MATHEMATICAL MODEL AND EXPERIMENTAL VERIFICATION OF
SHAPE MEMORY ALLOY FOR DESIGNING MICRO ACTUATOR
Koji Ikuta 1 Masahiro Tsukamoto
Department of Mechanical System Engineering, Faculty of Computer Science and System Engineering
Kyushu Institute of Technology, Kawazu 680-4, Iizuka, Fukuoka 820, Japan
Tel: +81 948-29-7717 F a : +81 948-29-7795
Asahi Chemical Industry Co., Ldt, Tokyo, Japan
Department of Mechanical Engineering Science, Faculty of Engineering, Tokyo Institute of Technology
ABSTRACT
Advanced mathematical model of Shape Memory Alloy
useful for designing of SMA micro devices is proposed
and applied to the coil spring theory to analyze
mechanical and electrical characteristic. This new model
can handle three phases of SMA such as Parent phase,
Martensitic phase and R-phase recently discovered. The
model is constructed by three steps. The first,
mechanical property of three phases are modeled in solid
mechanics level. The second, the model of thermoelastic
transformation is obtained in thermodynamic level.
Finally the f i s t and second step are combined together.
The model is applied to coil spring theory and is verified
successfullyby experiments under general condition.
1. INTRODUCTION
Shape Memory Alloy (SMA) has great potential not only
for general functional devices such as pipe coupling and
medical materials but also for micro/miniature
actuator.[l][2][3] SMA has a very unique and
complicatedbehavior compared with conventionalmetals.
Especially in case of micro size it is not so easy to test
real prototyped SMA micro device for optimizing design
parameters. In order to make it easy to design these
application devices of SMA and to estimate performance
of final products quantatively, CAD system should be
indispensable. Although CAD system needs
mathematical model to simulate the non linear behavior
of SMA under general stress and temperature conditions,
there has been little research for mathematical model
especially useful for engineering. Most of conventional
models of SMA has been belonging to qualitative models
for understanding unique characteristics of SMA from the
physical point of view.[4][5] Moreover it was not
suitable for engineers to utilize them for CAD system,
because the physical meanings of modeling parameters
were neither clear nor measurable. In this paper, advanced
mathematical model of SMA is proposed and applied to
SMA coil spring theory. And this model is verified
generally by experiments under several conditions.
2. BRIEF DESCRIPTION ON NEW SMA
SMA such as TiNi has a special ability so called Shape
Memory Effect (SME). Once SMA is annealed at certain
temperature, this alloy can obtain the memory of shape.
At room temperature SMA is easy to be deformed by
small stress and deformation seems plastic. However
deformed SMA can recover shape to the memorize one
when it is heated up to the certain transition temperature.
This unique nature is the SME and the basic principle is
based on special phase transformation of alloy.
.OO
CH2957-9/91/0000-0103$01 0 1991 IEEE
Shigeo Hirose
It has been made clear that SME is caused by the
"thermoelastic transformation" between "Martensitic
phase" (M-phase) at low temperature and "Parent phase"
(P-phase) at high temperature. Therefore previous
mathematical model made by Ikuta et al handled two
phases and succeeded to simulate complicated
characteristics of SMA. lkuta's "Two Phase SMA
Model" [6] has been verified by experiment using TiNi
alloy annealed at high temperature for memorizing
treatment. The annealing temperature was 480[OC]
because this annealing condition was believed the best
one for SMA actuator.
However, recently Ikuta et al [7] discovered that the
SMA annealed at lower temperature such as 350 [OC] is
more suitable for SMA actuator from a stand point of
fatigue, linearity and robust control so on. Now this
annealing condition has become a kind of standard for
SMA actuator.
Owing to the effort of material scientists, the main
reason of these advantages of low temperature annealed
SMA was considered that newly discovered phase named
"Rhonbohedral phase" (R-phase) between M-phase and P-
phase took very important roll. Therefore new
mathematicalmodel taking account of R-phase as well as
conventional two phases should be made for designing
SMA actuator.
(A) "Two phase model" for the SMA annealed at
high temperature
(Martensitic phase) -- (Parent phase)
(B) "Threephase model" for the SMA annealed at
low temperature
(Martensitic phase) -- (R-phase) -- (Parent phase)
3. ADVANCED MATHEMATICAL MODEL
Before entering detail of the new mathematical model,
assumptions and outline of modeling are presented in
the following sections.
3.1. Basic Assumptions
3.1.1 Variable Suhlaver Model
In order to handle complicated characteristicsof SMA
due to phase transformation, we expanded "sublayer
model" to "variable sublayer model".
The sublayer model consists of parallel connected
sublayers whose mechanical characteristics are different
each other. This has been used in solid mechanics to
describe nonlinear stress-strain relationship of materials.
The SMA at equilibrium state is composed with
several phases, In case of T N alloy as the most
practical SMA has three phases as described before.
103
 . ..
Rp +R, + R r = 1
Fig.1 Variable Sublayer model of SMA
Fig.2 Basic Model of Parent Phase (P-phase)
Fia.3 Basic model of Martensitic Phase (M-phase)
Fig.4 Basic Model of Rhonbohedral Phase @-phase)
Although three phases are distributed randomly in the
bulk metal from the microscopic point of view, it can be
considered that three sublayers corresponding to each
phase are connected parallelly as shown in Fig.1 from the
macroscopic point of view. It should be noted that the
partial cross section area of one phase is determined
according to the volume fraction of one phase. Moreover
when the transformation occurs. the share ratio of cross
section area of each phase changes as volume fractions
change. The variability of sublayer is a one of unique and
important feature of this SMA model.
Therefore the summation of fractions becomes always 1 as
written in formula (1).
R p + R m + R r =1 (1)
where Rp, R,, and R, mean volume fractions of
P-phase, M-phase and R-phase respectively.
Since the each sublayer is connected parallelly, the total
stress is divided by threephases as formula (2)
0 = RPOP(E)+ Rmam(G&" + RF~E,EP) (2)
where +(E), Om(&,EmP) and Or(E,Erp)
mean the stress functions of P-phase, M-phase and
R-phase respectively. ..
x phase.
It is well known that transformation of SMA is
sensitive not only to the temperature but also to the
stress. This special effect due to "Thermoelastic
transformation" exists in both Martensitic transformation
104
1
(between P-phase and M-phase) and R-phase
hansformation @tween parent phase and R-phase).
The transformation rate of SMA is limited by the
"Mach Number" of the alloy (faster than1000 m/sec) and
is much faster than response speed of SMA actuation
devices. In fact, since the practical response speed of
SMA actuators is limited by the rate of heating and
cooling SMA, visco-elastic effect due to transformation is
negligible in this case.
3.1.3 Resistivitv and Transformah'on
Total resistivity of S M A can be estimated as a linear
summation of resistivities of each phase as following
formula (3).
P = RpPp + RmPm + RrPr (3)
where pp, Pm and pr mean resistivity of P-phase, M-
phase and R-phase respectively.
3.2. Construction of SMA Model
The outline of the modeling process consists of
following steps.
(Stepl) Modeling mechanical property of independent
hphases
(Step2) Modeling thermoelastic transformation
(Step3) Combining mechanics (stepl) and transformation
(step2) by using "Variable sublayer model"
4. MECHANICS OF THREE PHASES
The basic mechanics of each phase is modeled in this
section.
4.1. Parent Phase (P-phase)
Mechanical p m w y of parent phase is modeled by simple
complete elastic body schematically shown in Fig.2
(a)(b). Because practical S M A should be used under yield
stress (i.e. elastic limit) not to introduce fatigue as
described in formula (4).
4.2. Martensitic Phase (M-phase)
M-phase has an elastic area under low elastic limit and
plastic area caused by "twin deformation". It should be
noted that the mechanism of twin deformation completely
differs from that of regular plasticity based on the
dislocation. Though dislocation is a kind of slip
mechanism and non-reversible, twin deformation in S M A
is reversible one.
Based on above reason, the Mechanic of M-phase can be
described by the serial connection of elastic part and
plastic one with a limit strain of twin deformation. The
schematic model and stress-strain relationship are shown
in Fig.3(a)(b). Mechanical function is written in
following formula (5).
Om( E, Emp ) =
i EmE : I E I C I Emp + €my I (elastic arm)
EmEmY: I E I > I EmP + EmY I @laStiC area)
(5)
where EmY is a elastic limit strain (yield strain) of M-
4.3. Rhonbohedral Phase (R-phase)
Recently material scientists reported that basic mechanics
of R-phase is close to that of M-phase. Only the value of
material parameters are different. Therefore mechanical
property of R-phase also modeled by the plastic and elastic
part as shown in Fig4 (a)(b) and function can be written
in following formula (6).
Or( E , E P ) =

i Efi

EfiJ
: I E I < I ErP + E$' I (elasticarea)

: I E I > I ErP + EyY I blastic area)

(6)

where erY is a elastic limit strain (yield strain) of R-phase.

5.MODELING OF THERMOELASTIC
TRANSFROMATION
The model of "Thermoelastic Transformation" based on Fig.6 Model of Minor Hysteresis Function
thermodynamics with regard to phase transformation is
presented in following subsections.
5.1.Temperature Dependance of Transformation Where
One of the well known methods to analyze phase in cooling process
transformation is a DSC (Differential Scanning Tom = (Ms + Mf)D (9)
Calorimeter). The charts in Fig.5 are obtained by this
method. These curves mean variation of the heat capacity
-
km = 6.20/(Ms Mf) (10)
in heating process
with regard to temperature variation. Since integration of Tom = (As + AfY2 (11)
this curve is similar to transformation ratio-temperature km = 6.20/(Af - As) (12)
curve (R-T curve), transformation function can be The coefficients in formulas (10)(12) was determined by
described by the function whose first order differential is adapting transformation temperature obtained from DSC
resemble to the shape of DSC chart. chart in Fig.S(a) and that from logistic function model in
On this account, the "Logistic curve'' was used in order Fig.5(b).
to simulate M-phase and R-phase transformation The hysteresis pass goes into the major loop by the
characteristics as shown in Fig.S(c) and was expressed in heating and cooling within transformation temperature
(7). area ( Mf < T < Af ). This pass inside the major loop is
R(T) = 1/ ( 1 +exp[k( T - To)]) (7) called minor hysteresis loop and there is little knowledge
nor data on this loop in material science on SMA
5.2.Generalized Transformation Hysteresis unfortunately. Therefore authors assumed that the the
Model shape of minor loop is similar to that of major loop as
The transformation between P-phase and M-phase has shown in Fig.6. The formulas (13) means the function
some temperature hysteresis whose span is from 20 to for minor hysteresis loop.
50 I&]in case of TiNi. The major loop of this hysteresis Rm(T) = Rmd { 1 + expFm( T - Tom 11) + Rmb (13)
accompanied with heating and cooling can be described by The between R-phase and P-phase can be negligible
equation (8) following formula (7). because that hysterisis is much smaller than several
degrees.

R
U

Temperature ____i___
Temperature
(bl
Fig. 5 Temperature Dependance of SMA and Modeling
(a) DSC Chart of Typical S M A
(b) Relationship between Phase Transformation and
Temperature
(c) Logistic Function Simulating Phase Transformation

105
 ..., , ,

5.3. Competitive Relationship of M-phase and
R-phase
It became to know from material science that R-phase
transformation and M-phase transformation was
competitive. If the Ms (i.e. start temperature of M-
transformation from P-phase) is higher than M,' (i.e. start
temperature of R-transformation from P-phase), R-phase
can not appear because R-phase is masked by M-phase.
Moreover R-phase transformation is not complete when
Ms' is very close to Ms. Therefore this competitive
relationship was modeled by following formula (14).
Rfl) = (1 - R m O ) / { 1+ e x p M T - Tor 11I (14)
Where
Tor = (Mi + MO/'-?
km = 6.20/(M,' Mi) - (16)
5.4. Stress Dependance of Transformation
It is known that "Clausius-Clapeyron like relationship"
between stress and the transformation temperature
expressed in (17).
The left part of above formula (17) corresponds to the
gradient of the transformation lines such as Mf, M i , Mf
and M i in Fig.7(b).
---
I d a
C-m
(18)
Since the formula (17) can be rewritten as (18), the stress
dependance of the transformation temperatures can be
expressed by generalized temperature. (T-co)instead of T.
It should be noted that stress 6* which can contribute
shift of transformation temperatures does not depend on
the direction of stress macroscopically. Therefore a* can
be expressed by following formula (19) modified from
formula (2)
(15) O* = R la E I + Rmbm(&,EmP)I+ Rrbr(&,ErP)I (19)
9 6,)
Fig.7(a) IS a Stress-Temperature Diagram" of typical
TiNi annealed at low temperahre and the gradients of M-
phase and R-phase transformation are expressed as l/cm
and l/Cr respectively. Therefore basic formulas on the
transformation ratio including the effects of both stress
and temperature can be expressed as (20) and (21).

where p ;.density, AH; latent heat

TO; Innsformation temperature under no stress
k,s t m n due to phase transformation
B2i
[I- Rm(T,o*)l/ { 1 + exp[kr( T - Tor -cp*)l I (21)
where the value of km and Tom should be adapted by
formula (9)( 10) in decreasing process of (T-ca*) and by
formula (1 1)(12) in increasing process. Above
relationship is also available in shear stress fields.

BZ+SIR 6. MODELING OF RESISTIVITY

Fig.8 shows schematic pass of resistivity in cooling and
n heating process. The temperature coefficient of both P-
: 200- phase and M-phase are positive values and that of R-phase
U is almost zero.
Therefore resistivity characteristics of threephases are
2100-
c B2 modeled in next formulas.
L
20 40 60 80 100
Temperature I T ] rm = CmlT + Cm2
The typical values on TiNi alloy are presented in Fig.8.

7. SMA COIL SPRING THEORY

"Three phase SMA model" will be extended to shear
400r
' I / /
stress fields and applied to SMA coil spring theory.
7.1. Basic Assumptions
SMA coil spring theory is based on following three
assumptions.
1) The stress inside the spring wire is induced by simple
twist
2) The tensile stress-strain relationship of SMA is also
available in shear slress-strain relationship
3) The resistivity characteristic is similar to tensil stress
field

7.2. Formulation of SMA Coil Spring Theory

Based on above assumptions, three phase SMA model
Temperature I'C] enable us to derive both mechanical and electrical
Fig.7 Stress-TemperatureDiagram of TiNi Annealed at Low characteristic of SMA minute element. The both
Temperature characteristicsare expressed by next functions.
(a) Experimental Diagram 'c = 'c (7. T ) (25)
(b) Schematic Diagram P = P (1: T ) (26)
These formulas allow to derive Load@)-Deformation(d)-
Temperature(T)-Resistivity(p)characteristics. Following
-formulascan be derived by using assumptions (2) and (3)
and linear coil spring theory.
7.3. Numerical Calculation
In order to calculate numerically, integral in (27) and (29)
are approximatedby trapezoid method as below.
N- 1
i Fig. 9 Experimental Apparatus for Simultaneous
Yi = YS (i=1,2, N) (32)
The characteristics of whole SMA coil spring is described
by summing behavior of thin concentric circle elements
around the center axis.
8. ESTIMATION OF MATERIAL VALUES
The material values and parameters for three phase SMA
model are conformed in this section.
8.1. Mechanical Parameters
Young's modulus (Gp,Gr,Gm), yield shear stress (tmY,
try) due to twin deformation were referred from the
experimental data in the references.
P-phase : Gp = 2.3 x l d [ m a l
R-phase:
Gr = 1.5 x l d [MPal ~,Y=250[MPa]
M-phase: Gm = 2.0 x l d [ m a l TmY = 1OO[Mpal
8.2. Electrical Parameters
The resistivity of three phases were measured as
mentioned in section 6.
pp = 8 x 10-4T + 0.76 [lO1OQ]
Pr = 0.98
Pm = 7 x 10m4T+ 0.87
8.3. Thermodynamical Parameters
As described before the Clausius-ClapeyronLike equation
enable us to convert stress effect into the temperature
factor. It is reasonable that this useful equation is
available similarly in the shear stress field. Hence
generalized temperature can be expressed as (T - a*).As
a result, former formulas (19)(20)(21) can be written as
following formulas.
T* = Rp I Tp (Y) 1 + Rm 1 Tm (Y,YmbI
+ Rr I Tr (Y.9 ) I (33)
Rm (T, t*) = h a / { 1 + exp [km ( T - Tom - cmT* )I1
+Rmb (34)
Temperature
Fig.8 Temperature Dependance of Resistivity for TiNi
Measurement of S M A Coil
Rr (T, T*) = [ 1 - Rm (T, T*) ] / [ l + exp [kr ( T - Tor -
crT* 111 (35)
The stress coefficient (Cm, Cy) in above formulas
depend on SMA and are estimated by stress-temperature
diagram in Fig.7(a)(b). By using this diagram cmz0.23,
c , 4 . 8 S w a ] were obtained. Other parameters such as
km, Tom were also calculated from transformation
temperatures of Fig.7. The formulas (9)(10) in cooling
and (1 1)(12) in heating are utilized.
Now all of the formulas and parameters required for
three phase SMA model were obtained.
9.EXPERIMENTAL EVALUATIONS
In order to evaluate three phase SMA model and SMA
coil spring theory, several experiments were conducted.
Experimentaldata measured under many conditions were
compared with corresponding simulation results.
9.1. Verification Experiments
The experiment Set up is shown in Fig.9. Main
apparatus is a small desk-top tensile testing machine
which can elongate SMA coil spring set in the water bath
where temperature was controllable precisely. The
deflection, load, resistivity and temperature of SMA coil
spring are measured simultaneously. The control of the
experimental process and the storage/analysis of data are
done by micro computer system.
The specifications of the tested SMA coil spring are
as follows;
1) wire diameter d =0.2 [mml
2) coil diameter D = 1.6 [mml
3) turns of coil n = 45
4) initial length 1 = 18 [mm]
5) anneling 350 [OC1-2.5 [hl
6) material T N (50.2at%Ni)
 The tensile testing of SMA under fixed temperature
condition was conducted. As shown in the Fig.lO(a)(d)
shear stress-strain (7'-y') curve and electric resistance-
shear stress (r-7') curve were obtained at a fixed
temperature U). The similar measurements were done
under five fixed temperatures such as ( 32.41,55,65,80
[OCI ) and the results are shown in (1) to ( 5 ) of Fig.10.
The shape of the each (r'-y?curve and (r - -f) curve
are varying drastically depending on changing of fixed
temperature.

9.2. Simulation and Discussion

Several simulation results by using three phase SMA
model are plotted in Fig. 10 (b) (e). By comparing with
simulation and experimental results, the stress-strain (TI-

v) characteristics and the electric resistance-stress (r f) -

show very good matching even though the (r - y) curves
have some error. These small error should be defused by
improving the hysteresis submodel.
The additional simulation results shown in Fig.10 (c)
means stress distribution inside the SMA coil spring wire
in the loading and unloading process. Fig.lO(f) simulates
the volume fractions of each phase in SMA coil wire at
the highest load in (a). Please note that these simulation
data in (c)(f) telling detail states inside the SMA wire are
not measurable easily.
10. CONCLUSION
New mathematical SMA model SO called the Phase
model was constructed by combining variable sublayer
m&l of each phase and thermodynamics of the Phase ,.n,
transformation. The model and S M A coil spring theory
were verified successfully by experiments. As a future
direction, both the improving theoretical model and
combining with FEM should be expected to realize the
SMA-CAD for micro devices.

Bfssuuu
[I] K.Ikuta. M.Tsukamoto.S.Hirose. " Shape Memory Servo
Actuator Systsm with Electric Resiatnce Feedback and Its
Application to Active Endoscope", Proc. of IEEE
International Conference on Robotics and Atomation.
Philadelphia, pp.427430.1988
(Z]K.Ikuta,M.Fujita,M.lkeda,S.Y amashita."Crystallograhic
Analysis of TiNi Shape Memory Thin Film for Micro
Actuator". Proc. of IEEE International Workshop on MEMS-
90,Napa Valley, pp.38-39,1990
[3]K.Ikuta, "Micro/Miniature shape Memory Alloy
Actuator", Proc. of IEEE International Conference on
Robotics and Atomation. Cincinnati. pp.2156-2161,1990
[4]P.Wollanls. M. Dente, J.R.Roos, "Thermodynamic
Analysis of the Work Performance of a Martensitic
Transfromation Under Stressed Conditions". ZMetalkde.
bd.70, H e N . pp.146-151, 1979
[5]F.Falk. "Landau Theory and Martensitic Phase
Transitions", J. De Physique, Colloque C4,No.12, Tome 43.
pp.C4-3/15. 1982
[6]S.HLose.K.Ikuta. Y .Umetani. "A New Design Method of
Servo-Actuators Based on the Shape Memory Effcct", Proc.
1...,/
of 5th RO.MAN.SY-84 Symp. Udine. Italy. in the book
"Theory and Practice of Robotics and Manipulaters". MIT
Press , pp.339-349, 1984
[7]K.Ikuta. "The Study on the Shape Memory Alloy Servo Fig.10 Comparison between Experimental
Actuator", Doctral Dissertation to Tokyo Institute of Results and Simulated one under Several
Technology, 1981 Constant Temperature Conditions

108