peening technologies usually make use of
electromechanical transducers or pneumatic or hydraulic pressure to generate a regularly os-
cillating indenter movement [17], [55]. Depending on the application, indenter diameters com-
monly vary between 2 mm and 20 mm [56]. Electromechanical and pneumatic machine ham-
mer peening are used for the surface finish treatment of molds and pressing dies [17], [57],
[58]. Portable, pneumatically driven machine hammers with adjustable frequencies (- 200 Hz),
are often used for post-weld processing [59].
Ultrasonic impact treatment is a machine hammer peening process where the workpiece sur-
face is deformed by repetitive regular impulses at ultrasonic frequency. Tool and workpiece
are usually in contact under static pressure. The ultrasonic oscillation (- 20 kHz) is transduced
to mechanical oscillations which are amplified by a booster, as shown in Fig. 3. Ultrasonic
impact treatment is commonly used in post-weld processings [60]-[62]. As reported by [63],
[64] and [50], the ultrasonic impact treatment can be used to generate nanocrystalline surface
layers (UNSM, "Ultrasonic Nanocrystalline Surface Modification").
Currently being developed, piezo peening is a machine hammer peening treatment similar to
the UIT technology [65]. In contrast to UIT, however, hammering can be adjusted inde-
pendently from ultrasonic resonance frequency.
Laser shock treatment, usually carried out using Nd:Glass [66], [67], Q-switched Nd:YAG [50]
and XeCI-Excimer lasers [68], denotes the exposition of the workpiece surface (direct ablation
[69]) or a thin coating on the workpiece surface (confined ablation [70], [71], see Fig. 4) to laser
pulses with a pulse duration in the nanosecond range [68]. Due to intensities in the GW/cm 2
range, the affected area is transformed into plasma [71]. The expanding plasma causes a
shock wave in the surface layer, which induces plastic deformation provided that the Hugoniot
condition is fulfilled [50]. A detailed process description can be found in the literature [1], [60],
[68]. Modified laser shock treatments at elevated [70] and cryogenic [72] temperatures and
under prestress [73] have been tried out recently. Typical applications of laser shock treatment
can be found in the aerospace industry. High pressure water peening makes use of the pres-

14
sure induced by incontinuous drop flow. A detailed process description can be found in litera-
ture [74], [75] where the technology was examined in detail. Process modifications, such as
ice peening, could serve as a combined water and shot peening process, since partially frozen
drops could increase the residual stress depth [74].

Air compressor
.
:
'
,,Ji.,
/ ',~,,
Air pressure with Transducer Booster Horn Ball gripper
regulator (Vibrator) & ball

Figure 3: UIT I UNSM device, schematically [64]

Focused Pulsed Laser

Figure 4: Laser shock treatment process, schematically [70]

Procedures of mechanical surface treatments with relative movement between work-

piece and tool
Being counted among the fine surface rolling methods (according to VOi guideline 3177 [76]),
deep rolling is a mechanical surface treatment which generally entails rolling off the tool and
the workpiece against each other repeatedly at a defined pressure (Fig. 5). This induces a
continuously increasing plastic deformation in the near-surface region [77], [78]. Deep rolling
is generally applied to workpieces with rotational symmetry, such as crankshafts, valve shafts,
screws, bore-holes, axles, bolts and threaded parts. Therefore the treatment is widely used in
automotive industry.

Figure 5: Deep rolling process - schematically [78]

15
Modified deep rolling processes, such as deep rolling of steels at elevated temperature, have
been examined in literature [79], [80].
Diamond finishing is a mechanical surface technology similar to deep rolling. However, instead
of rolling contact, there is sliding contact between workpiece and tool. Recent investigations
also focus on surface enhancement by cutting methods, whose traditional aim is defining
shape and topography and not the improvement of fatigue strength [81], [82].
Autofrettage is not a classical surface treatment, but a technology used for tube systems sub-
jected to pulsating inner loads, such as injectors, pumps and canons [60], [83]. It denotes an
initial tensile overload by pressures inside the tube which are far beyond the operating pres-
sure, leading to compressive residual stresses in fatigue critical areas [84].

Surface layer states after mechanical surface treatments

The severe plastic deformation of surface-near regions due to mechanical surface treatment
can lead to changes in shape, topography, lattice structures, macro residual stress state,
phase fractions, textures and density as well as to crack initiation [1], [48], [60], [85]. To eval-
uate the achieved surface layer states, objective measures are required. In the following sec-
tion, we will limit ourselves to the description of changes in topography, residual stress profile
and work hardening state induced by mechanical surface treatment, represented by the rough-
ness (R2 , Rt, Ra), the macro residual stresses (crrs) and the hardness (HV) as well as the full
width at half maximum of the X-ray interference lines (FWHM), respectively. These measures
are shown in Fig. 6 [86].

Figure 6: Surface layer characteristics, schematically [86]

For the generation of macro residual stresses, local plastic stretching of surface-near areas is
necessary. The surface layer characteristics are mainly governed by the workpiece material
and initial state (hardness etc.), environment (temperature etc.) and the process properties.
The following section aims to present characteristic surface layer states after selected me-
chanical surface treatments of the low alloy steel AISl4140 (42CrMo4) in a quenched and
tempered state (610 °C for high pressure water peening; 450 °C for all other mechanical sur-
face treatments). Selected surface treatments are: Shot peening ("SP"; shot: 8170, 56 HRC;
pressure: 1.6 bar; Almen intensity: 0.3 mmA) [87], stress peening ("SSP"; shot: S 170, 56 HRC;
pressure: 1.6 bar; Almen intensity: 0.3 mmA; longitudinal stress state; prestress: 600 MPa)
[87], deep rolling ("DR"; pressure: 250 bar; path spacing: 0.04 mm; ball diameter: 6.35 mm),
piezo peening ("PP"; frequency: 500 Hz; amplitude: 18 µm; indenter diameter: 5 mm; path
spacing: 0.2 mm) [65], laser shock treatment ("LST"; Nd:glass slab laser; energy density: 168
J/cm 2 ; wavelength: 1053 nm; pulse width: 18 ns; layers: 2; overlap: 50%) [71], micropeening
("MP"; glass beads; pressure: 1.5 bar; Almen intensity: -0.04 mmN) [88], ultrasonic wet peen-
ing ("UWP"; frequency: 20 kHz; process time: 30 min) [46], diamond finishing ("OF"; feed: 0.6
mm; path spacing: 0.04 mm; ball diameter: 2 mm) and high pressure water peening ("HPWP");
pressure: 1000 bar; nozzle diameter: 1.5 mm; impact time: 3 s) [74].

16
The measured residual stress profiles of the selected surface treatments are shown in Fig. 7.
Four distinct types of residual stress profiles can be observed. Some surface treatments gen-
erally lead to steep residual stress gradients close to the surface (< 100 µm; typically mi-
cropeening, ultrasonic wet peening, high pressure water peening). Others lead to deep-lasting
compressive residual stresses (> 100 µm; typically deep rolling and laser shock treatment).
Several mechanical surface treatments can lead to high maximum compressive residual
stresses (typically deep rolling) while others are not able to reach higher levels of compressive
residual stresses (typically high pressure water peening).
200
AISl4140 q+t 450

-200

cu -400
0..
6
t!?b -600

-800

-1000

0 100 200 300 400 500 600

Depth [µm]
Figure 7: Residual stress states on AISl4140 q+t 450 after selected surface treatments (for
process parameters and references see text above)

Fig. 8 shows the FWHM values for the same processes (some are kept off for clarity). Many
mechanical surface treatments do not significantly increase the FWHM in surface-near areas
(typically deep rolling), i.e. changes in the work-hardening state of the surface layer are negli-
gible. Other treatments do increase the FWHM values considerably (typically shot peening and
micro peening). High FWHM values are measured due to high strain rates and the associated
cross slip impediment of screw dislocations, the latter being main carriers of plasticity in bee
metals and alloys [89], [90].
In Fig. 9, characteristic changes in roughness after selected mechanical surface treatments
are shown compared to the roughness of the initial surface state. Changes in topography are
strongly dependent on the intrinsic characteristics and properties of each process and more or
less pronounced. While some mechanical surface treatments are used to introduce compres-
sive residual stresses accepting an increased surface roughness (typically shot peening), sur-
face smoothening can be one main goal in others (typically deep rolling, diamond finishing).
Some treatments do not or negligibly change the workpiece roughness (typically high pressure
water peening).
It must be noted, though, that some surface treatments allow for the generation of a wide range
of possible surface layer states (typically piezo peening). Therefore, findings are often limited
to a small range of process parameters.

17
 3,8
<J
3,7
AIS14140 q+t 450
3,6
3,5 -o- Shot peening
-o- Deep rolling
3,4
- v - Piezo peening
co 3,3 -<>- Laser shock treatment
N -<J- Micropeening
L 32
~ . -*- Diamond finishing
I
su.. 3,1
3,0 '~~
~- ·,-~--i"l------V-

g--o~b<>\,,~:ti.t=~~-::::::::V-v<>o~~~
o-/o --0~
2,8 *~;:;-~if
v-v-v *~
2,7
*
2,5_.__,..----,,.----.~--,----,--,~--,----,--,,------,,----.,--~.--.--...-~.--~..--
0 100 200 300 400 500 600
Depth [µm]
Figure 8: FWHM values on AISl4140 q+t 450 after selected surface treatments (for process
parameters and references see text above)

13
12
11 AISI 4140 q+t 450
10
9 D Initial state
8 B After treatment
E 7
2. 6
o:::N 5
4
3
2

Shot peening Deep rolling Piezo peening Laser shock Micropeening Diamond finishing
Figure 9: Surface roughness (Rz) after selected surface treatments (for process parameters
and references see text above)
Summary
The available variety of mechanical surface treatments allows for the establishment of deter-
minable and reproducible surface layer states. As a workpiece characteristic induced by the
treatment process, the surface layer directly affects the workpiece operational properties. Even
though the variation of process parameters leads to different surface layer states and allows
for a certain degree of freedom, each mechanical surface treatment has its specific individual
limit with regard to the maximum achievable residual stresses, residual stress depth, work
hardening state and topography. The results of mechanical surface treatments always depend

18
on the characteristics of the process (impulsive, static ... ), applied process parameters (pres-
sure, feed rate ... ), the workpiece characteristics (hardness, geometry ... ) and the environment
(temperature ... ). When these interactions are known in detail, reproducible surface layers can
be generated and used to our advantage.

Acknowledgements
The authors thank Franziska Lienert and Regina Weingartner for providing experimental data
to deep rolling, diamond finishing, piezo peening and micropeening.

References
[1] V. Schulze, Modern Mechanical Surface Treatment: States, Stability, Effects. Wiley-
VCH (2006).
[2] H.J. Plaster, A Tribute to Benjamin Chew Tilghman, Proceedings of the 5th Interna-
tional Conference on Shot Peening (1993), pp 2- 9.
[3] I. Horowitz, Oberflachenbehandlung mittels Strahlmitteln: Handbuch Ober Strahltech-
nik u. Strahlanlagen. Grundlagen der Strahltechnik. Vulkan-Verlag (1982).
[4] 0. Foppl, Stahl und Eisen, vol. 49 (1929), pp 775
[5] 0. Foppl and G. v Heydekampf, Dauerfestigkeit und Konstruktion, Metallwirtschaft
Wissenschaft und Technik, vol. 8 (1929), p 45.
[6] A. Thum and H. Wiegand, Die Dauerhaltbarkeit von Schraubenverbindungen und Mit-
tel zu ihrer Steigerung, Zeitschrift VDI, vol. 77 (1933), pp 1061 - 1063.
[7] A. Thum and H. Ochs, Die Bekampfung der KorrosionsermOdung durch Druckvor-
spannung, Zeitschrift VOi, vol. 76 (1932), pp 915- 916.
[8] A. Thum and F. Wunderlich, Der Einfluss von Einspann-und Kraftangriffstellen auf die
Dauerhaltbarkeit der Konstruktionen, Zeitschrift VOi, vol. 77 (1933), p 851.
[9] ASTM 8851 - 04, Specification for Automated Controlled Shot Peening of Metallic Arti-
cles Prior to Nickel, Autocatalytic Nickel, or Chromium Plating, or as Final Finish, ASTM In-
ternational (2009).
[10] DIN 8201, Strahlmittel, Einteilung-Bezeichnung. Beuth Verlag GmbH (1975).
[11] H. Wohlfahrt, The influence of peening conditions on the resulting distribution of resid-
ual stress, Proceedings of the 2nd International Conference on Shot Peening (1984), pp 316
- 330.
[12] H. Barzoukas and J. Jauffret, Peening With Ceramic Shot, Proceedings of the 4th In-
ternational Conference on Shot Peening (1990), pp 47 - 56.
[13] J. Huang, Z. Wang, K. Bian, and C. Jiang, Investigation for Different Peening Tech-
niques on Residual Stress Field of SiCw/AI Composite, Journal of Materials Engineering and
Performance, vol. 22 (2013), no. 3, pp 782 - 786.
[14] T. Frey and W. Pfeiffer, Tragfahigkeitssteigerung keramischer Werkstoffe durch Ku-
gelstrahlen, Tribologie und Schmierungstechnik (2001 ).
[15] W. Pfeiffer and M. Rombach, Residual stresses and damage in ceramics due to con-
tact loading, Proceedings of the 5th International Conference on Residual Stresses (1998),
pp 302- 307.
[16] W. Pfeiffer and T. Frey, Strengthening of ceramics by shot peening, Journal of the
European Ceramic Society, vol. 26, no. 13 (2006), pp 2639 - 2645.
[17] J. Wied, "Oberflachenbehandlung von Umformwerkzeugen durch Festklopfen," PhD
Thesis, TU Darmstadt (2011 ).
[18] H. Wohlfahrt, Ein Model/ zur Vorhersage kugelstrahlbedingter Eigenspannungszu-
stande, Eigenspannungen: Enstehung-Messung-Bewertung, DGM-lnformationsgesellschaft,
Oberursel (1983), pp 301 - 319.

19
[19] H. Wohlfahrt, Shot peening and residual stresses, in: Residual stress and stress re-
laxation, Springer (1982), pp 71 - 92.
[20] T. Ito, T. Mizuno, T. Takahashi, J. Kurosaki, and T. Togashi, Peening characteristics
of cemented carbide peening shot & life improvement of cold forging die, Proceedings of the
7th International Conference on Shot Peening (1999), pp 371 - 377.
[21] G. Spur, E. Uhlmann, and F. Elbing, Dry-ice blasting for cleaning: process, optimiza-
tion and application, Wear, vol. 233 - 235 (1999), pp 402 - 411.
[22] E. Uhlmann and M. Krieg, Shot peening with dry ice, Proceedings of the 9th Interna-
tional Conference on Shot Peening (2005), pp 197 - 201.
[23] A. Naito, 0. Takakuwa, and H. Soyama, Development of peening technique using re-
circulating shot accelerated by water jet, Materials Science and Technology, vol. 28, no. 2
(2012) pp 234 - 239.
[24] M. Schilling-Praetzel, F. Hegemann, P. Gome, and G. Gottstein, Influence of Temper-
ature of Shot Peening on Fatigue Life, Proceedings of the 5th International Conference on
Shot Peening (1993), pp 227 - 238.
[25] M. Schilling-Praetzel, Einfluss der Werkstacktemperatur beim Kugelstrahlen auf die
Schwingfestigkeit van Drehstabfedem, PhD Thesis, RWTH Aachen (1995).
(26] R. Menig, V. Schulze, and 0. Vohringer, Optimized warm peening of the quenched
and tempered steel A/SI 4140, Materials Science and Engineering: A, vol. 335, no. 1 - 2
(2002), pp 198 - 206.
[27] R. Menig, V. Schulze, and 0. Vohringer, Influence of Optimized Warm Peening on
Residual Stress Stability and Fatigue Strength of A/SI 4140 in Different Material States, Pro-
ceedings of the 8th International Conference on Shot Peening (2002), pp 317 - 321.
[28] A. Wick, V. Schulze, and 0. Vohringer, Kuge/strahlen bei erhohter Temperatur mit ei-
ner Druck/uftstrahlan/age, Materialwissenschaft und Werkstofftechnik, vol. 30, no. 5 (1999),
pp 269- 273.
[29] A. Wick, V. Schulze, and 0. Vohringer, Effects of warm peening on fatigue fife and re-
laxation behaviour of residual stresses in A/SI 4140 steel, Materials Science and Engineer-
ing: A, vol. 293, no. 1 - 2 (2000), pp 191 -197.
[30] I. Altenberger and B. Scholtes, Improvement of fatigue behaviour of mechanically sur-
face treated materials by annealing, Scripta materialia, vol. 41, no. 8 (1999), pp 873 - 881.
[31] R. Menig, V. Schulze, D. Lohe, and 0. Vohringer, Shot Peening Plus Subsequent
Short-Time Annealing - A Way to Increase the Residual Stress Stability and Alternating
Bending Strength of A/SI 4140, SAE International, Warrendale, PA, SAE Technical Paper
2002-01-1409 (2002).
[32] A. Tange, H. Koyama, H. Tsuji, and J. Schaad, Study on warm shot peening for sus-
pension coil spring, SAE Transactions: Journal of Materials & Manufacturing(USA), vol. 108
(1999), pp. 463-467.
[33] A. Tange and K. Ando, Study on shot peening processes of coil springs, Proceedings
of the 6th International Conference on Residual Stresses (2000), pp 897 - 904.
[34] J. Straub and D. May, Stress peening, Iron Age, vol. 21 (1949), pp 66 - 70.
[35] R. L. Mattson and J. G. Roberts, The effect of Residual Stresses Induced by Strain-
Peening upon Fatigue Strength, SAE International, Warrendale, PA, SAE Technical Paper
600018 (1960).
[36] J.-C. Xu, Z. Ding-quan, and S. Bang-jun, The fatigue strength and fracture morphol-
ogy of leaf spring steel after prestressed shot peening, Proceedings of the 1st International
Conference on Shot Peening (1981), pp 367- 373.

20
[37] F. Engelmohr and B. Fiedler, Erhohung der Dauerfestigkeit geschmiedeter Pleuel
durch Kugelstrahlen unter Vorspannung, Materialwissenschaft und Werkstofftechnik, vol. 22,
no. 6 (1991), pp 211-216.
[38] A. Wick, V. Schulze, and 0. Vohringer, Effects of stress-and/or warm peening of A/SI
4140 on fatigue life, Steel research, vol. 71, no. 8 (2000), pp 316- 321.
[39] B. Kaiser, Randschichtverfestigung und Schwingfestigkeit hochfester Parabelfedern,
VDI-Berichte, vol. 852 (1991 ), pp 587 - 600.
[40] J. Potter and R. Millard, The effect of temperature and load cycling on the relaxation
of residual stresses, in: Advances in X-ray Analysis, Springer (1977), pp 309 - 319.
[41] E. Muller and L. Bonus, Lebensdauer spannungsgestrahlter Schraubenfedern unter
Korrosion, Draht, vol. 48, no. 6 (1997), pp 30 - 33.
[42] J. Duchazeaubeneix, Stressonic shot peening (ultrasonic process), Proceedings of
the 7th International Conference on Shot Peening (1999), pp 444 - 452.
[43] M. Zimmermann, Numerische und experimentelle Untersuchungen zur Randschicht-
ausbildung beim Druckluft-und Ultraschallkugelstrahlen van IN718, PhD Thesis, Universitat
Karlsruhe (TH) (2009).
[44] T. Watanabe, K. Hattori, M. Handa, N. Hasegawa, K. Tokaji, M. Ikeda, and J.-M.
Duchazeaubeneix, Effect of Ultrasonic Shot Peening on Fatigue Strength of High Strength
Steel, Proceedings of the 8th International Conference on Shot Peening (2002), pp 305 -
310.
[45] C. Kagaya and Y. Yamada, Fine Particle Bombarding Technology and Functional De-
velopment of Metal Surface, Proceedings of the 10th International Conference on Shot Peen-
ing (2008) pp. 191 - 196.
[46] R. Weingartner, J. Hoffmeister, and V. Schulze, Generation and Determination of
Compressive Residual Stresses of Short Penetration Depths, in Materials Science Forum,
vol. 768 (2014), pp 580 - 586.
[47] H. Wohlfahrt, Practical Aspects of the Application of Shot Peening to Improve the Fa-
tigue Behaviour of Metals and Structural Components (Retroactive Coverage), Proceedings
of the 3rd International Conference on Shot Peening (1987), pp 563-584.
[48] H. Wohlfahrt, Kugelstrahlen und Dauerschwingverhalten, Proceedings of the 1st In-
ternational Conference on Shot Peening (1981), pp 675- 693.
[49] H. Wohlfahrt and J. Heeschen, Possibilities for the improvement of the fatigue
strength of butt welded joints of high strength structural steels, Mechanical Engineering Pub-
lications (1986), pp 451 -458.
[50] A. Gill, A. Telang, S. R. Mannava, D. Qian, Y.-S. Pyoun, H. Soyama, and V. K.
Vasudevan, Comparison of mechanisms of advanced mechanical surface treatments in
nickel-based superal/oy, Materials Science and Engineering: A, vol. 576 (2013), pp 346 -
355.
[51] H. Soyama, T. Kusaka, and M. Saka, Peening by the use of cavitation impacts for the
improvement of fatigue strength, Journal of Materials Science Letters, vol. 20, no. 13 (2001 ),
pp 1263-1265.
[52] D. Odhiambo and H. Soyama, Cavitation shotless peening for improvement of fatigue
strength of carbonized steel, International Journal of Fatigue, vol. 25, no. 9 - 11 (2003), pp
1217 -1222.
[53] H. Soyama, Singularity Of Cavitation Shotless Peening Compared With Shot Peen-
ing, Proceedings of the 10th International Conference on Shot Peening (2008), pp 99 - 104.

21
 [54] 0. Takakuwa and H. Soyama, Suppression of hydrogen-assisted fatigue crack growth
in austenitic stainless steel by cavitation peening, International Journal of Hydrogen Energy,
vol. 37, no. 6 (2012) pp 5268- 5276.
[55] H. Schuhbauer, H. Bauerle, and H. MOiier-Stock, Schwingfestigkeitssteigerung
schwerer Maschinenbauteile durch Sch/agverfestigen, in: Konferenz-Einzelbericht: Moderne
Fertigungs-technologien zur Lebensdauersteigerung (1991), vol. 17, pp 53-64.
[56] D. Trauth, F. Klocke, F. Schongen, A. Shirobokov, D.-1. F. Schongen, and M. S. R. A.
Shirobokov, Analyse und Modellierung der Schlagkraft beim elektro-dynamischen Festklop-
fen zur kraftbasierten Prozessauslegung, UTFScience 111/2013 (2013).
[57] J. Berglund, M. Liljengren, and 8.-G. Rosen, On finishing of pressing die surfaces us-
ing machine hammer peening, The International Journal of Advanced Manufacturing Tech-
nology, vol. 52, no. 1 - 4 (2011 ), pp 115 - 121.
[58] P. Groche, M. Engels, M. Steitz, C. MOiier, J. Scheil, and M. Heilmaier, Potential of
mechanical surface treatment for mould and die production, International Journal of Materials
Research, vol. 103, no. 6 (2012), pp 783 - 789.
[59] P. Gerster, Praktische Anwendungen der PIT-Technologie, Stahlbau, vol. 78, no. 9
(2009), pp 680 - 683.
[60] H. Wohlfahrt and P. Krull, Mechanische Oberflachenbehandlungen: Grundlagen -
Bauteileigenschaften - Anwendungen. Wiley-VCH (2000).
[61] V. Trufiakov, P. P. Mikheev, Y. Kudryavtzev, and E. S. Statnikov, Ultrasonic impact
treatment of welded joints, IIW Doc, no. XI 11-1609-95 ( 1995).
[62] V. Trufiakov, E. Statnikov, P. Mikheev, and A. Kuzmenko, The Efficiency of Ultrasonic
Impact Treatment for Improving the Fatigue Strength of Welded Joints, IIW Doc, vol. 13
(1998), pp 1745- 98.
[63] X. J. Cao, Y. S. Pyoun, and R. Murakami, Fatigue properties of a S45C steel sub-
jected to ultrasonic nanocrystal surface modification, Applied Surface Science, vol. 256, no.
21 (2010), pp 6297 - 6303.
[64] A. Amanov, I. S. Cho, Y. S. Pyoun, C. S. Lee, and I. G. Park, Micro-dimpled surface
by ultrasonic nanocrystal surface modification and its tribological effects, Wear, vol. 286 -
287 (2012), pp 136-144.
[65] F. Lienert, J. Hoffmeister, and V. Schulze, Residual Stress Depth Distribution after Pi-
ezo Peening of Quenched and Tempered A/SI 4140, Materials Science Forum, vol. 768-
769 (2013), pp 526 - 533.
[66] a
C. Dubouchet, Traitements thermomecaniques de surfaces metalliques /'aide de la-
sers C02 continus et de laser impulsionnel, PhD Thesis, Universite de Paris (1993).
[67] P. Peyre, R. Fabbro, L. Berthe, and C. Dubouchet, Laser shock processing of materi-
als, physical processes involved and examples of applications, Journal of Laser Applications,
vol. 8, no. 3 (1996), pp 135-141.
[68] K. Eisner, Prozesstechnologische Grund/agen zur Schockverfestigung von metalli-
schen Werkstoffen mit einem kommerzie/len Excimerlaser, PhD Thesis, Universitat Erlan-
gen-NOrnberg (1998).
[69] Y. Sano, N. Mukai, M. Yoda, T. Uehara, I. Chida, and M. Obata, Development and
applications of laser peening without coating as a surface enhancement technology, Proc.
SPIE, vol. 6343 (2006), pp 634324- 634324-12.
[70] C. Ye, S. Suslov, 8. J. Kim, E. A. Stach, and G. J. Cheng, Fatigue performance im-
provement in A/SI 4140 steel by dynamic strain aging and dynamic precipitation during warm
laser shock peening, Acta Materialia, vol. 59, no. 3 (2011 ), pp 1014 - 1025.

22
[71] R. Menig, V. Schulze, and 0. Vohringer, Comparison of Surface Characteristics and
Thermal Residual Stress Relaxation of Laser Peened and Shot Peened A/SI 4140, Proceed-
ings of the 8th International Conference on Shot Peening (2003), pp 498 - 504.
[72] C. Ye, S. Suslov, D. Lin, Y. Liao, X. Fei, and G. J. Cheng, Microstructure and me-
chanical properties of copper subjected to cryogenic laser shock peening, Journal of Applied
Physics, vol. 110, no. 8 (2011), p 083504.
[73] G. Hammersley, L.A. Hackel, and F. Harris, Surface prestressing to improve fatigue
strength of components by laser shot peening, Optics and Lasers in Engineering, vol. 34, no.
4 - 6 (2000), pp 327 - 337.
[74] F. Kroos, Randschichtverfestigung durch Hochdruck-Wasserstrahlen, PhD Thesis,
Universitat Hannover (1995).
[75] H.K. Tonshoff, F. Kroos, and C. Marzenell, High-Pressure Water Peening- a New
Mechanical Surface-Strengthening Process, CIRP Annals - Manufacturing Technology, vol.
46, no.1 (1997), pp 113-116.
[76] VDI Richtlinie 3177, Oberf/achen-Feinwalzen. VOi-Veriag (1983).
[77] E. Broszeit, Grundlagen der Schwingfestigkeitssteigerung durch Fest- und Glattwal-
zen, Materialwissenschaft und Werkstofftechnik, vol. 15, no. 12 (1984 ), pp 416 - 420.
[78] K. H. Kloos and J. Adelmann, Schwingfestigkeitssteigerung durch Festwa/zen, Mate-
rialwissenschaft und Werkstofftechnik, vol. 19, no. 1 (1988), pp 15 - 23.
[79] P. Juijerm and I. Altenberger, Fatigue Performance of High-Temperature Deep-Rolled
Metallic Materials, Journal of the Minerals Metals & Materials Society, vol. 17, no. 2 (2007),
pp 37-41.
[80] A. Cherif, H. Hochbein, W. Zinn, and B. Scholtes, Increase of fatigue strength and
lifetime by deep rolling at elevated temperature of notched specimens made of steel SAE
4140, HTM, vol. 66, no. 6 (2011), pp 342- 348.
[81] V. Schulze, F. Zanger, and F. Ambrosy, Investigation of the Impact of Orthogonal
Cutting Processes on Nanocrystalline Surface Layer Generation, Key Engineering Materials,
vol. 554 - 557 (2013), pp. 2009 - 2020.
[82] V. Schulze, F. Zanger, and F. Ambrosy, Quantitative Microstructural Analysis of
Nanocrystalline Surface Layer Induced by a Modified Cutting Process, Advanced Materials
Research, vol. 769 (2013), pp 109 - 115.
[83] S. Greuling, T. Seeger, and M. Vormwald, Autofrettage innendruckbelasteter Bau-
tei/e, Materialwissenschaft und Werkstofftechnik, vol. 37, no. 3 (2006), pp 233 - 239.
[84] Greuling S., J. W. Bergmann, and R. Thumser, Ein Konzept zur Dauerfestigkeitsstei-
gerung autofrettierter Bautei/e unter lnnendruck, Materialwissenschaft und Werkstofftechnik,
vol. 32, no. 4 (2001 ), pp 342 - 352.
[85] B. Scholtes and 0. Vohringer, Ursachen, Ermittlung und Bewertung van Randschicht-
veranderungen durch Kugelstrah/en, Materialwissenschaft und Werkstofftechnik, vol. 24, no.
12 (1993), pp421-431.
[86] B. Scholtes and E. Macherauch, Auswirkungen mechanischer Randschichtverformun-
gen auf das Festigkeitsverhalten metallischer Werkstoffe, Zeitschrift fur Metallkunde, vol. 77,
no. 5 (1986), pp 322 - 337.
[87] A. Wick, Randschichtzustand und Schwingfestigkeit van 42 CrMo 4 nach Kugelstrah-
len unter Vorspannung und bei erhohter Temperatur, PhD Thesis, Universitat Karlsruhe (TH)
(1999).
[88] R. Weingartner, J. Hoffmeister, and V. Schulze, Investigation on the mechanisms im-
proving fatigue strength in surface layers after micropeening, Proceedings of the 12th Inter-
national Conference on Shot Peening (to be accepted, 2014).

23
[89] E. Macherauch and 0. Vohringer, Das Verhalten metallischer Werkstoffe unter me-
chanischer Beanspruchung, Materialwissenschaft und Werkstofftechnik, vol. 9, no. 11
(1978), pp 370 - 391.
[90] A. Seeger, The Temperature and Strain-Rate Dependence of the Flow Stress of
Body-Centred Cubic Metals: A Theory Based on Kink-Kink Interactions, Zeitschrift fur
Metallkunde, vol. 72, no. 6 (1981), pp 369- 380.

24