Proceedings of the Institution of Mechanical

Engineers, Part E: Journal of Process

Mechanical
Engineering
http://pie.sagepub.com/

Analysis and optimization of a butterfly valve disc

X G Song, L Wang and Y C Park
Proceedings of the Institution of Mechanical Engineers, Part E: Journal of Process Mechanical Engineering 2009 223: 81
DOI: 10.1243/09544089JPME236
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81

Analysis and optimization of a buttery valve disc

X G Song1 , L Wang1 , and Y C Park2
1
School of Mechanical Engineering, Dong-A University, Busan, Republic of Korea
2
Department of Mechanical Engineering, Dong-A University, Busan, Republic of Korea
The manuscript was received on 29 August 2008 and was accepted after revision for publication on 26 November 2008.
DOI: 10.1243/09544089JPME236

Abstract: A buttery valve is a type of ow control device, which is widely used to regulate a uid
owing through a section of pipe. Currently, analyses and optimization are of special important
in the design and usage of buttery valves. For the analysis, nite element method (FEM) is often
used to predict the safety of valve disc, and computational uid dynamics (CFD) is commonly
used to study the ow characteristics of valve. However, it is difcult to obtain accurate results for
the optimization of buttery valve due to the high non-linearities. For this reason, metamodels
or surrogate model methods are extensively employed. This paper integrates metamodel with
FEM and CFD analysis to optimize a traditional buttery valve, where the weight of the valve disc
is the design objective, and the strength safety of disc and the pressure loss coefcient of valve
are constraints. Kriging model is employed as a surrogate model to formulate the objectives and
constrains, and the orthogonal array is used as design of experiment to sample the computer
analysis. The optimum results with the corresponding variable combinations for the valve disc
are obtained easily by this method. Moreover, the structural and uid analyses with the obtained
optimum variable combinations are conducted again to verify the accuracy of the optimization
method. The results demonstrate the capability and potential of this method, which integrates
the Kriging model with FEM and CFD analysis, in solving the optimization of a buttery valve.
Keywords: buttery valve, computer experiment, Kriging model, orthogonal array, optimization

INTRODUCTION

A buttery valve is a type of ow-control device, commonly used as a control valve in applications where
the pressure drop required of the valve is relatively
low. Typical uses would include isolation of the equipment, ll/drain systems, bypass systems, and other
applications where the only criterion for control of the
ow/pressure is that it should be on or off. Unlike a
ball valve, the disc is always present within the ow;
therefore, a pressure drop is always induced in the ow
regardless of the valve position. Because of the notable
inuence of the buttery valve on the uid owing
through it, many researchers have done lots of work to
study the uid characteristics of the buttery valve. For
example, in 1995, Ogawa and Kimura [1] presented two
papers about the study of the buttery valve. One was
Corresponding

author: CAE Lab, Mechanical Engineering Divi-

sion, Dong-A University, 840 Hadan 2 Dong, SahaGu, Busan

604-714, Republic of Korea.
email: parkyc67@dau.ac.kr
JPME236 IMechE 2009

the research on torque characteristics and the other

focused on the pressure drop induced by the valve
disc. In 1996, Huang and Kim [2] investigated threedimensional analysis of partially open buttery valve
ows by using commercial code FLUENT, and they
gave emphasis on the effect of the mathematics model
and the simulation results. Park and Chung [3] gave a
theoretical study on hydrodynamic torque of the buttery valve through the free streamline theory with
a newly devised iterative scheme. Danbon and Solliec [4] analysed the uctuations of the instantaneous
torque according to the valve/elbow spacing, and
made recommendations for the installation of that
kind of ow-control valve. Caill and Laumonier [5]
investigated the aerodynamic behaviours of a buttery
valve at large angle, according to high area contraction
ratios in 1998. Wojtkowiak and Oleskowicz-Popiel [6]
investigated a commonly used valve having a thin, at,
sharp-edge disc and blockage ratio d/D = 0.947 by
using both the experimental and numerical (computational uid dynamic (CFD)) methods. However, these
researchers mainly focused on the uid analysis of the
buttery valve rather than on the structural analysis.
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82

X G Song, L Wang, and Y C Park

Recent researches are conducting the optimization,

considering both structural safety and ow characteristics simultaneously. Yi et al. [7] examined structural optimization considering both these aspects in
designing the buttery valve. Because of the scarcity
of studies concerning structural analysis of the buttery valve, there are scarcely any studies with a view to
the optimization of uid and structural performance
at the same time.
The objective of this study is to obtain the optimum dimensions for the buttery valve disc. First,
CFD and nite-element method (FEM) analyses of
this type buttery valve/disc are performed, respectively, to calculate the pressure loss coefcient and the
maximum stress on the valve disc. Then the changeable parameters, which have inuence on both the
uid and structural performance, are searched. After
dening the corresponding objective and constraint
function, the computer experiments using the orthogonal array (OA) are conducted. Finally, the optimum
result is obtained by analysing the experiment data. A
verication of the new valve disc is also done to verify
the improvement by the Kriging model.
2
2.1

BUTTERFLY VALVE
Buttery valve

As shown in Fig. 1, a buttery valve has a body,

a resilient seat, a buttery disc, a stem, a packing,
a notched positioning plate, and an actuator. The
resilient seat is under compression when it is mounted
in the valve body, thus making a seal around the
periphery of the disc and at both the upper and lower
points where the stem passes through the seat. Packing is provided to form a positive seal around the stem
for added protection in case the seal formed by the
seat becomes damaged. To close or open a buttery
valve, the actuator is turned only one-quarter turn to
rotate the disc from 0 to 90 . Actuators used on buttery valves vary based on the application and size
of the valve. A simple handle oriented in the same
direction of the metal disc (to indicate valve position) is common. Some larger buttery valves may
have a handwheel that operates through a gearing
arrangement to operate the valve. This method is used
especially where space limitation prevents the use of a
long handle. Actuators may also be air driven or electrically operated when used as part of an automated
control system.

Fig. 1 Typical buttery valve

using K1 , a proper valve size can be accurately determined for most applications. This article adopts the
equation calculated by Huang and Kim [2]



2


P1 P 2
2
v1
f L
K1 =
+
2 1+
(1)
2

D
v2
where P1 and P2 refer to the static pressure upstream
and downstream of the valve disc, and v1 and v2 are the
resultant velocities in the upstream and downstream,
respectively. L is the distance between P1 and P2 . D is
the tube hydraulic diameter, which is the valve bore
size. And f is the circular pipe friction factor in the
turbulence ow, which is 0.013 in this research.
3

DESIGN AND ANALYSIS OF THE COMPUTER

EXPERIMENT

The pressure loss coefcient is used to relate the pressure loss of a valve to the discharge of the valve for a
given valve-opening angle. Nowadays, K1 is the most
widely used value for valve size and pipe system. By

As mentioned previously, the research in this article

relies mainly on computer analysis and simulations
such as FEM and CFD analyses. For the sake of adequate and accurate analysis, both the uid analysis
and structural analysis adopt the three-dimensional
models to simulate the uid and structural characteristics of the buttery valve. However, adopting
three-dimensional models also brings an additional
problem that the computational expense will increase
hugely when doing the optimization subsequently.
Thus, how to choose an appropriate optimization
method, which has the ability of saving computational expense as well as keeping the predicted result
closer to real optimum value, becomes more and more
important. A method of overcoming these problems
is to construct the approximated optimization techniques. These approximations are commonly called

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2.2

Pressure loss coefcient

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Analysis and optimization of buttery valve disc

metamodels, which means a model of the model and

it can effectively carry out the optimization based on
the computer analysis.
A number of approximate metamodels, such as
response surface models [8], smoothing splines,
radial basis functions neural networks, and Kriging
model [911], have been developed and widely used
in engineering optimization design. From the previous researches, since computer experiments typically
lack random error, the output is deterministic with
the same given inputs, and the Kriging model is better suited for the computer experiments. In addition,
the Kriging method has an advantage that an assumption of the order of the approximate function is not
needed; hence, it is superior to the general response
surface method [1216].
3.1

correlation matrix is dened as


 n
  i j 2
k xk , xk 
R(x i , x j ) = exp

y(x) = f (x) + Z (x)

(2)

where y(x) is the unknown function of interest, f (x) is

the known approximation (usually polynomial) function, and Z (x) is the stochastic process with zero mean,
variance 2 , and non-zero covariance, following the
Gaussian distribution. Most researches treat f (x) as
the constant , thus equation (2) is transformed to
y = + Z (x)

(3)

when the mean-squared error between y(x) and pre

dicted estimates, y(x),
is minimized, the approximation model at untried values of x is given by

(5)

k=1

where n is the number of design variables, and k is the

unknown kth parameters corresponding to kth design
variables. In this study, the parameters are the same as
the number of design variables. The correlation vector
in equation (6) is represented as
r T (x) = [R(x, x 1 ), R(x, x 2 ), . . . , R(x, x ns )]T

(6)

and the likelihood function, L, is dened as

ns

L(y, , , 2 ) =

Kriging model

The Kriging model approach is used in this article.

Named after Krige, a South African geologist who
rst developed the method, the Kriging model is
a type of metamodel based on spatial correlation
functions and a very popular analysis approach for
computer experiments for the purpose of creating
a cheap-to-computer metamodel as a surrogate to
a computationally expensive engineering simulation
model. There are several approaches to present Kriging
models. In this work, the maximum likelihood estimates, which is more suitable to design and analysis
of computer experiments, will be adopted.
Kriging postulates, a combination of a polynomial
model plus departures of the form, are given by
equation (1)

83

(2 2 ) 2

|R|


(y f )T R 1 (y f )
exp
(7)
2 2

by differentiating log-likelihood function dened in

equation (7) with respect to and , respectively, and
letting them to be equal to 0, the maximum likelihood
estimators of can be obtained as
= ( f T R 1 f )1 f T R 1 y

(8)

The estimate of the variance, 2 , is estimated as

2 =

)]
)T R 1 (y f
[(y f
ns

(9)

when the correlation matrix and the correlation vector are determined, the approximated model can
be constructed. Similar to previous estimations, the
unknown likelihood estimate for the k can be calculated from the formulation as follows
Maximize

[ns ln( 2 ) + ln|R|]

2

(10)

where k (k = 1, 2, . . . , n) as discussed above, both 2

and |R| are functions of k . Although any value for
the k creates interpolative Kriging model, the best
Kriging model is found by solving the k-dimensional
unconstrained non-linear optimization problem by
equation (10).
3.2

Design of the experiment

where is the estimated value of , R 1 is the correlation vector, y is the observed data with ns sampled
data, and f is the vector with ns components of 1. The

Generally speaking, there are three main steps to use

the metamodel. The rst is to select the type of metamodel, which is explained above. After the Kriging
model has been chosen, the second is to carry out the
design of the experiment to sample the computer analysis, and the last step is to t the model to the observed
data and predict the optimum value [14]. There are a

JPME236 IMechE 2009

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)
y = + r T (x)R 1 (y f

(4)

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84

X G Song, L Wang, and Y C Park

variety of options for each of these choices. For the second step, the most basic type of experimental design
is called a full factorial design. This calls for each input
variable or factor to be xed at a certain number of
values or levels, and then a data point sampled for
all the combination of the various factor levels. For
instance, if there are four variables to be explored at
three levels, then a 34 full factorial design needs 81
runs, which is computationally too expensive. Other
experimental designs also have such drawbacks, that
they cannot reduce the total number of runs when
there are many variables with more than two levels
each. However, by applying the Taguchi orthogonal
array (OA) technique, this problem can be overcome
signicantly [8]. The OA is a systematic, statistical
method of computer experiment. They are primarily used in designing experiments [17]. Using OAs in
experimentation allows for multi-factor experiments
to occur, thus reducing the number of runs required
to reach an optimal set of parameters for improvement. For the same four variables/three levels design,
only nine runs are needed. Hence, the OA technique is
adopted in this article.
More information about the OA used in this article,
and the last step, i.e. predict the optimum value, are
described in section 5.
4

ANALYSIS OF INITIAL MODEL

The buttery valves disc that is being studied is shown

in Fig. 2; it has a diameter of 200 mm and shape similar
to discus. Its maximum thickness in the middle of the
valve is 27 mm and the average thickness along the
ange is 8 mm.
4.1

Fluid analysis

Fluid analysis is conducted to observe the ow patterns and to measure pressure loss coefcient of this
buttery valve when the buttery valve works with
various opening positions. As shown in Fig. 3, a halfsymmetrical CFD model of the buttery valve is created with a scale of 1:1 to obtain a better result and to
save the computer time. The bolts and nuts for xation
of the disc are simplied despite some impact on the
ow properties in the open position. An upstream pipe
L1 with a length eight times that of diameter (8D) and

Fig. 3 The boundary condition in uid analysis

a downstream pipe L2 with a length ten times that of

diameter (10D), which has been veried long enough
for this simulation, are added to provide a static uid
domain [2]. In addition, the steady-state simulation is
done without considering the heat transfer, and water
is used as a working uid, thus ow is incompressible
at a normal temperature of 25 C. The standard k
model is chosen for the prediction of turbulent ow
calculations because of its robustness, economy, and
reasonable accuracy.
According to the specication of American Water
Works Association, the maximum velocity through
this valve cannot be more than 4.8768 m/s. Hence,
a uniform velocity of 4.8768 m/s is imposed at the
inlet boundary. Meanwhile, the opening boundary is
utilized as the outlet boundary of the pipe.
Figure 4 shows the pressure contour and velocity
vector at the symmetry plane near the disc region for
the valve opening of 15 and 90 . From the velocity distribution, it can be seen how the buttery valve affects
the uid owing through it. Because of obvious difference between the opening area at 15 and that at
90 , the velocity around the disc at 15 is distinctly
higher than that at 90 , and therefore, the pressure
distribution is more uniform at the 90 opening.
However, these contours cannot be used to estimate the valve performance directly. The pressure loss
coefcient, K1 , is needed to estimate the performance
of the buttery valve. Ideally, the pressure loss coefcient should be as low as possible for this type of
buttery valve. Since this valve always works at 90
(full opening), only the pressure loss coefcient at 90
is calculated and will be optimized in this article; by
using equation (1), the pressure loss coefcient of this
buttery valve is found to be about 0.4798 at 90 .

4.2

Fig. 2

Conguration of the buttery valves disc

Structural analysis

This section focuses on the structural performance,

whether the valve could work normally at those conditions or not. To save the computation time and

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JPME236 IMechE 2009

Analysis and optimization of buttery valve disc

85

Fig. 4 The pressure contour (left) and velocity vector (right) at the middle plane at
(a) 15 and (b) 90

Fig. 5 Two kinds of boundary condition in FEM analysis

Fig. 6 The stress distribution on the disc

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86

X G Song, L Wang, and Y C Park

constraint functions could be dened as follows

Minimize

Weight of the valve disc

Subject to max.
136.7 MPa (safety factor 1.5)

K1
0.4

Fig. 7 The pressure drop normalized by the maximum

pressure drop (at closed station) and the scheme
of disc deformation

capability, just 1/4 model is created for the structural

analysis at the closed station, and 1/2 model is used for
analysis at the opening station (15, 30, 45, 60, 75, and
90 ). Two symmetry planes and one symmetry plane
boundary conditions are applied for each model. The
surfaces in contact with the valve stem are xed totally
as shown in Fig. 5, i.e. the valve disc is rigidly xed
at the stem and the stem itself is also rigid. This simplication is not ne compared with the xation in
practice, but it will lead the FE analysis to convergence effectively. The red net shows the load applied
on the surfaces of the disc, i.e. a constant pressure of
1.965 MPa is applied only on the front surfaces of the
disc when the valve is closed, and the uid pressure
obtained from the uid analysis is applied on both
sides of the disc by using the uidstructural interface. The material of the valve disc is ASTM A296 CF8M
with the properties: Youngs modulus E = 193E3 MPa;
Poissons ratio v = 0.27; yield stress = 205 MPa.
After seven runs (0, 15, 30, 45, 60, 75, and 90 ),
it is found that the totally maximum stress occurs
at the corner region between the housing and the
plate, while the valve is closed, as shown in Fig. 6,
the maximum stress marked MX is about 113.47 MPa.
It can be understood that the pressure drop between
the upstream and downstream becomes smaller and
smaller as the opening of the valve increases; thus, the
difference in hydrodynamic force applied on the front
and back side of the disc also becomes small. Figure 7
briey illustrates this trend.

where the constraint functions are based on the users

requirement, and as explained above, the ow coefcient K1 is that at fully open position (90 ), and max
is the maximum Von Mises equivalent stress in the
valve disc when the valve is closed, because the totally
maximum stress always occurs in the closed valve disc.
The next step is to identify the design variables. In
this case, each dimension of the disc has more or less
inuence on the uid performance, structural property, and disc mass. However, for a given diameter,
some large dimensions such as the disc diameter, stem
diameter, and so on cannot be modied; only few
small aspects like llet radius or thickness could be
changed. As shown in Fig. 8, the six design variables of
the disc are chosen and will be optimized, they are:
(a) the circle cape radius (C, F, and G);
(b) the thicknesses of the disc edge (A) and handle (D);
(c) the length (B) between the centers of the hole and
inclined plane.
In this renement experiment, each design variable
has three levels, and care is taken that level 3 in Table 1

Fig. 8

DESIGN OPTIMIZATION

Design variables of the valve disc

Table 1

The optimization problem can be dened with an

objective function and some constraint functions. In
this research, the design objective is to minimize the
mass of the valve disc to save the material expense as
well as to keep both the uid and structural characteristics in acceptable ranges. Hence, the objective and

Design variables and their levels

D.F.
level

A (mm)

B (mm)

C (mm)

D (mm)

F (mm)

G (mm)

1
2
3

7
8
9

12
13.5
15

12
16
20

8.5
9.5
10.5

10.7
12.7
14.7

2
2.4
2.8

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JPME236 IMechE 2009

Analysis and optimization of buttery valve disc

Table 2

OA and analysis result

Exp.

Stress
(MPa)

Coeff.
K1

Weight
(kg)

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18

1
1
1
1
1
1
1
1
1
2
2
2
2
2
2
2
2
2

1
1
1
2
2
2
3
3
3
1
1
1
2
2
2
3
3
3

1
2
3
1
2
3
1
2
3
1
2
3
1
2
3
1
2
3

1
2
3
1
2
3
2
3
1
3
1
2
2
3
1
3
1
2

1
2
3
2
3
1
1
2
3
3
1
2
3
1
2
2
3
1

1
2
3
2
3
1
3
1
2
2
3
1
1
2
3
3
1
2

1
2
3
3
1
2
2
3
1
2
3
1
3
1
2
1
2
3

1
2
3
3
1
2
3
1
2
1
2
3
2
3
1
2
3
1

138.61
127.09
115.82
129.57
107.26
101.72
115.16
94.80
89.82
129.38
117.26
127.35
120.93
108.04
94.98
108.75
106.88
88.16

0.404 69
0.442 96
0.491 58
0.452 84
0.457 90
0.434 67
0.450 69
0.409 27
0.467 53
0.466 59
0.395 47
0.432 11
0.447 44
0.473 02
0.448 30
0.461 25
0.483 46
0.448 66

2.840
3.055
3.274
3.133
3.357
3.144
3.168
3.376
3.546
3.174
2.903
3.112
3.299
3.088
3.254
3.328
3.488
3.286

Table 3

Comparison of optimum and initial model

Exp.

Weight (kg)

Stress (MPa)

Press. loss coeff.

Initial model
Optimum model
Reduction %

3.206
3.08
3.93

113.47
135
18.97

0.479 73
0.376 61
21.50

describes the existing condition and the other two levels represent the presumed values (lower and upper
bound) that are expected to achieve an improvement.
In general, the above conditions necessitate a 36 =
729 times analysis by using the full factorial design.
However, by using L18 (21 37 ) OAs, the number of
combinations could be reduced to 18.

87

As shown in Table 2, it has eight columns and 18

rows. The rst column is a two-level column that is,
it has only two distinct entries, namely 1 and 2. All the
chosen six control factors have three levels. Therefore,
column 1 was kept unassigned. From the remaining
seven three-level columns, column 8 was arbitrarily
designated as an empty column, and factors A through
G were assigned, respectively.
The 18 rows of the L18 array represent the 18 experiments to be conducted. Thus, each experiment is to
be conducted at each level for the six control factors;
the result (right-hand side in Table 2) can be obtained
after total 18 computer experiments.
After obtaining the experimental results given in
Table 2, the Kriging model is used to approximate the
weight function of the disc as well as the pressure
loss coefcient function and maximum stress function. Then the simulated annealing algorithm, which
is well suited for solving such engineering problems
and in most cases can nd the global optimum solution with a high probability [18], is adopted to nd the
optimum result.
Finally the optimum design variables are obtained
as follows
A = 7.0 mm,

B = 12.0 mm,

C = 18.83 mm,

D = 8.5 mm,

F = 10.7 mm, and G = 2.8 mm

Refer to Table 3, for the optimized model, the weight of

the disc and the pressure loss coefcient will decrease
by 3.93 and 21.5 per cent of their initial values, respectively, whereas the maximum stress in the disc will
increase by 18.97 per cent of its initial value. However, this value is still less than 136.7 MPa, which is
the constraint condition dened previously.

Fig. 9 The structural analysis result of the optimum model

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88

X G Song, L Wang, and Y C Park

Fig. 10 The uid analysis result: (a) pressure contour and (b) velocity vector of the optimum model
Table 4 Verication of the predicted value
Exp.

Weight (kg)

Stress (MPa)

Press. loss coeff.

Prediction
Verication
Error (%)

3.08
2.98
3.2

135
133.10
1.6

0.3766
0.3629
3.6

6 VERIFICATION EXPERIMENT
The purpose of this nal step is to verify whether
the optimum conditions obtained by this method do
indeed give the projected improvement. After determining the optimum values under these conditions, a
computer experiment with optimum variables setting
should be conducted to compare the observed value
with the prediction. If the predicted and observed values are close to each other, it means that this method
is adequate for optimizing the valve; on the contrary, if the observation is drastically different from the
prediction, then this method is inadequate. Another
method should be adopted to optimize the shape of
the valve disc.
Figures 9 and 10 show the stress distribution in
the new disc and the uid eld affected by the new
disc, respectively. Compared with Fig. 4, it can be
seen that the stress at the same distribution is more
uniform than before and there is no serious effect
on the uid pressure or uid velocity distribution.
Table 4 compares the predicted value and the veried
value; error is dened as the difference between the
actual response from the computer analysis, y, and

the predicted value, y(x),

from the Kriging model. The
maximum error of 3.6 per cent shows that the predictions agree well with the result of the computer
experiment on the whole, that is, this method can
be believed and applied in the optimization of the
buttery valve on the whole. And the weight of the
veried valve decreases by 7.05 per cent of its initial value, which is more than the predicted value of
3.93 per cent.

CONCLUSIONS AND DISCUSSION

In recent research, an optimization procedure of the

valve disc is applied in order to reduce the weight of the
disc as well as to keep the stress and pressure loss coefcient in the allowable range. The procedure consists
of three parts.
First, conduct the uid analysis of the initial design
to display the inuence of the valve on the ow pattern
and calculate the pressure loss coefcient, which is
the commonly used coefcient in the valve industry;
second, implement the FEM static analysis for initial
design to estimate the mechanical property of valve;
third, carry out optimization of the valve by using OA
and Kriging model to get the minimum weight of the
buttery valve.
The optimization result shows that the OA experiments drastically reduced the numbers of computer
experiments and that the Kriging model can predict
the optimum conditions effectively. After conrming
through the verication experiment, the weight of the
valve disc decreases by 7.05 per cent of its initial value.
The weight of the disc is set as the objective function because of material/cost reduction. However, raw
materials costs are not always determined only by the
weight of the nal design, but also by manufacturing.
Hence, the used objective function is ne as far as the
feasibility of optimization is concerned, but a more indepth function should be adopted in the future work.
ACKNOWLEDGEMENT
The work was supported by research funds from DongA University, Korea.
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APPENDIX
Notation
D
f
K1
L
ns
P1
P2
R
R(x i , x j )
v1
v2

k
2
max

tube hydraulic diameter

circular pipe friction factor in the
turbulence ow
pressure loss coefcient
distance between P1 and P2
number of sample points
static pressure upstream
static pressure downstream
correlation matrix in the Kriging
model
correlation function between points x i
and x j
resultant velocities in the upstream
resultant velocities in the downstream
constant underlying global portion of
the Kriging model
estimated value of
correlation parameters in the Kriging
model
variance
the maximum von Mises equivalent
stress

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