Energy Transformation Effects

Introduction
This section discusses various energy transformation effects that are relevant in
microsystem applications. The effects are classified into four groups based on the energy
form to/from which the electrical energy is transformed. Some of the effects occur only
in one direction but some of them, piezoelectric effect for example, are bidirectional. The
effects are categorized as mechanical, magnetic, thermal and radiation. The main
emphasis is placed on mechanical and magnetic effects.

Mechanical Effects
The effects categorized in this group either provide an electrical signal because of a
mechanical quantity (strain, e.g.) or generate physical deformation when subjected to an
electrical field. The former effects are utilized in sensor applications whereas the latter are
used for actuation.
PIEZOELECTRIC EFFECT
Introduction
The piezoelectric phenomenon was first observed by Curie brothers in 1880. They proved
that certain types of crystals develop an electrical charge when exposed to mechanical
stress. Conversely, the application of an electric field to a piezoelectric crystal leads to a
physical deformation of the crystal. In the 1950s piezoelectric ceramics such as barium
titanate and lead zirconate titanate (PZT, PbZrO3-PbTiO3) were discovered. Piezoelectric
ceramics must undergo a polarizing process for the piezoelectric phenomenon to occur.

, Energy Transformation Effects

The piezoelectric effect requires that the crystal structure must be asymmetric, i.e. there
is at least one axis in the crystal that does not have a centre of symmetry [1].
Piezoelectric elementary cells
To understand the piezoelectric effect in ceramics, the behaviour of the material must first
be considered in microscopic scale, i.e. the behaviour of the elementary cell of the
material. Piezoelectric ceramics are ferroelectric materials. Above a certain temperature,
called the Curie temperature, the crystal structure have a centre of symmetry and therefore
no electric dipole moment, see Figure 3.1a, where the elementary cell of PZT is shown
[2]. Above the Curie temperature the elementary cell is cubic (three crystal axes have
same lengths) and a positively charged Ti/Zr ion is centered on the lattice. This is called
a paraelectric state. Below the Curie temperature the crystal structure undergoes a phase
change into the ferroelectric state where the structure is not symmetric. The positively
charged Ti/Zr ion travels from its central location forming tetragonal structure (one axis
is longer than the other two), Figure 3.1b. The electrical imbalance causes a built in
electric dipole. If a large external field is applied to the cell, the Ti/Zr ion shifts in the
direction of the field as shown in Figure 3.1c. The ion does not return to its original
position when the field is removed resulting in elongation to the direction of the field.
When an external field is again applied to the elementary cell, the electric imbalance
becomes larger and the cell elongates further, Figure 3.1d.

a)

b)

c)

d)

Figure 3.1. Behaviour of the PZT elementary cell [2]. a) Elementary cell above Curie
temperature, i.e. no electric dipole, b) elementary cell below Curie temperature, i.e.
generation of the electric dipole, c) turning of the electric dipole using external electric
field, d) elongation of the elementary cell by external electric field.

, Energy Transformation Effects

Piezoelectric ceramics
As macroscopic point of view, molecular dipoles align within small areas, domains,
forming large dipole moments. The piezoelectric ceramics consists of many such
domains. The domains are randomly oriented and therefore the net external electric dipole
is zero, Figure 3.2a. If the piezoelectric ceramics is subjected even once to a large electric
field (poling), the domain dipoles align in the direction closest to the field. Because of the
random original orientation of domains, it is not possible to get perfect dipole alignment
with the field. However, each domain can have several allowed directions and therefore a
reasonable degree of alignment can be achieved. Due to the alignment of the domains, the
material elongates in the same direction, as shown in Figure 3.2b. When voltage is
removed, the domains do not entirely return to their original positions, i.e. the material
remains partially polarized. The strain resulted from the partial polarization is called
remanent strain. Due to the poling, the material has become permanently piezoelectric and
can convert mechanical energy into electrical and vice versa. After poling, if electric field
is applied, the material elongates in the direction of the field Figure 3.2c.

a)

b)

c)

Figure 3.2. Behaviour of piezoceramic material. a) Non-polarized state, b) polarized

state, c) electric applied after poling [2].
Piezoelectricity involves the interaction between the electrical and mechanical behaviour
of the material. This interaction has been approximated by static linear relations between
two electrical and mechanical variables [1]:
E

S = s T + dE
T

D = dT + E

(3.1)

where S is the strain tensor, T is stress tensor, E is the electric field vector, D is
electric displacement vector, sE is the elastic compliance matrix when subjected to a

, Energy Transformation Effects

constant electric field (the superscript E denotes that the electric field is constant), d is
a matrix of piezoelectric constants and T is the permittivity measured at constant
stress.
The piezoelectric effect is, however, non-linear in nature. The hysteresis that is not
included in the above model has been approximated using numerical methods for
example. Dynamics of piezoeletric actuators, for example have also been studied.
PIEZORESISTIVE EFFECT
In piezoresistive effect the relative change in resistivity is proportional to the mechanical
stress. The resistance R of a wire having length l, cross-sectional area A and resistivity
is [4]
l
R = ----A

(3.2)

Applying the total differential theorem to (3.2) leads to

R
------- = l
----- A
------- +
------R
l
A

(3.3)

The fractional change in area for homogeneous material is approximately related to the
fractional change in length via Poissons ratio:
R
------- ( 1 + 2 ) l
----- +
------R
l

(3.4)

Equation (3.4) describes how the fractional change in resistance depends on the strain
l l and a piezoresistive term. The piezoresistive effect is utilized in many mechanical
microsensors, such as force, pressure and acceleration sensors.
ELECTROSTATIC EFFECT
When a voltage U is applied across two parallel conductive plates, energy is stored in the
capacitor and it is given by [5]:
1
W = --- CU 2
2

(3.5)

A
where U is the operating voltage, C is capacitance C ( z ) = --- , is dielectric
d
constant, A is the area of an electrode and d is the distance between the electrodes.
The origin of the electrostatic actuation lies in the Coulombic force, i.e. the attractive
force between two conductive plates having opposite charges. When a voltage is applied
between the plates, the attractive force FN is exerted on the plates:

, Energy Transformation Effects

1
U 2
F N = --- A ----
2
d

(3.6)

Figure 3.3 shows a parallel plate structure driven by normal forces.

FN

+e

+e

+e

-e

-e

-e

FN
Figure 3.3. Normal force between parallel plate capacitors [6].
When the electrodes are shifted by a distance x, a tangential force tends the realign the
electrodes, see Figure 3.4.
1 U2
FT = --- w ---- ,
2 d

(3.7)

where is dielectric constant, w is the width of the electrode, d is the distance between
the electrodes and U is the operating voltage.
FT
U
x

FT

Figure 3.4. Tangential force between parallel plate capacitors [6].

The generation of normal an tangential forces by applying voltage is utilized in actuation.
The change of capacitance between the conductive plates is also utilized in many
mechanical microsensor applications. When pressure, for example, is applied to the other
metal plate, the distance between the two plates and thus, the capacitance changes. The
pressure value can be calculated based on the measured capacitance change.

, Energy Transformation Effects

ELECTROSTRICTIVE EFFECT
Electrostriction refers to deformation of the material in an electric field. Similarly as
piezoelectric effect, electrostriction occurs in ferroelectric materials but in contrast to the
piezoelectric effect, it does not require asymmetric crystal structure. Electrostriction
applications are in actuation
ELECTRORHEOLOGICAL EFFECT
Introduction
Electrorheological (ER) fluids (also called dielectric fluids) can change state from liquid
to solid when an electric field is applied. Depending on the strength of the electric fluid,
the electrorheological fluid acts like water, honey or solidified gelatin [7]. In 1939 Willis
Winslow discovered that when he applied a voltage across a certain corn oil, it solidified.
When the voltage was removed, it returned to its liquid state. Winslow obtained the first
patent on these liquids in 1947 but no commercial prototypes were began to be developed
before the 1980s [8].
Electrorheology
Electrorheological fluids consist of micro-sized particles suspended in non-conducting
liquid, such as mineral oil or silicone oil. The particles range in size from 1 to 100 m and
typically make up 10 % to 40 % of the total volume [8]. The effect can be produced by
applying an electric field of 1000 volts/mm to the fluid, i.e. by placing the fluid between
two electrodes one millimeter apart and charging the electrodes with 1000 V. When an
electric field is applied, the positive charged protons of a particle will be attracted towards
the negative electrode and the negative charged electrons towards the positive electrode.
This makes each particle electrically polarized. Polarized particles begin attracting
neighboring particles resulting particle chains. Chains, in turn, combine to thicker
columns as shown in Figure 3.5. As the net of parallel chains aligns along the field lines,

, Energy Transformation Effects

the fluid flow is inhibited, i.e. the solidification results from the formation of the chains.
The fluid, however, does not become a rigid solid material.

Figure 3.5. Simplified model of the electrorheological effect [2].

Properties
An advantageous feature of electrorheological fluids is that they respond very quickly:
they can switch from a liquid state to a solid state only in 0,1 to 1 millisecond.
Furthermore, ER fluids benefit from simple design, since no additional mechanical parts
are needed. In order to make ER fluids widely applicable to commercial products, the
electrorheological effect and the stability of the liquid must be improved. Furthermore,
the range of operating temperatures and the strength in the solid state should be increased.
Applications
ER fluids have applications in mechanical clutches, vibration absorbers, valves, etc.
Especially automotive industry have been interested in ER technology which enables
components with no moving parts. Many automobile manufacturers are working with
prototypes on clutches, brakes, dampers and active suspension systems.

Magnetic Effects
HALL EFFECT
When an electron (the most often used carrier in practise) moves in a conductor sheet in
the presence of a magnetic field, the moving electrons experience a magnetic force, a so
called Lorentz force. The Lorentz force is perpendicular to both the velocity and the
magnetic field vectors and it is given by
F = e(v B)

(3.8)

, Energy Transformation Effects

where e is the electron charge, v is the average (drift) velocity of the electrons and B is
the magnetic field flux density.
The Lorentz force rotates the current flow lines (the electron motion) through the Hall
angle H. The deflection of the electrons results in an electric field EH which, in turn,
exerts a force on the moving electrons equal and opposite to that caused by the Lorentz
force. The relation between the Hall electric field and the magnetic flux density can be
written in scalar notation as:
E Hy = v x B z

(3.9)

Hall devices exploit this so called Hall effect discovered by E.H. Hall in 1879. Figure 3.6
depicts a general layout of a plate-like Hall sensor [4] that is used to detect changes in
magnetic field. The voltage VH (Hall voltage) across the width of the conductor can
simply be computed as:
V H = E Hy w

(3.10)

where w is the width of the plate.

Figure 3.6. Schematic diagram of a Hall element [4].

MAGNETORESISTIVE EFFECT
In magnetoresistive effect, the resistance of a semiconductor changes in the presence of
magnetic field. Similarly as the Hall effect, the magnetoresistive effect is caused by the
Lorentz force which rotates the current lines by an angle H. The deflection of the current
paths leads to an increase in the resistance of the semiconductor [4]. For small angles of
H the resistance R is:
2

R R 0 ( 1 + tan H )

(3.11)

The magnitude of the resistance change depends on the shape of the sample: the
magnetoresistance effect is best seen in samples being short but wide. The applications
are in magnetic sensors.

, Energy Transformation Effects

MAGNETOSTRICTIVE EFFECT
The phenomenon of magnetostriction refers to magnetically induced shape change in
ferromagnetic materials. The change in length in response to an applied magnetic field in
materials such as nickel is sometimes called the Joule effect (1847). Magnetostriction is
utilized in actuation.
MAGNETORHEOLOGICAL EFFECT
Magnetorheological (MR) fluids are suspensions of micron-sized, magnetizable particles
in oil. Their flow rate may be varied in milliseconds by the application of a magnetic field.
MR fluids are the magnetic analogs of electrorheological fluids, see Section Mechanical
Effects.

Thermal Effects
The Seebeck effect, the pyroelectric effect and the thermoresistive effect are utilized in
sensor applications. Actuation can be produced with the help of the thermoelastic effect
and the shape memory effect. Peltier effect is used in cooling and heating applications.
SEEBECK EFFECT
When a circuit consists of two different materials (e.g. copper and iron) and the junctions
are held at different temperatures, an electrical current will flow between the junctions.
Figure 3.7 shows a circuit where a junction of two dissimilar materials is held at the
temperature TA and the other at the temperature TB. A thermoelectric potential V is
generated across the junctions. As V depends on the temperature difference, the Seebeck
effect can be used for temperature measurement. A common thermocouple utilizes this
principle.

Figure 3.7. Basic circuit of a thermocouple temperature sensor [4].

, Energy Transformation Effects

10

PELTIER EFFECT
The Peltier effect, named according to a French physicist Jean Peltier (1785 1845), is
reversible to the Seebeck effect, i.e. a current applied to an electric circuit made of two
dissimilar materials, results in either cooling or heating effect depending on the current
direction. The Peltier effect is utilized in thermoelectric heating and cooling systems.
THOMSON EFFECT
The Thomson (Kelvin) effect according to William Thomson, i.e. Lord Kelvin (1824
1907) is the third thermoelectric effect. In Thomson effect two dissimilar materials are
not needed but a current passed along a conductor, when a temperature gradient is
maintained, results in either generation or absorbance of additional heat (in addition to
Joule heat). The Thomson effect has not yet been of practical importance.
PYROELECTRIC EFFECT
Pyroelectricity is the variation of electric charges on the surface of a polarized crystal
when it is heated. The increase in temperature reduces the polarization of the crystal
increasing its output voltage until the surface charge is once again balanced. When the
surface charge is balanced the output voltage has reduced back to the original level, see
Figure 3.8. When the temperature reduces a reverse signal is observed, i.e. the output
voltage decreases. All pyroelectric materials are piezoelectric but the converse is not true.
The main applications of the pyroelectric effect are in the human motion detection and fire
detectors.

Figure 3.8. Principle of pyroelectric radiation microsensor [4].

THERMORESISTIVE EFFECT
Thermoresistivity refers to the variation of electrical resistivity of metals and
semiconductors with temperature. The effect has been used in metal thermoresistors and
thermistors (semiconducting thermoresistors made from ceramic materials) to measure

, Energy Transformation Effects

11

temperature. For metals the resistivity can be well approximated by a second order
polynomial [4]:
2

0 ( 1 + T + T )

(3.12)

where 0 is the resistivity at a standard temperature of 0C and and are material

constants.
The resistivity of a thermistor is normally expressed by
= ref exp [ ( 1 T 1 T ref ) ]

(3.13)

where ref is the resistivity at a reference temperature and is a material constant.

THERMOELASTIC EFFECT
Thermoelastic effect refers to the thermal expansion of a material, i.e. the volume of a
material changes when it is heated or cooled. Thermoelastic effect is utilized by
thermomechanical actuators bimetallic actuators, for example [2].
SHAPE MEMORY EFFECT
Introduction
Shape Memory Alloys (SMAs) are metallic materials that have an ability to remember
their original shapes. The shape memory effect was discovered in various copper alloys
in the mid 1950s. In the early sixties, Buehler et. al. [10] at the Naval Ordnance
Laboratory found the shape memory effect in nickel-titanium (NiTi) alloys. A number of
other alloys have been investigated since then but NiTi and a few of the copper base alloys
are presently the most widely used and commercially exploited shape memory alloys [11].
Shape Memory Effect
The shape memory effect refers to a phenomenon where material deformed in the room
temperature can be returned to its original shape by heating. The shape memory effect
results from the fact that a Shape Memory Alloy has two states, austenitic and martensitic,
between which its metallurgical structure can be transformed. At temperatures below a
transformation temperature Mf, the SMAs are martensitic and at temperatures above a
transformation temperature Af they are austenitic. In martensitic condition SMAs are soft
and can be deformed quite easily, whereas the austenite is like any metal and has a high
strength. The austenitic shape can be stored into the memory of the material in a
tempering process.
When a deformed martensite is heated above the temperature As the phase change
between the martensitic and austenitic states starts, see Figure 3.9. The material has

, Energy Transformation Effects

12

reached its austenitic state at temperature Af. At this temperature the material reverts to its
original shape, i.e. the shape stored into the memory over the tempering process. By
cooling down, the material can be transformed to the martensitic state again (phase
change starts at temperature Ms and is over at temperature Mf). In martensitic state the
material does not return to the deformed martensitic shape, see Figure 3.10. This is,
therefore, called a one-way-effect. By certain special treatments the SMA exhibits a twoway-effect, i.e. it can be made to remember two different shapes between which it is
switched. The two-way-effect offers more application possibilities but it provides smaller
recoverable strain.

Strain

Mf

As
100%
austenite

100%
martensite

Ms Af
Temperature
Figure 3.9. Temperature hysteresis curve of the shape memory effect. According to [9].

= strain

Figure 3.10. Schematic presentation of the SMA effect [2].

Figure 3.11 shows tensile curves of NiTi alloy in the martensitic and austenitic conditions
[9]. The martensitic curve has two yield points. Upon exceeding the first point, the

, Energy Transformation Effects

13

martensite enters the plateau region where the material is easily deformed to several
percent strain with only a little increase in strain. After that stress increases rapidly with
further deformation until the martensite exceeds the second yield point. The elongation
further than the second yield point permanently deforms the material, i.e. it cannot be
recovered to the original shape by heating. The austenitic curve shows more usual
behaviour, i.e. remarkable stress is required to deform the alloy.

Stress

Austenite

Martensite

Strain
Figure 3.11. Tensile behaviour of the martensite and the austenite [9].
Free and constrained recovery
The shape memory effect can be used to generate motion. Suppose a straight SMA wire
fixed at one end. The wire can be easily deformed at the room temperature and stretching
it generates an elongation that remains even in the unloaded condition. When the wire is
heated above the transformation temperature, it shrinks to its original length. As no load
is applied, this is called free recovery. Cooling below the transformation temperature does
not change the length of the wire (one-way effect). If the stretched wire is prevented from
returning to its original length when it is heated above its transformation temperature, the
wire can generate considerable force. This so called constrained recovery can be utilized
in actuator applications. If the wire can overcome the opposing force it will do work, i.e.
upon heating it can lift a weight, for example. When the wire is cooled, the weight will
elongate now the martensitic wire and thus reset the system.
Properties
As can be seen in Figure 3.9 the transformation from martensite to austenite does not take
place at the same temperature as the transformation from austenite to martensite.
Consequently, there exists hysteresis in the heating and cooling behaviour of the shape
memory alloys. Depending on the alloy composition and the way it has been processed,
the transformation temperatures and the shape of the hysteresis loop vary. The basic
binary NiTi alloy has its transformation temperatures between 50C and 110C with the

, Energy Transformation Effects

14

width of the hysteresis loop of 25C and 40C. Copper-base alloys have transformation
temperatures even up to 200C with a hysteresis loop between 15 and 20C [11]. The
recoverable strain of a copper-base alloy showing one-way-effect is about 4%, whereas
that of the NiTi alloys is 8,5%. NiTi alloys having two-way-effect produce a maximum
strain of 5 %. Shape memory alloys generate high forces, even more than 100 MN/m2, but
they are slow because especially cooling takes time.
Applications
Shape memory alloys are mainly proposed for actuation purposes. Some examples are
couplers to join hydraulic lines, tweezers for picking miniaturized objects, active catheters
to navigate through blood vessels, miniaturized robots for pipe inspection, etc. More
detailed descriptions of SMA applications will be given in Chapter 5 of the course book.

Radiation Effects
The change in electrical quantities because of radiation refer to photoelectric effects that
are utilized in sensor applications. The three photoelectric effects, i.e. the photoemissive,
the photoconductive, and the photovoltaic, are briefly discussed in the following sections.
PHOTOEMISSIVE EFFECT
In the photoemissive effect, radiation striking the prepared surface of a metal or
semiconductor imparts sufficient energy to the electrons such that they are emitted from
the surface into space. The kinetic energy of an electron is related to the energy of the
incident photon. In a photoelectric cell operating by this principle, the emitted electrons
are collected by a positive electrode. Under the influence of an applied voltage they create
an electric current linearly proportional to the incident light intensity.
PHOTOCONDUCTIVE EFFECT
In photoconductive effect light striking the photoconductive material reduces its
resistance. Photoconductive cells are sometimes called as light-dependent resistors.

, Energy Transformation Effects

15

Figure 3.12 shows the basic structure of a photoconductive cell. The effect has been
utilized in radiation sensors (in light switches, for example).

Figure 3.12. Basic structure of a photoconductive cell [4].

PHOTOVOLTAIC EFFECT
Photovoltaic effect refers to the phenomenon where the energy of photons is transformed
to electrical energy. When radiation is applied to a semiconductor sheet, photons make
electrons flow in one direction across a junction, generating a voltage. Photovoltaic effect
has been utilized in radiation sensors applications (photodiodes) but also in solar cells to
produce electrical energy from the sun light.
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1.

Randeraat, J. & Setterington, R.E. Piezoelectric Ceramics. London, UK. Mullard

Limited, 1974, 211 pp.

2.

Tokin Corporation. Multilayer Piezoelectric Actuator. Users Manual.

3.

Fatikow, S. & Rembold, U. Microsystem Technology and Microrobotics. Berlin,

Germany. Springer-Verlag, 1997, 408 pp.

4.

Gardner, J.W. Microsensors: Principles and Applications. Chichester, England. John

Wiley & Sons, 1994, 331 pp.

5.

Fearing, R.S. Micro-Actuators for Micro-Robots: Electric and Magnetic. Tutorial on

Micro-Robotic Principles and Applications. 1995 IEEE International Conference on
Robotics and Automation. Nagoya, Japan, May 1995, pp.4 10.

6.

Fukuda, T., Fujiyoshi, M., Kosuge, K. & Arai, F. Electrostatic Micro Manipulator
with 6 D.O.F. IEEE/RSJ International Workshop on Intelligent Robots and Systems,
IROS91. November 1991, pp. 1169 1174.

7.

Halsey, T.C & Martin J.E. Electrorheological Fluids. Scientific American, October
1993, pp. 42 48.

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16

8.

Tolu-Honary, A. & Court, M. Update on ER fluids. Hydraulics and Pneumatics,

January 1994, pp. 133 137.

9.

Stckel, D. Status and Trends in Shape Memory Technology. Actuator92, 3rd

International Conference on New Actuators. Bremen, Germany, June 1992, pp. 79
84.

10. Buehler, W.J., Gilfrich, J.V. & Wiley, R.C. Journal of Applied Physics, Vol 34, 1963,
pp. 1475
11. Hodgson, D.E., Wu, M. H. & Biermann, R.J. Shape Memory Alloys. http://www.smainc.com/SMAPaper.html, August 1997.