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An Overview of the Properties and Industrial Applications of Shape Memory

Alloys

Conference Paper · November 2018

DOI: 10.1109/ISFEE.2018.8742410

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 An Overview of the Properties and Industrial
Applications of Shape Memory Alloys
Sonia Degeratu, Member, IEEE, P. Rotaru, I. Boncea, D. Tarnita and L. Alboteanu
 In addition, SMAs display high mechanical strength, great
Abstract— In shape memory alloys (SMAs), the thermoelastic
martensitic transformation between austenite and martensite
phases leads to the appearance of the shape memory effect and
super-elasticity. In addition, these alloys present high mechanical
strength, great ductility, vibration damping property and
hysteresis behavior. All of the above-mentioned properties make
these alloys very promising for industrial applications and their
usage leads to the increase of productivity and efficiency of the
devices they pertain to. The purpose of this article is, on the one
hand, to increase the awareness of R & D engineers about the
existence and use of SMAs by describing and promoting the
unusual properties and effects of these materials and, on the
other hand, to outline some of their most promising industrial
applications.
Index Terms—Austenite, martensite, shape memory effect,
super-elasticity, industrial application
I. INTRODUCTION
T ODAY, the shape memory alloys (SMAs) are
increasingly used for their remarkable properties such as
the shape memory effect (SME) and the super-elasticity (SE).
SME can be defined as the ability of SMAs to be severely
deformed and then returned to their original shape simply by
heating them. SE represents the behavior of certain alloys to
return to their original shape upon unloading after a substantial
deformation has been applied [1]–[7]. These properties are due
to the particular deformation mechanisms given by the
existence of a martensitic phase transformation, between the
low temperature martensitic phase (M), and the high
temperature austenitic parent phase (A). In absence of stress,
the start and finish transformation temperatures are typically
denoted MS, MF (martensite start and finish) and AS, AF
(austenite start and finish). These transformation temperatures
vary according to the chemical content and the different
thermo-mechanical treatments applied to each alloy [4]–[8].
This work was supported by the Grant 7C/2014, awarded in the internal
grants competition by the University of Craiova.
Sonia Degeratu is with the Faculty of Electrical Engineering, University of
Craiova, Romania (e-mail: sdegeratu@em.ucv.ro).
Petre Rotaru is with the Faculty of Physics, University of Craiova,
Romania (e-mail: protaru@central.ucv.ro).
Irina Boncea is with the Faculty of Letters, University of Craiova,
Romania (e-mail: irina.boncea@yahoo.com).
Daniela Tarnita is with the Faculty of Mechanical Engineering, University
of Craiova, Romania (e-mail: tarnita.daniela@gmail.com).
Laurentiu Alboteanu is with the Faculty of Electrical Engineering,
University of Craiova, Romania (e-mail: lalboteanu@em.ucv.ro).
978-1-5386-7212-9/18/$31.00 ©2018 IEEE
ductility, vibration damping and hysteresis properties.
For the first time, the SME effect was observed by Arne
Olander in 1938 in an Au- Cd alloy [9], but it should be noted
that by the 1960s no serious progress had been made in SMAs
research.
Numerous SMAs have been discovered since the 1960s to
date, but the most used SMA is the Ni-Ti alloy, due to its
advantages over the others. In 1961, Buehler and his
co-workers at the U.S. Naval Ordnance Laboratory discovered
this alloy, commercially known as Nitinol.
The advantages deriving from the unique properties of
SMAs, which ordinary metals do not display, have made their
industrial applications to be numerous and in various
directions (e.g. in electric appliances, automobile devices,
robotics, aerospace, construction, electronics, storage and
retrieval of information, optics etc. [10] and [11]). These
diverse applications of SMAs have made them increasingly
important and visible to the world.
That is why, the purpose of this article is, on the one hand,
to increase the awareness of R & D engineers about the
existence and use of SMAs by describing and promoting the
unusual properties and effects of these materials and, on the
other hand, to outline some of their most promising industrial
applications.
II. GENERAL CHARACTERISTICS OF SMA
SMAs are smart materials characterized by a martensitic
phase transformation that takes place between two solid
phases called austenite (A) and martensite (M). This
transformation can be used to obtain interesting responses of
the SMA elements [12].
A, the ordered and stronger phase of SMAs, is stable at
higher temperatures, generally having a body-centered cubic
crystal structure (Fig. 1.b, planes {h} and {v}).
After cooling, the SMA A transforms into M with a
monoclinic or orthorhombic structure depending on the type
of transformation applied to the material [10]. In martensitic
structure, the atoms do not all tilt in the same direction, but
alternating rows of atoms tilting either left or right are formed.
The structure depicted in Fig. 1.b (the plane {k}) is called
twinned martensite (TM), because the atoms form mirror
images of themselves, or twins, through a plane of symmetry.
The TM has 24 variants, each with a different crystallographic
orientation [4]. When a stress is applied to one of the 24
variants of TM, it will deform as the twins are oriented so they
all tilt in the same direction (favored by stress), thus forming
detwinned martensite (DTM), as shown in Fig. 1.b, {k}→{u}. In
SMAs the stress required to reorient twins is relatively low.
Another crystallographic rhombohedral phase (R-phase)
can appears in some SMAs, due to the application of some
thermo-mechanical treatments. The occurrence of this
intermediate R phase, between A and M phases, leads to
changing the transformation path from austenite→martensite
into austenite→R-phase→martensite [13].
Further on, this section enlarges upon the most important
characteristics of SMAs, characteristics that underlie the
development of applications based on these materials.
A. One-Way Shape Memory Effect (OWSME)
OWSME can be defined as the ability of SMAs to undergo
shape change at low temperature and retain this deformation
until they are heated, at which point they return to their
original shape [5].
Fig. 1.a and Fig. 1.b, present an alternative way,
macroscopic and microscopic respectively, to observe the
OWSME. Initially, the SMA sample has only the austenitic
phase, at a temperature above AF, {h}. When cooling the SMA
sample, nothing happens until the MS temperature. Between
MS and MF temperatures the phase transformation begins, and
TM gradually replaces A, so that below the MF only TM we
have, {k}. It must be noted that, on macroscopic scale, the TM
phase has the same size and shape as the austenitic phase.
When a stress is applied to the TM, the structure will deform,
conducting on the appearance of the DTM, {k}→{u}. When the
stress disappears, the SMA sample remains with a residual
strain, changing its shape on macroscopic scale, {u}. The total
shape recovery (from the austenitic phase) occurs by heating
the SMA sample, {u}→{v}, when the reverse martensitic
transformation takes place (DTM → A) [14].
B. Two-Way Shape Memory Effect (TWSME)
It is possible to obtain a two-way effect whereby the shape
memory element will return to a low temperature shape upon
cooling, as well as to a high temperature preset shape on
heating, without any mechanical loading. This behavior, called
TWSME or reversible SME, is not an inherent property in
SMAs, but it is accomplished by applying some specific
thermo-mechanical procedures (training) [15].
TMSME is illustrated, on a macroscopic scale, in Fig. 2.
Initially, the trained SMA sample is in austenitic phase, at a
temperature above AF, {h}. When cooling the SMA sample, a
Fig. 1. OWSME: a) macroscopic view of the OWSME; b) microscopic
views of the OWSME.
Fig. 2. Macroscopic view of the two-way shape memory effect.
.
phase changes appears (A → M), which has the effect of
changing the shape of the sample, {k}, at a temperature below
the MF. When heating the SMA sample above AF, it supports
another phase transformation {k}→{u}, automatically recovering
its original shape, {u}. Another cooling return the sample to its
low temperature shape, {v}.
C. Superelasticity (SE)
SE or pseudoelasticity (PE) refers to the fact that above a
critical temperature, greater than AF and less than Md, it is
possible to store a significant amount of energy due to a large
reversible deformation. Md represents the temperature above
which stress-induced martensite can no longer be formed.
Now, let's consider a SMA sample subjected to a
mechanical load at a constant temperature above AF. The
stress-strain behavior (σε) is illustrated in Figure 3.a. When a
stress is applied to the sample with structure A, the response is
elastic only up to the point AI, when the martensitic
transformation (A → M) appears, which ends at point B. At
this point, the entire structure of the sample is composed of
DTM. When discharging between points B and C, the sample
exhibits an elastic recovery, and between the points C and D
the inverse martensitic transformation (M → A) occurs. From
point D, the sample, now with the austenitic structure, exhibits
an elastic discharge. When the loading / unloading process is
finished, SMA sample has no residual strain. The unloading
curve occurs at a lower stress due to transformational
hysteresis (i.e. energy is required to revert the entire structure
back to austenite) [14].
Fig. 3.b indicates the super-elastic effect on a macroscopic
scale. SE, that takes place under constant temperature
conditions, manifests through the occurrence, under the action
of a stress, of an unusually large reversible deformation
(similar to deformation obtained through the memory effect),
due to appearance the stress-induced martensite, with DTM
structure, {k}. When the material is unloaded, reverse
transformation takes place (DTM → A), the martensite
becomes unstable and the material returns to austenite and its
original shape, {u} [14].
Fig. 3. Super-elasticity: a) =stress-strain curve; b) Macroscopic view of
the super-elastic effect.
D. Damping capacity
During the damping process, the mechanical energy is
dissipated of into heat. All materials exhibit this property, not
only the SMAs. But SMAs exhibit the highest vibration
damping property of all metal materials, because of their
special micro structural behavior [5], [7]. This behavior is
linked to the existence of the numerous interfaces related to
the martensitic transformation: those between A and M, those
between the different variants of M, and the twin boundaries
inside the M itself. The damping is non-linear and frequency
independent, but it’s sensitive to temperature variations and
the antecedents of thermal cycling [5].
E. Hysteresis behavior
The hysteresis behavior of SMAS is a consequence of
processes occurring on the atomic scale. This hysteresis
behavior causes the transformation from A to M (the "forward
reaction") to take place within a temperature range below the
temperature range in which the transformation from M to A
unfolds. Hysteresis is generally defined as the difference
between the temperatures at which the material is 50 %
transformed to A upon heating and 50 % transformed to M
upon cooling. The absolute values of the transformation
temperatures and the hysteresis loop depend to a great extent
on alloy composition and processing [5] and [16].
F. R-phase
Some SMAs, especially near echiatomic NiTi alloys, may
have a pre-martensitic transformation, called R phase
transformation, as a result of applying some
thermomechanical treatments, such as: thermal/mechanical
cycling, aging, post-deformation annealing, etc. The R-phase
transformation, which is a second order transformation, shows
unique properties that attract a broad interest for practical
applications. These properties refer to: narrow hysteresis, high
fatigue life, capacity to generate recovery stresses with a fast
response to the temperature change, etc. [13].
III. APPLICATIONS OF SHAPE MEMORY ALLOYS IN INDUSTRY
Nowadays, the medical applications of SMAs are
numerous and dominate the market, because in this area
SMAs find a perfect environment with a narrow temperature
specification range from room to body temperature. However,
the industrial sector boasts a number of such applications (e.g.,
for couplings, fastening purposes etc.) whose large volume
production far exceeds the use of SMAs in the medical fields.
Due to their outstanding properties, SMA can be used in a
remarkable amount of non medical applications, and can
overcome many challenges in various sectors of industry (e.g.,
in aerospace field, particularly linked to control of vibration in
slender structures and photovoltaic panels, as well as
nonexplosive release component parts and systems [17]–[19]).
Since SMAs have numerous applications in the industry it
is particularly challenging to classify all their applications. In
the next section, SMAs applications will be categorized
according to the function of the SMA itself and taking into
account the SMA characteristic used in a specific application.
A. Applications relying shape memory effect
Applications in this category may be summarized as below.
1) Couplings
Couplings represent the utmost commercially successful
applications of SMAs, initially developed by Raychem Corp.
for hydraulic systems in Grumman F-14 (Fig. 4.a). The same
category features electric connectors for IC developed by the
same company.
The Ni-Ti-Fe Cryofit® aircraft hydraulic coupling were set
into production in 1969. Note, that only until 1989, over 1.5
million installations were using these couplings without a
single reported in-service failure. As a result, almost all of the
new military aircraft have specified these couplings as the sole
system allowed for hydraulic lines joining [20]. Their success
seems to stem from the systems’ simplicity and precision. The
Cryofit® coupling is a classic example used for easy
understanding of the constrained recovery applications. As
shown in Fig. 4.a, the hollow cylinder of cryogenic Ni-Ti-Fe
alloy with an internal diameter smaller than diameter of the
tubing is initially expanded and stored in the martensitic state
until assembly. After installation of the expanded coupling
onto the tubing, the coupling inner-diameter recovers its
original size and creates a strong joint with the tubing when its
temperature reaches the ambient temperature [3].
Then, other types of couplings have been developed and
that are now in production [20]: the Cryolive® demateble
coupling system, the various configurations of couplings for
the marine and commercial markets etc.
2) Fasteners
Other joining applications are the fasteners, to which, as
opposed to couplings, hermetic sealing may not be required.
For instance, a successful fastener was chosen, i.e. the
Ni-Ti-Nb Tinel Lock® ring used to fasten braided shielding
onto the rear of a connector (Fig. 4.b). Despite the existence of
alternative solutions to this technical challenge, memory rings
present the most extensive mechanical and electrical integrity.
The fastener applications vary from large rings used to join
segments of missiles, to small rings used to locate bearings on
a shaft [20].
3) Actuators
The SMA actuator, unlike any traditional actuator, has a
number of advantages, such as: great plastic deformation, the
extent of generated force, and the production of mechanical
work, high power-to-weight ratio, small size and mechanical
simplicity. Moreover, it needs no lubrication, is silent, has a
reduced number of moving parts and enables full control of its
functionality [21]–[26]. The numerous advantages that stem
from the SMA particular properties have made their actuator
applications as to be numerous and in various fields [10].
Fig. 4. Couplings and fasteners: a) Ni-Ti-Fe Cryofit® aircraft hydraulic
couplings; b) Ni-Ti-Nb Tinel Lock® ring used to fasten [20].
 Both electrical and thermal actuation systems rely heavily
on numerous SMA actuators in the form of wire, bands,
compression and extension springs.
SMA used for Thermal actuators function as both sensors
and actuators. Such application currently in production is a
Ni-Ti-Cu spring for the control of the door opening in a
self-cleaning oven. For a while, the Daimler Benz company
employed a similar spring to manage the transmission fluid
flow in an automatic transmission throughout the initial
warm up [3].
Another example is the Firecheck® valve, an industrial
safety valve actuated by a Ni-Ti-Cu spring (Fig. 5.a). If
subjected to a preset temperature, the valve is used for venting
the air valve or manifold which, in turn, manages the flow of
processing gases employed in the production of
semiconductors, thus shutting down the exhaust of toxic or
highly flammable gases. What this design allows is the
possibility to verify the operation of valve and to reset it for
use. Developed originally for the semiconductor industry,
nowadays these valves are heavily utilized in petroleum and
petrochemical plants that present permanent fire hazard [3].
In the offshore oil industry G. Song et al., in [27] review the
recent development and application of SMAs. It is known that
the offshore oil industry has increased extensively in recent
years due to the high demand for oil around the world. Due to
their remarkable properties, SMAs seem to gain increasing
importance in the oil industry. The devices based on SME
have the potential to be a lighter, solid state option to
traditional systems employing hydraulic, pneumatic or motor
based actuators. The SMA display potential in deep-water
valves, underwater connectors, seals and self-torqueing
fasteners. Furthermore, G. Song et al. have pointed out that:
“SMA actuators remain better options for low frequency
operations due to a high-power density, a high fatigue life and
controllable actuation as compared to their traditional
counterparts. The largest benefit comes from their potential to
reduce human labor and maintenance time under the ocean”.
The thermally activated current interrupt mechanism is
another SMA safety device. This mechanism is used for
protecting high energy density batteries such as lithium ion
cell from uncontrollable temperature increase due to
overcharge or short circuit (Fig. 5.b). For more details on this
SMA device, see [3].
SMA thermal actuators are often utilized in domestic safety
devices. As an example, the authors have chosen to present a
thermostatic mixing valve (Fig. 6). Mainly, this device
comprises an SMA helical spring and a bias spring, placed in
opposition from one another, Fig. 6.a. At exceeding
Fig. 5. Two actuator devices: a) A photograph of Firechek ® industrial
safety valve; b) Ni-Ti actuators used in current interrupter [3].
temperature of mixed water, the SMA expands by SME thus
compressing the bias spring, resulting in a smaller opening for
hot water and a larger opening for cool water. When the
temperature of mixed water is low, things are happening vice
versa. The appearance of this mixing valve is shown in
Fig. 6.b. For similar purposes, wax type actuators were
preferred in the past. But, with the very poor thermal
conductivity of wax, the result was a slow response and
overshooting. Instead, the optimal thermal conductivity of
SMA results in an excellent thermal response. Therefore, the
SMA actuator proves evidently superior in relation to the
wax [10]. The Shinkansen bullet train in Japan uses an
application (with a similar principle) that refers to an
automatic oil-level adjusting device. On this subject, see the
article [28] on this issue.
The first marketed electrical actuator unit was Vease®,
initially employed for opening the louvers of an automobile
fog lamp. This self-unit contains a Ni-Ti spring, biasing return
spring, and an overload protection device to avoid the memory
spring from damaging itself in case motion is temporarily
prevented. For example, the authors have chosen two types of
electrical actuators shown in Fig. 7, a Personal Environmental
Module, PEM (Fig. 7.a) and an actuator called SMArt
Clamp® (Fig. 7.b).
The PEM relies on 4 SMA springs acting as damper
actuators and individually controls temperature and air
circulation in an office cubicle. Two dampers on the device
each use two SMA springs working in opposition (Fig. 7.a);
alternately electrically heating the springs causes the dampers
to either open or close [20].
The SMArt Clamp® controller is an intravenous fluid
control device using three short lengths of Ni-Ti wire. This
controller uses a Ni-Ti wire working opposing a helical steel
spring to accurately modify the contracting blade position
(Fig. 7.b., left side). The blade pinches a rubber tube, so that
the flow of fluid through that tube occurs at the desired rate.
Two other wires are used to lock out the adjustment system
Fig. 6. The new mixing valve using SMA and biasing coil springs:
a) structure of the SMA mixing valve; b) example of a commercially
available valve (Courtesy of Toto Ltd. and Piolax Inc.) [10].
Fig. 7. Electrical actuators: a) Personal Environmental Module, PEM
(Courtesy of Johnson Controls, Inc.); b) SMArt Clamp® controller (Courtesy
of Belaphase) [20].
once the adjustment is correct and to again engage the system
when re-adjustment is needed [20].
4) Smart materials
Any complete classification of SMA actuator applications
needs to mention Micro Electro Mechanical Systems, MEMS.
For MEMS applications, SMA thin films and composites with
SMAs generally are used. The emergence of semiconductor
etching technique, which allows for MEM unit small enough
to reach micron dimensions, has enabled the transition from
the manufacture of MEMS devices in the laboratory phase to
their widespread manufacture.
Mini-valves, as essential for MEM device geometry, have
brought about performance and pressure capabilities matching
electrically actuated valves orders of magnitude more
performant in terms of size and weight. As visual appeal, a
microvalve is shown in Fig. 8. It relies on an actuator die with
a poppet managed by a micro-patterned Ni-Ti layer. At low
temperature, the bias spring (a Cu-Be micro-fabricated layer)
moves the poppet toward the orifice thus deforming the Ni-Ti
ribbon (de-twinning process). Resistive heating triggers the
ribbon transformation back to austenite (the parent phase) thus
lifting the bias spring-up and opening the valve [29]. The
control of liquid and gas flow in manufacturing processes as
well as pneumatic controls in instruments, and, potentially,
medical delivery systems can rely on a MEMS device.
B. Applications using superelasticity
Superelasticity was also successfully applied in various
fields. The first application in non-medical applications was to
brassieres for women (Fig. 9). Esthetic as well as structural
requirements are to be met in women’s brassieres. Ni-Ti
underwires (Fig. 9, right side), which provide optimal comfort
due to the much lower elastic modulus as compared to the
traditional steel wires. Furthermore, the superelastic Ni-Ti
wires display increased resistance to permanent deformation
caused by washing and drying cycles [3].
Another successfully application referred to superelastic
eyeglass frames (Fig. 10.a), which can be deformed and
twisted in a great extent and can return to their original shape
during unloading thanks to the pseudoelastic effect.
Fig. 10.b shows a cellular phone (left side) with its different
Fig. 8. Micro-valve with SMA actuator (Ti-Ni ribbon) [29]. The valve is
shown in its closed configuration.
Fig. 9. Photographs of (a) brassiere and (b) various designs of superelastic
Ni-Ti underwires [3].
antennas (right side). It boasts worldwide popularity at present
because the superelastic wire’s increased flexibility and
damage resistant [10]. Additionally, the superelastic properties
of Ni-Ti powder are used in a modern process to increase the
resistance of Sn-Pb-Ag solder to thermal fatigue. For more
details on this application, see article [3].
C. Applications using R-phase
Based on the R-phase properties, various devices have been
developed based on the R-phase transformation, such as air
conditioner sensor flaps, water mixing valves, oil volume
adjustment equipment and so on. Moreover, the small
transformation strain as well as the small thermal hysteresis
associated with R-phase transformation makes it suitable for
making composite materials preventing deboning [30].
A very narrow thermal or stress hysteresis is typical of the
R-phase transformation is what makes it perfect for
applications in high working frequency microactuators. For a
thin film using the martensitic transformation, the functioning
frequency is limited to 50 Hz, and the displacement is reduced
as the working frequency increases from 0.2 to 50 Hz [31].
Nonetheless, in [32] the microactuators developed using the
R-phase transformation of a thin film, are shown, and that can
work at an increased frequency as high as 125 Hz while
maintaining the working displacement.
The first application of the R-phase was the Thermobile®, a
nifty demonstration heal engine based on the change in
modulus associated with the R-phase transition [20]. For this
particular situation, a Ni-Ti-Co alloy was used, with the intent
of the being to separate the R-phase and martensite transf.
D. Applications using damping capacity
The damping effect has numerous applications in various
industrial sectors, such as aerospace, aeronautical, and civil
structures. Because the SMAs have a variety of applications in
aerospace technology, the authors have chosen to present two
important applications in this field.
The first application is a SMA actuator system for
helicopter blade tab control (Fig. 11.a). The notorious
environmental noise problems, the high maintenance costs
caused by increased vibration, and passenger comfort have
prevented helicopters from reaching their optimal commercial
potential. The pilot is now capable of adjusting trailing edge
tabs from the cockpit due to an SMA tracking control, a
device that has been developed utilizing twin tubular Ni-Ti
torsion actuators [33]. Upon heating, the tubes twist to
position the tab through a linkage with a motion of ± 7.5o with
an accuracy of ± 0.25o. Weight and volume were essential in
the design of this actuator for a smart helicopter, in which case
recommended was the use of SMA due to the high force and
Fig. 10. Two applications of superelasticity: a) photographs of NiTi eyeglass
frames [3]; b) photographs of cellular phone [10] (left side) and of its
antenna (right side) [3].
strain output. As displayed in Figure 11, this actuator system
weighs only 440 mg and is 2.5cm x 2.5cm x 16.5cm, with all
embedded electronic controls [3].
The second application refers to SMA beams placed in the
chevrons of a jet engine (Fig. 11.b). The chevrons in engines
can be embedded with SMA beams, as depicted in Fig. 11.b,
to improve the engine’s performance. During takeoff, the
engine becomes hotter and due to the SME, SMA beams force
chevrons to change shape and move into a specific direction in
which the noise of the engine will be reduced. At higher
altitudes where the temperature decreases, SMA beams
become colder and force the chevrons to return to their
original shape to increase the fuel efficiency. Aircraft wings
may also be embedded with SMA wires to reduce turbulence
and allow improved precision control. Electric current is
supplied to the wires allowing the wing to accommodate its
shape when required [34].
Fig. 11. Applications using damping capacity: a) SMA actuator system for
helicopter blade tab control [3]; b) schematic depiction of SMA beams (left
side) and SMA beams placed in the chevrons of a jet engine (right side) [34].
IV. CONCLUSION
In this paper the authors had two objectives:
- to provide a comprehensie description of the unusual
properties and effects of SMAs in order to increase the
awareness of R & D engineers about the existence and the
various uses of these materials;
- to present a synthesis, with the most promising of their
industrial applications, based on the function of the SMA
element itself and the SMA characteristic used in a specified
application.
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