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International Journal of Sustainable Engineering

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Sustainable surface modification using cavitation impact for enhancing

fatigue strength demonstrated by a power circulating-type gear tester
Hitoshi Soyamaa; Yuichi Sekinea
a
Department of Nanomechanics, Tohoku University, Sendai, Japan

First published on: 10 November 2009

To cite this Article Soyama, Hitoshi and Sekine, Yuichi(2010) 'Sustainable surface modification using cavitation impact for
enhancing fatigue strength demonstrated by a power circulating-type gear tester', International Journal of Sustainable
Engineering, 3: 1, 25 — 32, First published on: 10 November 2009 (iFirst)
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 International Journal of Sustainable Engineering
Vol. 3, No. 1, March 2010, 25–32

Sustainable surface modification using cavitation impact for enhancing fatigue strength
demonstrated by a power circulating-type gear tester
Hitoshi Soyama* and Yuichi Sekine
Department of Nanomechanics, Tohoku University, Sendai, Japan
(Received 26 March 2009; final version received 1 October 2009)

In order to enable the manufacture of lightweight materials for transportation equipment, such as cars and aircraft, an
improvement in the fatigue strength of materials is required, as these forms of transport are designed taking fatigue fracture
into consideration. Surface treatment procedures, such as shot peening, are generally employed to improve fatigue strength.
Shot peening deforms metallic materials to produce work hardening and introduce compressive residual stress, leading to
improved fatigue strength. Although shot peening is an effective and reliable method against fatigue fracture, the shot
eventually becomes dust and industrial waste. Recently, a peening method without the use of shot using cavitation impact
has been developed. This is called ‘cavitation peening’. In the present paper, gears, which are typical machine components,
were examined in order to demonstrate the improvement in fatigue strength by cavitation peening. Gears made of carburised
chromium molybdenum steel were treated by cavitation peening and shot peening. The fatigue strength was evaluated using
a power circulating-type gear test machine. Under the conditions employed, the gear lifetime was limited by fracture at the
root of the tooth. The improvement in the fatigue strength of gears treated by cavitation peening was 24% and in those
treated by shot peening it was 12% compared with non-peened gears. It was demonstrated that cavitation peening can
improve the fatigue strength of gears without the use of shot.
Keywords: lightweight; surface modification; shot peening; fatigue strength; gear; cavitation
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Introduction surface would help improve the fatigue strength of the

The manufacture of lightweight transport equipment is one
of the strategies being employed to realise a sustainable
society, as it reduces CO2 emissions and is also good from
the point of view of petroleum resources. The size, i.e. the
weight, of the metallic machine components of cars and
aircraft is mainly determined by their fatigue strength.
Surface modification techniques for improving fatigue life
will lead to reduced material and energy consumption
since it will lead to less frequent replacement of
components. Consequently, there will be a reduction in
new material extraction, processing, transport and
eventual landfill. Shot peening is one of the effective
surface modification processes used to improve fatigue
strength and reliability. The impact of shot on the defects
that are the source of fatigue fracture produces work
hardening and introduces compressive residual stress (Al-
Obaid 1990). However, the use of shot produces dust that
is not only harmful to workers but also presents the danger
of dust explosion. In addition, the broken shot eventually
becomes industrial waste. Another disadvantage of shot
peening is that the impact of shot causes an increase in
surface roughness, which reduces the fatigue strength. If a
peening method without the use of shot was to be
established, it would support the development of light-
weight materials for transport equipment, as the smooth
metallic machine components.
A peening method using cavitation impact, which
normally causes severe erosion in hydraulic machinery,
such as pumps and valves (Soyama et al. 1992, Brennen
1995), has been proposed. It is called ‘cavitation peening’
(Soyama 2006) or ‘cavitation shotless peening’ (Soyama
et al. 2002, 2003a, Odhiambo and Soyama 2003) as shot is
not required. The introduction of compressive residual
stress using a cavitation tunnel (Blickwedel et al. 1987)
and ultrasonic cavitation (Rawers et al. 1991) has been
reported. In both cases, the cavitating area was limited.
Thus, the treatment area was also limited and therefore
these methods cannot be utilised for the surface
modification of machine components. The introduction
of compressive residual stress using a cavitating jet, i.e. a
high-speed submerged water jet with cavitation bubbles,
was proposed (Soyama et al. 1996a) and its efficacy was
confirmed (Hirano et al. 1996). In the case of the cavitating
jet, the cavitation bubbles can be produced wherever the
impact is required and the intensity can be controlled
by hydraulic parameters such as the upstream and
downstream pressures at the nozzle (Soyama et al.
1998). A normal water jet, i.e. a water jet in air, can
introduce compressive residual stress (Tönshoff et al.
1995). However, by using a cavitating jet for modifying

*Corresponding author. Email: soyama@mm.mech.tohoku.ac.jp

ISSN 1939-7038 print/ISSN 1939-7046 online
q 2010 Taylor & Francis
DOI: 10.1080/19397030903395174
http://www.informaworld.com
 26 H. Soyama and Y. Sekine

the surface, the following advantages can be obtained: the

impact pressure generated by the cavitating jet can be
higher than that from a water jet in air at the same pump
pressure and the treatment area with a cavitating jet can be
much greater than that for a water jet in air (Yamauchi et al.
1995). Although a conventional cavitating jet has been
produced by injecting a high-speed water jet into a water-
filled chamber, a cavitating jet in air has to make do
without the chamber. In this case, by injecting a high-
speed water jet into a low-speed water jet, a cavitating jet
in air for peening was successfully realised (Soyama
2004). The optimised cavitating jet in air was found to be
more effective for peening than a normal cavitating jet in
water (Soyama 2004), and the improvement in the fatigue
strength of stainless steel treated by a cavitating jet in air
was demonstrated using a plate bending fatigue test Figure 1. Severe erosive longitudinal cavitation.
(Soyama 2007). As compressive residual stress is
introduced by cavitation peening, it has been applied as the gear under test was fixed, and with an applied load the
preventive maintenance against stress corrosion cracking gear fractured at the roots of the teeth. Although it was
in nuclear power plants (Saitou et al. 2003). Laser peening possible to enhance the fatigue strength of the gear under
has also been applied to nuclear power plants (Sano et al. fixed conditions by cavitation peening, the fatigue strength
2008) and furthermore, it has been proposed for should be examined using a power circulating-type gear
application to machine components. However, the cost test machine, in which the gear under test is rotated while
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of laser peening is nearly 10 times higher than that of
conventional shot peening due to the expensive laser
system. In the case of cavitation peening, an expensive
plunger pump is not required as cavitation impact is used
and high pressure is not required. The cost of cavitation
peening is similar to or less than that of shot peening, as
shot is not used. Cavitation peening can enhance the
fatigue strength of metallic materials in the same way as
shot peening. Although the improvement in fatigue
strength of metallic materials treated by cavitation peening
has been demonstrated using a rotating-bending fatigue
test (Soyama et al. 2001, 2002) and a plate bending fatigue
test (Soyama 2007), a real machine test is required.
Typical machine components requiring shot peening
are gears. As shot peening roughens the surface, barrel
polishing is subsequently required. The great advantage of
cavitation peening is that the treated surface is very
smooth compared with that after shot peening (Soyama
et al. 2004). If the fatigue strength of gears can be
enhanced by cavitation peening, this would be a powerful
surface treatment method for them, considering the
tribological problems related to the contacting surfaces.
The strength or the lifetime of gears is determined by two
damage patterns, i.e. fatigue fracture at the roots of the
teeth and pitting damage on the tooth surface. If the fatigue
strength and applied pressure of gears can be improved,
lightweight gears can be realised. In a previous paper, the
pitting damage on gears and rollers was reduced by
cavitation peening (Seki et al. 2008). It has also been
proven that cavitation peening improves the fatigue
strength of gears evaluated by a bending fatigue test
(Soyama and Macodiyo 2005). In the previous experiment,
the load is applied.
In the present paper, in order to demonstrate the effect
of peening by cavitation impact without shot on an actual
machine component, the fatigue strength of the gear was
evaluated using a power circulating-type gear test
machine. The gear was treated by cavitation peening and
shot peening. This is the first report to demonstrate
the improvement in fatigue strength of a gear treated by
cavitation peening using a power circulating-type gear test
machine and to compare it to one treated by shot peening.
Principle of cavitation peening
Cavitation is a phase change phenomenon, which means
the water vaporises due to a decrease in pressure by
increasing the flow velocity. Although much research has
been done on spherical bubbles (Brennen 1995),
longitudinal cavitation, which consists of tiny longitudinal
cavitation bubbles, as shown in Figure 1, causes severe
cavitation impact (Soyama et al. 1994). This means that
longitudinal cavitation can be useful for cavitation impact
applications. A schematic diagram of the development and
Figure 2. Schematic diagram of the development and collapse
of longitudinal cavitation.
 International Journal of Sustainable Engineering 27
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Figure 3. Aspect of peened surface: (a) cavitation peening and (b) shot peening.
 28 H. Soyama and Y. Sekine
Figure 4. Schematic diagram of cavitating jet.
collapse of longitudinal cavitation is shown in Figure 2. In
the low-pressure region of the vortex core induced by an
increase in flow velocity, cavitation nuclei, which are tiny
bubbles desorbed in water, become cavitation bubbles.
These are arranged longitudinally due to the vortex. When
the flow velocity is decreased, the bubbles shrink and a
micro jet is generated. The micro jet causes severe
cavitation impact which can deform metallic materials. As
the cavitation bubbles rebound in a short time, a shock
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wave is produced causing plastic deformation of the
metallic material. These micro jets and shock waves can be
used for peening in place of shot peening. In the case of
cavitation peening, the surface is smooth compared with a
shot-peened one, as there is no collision between solid
materials. In order to demonstrate the difference in surface
roughness induced by cavitation peening and shot peening,
surfaces observed by a laser scanning microscope are
shown in Figure 3. In this case, the treated material was
tool alloy steel. Although plastic deformation pits induced
by cavitation impact can be seen, the surface is smoother
than that produced by shot peening. In addition, the
arithmetic average roughness of the non-peened specimen,
the shot-peened specimen and the cavitation-peened
specimen made of tool alloy steel are 0.06, 1.00 and
0.18 mm, respectively (Soyama et al. 2003b). In the case of
shot peening, the metallic material was peened by the
impact between solid materials, whereas in the case of
cavitation peening the material was peened by collapsing
Table 1. Properties of the gears.
Modulus, M (mm)
Pressure angle, a (8)
Number of teeth, Z
Addendum modification coefficient, X
Pitch diameter, dp (mm)
Tip diameter, da (mm)
Root diameter, df (mm)
Tooth width, W (mm)
Centre distance, sc (mm)
Figure 5. Cavitating jet apparatus for cavitation peening.
cavitation bubbles. Therefore, the increase in surface
roughness of the specimen treated by cavitation peening is
smaller than that by shot peening. The introduced residual
stress of both cavitation peening and shot peening was
about 2 800 MPa (Soyama 2004). This means that
cavitation peening can introduce compressive residual
stress without an increase in surface roughness. Cavitation
peening can also decrease micro-strain, which might be a
source of fatigue fracture (Soyama and Yamada 2008).
In the case of cavitation peening, cavitation bubbles
are generated by injecting a high-speed water jet into
water. This is called a cavitating jet. A schematic diagram
of high-speed observation of a cavitating jet is shown in
Figure 4 (Soyama et al. 1995, 1996b). When pressurised
water is injected into water, cavitation bubbles form in the
low-pressure region of the vortex core in the shear layer
around the jet. These vortex cavitations combine and
become a cloud cavitation consisting of tiny bubbles.
When the cloud cavitation impinges on the surface, it
becomes a ring vortex cavitation. A part of the ring vortex
cavitation collapses giving rise to longitudinal cavitation.
The cloud cavitation was shedding periodically with a
frequency of several kilohertz (Soyama et al. 1995). This
means that a cavitating jet frequently produces longitudi-
nal cavitation.
Test gear Mating gear
2.4 2.4
25 25
35 40
þ0.03 2 0.03
84 96
89.5 101.2
78 89.7
7 10
90
 International Journal of Sustainable Engineering
Figure 6. Appearance of eroded pure aluminium surface
induced by a cavitating jet.
Experimental facilities and procedure
Figure 5 illustrates the cavitating jet apparatus used for
cavitation peening in the present experiment. The test
chamber, where the test or mating gears were set, was
filled with tap water and then a high-speed water jet,
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pressurised by a plunger pump, was injected through a
nozzle into the chamber. Details of the apparatus can be
found in the following references (Soyama et al. 2002,
2008, Soyama and Macodiyo 2005, Seki et al. 2008).
Considering the results of previous work, the injection
pressure p1 and the pressure of the chamber p2 were
selected to be 30 and 0.42 MPa, respectively. In the present
article, the pressures given are the absolute pressures. The
throat size of the nozzle used was 2 mm in diameter. The
stand-off distance is defined as the distance from the
upstream corner of the nozzle throat to the surface at the
root of the gear tooth. This was set at 80 mm. These
conditions for cavitation peening were optimised in a
previous report (Soyama 1998). Both the test and mating
gears were treated by cavitation peening for 5 min, rotating
at a constant speed of 20 rpm.
Table 1 describes the properties of the test and mating
gears, which are spur gears with teeth with involute
profiles and a module of 2.4 mm. Both the test and mating
gears are made of chromium molybdenum steel, approved
by Japanese Industrial Standard JIS SCM420H, and were
finish ground after carburising. The gears were treated by
cavitation peening or shot peening. A non-peened gear,
labelled the NP gear, was prepared for comparison. This
was finished by barrel polishing to make the gear teeth
to be the same shape and for them to engage in the same
fashion as the other specimens. The shot peening
conditions were as follows: the injection pressure of the
shot was 0.2 –0.3 MPa and the diameter and Vickers
hardness of the shot were 0.3 mm and 700, respectively.
After shot peening, the gears were finished by barrel
polishing in the same way as the NP gear. In the case of
29
Figure 7. Set-up of test gear with dummy gears for cavitation
peening.
cavitation peening, the gears were treated by cavitation
peening after barrel polishing, as the surface treated after
cavitation peening was very smooth compared with the
shot-peened surface.
In this study, a power circulating-type gear test
machine was used. The test gear was set to be the driving
gear, the mating gear was set to be the driven one and the
driving speed for the fatigue test was 2600 rpm. In the
present study, the torque Dn was used to refer to the
loading on the surface of the gear tooth, and the number of
cycles N to fracture was measured. The Dn –N curve was
determined. The temperature of the lubricant was
controlled to be 353 ^ 2 K and pressure lubrication was
implemented.
Experimental results
Figure 6 illustrates a pure aluminium surface that has been
exposed to a cavitating jet for 1 min using the present
conditions in order to show the area treated. The erosion
pattern is typical of that induced by a cavitating jet. The
erosion at the centre of the jet is only slight and the main
erosion region is an annular ring with an outer diameter of
about 33 mm and an inner diameter of about 17 mm.
Cavitation clouds around the jet hit the surface, spread out
and then collapse as shown in Figure 6. As the impact is
produced as the bubble collapses, the main erosion region,
i.e. the peened area, has an annular shape. Since the width
of the teeth of the test and mating gears was 7 and 10 mm,
respectively, the cavitation bubbles cannot develop
sufficiently on the surface of the gear teeth. Therefore,
the test and mating gears were each stacked with three
other dummy gears of the same type, as shown in Figure 7.
 30 H. Soyama and Y. Sekine

For reference, a 25 mm diameter dotted circle is shown in

Figures 6 and 7. The test or mating gear for the fatigue test
was set at position No. 1 and the centre of the jet was set to
the centre of the dummy gear at position No. 3.
Figure 8 shows a surface treated by cavitation peening
observed using a laser microscope. Several pits have
appeared on the surface. As the surface has not been
eroded, these pits are plastic deformation pits without
mass loss. The diameters of the pits are from a few tens of
micrometre to about 100 mm. Three typical pits, i.e. pits
A – C in Figure 8, were measured individually using the
laser microscope, and the profiles of these are shown in
Figure 9. The depths of pits A – C are 1.56, 1.36 and
0.97 mm, respectively. That is, the plastic deformation pits
induced by cavitation impact are narrow. In the case of
shot peening, the shape of the pit is generally
hemispherical because small balls are generally used for Figure 9. Profiles of pits induced by cavitation peening.
shot. The pressure distribution between the shot and the
surface is a half-elliptic pressure distribution because of Figure 12 shows the Dn – N curve obtained using the
Hertz contact (Al-Obaid 1990). On the other hand, power circulating-type gear test machine. The fatigue
Soyama reported that the pressure distribution of an torque at 107 cycles was determined by Little’s method
individual cavitation impact is cone shaped with a (Little 1972), which showed it to be 337 Nm for the NP
maximum intensity at the cone centre (Soyama and Saito gear, 376 Nm for the shot-peened gear and 418 Nm for the
Downloaded At: 15:28 25 July 2010

2003). These pressure distributions can affect the shape of
pits after peening techniques.
Figures 10 and 11 show the fractured NP gear and the
fractured cavitation-peened gear, respectively. In these
figures, an overview of the fractured tooth, placed back on
the gear after breaking, is shown in (a), and the origins of
the break are indicated by arrows. The surface of the gear
tooth is shown in (b), and the limits of the contact area are
indicated by arrows. Both with and without peening, the
gear tooth broke at the dedendum circle and the fracture
was initiated at the surface. Although the contact area is
shown by the shiny line as seen in Figures 10(b) and 11(b),
pitting damage was not observed. Under the present
conditions, the gear was fractured at the root of the tooth.
caritation peened gear. Incidentally, Little’s method is used
for calculating the fatigue strength using small sample
fatigue-limit response data. The fatigue torque of the test
gear treated by shot peening was increased by 12% and
that of the gear treated by cavitation peening was increased
by 24% compared with that of the NP gear. Under the
present test conditions, it is clear that the improvement in
fatigue strength of the test gear treated by cavitation
peening is greater than that treated by shot peening.
Considering the material mechanics, the maximum
bending stress occurs at the dedendum circle of the gear,
and the gears are fractured at the dedendum circle as
shown in Figures 10 and 11. However, the introduction of
compressive residual stress and the hardness at the
dedendum circle of the gear can have an effect on
improving the fatigue strength after cavitation peening. In
a previous paper, it was reported that a compressive
residual stress of approximately 200 MPa was introduced
into the dedendum circle of the gear, and the gear was

Figure 8. Emergence of pits on the tooth surface induced by Figure 10. Fractured NP gear. (a) The arrow shows the origin of
cavitation impacts. the break. (b) The arrow shows the limits of the contact area.
 International Journal of Sustainable Engineering
Figure 11. Fractured gear treated by cavitation peening. (a) The
arrow shows the origin of the break. (b) The arrow shows the
limits of the contact area.
work hardened after cavitation peening (Seki et al. 2008).
In the case of cavitation peening, the cavitation bubble
flows into the dedendum circle more easily than the shot in
shot peening. In addition, the increase in surface roughness
after cavitation peening is smaller than that after shot
peening, the fatigue crack initiation life of cavitation-
peened specimen is longer than that of non-peened
specimen (Masaki et al. 2008), and the micro-strain, which
is caused by adjacent grains and random strain in grains, is
reduced by cavitation peening (Soyama and Yamada
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2008). Thus, the fatigue strength after cavitation peening is
greater than that after shot peening.
Conclusions
In this study, a shot-free surface modification method was
proposed for the improvement of fatigue strength in
metallic materials to enable lightweight transport equip-
ment to be developed in a more sustainable way. Although
shot peening is an effective way of improving the fatigue
strength of metallic machine components, unfortunately,
shot produces industrial waste and the danger of dust
explosion. A peening method without shot using the
cavitation impact induced by a cavitation bubble
collapsing is called ‘cavitation peening’.
In order to demonstrate the improvement in the fatigue
strength of gears by cavitation peening, gears treated by
Figure 12. Improvement in the fatigue strength of the test gear
by cavitation peening.
31
cavitation peening and shot peening were investigated
using a power circulating-type gear tester. Under the
conditions used here, the improvement in the fatigue
torque of a test gear treated by shot peening was 12%
compared with that of a nNP gear, while that of a gear
treated by cavitation peening was 24%. Thus, the fatigue
strength of gears treated by cavitation peening was
increased, with double the improvement gained by shot
peening. It can be concluded that cavitation peening is
a more effective surface modification method than shot
peening.
Acknowledgements
This work was partly supported by the Japan Society for the
Promotion of Science under Grant-in-Aid for Scientific Research
(A) 20246030. The power circulating-type gear test was carried
out at Honda R&D Co., Ltd., working cooperatively with Mr
Takashi Tanaka. The authors express their appreciation to both.
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