00222461 1998 Kluwer Academic Publishers 3743

JOURNAL OF MATERIALS SCIENCE 33 ( 1998) 3743 3762

Review
Shape-memory materials and hybrid composites
for smart systems
Part I Shape-memory materials
Z. G. WEI , R. SANDSTRO M
Department of Materials Science and Engineering, Royal Institute of Technology,
S-100 44, Stockholm, Sweden
E-mail: [email protected]
S. MI YAZAKI
Institute of Materials Science, University of Tsukuba, Tsukuba, Ibaraki 305, Japan
A review is presented of the current research and development of shape-memory materials,
including shape-memory alloys, shape-memory ceramics and shape-memory polymers.
The shape-memory materials exhibit some novel performances, such as sensoring (thermal,
stress or eld), large-stroke actuation, high damping, adaptive responses, shape memory
and superelasticity capability, which can be utilized in various engineering approaches to
smart systems. Based on an extensive literature survey, the various shape-memory
materials are outlined, with special attention to the recently developed or emerged
materials. The basic phenomena in the materials, that is, the stimulus-induced phase
transformations which result in the unique performance and govern the remarkable changes
in properties of the materials, are systematically lineated. The remaining technical barriers,
and the challenges to improve the present materials system and develop a new shape
memory materials are discussed. 1998 Kluwer Academic Publishers
1. Introduction
During the past decade, smart materials and struc-
tures or intelligent material systems have received
increasing attention because of their great scientic
and technological signicance [110]. Although the
denitions of the terms smart materials, smart struc-
tures, intelligent materials and structures have not been
reached to a consensus so far in the technical com-
munity [1, 11], it is now generally accepted that
a smart structure is a structure system with macro-
scopically embedded or built-in sensors, actuators and
is usually monitored or controlled by an external
microprocessor or a computer. While, a smart or intel-
ligent material refers to the material which has
intrinsic sensing, actuating and controlling or in-
formation-processing capabilities in its microstruc-
ture. The smart materials and structures are supposed
to be able to respond to environmental changes at the
most optimum conditions and manifest their own
functions according to the changes, that is, they can
respond in a pre-determined manner and extent in an
appropriate time with an environmental stimulus and
then revert to their original states as soon as the
stimulus is removed [13]. As is well known, few
monolithic materials presently available possess these
capabilities. Accordingly, intelligent or smart material
systems are not singular materials, rather, they are
hybrid composites or integrated systems of materials
[15]. Amongst the advanced materials commercially
available, some materials have multifunctions or
primitive intelligence inherent in their structures,
such as shape-memory alloys, piezoelectric ceramics,
bre-optics, magneto-(electro-)strictive materials,
magneto-(electro)-rheological uids and some func-
tional polymers. To integrate and hybridize the ad-
vanced materials may lead to composite materials
with intrinsic mechanisms for sensing, control and
multiresponses.
Shape-memory materials (SMMs) are one of the
major elements of intelligent/smart composites
because of their unusual properties, such as the
shape-memory eect (SME), pseudoelasticity or large
recoverable stroke (strain), high damping capacity and
adaptive properties which are due to the (reversible)
phase transitions in the materials. SMMs may sense
thermal, mechanical, magnetic or electric stimulus and
exhibit actuation or some pre-determined response,
making it possible to tune some technical parameters
such as shape, position, strain, stiness, natural fre-
quency, damping, friction and other static and dynam-
ical characteristics of material systems in response to
the environmental changes. To date, a variety of
alloys, ceramics, polymers and gels have been found to
exhibit SME behaviour. Both the fundamental and
engineering aspects of SMMs have been investigated
extensively and some of them are presently commer-
cial materials. Particularly, some SMMs can be easily
fabricated into thin lms, bres or wires, particles and
even porous bulks, enabling them feasibly to be
incorporated with other materials to form hybrid
composites.
This review consists of two parts. Part I will outline
various shape-memory materials and their basic char-
acteristics, with special attention directed to the recent
development trends and frontier areas. In Part II the
design, fabrication, characterization and performance
of various hybrid smart composites based on the
shape-memory materials will be reviewed.
2. Shape-memory materials
2.1. Shape-memory alloys
2.1.1. Bulk shape-memory alloys
2.1.1.1. TiNi system alloys. Although the discovery
of shape-memory eect could date back to the early
1950s, the engineering signicance of shape-memory
alloys (SMAs) was not well recognised until the SME
was discovered in the near-stoichiometric TiNi alloys
(Nitinol) in 1963 [12]. During the last three decades,
the binary TiNi alloys have been intensively investi-
gated and nowadays are the most important commer-
cial SMAs because of their exclusive shape-memory
performance, good processibility, and excellent mech-
anical properties. In addition, the alloys have very
good corrosion resistance and biocompatibility, which
enable them to be widely used in the biomedical eld.
Because the TiNi alloys can be readily fabricated into
various forms or sizes, it is technically feasible to make
them an active element in various composites. In par-
ticular, TiNi thin lms, bres, particles and porous
bulks have been successfully fabricated in recent years,
and these materials, either in the monolithic form or in
combination with other materials, have exhibited
some exciting application potentials in microelec-
tromechanical systems, medical implants, intelligent
materials and structural systems. A more detailed in-
troduction to the alloys can be found in the literature
[1323]. More recently, to meet some specic needs,
which have arisen, some ternary alloys based on the
TiNi alloys have also been developed.
(a) Narrow-hysteresis SMAs. The substitution of
copper for nickel in the near equiatomic TiNi alloys
has some interesting eects on their transformation
behaviour, shape-memory characteristics and other
properties: the one-stage transformation from cubic
(B2) to monoclinic (B19) in the binary alloy changes
into a two-stage transformation from cubic (B2) to
orthorhombic (B19) and from B19 to B19 by substitu-
ting copper for nickel by more than 7.5 at %, mean-
while, the basic shape-memory capacity and the
workability of the alloys are not appreciably deterior-
ated. By further substitution exceeding 10 at %, the
alloys tend to proceed by one-stage transformation
from B2 to B19, while the shape-recovery rate shows
a slight decrease and the alloys become too brittle to
be processed [24, 25]. Of particular interest are the
following features: the ternary TiNiCu alloys show
less composition sensitivity of the martensitic trans-
formation start temperature, M
'
; the transformation
hysteresis can be remarkably reduced from normally
more than 30K to less than 10K; the dampening capa-
city (tano) can be increased to greater than 10; and
a larger dierence in the toughness between the parent
phase and martensite is produced. These features make
the ternary Ti
`"
Ni
`"V
Cu
V
(at %) alloys particularly
suitable as actuator elements for smart systems [2628].
(b) ide hysteresis SMAs. Adding niobium to the
binary TiNi SMAs will depress the M
'
temperature
and can separate the start temperature for the rever-
sion martensitic transformation A
'
from M
'
as far as
150 K. The wide hysteresis SMAs are quite desirable
for coupling and xing applications [2932];
Ti
"`
Ni
"`
Nb
"
(at %) alloy is the most typical and com-
mercially used one of the alloys. In the ternary alloys,
only a small amount of niobium is dissolved into the
B2 matrix, and most of it is presented in the form of
niobium rich second phase which is supposed to be
responsible for the widening of the transformation
hysteresis [2932].
(c) High-emperature SMAs. When nickel in TiNi
SMAs is substituted by palladium, platinum and gold
elements by up to 50 at % and titanium in TiNi is
substituted by hafnium and zirconium by up to
20 at %, the martensitic transformation temperatures
can be increased to as high as 873 K while the basic
shape-memory performance still exists [3358]. These
alloys are promising shape-memory alloys for applica-
tions at higher temperatures ('393 K), despite their
high cost. From an economical point of view, the
NiTiHf alloys are most attractive, and hence have
been the most investigated in the last few years. The
alloys have sucient fabricability and their shape-
memory capacity (recoverable elongation) is close to
that of the binary TiNi alloys. However, a systematic
investigation of the phase stability of the alloys at
elevated temperatures has not yet been undertaken. In
some alloys, such as TiNiAu, it was reported that at
high temperatures the ternary alloys are also suscep-
tible to the ageing eects such as the martensite stabil-
ization phenomenon [38].
2.1.1.2. Copper-based alloys. Copper-based shape-
memory alloys have some advantages, such as low
cost and simple fabrication procedure, compared to
TiNi alloys. Of the alloys, the ternary CuZnAl and
CuAlNi alloys have been extensively studied and
they are also now commercially available. The other
commercial alloys include CuAlMn and CuAlBe
alloys. However, the applications of these alloys have
been much limited mainly for two reasons: (1) the poor
ductility and workability of the polycrystalline alloys
resulting from the coarse grains, the high elastic an-
isotropy and the precipitation of brittle second-phase
particles; and (2) the metastability of both the parent
(B2, D0
`
or L2

) and martensite (9R or 18R) phases in

the alloys, which result in complicated ageing eects
3744
and hence an undesirable reliability of the perfor-
mance of the alloys [3941]. Because CuAlNi alloys
have a much better thermal stability and higher oper-
ating temperatures than CuZnAl alloys, they may
become one candidate for practical high-temperature
shape-memory alloys if only their poor processibility
can be improved. In recent years, some eorts have
been made to achieve this objective. As a result, some
quaternary and pentatonic alloys based on CuAlNi,
such as CuAlNiMn and CuAlMnTi(B) which
has an M
'
point greater than 423 K, have been
developed [4245]. Indeed, the workability of the
CuAlNi alloys can be signicantly improved by
adding small amounts of alloying elements to the
alloys, and cold-drawn wires can be produced
[4245]. However, the thermal stability of the alloys
remains a crucial issue. Both martensite stabilization
and parent-phase ageing eects were observed at tem-
peratures greater than 393 K [42, 43].
2.1.1.3. Iron-base alloys. Because price is one of the
key considerations for applications, the low-cost iron-
based shape-memory alloys have attracted consider-
able attention in recent years, and now some of them
are also close to a market introduction [4648]. Of
particular interest are FeMnSi, FeCrNiMn
SiCo, FeNiMn and FeNiC. After complex ther-
momechanical treatments, these alloys exhibit perfect
or nearly perfect SME due to the stress-induced mar-
tensitic transformation and the reversion, but usually
only one-way SME of several per cent is achievable
because the f c c austenite to the bc t or h c p marten-
site transformations in the alloys are not thermoelas-
tic. In another interesting alloy, FeNiCoTi, the
transformation from f c c austenite to bc t martensite
is thermoelastic and a very high recovery stress
('1 GPa) can be achieved, with a fairly low thermal
hysteresis (2040 K) and transformation temperatures
approaching ambient temperatures. More recently,
the FePt and FePd alloys, which were previously
investigated mainly as experimental materials, have
received more attention again because the martensite
transformations or the rearrangements of martensite
variants in the alloys can be induced by magnetic
elds and hence ferromagnetic shape-memory mater-
ials may be developed.
2.1.1.4. Intermetallic compounds. In the |-NiAl alloys
with nickel contents of 6269 at %, a thermoelastic
martensitic transformation from B2 and L1
"
(3R) mar-
tensite occurs on quenching. The M
'
temperature
shows a strong dependence on the nickel content and
on the solution-treatment temperature, and an
M
'
temperature of up to 503 K was recorded, indicat-
ing the potential use as high-temperature SMAs
[34, 4951]. To overcome the inherent brittle weak-
ness, addition of third or fourth elements such as iron,
manganese, boron, etc., to form a ductile second
phase, and rapid solidication techniques such as
melt-spinning, have proved to be eective, though at
some expense of the SME [50]. Nevertheless, the
NiAl alloys still suer from phase metastability:
Ni
`
Al
`
, Ni
`
Al and an omega-like phase may precipi-
tate at temperatures exceeding 523 K, worsening the
shape-memory performance [34]. Some other |-phase
intermetallic compounds, such as NiMn and
NiMnGa [52]; ZrCu, ZrCo, ZrRh, ZrNi and
ZrCoNi [53], TiV and TiVAl [47, 54, 55],
GdCu, TbCu and YCu [56], also exhibit shape-
memory eect and have some interesting potentials,
but they are less technically mature and still under
development.
During the past few decades, a great variety of
shape-memory alloys have been extensively investi-
gated. So far more than 5000 publications of SMAs
have been recorded in the public literature, and the
total number of applied patents using SMAs in dier-
ent elds amounts to more than 4500 [13, 46]. Further
information on the fundamental and engineering as-
pects of various SMAs can be found in many specic
reviews [13, 1923], books [14] and conference pro-
ceedings [1518].
2.1.2. Thin-lm shape-memory alloys
The bulk shape-memory alloys exhibit large strokes
and forces but suer from a slow response. This is due
to the fact that SMAs are usually heat actuated, and
this heat must be removed between cycles, and the
cooling process usually results in a long cycle lifetime.
Compared to bulk materials, SMA thin lms provide
a small amount of thermal mass to cool, and hence the
cycle lifetime can be decreased substantially [57, 58].
As an excellent candidate for microelectromechanical
systems (MEMS), SMA thin lms have been of great
concern in recent years because of their desirable
mechanical properties, such as exerting a stress of
hundreds of megapascals, tolerating strains of more
than 3% working at common TransistorTransistor
Logic (TTL) voltages, and surviving millions of cycles
without failure [5963]. If SMA thin lms are made
on a substrate with good thermal conductivity such as
silicon, the speed of operation may be increased to 100
Hz or higher [57, 61, 62]. More importantly, the com-
posite multi-layers of these materials may be engineered
into materials of micro-size dimensions, integrating ma-
terials science and electronic engineering into one func-
tional chip which can be patterned with standard
lithographic techniques and fabricated in batches
[6163]. Moreover, by coupling the SMA thin lm with
ferroelectric or ferromagnetic materials, SMAs may be
actuated electrically or magnetically and smart com-
posites with optimized characteristics can be obtained.
Andoh et al. [65] presented the rst work on the
deposition of shape-memory alloy lms in 1986. They
sputter-deposited CuAlNi lms onto heated alumi-
nium foils and the as-deposited lms exhibited a good
shape-memory eect. The fabrication of TiNi SMA
thin lm was initially developed by Walker et al. [66],
Busch and co-workers [67, 68], Ikuta and co-workers
[69, 70] and Kuribayashi and co-workers [71, 72],
with considerable contributions from several groups
led by Grummon [7376], Miyazaki [7780], Jardine
[57, 8183] and Wuttig [8486]. Up to now, TiNi
3745
[5764, 66101], TiNiCu [61, 73, 75, 76, 102107],
TiNiPd [103, 108], TiNiHf [109, 110] and
CuAlNi [65, 110] SMA thin lms of up to 20 m
thickness have been successfully fabricated with direct
current and radio-frequency magnetron sputtering
[5768, 77110], plasma sputter deposition [76] and
laser ablation processing [111] on to a variety of
substrates. Most of the investigations have been per-
formed on TiNi and TiNiCu alloys by magnetic
sputtering and some reviews have been published
[57, 61, 89]. The quality and the performance of the
SMA thin lms are mainly aected by metallurgical
factors and deposition conditions [88, 91, 94]. Some
crucial factors for the preparation and fabrication of
SMA thin lms are summarized below.
2.1.2.1. Control of composition. As is well known, bi-
nary TiNi alloy is very sensitive to composition:
a slight deviation (less than 1%) of nickel or titanium
content from the stoichiometrically equi-atomic ratio
of Ni : Ti can drastically alter the transformation tem-
peratures [112, 113]. It is very dicult to control the
alloy composition by using the conventional vacuum
vapour deposition, though complete contamination-
free conditions can be attained [111]. It was proposed
that the laser ablation process can meet the needs of
precise control of composition and minimized con-
tamination [111], but the deposition rate is too slow
(less than 0.02 mh) and the area of deposited thin
lm is limited. Contamination is a primary challenge
when using the conventional sputtering process; how-
ever, precise compositional control is feasible by ad-
opting proper manipulation, optimizing deposition
parameters, pre-sputtering, coating the target with
a layer of titanium or placing small titanium plates on
the surface of target to lessen the target erosion, sput-
tering from multiple sources, either simultaneously or
by alternating between dierent targets [61, 105]. On
the other hand, it is feasible to deposit functionally
gradient SMA lms; Takabayashi et al. [114] have
fabricated TiNi lms with a gradient composition
and two types of crystal structure, namely, a nickel-
rich layer and a titanium-rich layer, by r.f. magnetron
sputtering with control of the input power to a tita-
nium-target. Comparatively, ternary TiNiCu
alloys is of more interest because of their weak sensi-
tivity to composition and a very narrow transforma-
tion hysteresis which make them more suitable as
thin-lm actuation materials.
2.1.2.2. Substrate temperature. The as-received lms
are amorphous if they are deposited on substrates at
ambient temperature employing either sputtering or
laser-ablation processing, and subsequently they must
be annealed at temperatures greater than 723 K to
crystallize, which invites complications related to in-
terface diusion and chemical reaction with compo-
nents of the substrate [57, 61]. However, as-deposited
crystalline lms can be obtained if the substrate is
heated during the deposition. For instance, Grummon
et al. have successfully deposited crystalline TiNi
lms with very ne grains by keeping the substrate
temperature at around 703 K [87, 89]. The possible
drawback of the hot-substrate deposition procedure
may be that the produced lms are liable to have
porous or columnar microstructure, resulting in en-
hanced surface roughness [61]. Krulevitch et al. [61]
have developed a procedure to produce high-quality
SMA lms on silicon substrates, while maintaining
optimized shape-memory characteristics and low sur-
face roughness: to deposit at a suciently high tem-
perature (573 K) so that the lm is in a dense
amorphous or partially crystalline state, then anneal
at a higher temperature (803 K) to promote grain
growth and possibly recrystallization.
2.1.2.3. Sputtering gas pressure. The sputtering gas
pressure has a critical eect on the characteristics of
the lms, though other process parameters such as
sputter power, working distance and deposit incidence
angle also aect them [68, 78, 88, 115, 116]. Generally
ultra-high-purity argon gas is desirable and the
typical working pressures range from 0.10.93 Pa
(0.757 mTorr) [61]. Too low a working gas pressure
cannot guarantee a successful deposition because of
the extreme reactivity of the titanium, exploited tech-
nically in titanium sublimation pumps [57]. The lms
formed at too high pressures (6.713.3 Pa), however,
suer from porous structure and poor ductility
[61, 88].
2.1.2.4. Contaminations. The environmental condi-
tions inside the deposition chamber are also key fac-
tors aecting the quality of the lms. A small amount
of the impurities, including oxygen, hydrogen and
carbon, will signicantly deteriorate the shape-mem-
ory performance of the thin lms [57, 61]. Therefore,
the vapour pressures of oxygen, water and other react-
ive gases in the deposition chamber should be mini-
mized. Another problem is the chemical interactions
with the substrates during deposition and subsequent
annealing. For instance, the silicon has a strong tend-
ency to diuse into TiNi and form the nickel and
titanium silicides when TiNi lms are deposited on
silicon substrates and annealed at elevated temper-
atures [57, 58]. A proper buer layer coated on the
substrate and a minimal annealing temperature are
eective for retardation of the interaction. This issue is
of crucial concern when SMA hybrid multilayer com-
posites are fabricated.
2.1.2.5. Thermal treatment. The as-deposited amor-
phous lms on ambient temperature substrate must
be annealed to crystallize to exhibit suitable shape-
memory eect. The crystallization process must be
monitored precisely in order to avoid or retard chem-
ical interactions with the substrate, and the precipita-
tion of second phases that deteriorate the SME of the
lm. The crystallization temperatures for TiNi range
from 723973 K. Vacuum annealing at such temper-
atures for proper times generates excellent SME.
Prolonged annealing or annealing at temperatures
3746
above 823 K, however, readily leads to the formation
of Ti
`
Ni, Ti
`
Ni
"
and Ti

Ni
"
precipitates
[57, 61, 95]. As a result, the shape-memory behaviour
of the thin lms is very sensitive to the annealing
conditions. Taking into account that the SMA lms
may combine with dissimilar materials to form hybrid
composites, the crystallization temperatures should be
as low as possible. Jardine et al. [57] reported that the
crystallization kinetics at 723 K were very slow, full
crystallization occurring after a 7.5 h anneal. However,
the crystallization temperature can be further lowered
at 673 K through cold-working via rolling [57, 83].
2.1.2.6. Residual stress and adhesion. The residual
stresses in the lms will aect the mechanical behav-
iour and the static and dynamical compatibility with
the substrates or dissimilar materials. Generally, the
thin lms deposited at low working gas pressure show
large compressive intrinsic stresses. The biaxial resid-
ual stress, c
'
, in the lm is given by the well-known
Stoney equation [61]
c
'
"
1
6
E
'
1!v
'
t`
'
t
'
1

(1)
Upon heating, the stresses increase in magnitude with
increasing temperature and the rate of the stress
evolution, dc/d is determined by [116]
dc
d
"
E
'
1!v
(
'
!
'
) (2)
where E is the lm modulus, the coecient of ther-
mal expansion (CTE), v the lm Poissons ratio, t the
thickness, the substrate radius of curvature, and the
subscripts s and f refer to substrate and lm, respec-
tively. For the TiNi lmdeposited on (1 0 0) Si, the rate
was estimated to be about !1.5 MPa K [116]. The
compressive stress tends to zero when approaching
the crystallization temperature and then becomes
a tensile stress of 50100 MPa as a result of the lm
densication. The evolution of the high tensile stress
may lead to cracking and delamination when anneal-
ing the amorphous SMA lms on Si [89, 116]. How-
ever, the stress can be relaxed on cooling by the
stress-induced martensitic transformation, and on
heating a recovery stress will be generated, forming
the basis for reversible cyclic actuation of the SMA/Si
composites applicable to MEMS [57, 61, 89, 116, 117].
The deposited thin lms can exhibit both perfect
shape-memory eect and pseudoelasticity, and the
thermomechanical properties are comparable to those
of their bulk counterpart [61, 88, 9194, 96]. A more
specic review of the sputtering process, characteriza-
tion of the microstructures and phase transformations,
and the thermomechanical properties of the deposited
SMA thin lms will be presented in a separate paper
[118].
2.2. Shape-memory ceramics
2.2.1. Visocelastic shape-memory ceramics
Some mica glass-ceramics exhibit clear shape-memory
phenomenon, i.e., a nearly perfect recovery of up to
Figure 1 Torsional strain recovery of a mica glass-ceramic as
a function of time. The material was deformed in axial compression
at 773 K before cooling under load to room temperature, and then
reheated to dierent temperatures [120].
0.5% prestrain, after high-temperature plastic defor-
mation, cooling under load to room temperature, and
then reheating [119124]. These materials typically
have a heterostructure of a volume fraction of between
0.4 and 0.6 mica as the principal crystalline phase
dispersed in a continuous glassy phase. Unlike shape-
memory alloys, the shape-memory phenomenon in the
heterostructure arises from the elastic energy intro-
duced into the rigid matrix driving a viscous plastic
strain reversal in the dispersed crystalline element on
reheating. At temperatures above 573 K, the mica can
be deformed plastically by basal slip and the plastic
strain in the crystalline constituent accommodated
elastically by the surrounding rigid glass. Because the
glide through dislocations in mica is not possible at
low temperature, the deformation of the material at
elevated temperatures will be retained even if the load
is removed, after cooling under load to ambient tem-
peratures. The elastic strain energy stored in the glassy
phase thus will provide a driving force for recovering
the original shape. If the deformed mica is reheated to
a high temperature at which the stored elastic strain
energy is sucient to activate the dislocation glide, the
phase mixture will reverse the original plastic defor-
mation. Fig. 1 shows the torsional strain recovery of
a mica glass-ceramic as a function of time at several
temperatures. The sample was deformed in axial com-
pression at 773 K before cooling under load to room
temperature, and a strain recovery of 99% was ob-
served on prolonged annealing at 1073 K [120]. The
viscoelastic shape-memory phenomenon is not limited
to mica glass-ceramics or glass-ceramics. |-spodu-
mene glass-ceramics and 2ZnOB
`
O
`
glass-ceramics,
and a variety of sintered ceramics that contain very
little glass phase, including mica (KMg
`
AlSi
`
O
"
F
`
),
silicone nitride (Si
`
N
"
), silicone carbide (SiC), zirconia
(ZrO
`
) and alumina (Al
`
O
`
), also exhibit the shape-
memory behaviour [121124]. However, the recover-
able strain of the ceramics is much smaller (about
0.1%). Corresponding to the shape-recovery process,
stress relaxation was observed. The activation ener-
gies for the shape-recovery process in the glass-ceram-
ics were found to be much lower than those for high-
temperature creep of the same mica glass-ceramics,
3747
thereby dierentiating the two phenomena. Because
the materials are visco-elastic and thermally stimu-
lated, the shape-recovery percentage and shape-recov-
ery force show a strong dependence on the prestrain,
pre-deformation temperature, pre-deformation rate,
reheating temperature and holding time [121, 123].
2.2.2. Martensitic shape-memory ceramics
Some inorganic or ceramic compounds undergo mar-
tensitic or displacive transformations which can be
either stress or thermally activated, often resulting in
transformation plasticity or transformation toughen-
ing. As a matter of fact, transformation toughening via
the martensitic transformation is one of the most
eective ways of improving the reliability and struc-
tural integrity of engineering ceramics, and has led to
the wide recognition of the technological importance
of the transformations in ceramics [125]. If the trans-
formations in some ceramics are thermoelastic or
ferroelastic, reversible strain or shape recovery, that is,
pseudoelasticity and shape-memory eect can be ex-
pected. In certain ZrO
`
-containing ceramics, the
transformation between the tetragonal structure (t-
ZrO
`
) at intermediate temperatures and the mono-
clinic structure (m-ZrO
`
) at low temperatures, can
occur thermoelastically [125]. The magnesia-partially
stabilized zirconia (Mg-PSZ) [119, 126] and the
ceria-stabilized, tetragonal zirconia polycrystals
(CeO
`
TZP) [119, 127129] have been reported to
show shape-memory behaviour. In the CeO
`
TZP,
the tm transformation occurs at a characteristic tem-
perature M
'
on cooling, which depends on the grain
size. The tm transformation can also be stress-in-
duced at temperatures above M
'
, resulting in seem-
ingly plastic deformation. On subsequent reheating,
the mt transformation occurs and the strain can be
recovered. Fig. 2 shows the shape-memory eect ob-
served in a ZrO
`
12 mol %CeO
`
ceramic. In the ce-
ramic, total strains up to 1.5%2% in uniaxial
compression can be almost fully recovered, but signi-
cant grain-boundary microcracking and other irre-
versible damage occur which lead to a degradation in
shape recovery and premature fracture. However, a near
full shape recovery of axial compressive plastic strains of
up to 4.5% can be achieved while the tendency of
microcracking be suppressed in the samples deformed in
hydraulic compression [119, 127]. More displacive
or martensitic-like transformations and potential
shape-memory materials can be found in a variety
of structural ceramics [130, 131]. In addition, some
ionic materials such as Pb
`
(PO
"
)
`
and LnNbO
"
(Ln"La, Nd), crystals [132136], and some super-
conductors such as VSi and ZrHfV [137],
YBaCuO, Bi(Pb)SrCaCuO and TiBaCa
CuO [138141], also exhibit remarkable pseudoelas-
ticity and shape-memory eect, due to rst-order mar-
tensitic transformations or the rearrangements of the
ferroelastic domains in the materials. Using the
ceramics, some new shape-memory device can be
designed for high temperature application where
ordinary shape-memory alloys are not applicable.
However, the technological application of the
Figure 2 Axial stressstrain curve for ZrO
`
-12mol.%CeO2 under
uniaxial compression at room temperature, together with temper-
aturestrain curve showing strain recovery on subsequent heating
[129].
shape-memory capacity is limited by the small magni-
tudes of recoverable strains and the tendency of the
ceramics to microcracking.
2.2.3. Ferroelectric shape-memory ceramics
In pervoskite-type oxides, the crystallite domains may
exist in a variety of states such as cubic, tetragonal,
rhombohedral or orthorhombic, which may be either
paraelectric, ferroelectric or antiferroelectric, depend-
ing upon the exact composition, as well as external
conditions such as temperature, stress and electric
eld. The phase transitions between the dierent
structures, such as the paraelectricferroelectric
(PEFE) transition and the antiferroelectricferroelec-
tric (AFEFE) transition, may be accompanied by
a considerable strain in the ceramics. In particular, it
has been observed that the orthorhombic antifer-
roelectric (AFE) to tetragonal ferroelectric (FE)
transition in some ceramics usually generate large
strains [119, 142148]. Very importantly, in suitable
compositions, the AFEFE transition can be induced
by application of a suciently large electric eld. The
phase transition, which is caused by the switching or
reorientation of the polarized domains, is accom-
panied by a lattice distortion leading to a linear
digital displacement and a net volume expansion
[146, 147]. Because the total strain is comprised of (i)
a spontaneous strain which occurs due to the phase
transformation, and (ii) a strain associated with do-
main alignment on poling, the induced strain is much
larger than that resulting from the converse piezoelec-
tric eect in the conventional piezoelectrics. Total
strains of up to 0.6% have been reported to
occur during the transition [144, 146]. When the
electric eld is removed, conventional electroceramics
will return to their original state. This is a typical
3748
Figure 3 Comparison of the longitudinal strains for ferroelectric
and antiferroelectric materials. (a) Spontaneous strain due to polar-
ization in a ferroelectric, (b) eld-induced transformation strain
from AFE to FE state [148].
ferroelectric behaviour. Some ceramics, however, are
metastable in either of the ferroelectric and antifer-
roelectric states at zero eld, and they will remain in
the ferroelectric state as the eld is removed. To return
to their original states, it can be achieved either rap-
idly by reversing the polarity of the applied eld, or
slowly by heating to eect the reverse FEAFE trans-
formation, thus giving rise to a shape-memory behav-
iour similar to those observed in shape-memory alloys.
Fig. 3 shows a comparison of the led-induced strains
for ferroelectric and antiferroelectric materials. The
shape-memory eect has been observed in the perov-
skite-type oxides (Pb, La) (Zr, Ti)O
`
(PZSTs) [119, 142,
143], Pb(Zr, Sn, Sn, Ti)O
`
(PZSTs) [119, 142, 144,
145], (Pb, La) (Zr, Sn, Ti)O
`
(PLSnZTs) and (Pb,Nb)
(Zr, Sn, Ti) O
`
[146150], (Sr, Ba) Nb
`
O
'
[151] and
the hexagonal manganites RMnO
`
(R"Ho, Y)
[152]. Although the shape-memory ceramics have
lower strain levels than shape-memory alloys, they
have some clear advantages and may be more suitable
for certain applications. For instance, because an elec-
tric eld can be readily changed at much higher rates
than temperature, the shape-memory ceramics may be
actuated at higher bandwidths, with the maximum
response speed of only a microsecond [142]. A proto-
type adaptive structure using the shape-memory cer-
amics has been demonstrated by Ghandi and Hagood
[147, 148].
2.2.4. Ferromagnetic shape-memory
ceramics
Some transition metal oxides undergo paramag-
neticferromagnetic, paramagneticantiferromagnetic
transformation, or orbital orderdisorder transitions
and the reversible transformations are also accom-
panied by recoverable lattice distortions. In the tetra-
gonal manganite spinels Mn
V
(Zn, Cd)
V
Mn
`
O
"
[153, 154] and in the non-stoichiometric orthoman-
ganites RMnO
`>V
(R"Nd, Sm, Eu, Gd, Tb, Dy) [155],
the orbital ordered and disordered phases coexist
in a wide temperature interval, and short-range
ferromagnetic (or antiferromagnetic) ordering or
JahnTeller phase transitions may take place,
resulting in a shape-memory eect. Because, most
of the manganites are antiferromagnets and their
Ne el temperatures are very low, spontaneous
magnetization of the compounds is only achievable
at very low temperatures. As a result, the eects of
magnetic eld on the transformation and ferromag-
netic shape-memory eect in the compounds are less
investigated.
2.3. Shape-memory polymers and gels
Shape-memory polymers (SMPs) were introduced in
1984 in Japan, and have since gained much attention
in Japan and in the United States [156, 157]. It is well
known that polymers exist in a rubbery state at higher
temperatures and in a glassy state at lower temper-
atures. Owing to the lower rubbery modulus, poly-
mers can be subjected to a very large deformation at
higher temperatures. Because the glassy modulus is at
least two orders of magnitude times the rubbery
modulus, the stored elastic stress is not large enough
to drive the reverse deformation in the glassy state as
the load is removed. As a result, the deformation can
be frozen in the glassy state on quenching or after
cooling under load to the lower temperatures. Usu-
ally, ordinary polymers cannot completely restore
their residual inelastic deformation upon reheating to
the rubbery state. In contrast, shape-memory poly-
mers can recover almost all the residual deformation.
These polymers typically consist of two phases, name-
ly xed phase and reversible phase. Amongst them, the
polynorborene, the trans-isopolyprene and the styrene
butadiene copolymer were the rst few polymers re-
ported to exhibit shape-memory eect. However, the
commercial application of the early-developed shape-
memory polymers were much limited because of their
undesirable properties, namely a narrow range of glass
transition temperature,

, and poor processibility

[157159].
More recently, segmented polyurethane thermo-
plastic polymers have received intensive attention
[156160]. They are usually polymerized from
diphenylmethane diisocyanate (OCNRNCO) and
polycaprolactone diols (HOROH), with butanediol
(HOROH) as chain extenders. The polyurethane
are thus basically multiblock copolymers consisting of
alternating sequences of soft segments with molecular
3749
H[O(CH
`
)
`
CO]
"
OROOCHNRNHCOOROOCHNR
(soft segment, polyol) (hard segment, diisocyanate#extender) (3)
weight 100010000, and hard segments which are built
from diisocyanates and extenders, as follows [161]
In the polyurethane, the hard segments aggregrate
and form the physical cross-linking points through
polar interaction, hydrogen bonding, and crystalliza-
tion. Such cross-linking points cannot be broken at
temperatures below 393 K [162]. Meanwhile, the soft
segment domains form the reversible phase and the
observed shape-memory eect is due to the molecular
motion of the soft segments. Depending on the mo-
lecular weight of the soft segment, the molar ratio of
the soft segment to hard segment and the manufactur-
ing procedure of the resins, the static and dynamic
properties of the polymers are easily controlled, and the
shape-recovery temperature can be freely tailored in the
range of roomtemperature $50K to meet the require-
ments of a specic application. Moreover, the seg-
mented polyurethanes have improved processability,
can be processed using conventional techniques includ-
ing injection, extrusion, blow moulding and solution
coating to contain complicated shapes. Because the
cross-link in the polyurethane is not chemical, the
SMPs have excellent chemical properties. They do not
dissolve in any acid or base. In soaking tests in water,
gasline and detergent solution, they demonstrated fairly
good chemical resistance. After long time (300 h) sun-
shine exposure, negligible change in properties such as
modulus was observed [158]. Also, the materials ex-
hibit excellent medical bio-compatibility [159].
The typical value of the elastic modulus of the
SMPs is about 827 MPa (120;10` p.s.i.) in their
glassy state and 2 MPa (300 p.s.i) in their rubbery state
[158]. In some SMPs, the modulus ratio of the glassy
state to the rubbery state may exceed 500. As regards
shape-memory capacity, strains of more than 400%
can be recovered in the materials. SMPs also demon-
strate visco-elastic behaviour: their internal loss factor
can be as high as 0.51.0 at their glass transition
temperatures, and their stress-strain curves are greatly
aected by strain rate [158]. The structureproperty
relationships and the thermomechanical behaviour of
the polyurethane have been systematically examined
by several researchers [158166]. The negative aspect
of the SMPs may be their low recovery force. When
small amounts of stress ((4 MPa) are applied to the
polyurethane components, the shape-recovery prop-
erty is lost. Therefore, the SMPs are usually used in
the cases where only free recovery or very low recov-
ery force and mechanical strength are addressed.
Nevertheless, SMPs have several distinct advantages
such as low density (1.01.3;10` kg m`), high shape
recoverability (maximum strain recovery '400 %),
easy processability, transparent (hence can be col-
oured), and economical, compared with SMAs. With
on-going elaborations on improvement in their mech-
anical properties, the shape-memory polymers are ex-
pected to nd more applications.
During the last decade, many contractile polymeric
gels, namely intelligent gels, have been developed
[167170]. These gels consist of an elastic cross-linked
network and a uid ling the interstitial space of the
network, and therefore can easily change their size and
shape and in turn result in a shrink or swell in re-
sponse to innitesimal changes in environmental con-
ditions such as temperature, light, ion, pH, solvent
concentration, biochemical element, small electric
eld and stress, depending upon the precise structure
of the gel and the chemical composition of the solvent
and gel [168, 169]. They are a unique chemomechanical
system that is capable of conversion between chemical
energy and mechanical work. By undergoing phase
transitions which are accompanied by reversible, con-
tinuous or discrete volume changes by three orders of
magnitude, the gels can provide actuating power capaci-
ties comparable to that of human muscles [171, 172].
Moreover, the soft materials exhibit such a pliant move-
ment that is usually observed only in the natural biolo-
gical systems [167]. Through spatial modulation of the
chemical nature of gels, smart gels with shape memory
eect, and composite gels which are responsive to
multi-stimuli can be synthesized [172, 173]. The main
shortcomings of the gels are their undesirable chem-
ical hysteresis and mechanical hysteresis.
3. Basic phenomena: phase
transformations
3.1. Thermally induced transformations
The shape-memory alloys and ceramics undergo diu-
sionless martensitic transformations on cooling be-
yond critical temperatures, M
'
, which are dependent
upon alloy composition, processing procedures and
thermal/mechanical treatment conditions. The phase
transformations between the high-temperature parent
phase and the low-temperature martensite in most of
the SMAs (excluding some iron-based alloys) are ther-
moelastic [13, 18]. In the binary TiNi and some
TiNi-base ternary alloys, a second order-like R-phase
transition occurs, while in most of the other |-phase
SMAs, the nearest-neighbour (B2) and second nearest-
neighbour (D0
`
, L2

) atomic ordering transitions

will take place, prior to the formation of the long
period stacking order martensite structures. These
transitions either have their own potentials to be util-
ized separately or have an important eect on the
subsequent martensitic transformations [26, 40, 174].
In SMPs, a glass transition occurs between the high
temperature rubber state and the low-temperature
solid state across a narrow transformation bandwidth
(1030 K). Almost all the phase transitions in poly-
meric gels show a strong temperature dependence, and
the so-called light-induced phase transitions in some
gels are, in fact, thermally induced transitions
[168, 169]. The ferroelectric and the ferromagnetic
3750
Figure 4 DSC curves showing the transformations in the () wide
hysteresis Ti
"`
Ni
"`
Nb
"
and () ) narrow hysteresis Ti
`"
Ni
``
Cu
``
shape-memory alloy.
shape-memory ceramics will undergo the paraelec-
tricferroelectric (or antiferroelectric) transformation
and the paramagneticferromagnetic (or antiferro-
magnetic) transformation on cooling through the
Curie (or the Ne el) temperature, respectively. Both
states of long-range and short-range chemical or mag-
netic atomic order in the materials may play an im-
portant part in the behaviour of the materials.
Because the martensitic transformations in the ma-
terials are of the rst-order type, the forward trans-
formation and the reversion exhibit an exothermic
heat and an endothermic heat (transformation en-
thalpy), respectively. As a result, a thermal hysteresis,
which depends on the material composition and
microstructure, exists between the forward and the
reverse transtition, ranging from several Kelvin to
more than 100 Kelvin. Besides the transformation
temperatures, the transformation enthalpy and the
hysteresis are two important factors of concern in
materials design and engineering applications. For
instance, the SMAs with narrow hysteresis, such as
TiNiCu and MnCu alloys, are desirable for rapid
and precise actuation control, whereas the alloys with
large transformation enthalpy and wide hysteresis,
such as TiNiNb and some iron-base alloys, are
suitable for coupling or fastening applications.
Fig. 4 shows the dierential scanning calorimetry
(DSC) curves demonstrating the forward and reverse
martensitic transformations in the narrow hysteresis
TiNiCu and wide hysteresis TiNiNb alloys. The
temperature-induced phase transitions which can be
tailored via composition design and processing
procedures enable the materials to have the native
capabilities of thermal sensing, and switch-on or
switch-o control.
At present, the most widely used smart materials are
piezoelectric ceramics, electrostrictive ceramics, mag-
netostrictive materials and ferroelastic shapememory
alloys. Very interestingly, as noted by Newnham
[175], these materials have many features in common:
all of them have a cubic lattice at high temperatures
and undergo either a chemical or a ferromagnetic/
orbital ordering transition; when cooling to ambient
temperatures they all are poised near a morpho-
tropic phase boundary which is characterized by a dis-
placive transition accompained by signicant atomic
displacements and electromechanical coupling; more
importantly, they are all ferroic with active domain
walls which can be triggered by stress and elds.
Fig. 5 shows the phase diagrams of three prototypes of
smart materials: (a), piezoelectric Pb(Zr,Ti)O
`
, (b)
magnetostrictive (Tb,Dy) Fe
`
(Terfenol-D), and (c) fer-
roelastic CuZnAl SMA. Pb(Zr,Ti)O
`
has the ideal
cubic perovskite structure at high temperature. On
cooling below the Curie point, it converts from the
paraelectric state into a ferroelectric tetragonal phase.
Of more importance is the second transition from the
tetragonal to rhombohedral phase. Although both the
phases are ferroelectric, they have dierent poling
directions. Very large piezoelectric coupling between
electric and mechanical variables is obtained near this
phase boundary [175]. Terfenol-D is cubic and para-
magnetic at temperatures above 700 K; below the
Curie temperature it transforms into a rhombohedral
structure with magnetic spins aligned along 11112
direction. Like PZT, it is poised on a rhombohed-
raltetragonal phase boundary at room temperature,
with the spins ready to switch into the tetragonal
direction [176]. The CuZnAl alloy is also cubic at
high temperatures, with a B2 ordered structure de-
rived from disordered b c c. Like many Heusler alloys
it undergoes the second nearest-neighbour atomic or-
dering transition at

. Near room temperature, it is

poised on the phase boundary between the ordered
parent phase and the rhombohedral (or monoclinic)
martensite with an internally twinned substructure.
Generally, the martensitic transformations in most
SMAs are athermal transformations, but in some alloy
systems, under certain conditions such as applying
a stress or pressure, the athermal transformations can
change into isothermal transformations [177, 178].
From a thermodynamic point of view, the unstable
state of the materials poised near to the phase bound-
ary makes it possible to trigger or switch a trans-
formation by stress, eld as well as thermal stimuli for
the low-energy barrier. As a result, this metastability
ensures persistent disequilibrium over a wide range
and optimizes dynamic behaviour by staying on the
edge of rapid response [175]. To seek more desirable
morphotropic transitions and set the compositions
near the phase boundaries will be one of the guidelines
in the design of more smart materials. The recent
development of electric eld-induced shape-memory
ceramics has clearly demonstrated this point. Also, it
should be mentioned that at low temperature, all the
afore-mentioned materials have a crystal structure
with a lower symmetry than the cubic, such as rhom-
bohedral, monoclinic and tetragonal. This crystallo-
graphic feature can favour the domains associated
with dipoles and strains to orient or reorient along
certain directions, thus giving rise to a large displace-
ment. These remarkable similarities between the typi-
cal materials shed some light on the future
development of new smart materials.
3.2. Stress- and pressure-induced
transformations
The martensitic transformations in shape-memory
alloys and ceramics can be stress induced if only
3751
Figure 5 Phase diagrams of three prototypes of smart materials
showing some common features. (a) Piezoelectric Pb(Zr, Ti)
O
`
[212], (b) magnetostrictive (Tb, Dy) Fe
`
[176], and (c) ferroelas-
tic CuxZn10 at % Al shape-memory alloy (only a portion of
metastable phase diagram of interest is shown, estimated from
a modied BraggWilliams model). The arrows indicate the mor-
photropic phase boundaries and the compositions of the materials
in practical use.
proper stresses are applied at temperatures near the
parentmartensitic phase boundary. Experimentally,
it has been veried that both uniaxial tensile and
compressive stresses increase the martensitic trans-
formation temperature, M
'
, without regard to the
sense of external stresses and the kind of alloy systems
[179181]. The critical stress, (c
t
), to induce the mar-
tensitic transformation at a given temperature is
guided by the well-known ClausiusClapeyon
equation
dc
t
d
"
H

"
c
(4)
where H is the transformation enthalpy, c the
transformation strain, the molar volume and
"
is
the temperature at which the parent and martensite
phases are in equilibrium at zero stress. Generally, the
value of c
t
increases linearly with increasing temper-
ature. Fig. 6 shows the stressstrain curves at dierent
temperatures for a TiNi SMA and Ce-TZP SMM.
More systematic descriptions of the stressstraintem-
perature space can be demonstrated by the well-estab-
lished constitutive relations [182186]. The most
simple form of the one-dimensional SMA constitutive
equation is given by
c!c
"
"D(c!c
"
)#(!
"
)#(!
"
) (5)
where D is Youngs modulus, is the thermoelastic
tensor, is the transformation tensor, and c, c and
are the state variables for stress, strain and temper-
ature, respectively. (c, ) is the martensitic fraction.
The stress-induced martensitic transformations in
most SMAs (excluding some iron-based alloys) are
reversible when unloading, giving rise to a mechanical
shape memory: this eect is usually called pseudo-
elasticity. More importantly, the recoverable trans-
formation strain for most polycrystalline SMAs can be
as much as up to 8%, for some single-crystalline
SMAs may exceed 10% [13, 14, 18], resulting in
a very high elastic energy storage capacity.
The martensite phase consists of highly twinned
polydomains (martensite variants). There are 24 pos-
sible kinds of martensite variants in SMAs. The crys-
tallographic characteristics can be well described by
the phenomenological crystallographic theory of mar-
tensitic transformations [13]. When subjecting the
material in the matensite state to an applied stress, the
variants undergo a self-accommodating pattern of
shear-induced shrinkage, growth and reorientation by
detwinning, resulting in twin-induced inelastic strains
which can be described by some simple relations, as
established by Roytburd [187, 188]. Unloading from
the inelastic state may leave a residual strain, but it
can be recovered by heating the material to the parent
phase. This is the so-called shape-memory eect
(SME). The mechanism of the shape-memory eect
was overviewed in more detail by Miyazaki and Ot-
suka [13]. Besides the unique behaviour, heat-induced
formation of the parent phase generates a consider-
able recovery stress, which can be used for mechanical
actuation. The recovery stress is a function of pre-
strain and temperature (i.e. the volume fraction of
3752
Figure 6 Typical stressstrain curves at various temperatures for
shape-memory materials. (a) A Ti49.8 at % Ni shape-memory alloy
[13]; (b) a CeO
`
-stabilized tetragonal zirconia polycrystal (Ce-TZP)
shape-memory ceramic [127] () axial, (- - -) radial. In both the
materials the critical stress to induce the transformation shows
a remarkable increase with increasing temperature.
transformed phase), and can be experimentally deter-
mined or theoretically estimated from the constitutive
relations [182186]. Fig. 7 shows the measured recov-
ery stress as a function of temperature for a TiNi
alloy for dierent prestrains. Through thermo-
mechanical training, both one-way SME and two-way
SME can be achieved. These characteristics of
SMAs can be applied for actuation, shape or position
Figure 7 Recovery stress as a function of temperature and prestrain
for a binary TiNi shape-memory alloy [20].
control, impact or creep resistance and energy
conversion.
From a thermodynamic point of view, pressure, like
temperature, is an independent variable that can
change the free energy and thus phase state of a mater-
ial. It is well known that the Gibbs chemical free
energy, G, is dened as
G"H!S (6)
where is temperature, H and S are the enthalpy and
entropy of the system, respectively. Based on the rst
and second laws of thermodynamics, it can be easily
derived that
dG"dP!Sd (7)
where P is pressure and is volume. It is evident that
the free energy can be altered by varying either pres-
sure or temperature. At a given temperature, the in-
crease in pressure will increase the free energy of the
system. As a consequence, the system will tend to
transform into other phases that have a lower free
energy under the pressure, or, to decrease its volume
through contraction, which will change the electronic
structures and in turn the physical properties, and
thermodynamic state of the material. Pressure-in-
duced phase transitions have been observed in a very
wide range of materials. Of particular interest are the
reversible pressure-induced transitions, which may
implicate shape-memory eect. More recently, a mem-
ory glass exhibiting structural reversibility has been
discovered by Kruger and Jeanloz [189]. At 300 K,
both polycrystalline and single-crystal AlPO
"
be-
rlinite became amorphous when the pressure was in-
creased above 15 GPa. On reducing the pressure
below 5 GPa, they reconverted from the glassy state to
the crystalline state with the same orientation as the
original crystal, implying a memory capacity of the
crystallographic structure. Similar phase transitions
have been observed in GaAsO
"
and other quartz-like
structure [190, 191].
The eects of hydrostatic pressure on martensitic
transformations in some shape-memory alloys, in-
cluding CuAlNi, TiNi, FePt, FeNi, FeNiC,
FeNiMn and FeNiCoTi alloys have been
3753
systematically investigated by Kakeshita and co-
workers [192]. The M
'
temperature may be increased
or decreased with increasing hydrostatic pressure, de-
pending upon the volume change associated with the
martensitic transformation. If volume contraction oc-
curs in the transformation, as in CuAlNi, TiNi and
some iron-based alloys exhibiting thermoelastic trans-
formations, static pressures can induce the martensitic
transformation, and the M
'
temperature increases lin-
early with increasing pressure. On the other hand, in
ferrous alloys exhibiting non-thermoelastic trans-
formation, hydrostatic pressures decrease M
'
temper-
ature due to the volume expansion associated with the
transformation. Because the Invar eect introduces
additional volume changes in some ferrous Invar
alloys, the eects of static pressure on the martensitic
transformation are aected by the Invar eect. Although
the pressure-induced martensite is dened as stress-as-
sisted martensite, the morphology is, however, very
similar to that of thermally induced ones [192].
Martensitic transformations can also be induced by
dynamic pressures generated by intense shock waves.
A well-known example is that oriented graphite will
undergo a martensitic transformation to form dia-
mond under shock compression [193]. Shock-induced
martensites have been observed in TiNi SMAs,
FeMn, FeNi, FeNiC and other kinds of steel
[194197].
3.3. Magnetic eld-induced
transformations
In some |-phase and iron-based shape-memory
alloys, the paramagneticferromagnetic transitions or
magnetic ordering transitions occur at temperatures
above the start points of martensitic transformations.
In these alloys, the martensitic transformations may
be induced by applying magnetic elds. The eects of
magnetic elds on the martensitic transformations in
some ferrous alloys and steels have been extensively
investigated [198204]. It has been established that
the critical magnetic eld for inducing martensites and
the transformation start temperature obey to the fol-
lowing equation [202]
G(M
'
)!G()"!M()H!
1
2
_
"
H`
#c
ju
jH
HB (8)
where G(M
'
) and G() represent the dierence in
Gibbs chemical free energy between the austenite and
martensite phases at M
'
and temperatures, respec-
tively. M() the dierence in spontaneous magnetiz-
ation between the austenitic and martensitic states at
, H the magnetic eld, _
"
the high magnetic eld
susceptibility in the austenite phase, c
"
the trans-
formation strain, u the forced volume magnetostric-
tion and B the austenitic bulk modulus. The rst,
second and third terms on the right-hand side of
Equation 8 represent the energies due to the magneto-
static, high-eld susceptibility and forced volume
magnetostriction eects, respectively [202]. Generally,
a large dierence in magnetic moment between parent
and martensite phases facilitates the eld-induced
transformation, and vice versa. It has been found that
the martensitic transformations in TiNi and
CuAlNi shape-memory alloys are not aected by
magnetic eld because of their small dierence in the
magnetic moment between the parent and martensite
phases [202]. However, Kakeshita et al. [203] found
a magnetoelastic martensitic transformation in an
ausaged FeNiCoTi SMA. In the alloy, the marten-
sites are induced when a magnetic eld is applied and
revert to the parent phase once the magnetic eld is
removed. This kind of shape-memory alloy may be
utilized as a magnetically sensitive device as well as
a thermally sensitive one [202].
If the martensites are ferromagnetic, there also
exists the possibility of rearranging the martensite
variants by applying a magnetic eld. Because the
spontaneous strain in martensitic materials is com-
monly one order of magnitude larger than that of
giant magnetostrictive materials, the eld-induced
strain available from the materials is potentially much
larger than giant magnetostrictive materials [205207].
Fig. 8 schematically illustrates the magnetic eld-in-
duced deformation process in comparison with the
stress-induced martensite detwinning and electric-eld
deformation processes. In the ferromagnetic marten-
site, the magnetization vectors are aligned to the easy
magnetization direction in each twin variant. When an
external magnetic eld is applied, the magnetization
vectors will tend to turn parallel to the direction of the
external magnetic eld. If the martensite has a large
saturation magnetization and a favourable anisotropy
and the energy for twin-boundary motion is low,
which can guarantee some easy crystallographic axes
and low energy transformation paths, then the twin
variant will reorientate in the same way as in the
stress-induced detwinning. In certain conditions, the
twin boundaries will move back when the external
eld is switched o or a reverse eld is applied, result-
ing in magnetoelasticity and magnetosuperelastic-
ity [205211].
Experimentally, James and Wuttig [207] and Ullakko
et al. [208, 209] have evinced the eld-generated
movement of martensite domains and the remarkable
change of volume fractions in several ferromagnetic
alloys. Fig. 9 shows that for Fe
`"
Pd
`"
single crystals at
modest elds with a two-eld arrangement, strains of
up to 0.6% were obtained by applying a transverse
eld parallel to [0, 0.95, 0.31] at 256 K, with a xed
axial eld of 2300 Oe [207]. Meanwhile, the eld-
induced strains of nearly up to 0.2% along [0 0 1] in
unstressed crystals of the Heusler alloy Ni
`
MnGa
with magnetic elds of 8 kOe at 265 K were demon-
strated [208]. The low level of strains was due to the
fact that only a small fraction of variants was rear-
ranged by the eld. To achieve larger strains, the
magnetization energy and the anisotropy should be
sucient and favourable to induce the motion of all
the twin boundaries.
3.4. Electric eld-induced transformations
At ambient temperatures, the perovskites may have
either a ferroelectric or an antiferroelectric phase with
3754
Figure 8 Schematic illustration of the deformation processes in the ferroelastic, ferromagnetic, and ferroelectric materials. (a) Stress-induced
martensitic transformation by twinning and reorientation of martensite domains by detwinning, (b) magnetic eld-induced transformation
and reorientation of magnetic domains, (c) electric eld-induced AFEFE transformation and polarization of FE.
rhombohedral or tetragonal structure [175, 212]. As
mentioned above, the compositions of the ferroelectric
shape-memory ceramics are usually so selected that
the ceramics have an antiferroelectric structure but
they are close to the ferroelectric phase boundary, as
shown in Fig. 10. In this region, the antiferroelectric
can be transformed into the ferroelectric at high elec-
tric elds. Both the metastable AFE and FE phases
may coexist, rendering the forward switching
AFEFE under increasing eld and the backward
switching FEAFE under decreasing eld. The phase
stability of the phases can be predicted based on
a thermodynamic model [145]. The transformations
can also be approached within the constrained the-
ory established by James and Wuttig for ferromag-
netics [207]. Because antiferroelectrics do not display
any macroscopic polarization and very little strain is
achieved when applied at low electric elds, the
AFEFEtransformation and the subsequent poling of
the ferroelectric domains will cause mechanical
strains, as illustrated in Fig. 8c. Suppose the magni-
tude of the sublattice polarization remains essentially
unchanged during the transformation, then, according
to the two-sublattice model [146, 150], the spontan-
eous strain associated with eld-induced paraelectric
ferroelectric (PE-FE) transition is described by
c
"'
"QP`

(9)
while the spontaneous strain in the antiferroelectric
state, c
^''
, and the strain in the ferroelectric state
induced from the antiferroelectric by applying a eld,
c
''
, can be expressed, respectively, as
c
^''
"Q(1!)P`
^
(10)
c
''
"Q(1#)P`
'
(11)
where P
^
and P
'
are two-sublattice based polariza-
tions, P
'
is the eld-induced polarization, Q and are
3755
Figure 9 Magnetic eld-induced strains in a Fe
`"
Pd
`"
single-crystal
shape-memory alloy with two-eld arrangements. The solid lines
were measured at 290 K, with a xed axial eld at 2300 Oe and
variable transverse eld, no stress was applied. (- - -) Measured at
309 K, with a xed transverse eld at 2300 Oe and variable axial
eld, no stress was applied [207].
Figure 10 Phase diagram for Pb
""`
La
""`
(ZrTiSn)O
`
shape-mem-
ory ceramics [147, 150]. The shadowed area indicates the composi-
tion range wherein the antiferroelectricferroelectric transition can
be induced by applying a eld.
the electrostrictive coecients. Because, P`
^
"P`
'
, the
total eld-induced strains in an antiferroelectric crys-
tal, c
^'
, can be estimated as
c
^'
"c
''
!c
^''
"2QP`
'
"QP`

(12)
By comparing Equations 9 and 12, it is evident that
the strain is larger if the ferroelectric polarization is
Figure 11 Electric eld-induced transverse elastic strains at various
temperatures for the Pb
"""
Nb
""`
((Zr
"'
Sn
""
)
"""
Ti
""'
)
""`
O
`
shape-memory ceramic [146].
induced from an antiferroelectric state than if it is
induced from a paraelectric state because '1
[150]. Besides composition and eld strength, the
eld-induced strains show a strong temperature de-
pendence which can be described by the modied
ClausiusClaperon relation [145]
dE
d
"!
H
P
(13)
where E is the eld strength, the temperature, H
and P are the enthalpy and polarization change at
the AFEFE transitions, respectively. In addition,
other factors such as pressure, stress and the frequency
of the electric eld also aect the transformation and
the eld-induced strains [142, 146, 147, 150]. System-
atic descriptions of the static and dynamic responses
of the material can be approached by employing phe-
nomenological models based on rate laws [148]. Fig. 11
shows the transverse elastic strains induced by eld at
various temperatures in a Pb
"""
Nb
""`
((Zr
"'
Sn
""
)
W
Ti
W
)
""`
O
`
(y"0.06) ceramic.
Some phase transformations in polymers, gels or
inorganic substances can be activated by certain
chemical stimuli, resulting in so-called chemostrictive
eects which may implicate shape-memory capacity.
Further information on the phase transitions can be
found in some recent reviews [168, 169, 175].
3756
4. Inherent functions and adaptive
properties
The phase transformations in the shape-memory ma-
terials are accompained by remarkable or even drastic
changes in the physical and mechanical properties,
such as yield stress, elastic modulus, hardness, damp-
ing, shape recovery, thermal conductivity, thermal ex-
pansion coecient, resistivity, magnetic susceptibility,
exibility, vapour permeability, shape xity and di-
electric constant, enabling the materials to exhibit
some novel functions or making themadaptable to the
external changes in temperature, stress, magnetic or
electrical eld. In general, the following features or
inherent primitive intelligence of shape-memory ma-
terials may be utilized in various envisaged engineer-
ing approaches for smart systems:
1. sensing SMMs are sensitive to some environ-
mental changes such as thermal, stress, magnetic or
electric eld stimuli;
2. switch or control capacity the environmental
stimulus must reach to a critical value to trigger the
operation;
3. actuation SMMs can provide very large dis-
placements (superelasticity or pseudoelasticity) and
huge forces for actuation;
4. adaptivity various properties show remarkable
changes due to phase transformations;
5. memory and recovery the shape or other
changes are reversible and can be repeated;
6. energy storage and conversion a considerable
amount of energy can be stored, and thermalmechan-
ical, chemicalmechanical, magneticmechanical and
electricmechanical energy conversions may be
achieved;
7. damping most SMMs have high inherent speci-
c damping capacity due to the characteristic micro-
structures and phase transitions.
Table I summarizes some typical properties of bi-
nary TiNi shape-memory alloys, in the martensite
and parent-phase state. Because the properties are
sensitive to the alloy composition, processing para-
meters, testing methods and conditions, the recorded
data of the SMAs are largely scattered. The values
given in Table I are based on the report by Jackson
et al. [20], but modied according to the numerous
data resources obtained by various researchers during
recent years. The changes in the properties can be
utilized to achieve some adaptive functions such as
self-strengthening, self-relaxation or self-healing in en-
gineering structures. By incorporating the SMMs with
other functional materials or structural materials, it is
possible to tune or tailor the static and dynamic prop-
erties of the composites and structures. The engineer-
ing approaches in this area will be described in the
following paper [213].
5. Technical challenges and perspectives
Table II compares some selective features of shape-
memory material (TiNi SMA), piezoelectric ceramic
(PZT) and magnetostrictive material (Terfenol-D).
TABLE I Some typical properties of binary TiNi shape-memory
alloys
Melting point :1573K
Density 6.46.5 g cm`
Transformation temperatures 173390K
Transformation enthalpy 1.461.88kJ mol
Transformation hysteresis 2050
Recoverable strain
one-way-eect (8%
two-way-eect (5%
Recovery stress (500 MPa
Damping capacity, Q :10`
Ultimate tensile strength 8001100MPa
Yield strength
Parent phase 200800MPa
Martensite 70200MPa
Youngs modulus
Parent phase 5090 GPa
Martensite 1035 GPa
Shear modulus
Parent phase 1520 GPa
Martensite 3.55 GPa
Thermal expansion coecient
Parent phase 10.011.0;10' K
Martensite 5.88.6;10' K
Thermal conductivity
Parent phase 0.18 Wcm K
Martensite 0.086Wcm K
Electrical resistivity
Parent phase 70110 cm
Martensite 4070 cm
Magnetic susceptibility
Parent phase 2.73.0;10' e.m.u. g
Martensite 1.92.1;10' e.m.u. g
Among the smart materials, SMAs have the largest
output energy density, and can provide the greatest
displacements or strokes. However, shape-memory
materials do have some shortcomings to be overcome
before their engineering signicance is more widely
recognized in the industrial world. The problems ad-
dressed range from fundamental to engineering as-
pects: fabrication and processing of demanding high-
quality and low-cost materials; precise prediction and
modelling of the material behaviour and optimal de-
sign; controlling the microstructures and, above all,
tailoring some crucial technical parameters such as
characteristic transformation temperatures within de-
sirable range; clear understanding of the origins of
such issues as hysteresis, phase instabilities and ageing
eects, degradation and fatigue, etc. In addition to the
eorts to improve the even commercial materials, new
shape-memory materials with higher technical quality
should be designed and developed to meet the increas-
ing demand of the Hi-tech society. Of particular tech-
nical signicance are new shape-memory materials
that can provide large displacements, huge stresses
and exhibit superior dynamic response. This can be
approached in two ways. The rst route is to incorpor-
ate SMMs with other structural or functional mater-
ials to form hybrid composites which will benet from
individual component materials, thereby achieving
compromised but optimized overall performance of
the component materials system. For instance, the
main disadvantages of SMAs are their insuperior dy-
namic response and low eciency. Meanwhile, the
3757
TABLE II Comparison of characteristics of shape-memory alloys, piezoelectric ceramics and magnetostrictive materials as actuation
materials
Properties Shape-memory alloy Piezoelectric Magnetostrictive
(TiNi) (PZT) (Terfenol-D)
Compressive stress (MPa) :800 60 700
Tensile strength (MPa) 8001000 3055 2835
Youngs modulus (GPa) 5090 (P) 6090 (Y') 2535 (Y')
1035 (M) :110 (Y')' 5055 (Y")
Maximum strain :0.1 :0.001 :0.01
Frequency (Hz) 0100 120 000 110 000
Coupling coecient : 0.75 0.75
Eciency (%) 35 50 80
Energy density (kJ m`) 300600 :1.0 1425
modulus for constant electric eld
' modulus for constant electric displacement
modulus for constant magnetizing eld
modulus for constant induction eld
conventional piezoelectric or electrostrictive ceramics
have a superior dynamic response but their displace-
ments are quite small and most of them are very
brittle. Combining SMAs with piezoelectric or mag-
netostrictive materials, eld-activated smart com-
posites can be designed, which may generate a larger
displacement than conventional piezoelectric ceramics
or magnetostrictive materials and have an improved
dynamic response as compared to monolithic SMAs.
More recently, some pioneers have explored the tech-
nical feasibility of smart thin-lm heterostructures by
depositing the SMA thin lms on piezoelectric or
magnetostrictive substrates. However, the complexity
of the fabrication processing and the interface bonding
and dynamic coupling of dissimilar components re-
main tough issues for the composites [213].
The alternative is to improve the monolithic shape-
memory materials by employing new processing tech-
niques or to design a new generation of shape-memory
materials. The development of deposited thin-lm
shape-memory alloys, as we described above, is one of
the eorts directed to this objective. Also worth men-
tion are the recently developed porous shape-memory
alloys [214, 215]. Bulk TiNi alloys with dierent por-
osity, exhibiting superelasticity and shape-memory
eect, have been successfully manufactured via the
powder metallurgical route. The porous SMAs are
very desirable for some biomedical applications be-
cause the alloys have good biocompatibility and their
porous structure favours in-growth of living tissues
and rm xation. Naturally, it reminds us of bone
a typical biomimetic model. Bone is also porous;
moreover, it exhibits pyroelectricity and piezoelectric-
ity, and maintains the skeletal homeostasis and min-
eral homeostasis for the body [1]. After the model,
biomimetic articial bone materials based on the
porous SMAs and other advanced materials may be
developed. For instance, microballoons or microtubes
coated by some functional material layers can be
constructed in the porous SMAs which may provide
a suitable substrate or skeleton to grow heterostruc-
tures with certain intelligence.
In principle, the deformation of the polydomains in
the ferromagnetic and ferroelectric materials by ap-
plying external elds can be controlled just the same
way as the stress-induced deformation of the marten-
sites in ferroelastic SMAs. The next challenging
objective, therefore, is to explore new potentially com-
mercial materials wherein the martensitic-like trans-
formations and the reorientation of the domains can
be induced by magnetic elds or electric elds at
ambient temperatures. The design concepts and strat-
egies for nding new ferromagnetic and ferroelectric
shape-memory materials have been proposed [142,
205211]. In this aspect, the remarked common fea-
tures shared by several smart material systems, and
the successful development story of the giant mag-
netostrictive materials Terfenol-D [176, 216218]
may oer some clues or inspirations.
Acknowledgements
The authors thank Prof. J. Van Humbeeck of K. U.
Leuven and Mr J. Cederstrom, Scandinavian Memory
Metals, AB, for critical reading of the manuscript,
Professor R. D. James, University of Minnesota, and
Professor D. S. Grummon, Michigan State University,
for providing their papers prior to publication. One of
the authors (Z G W) wishes to acknowledge the Royal
Institute of Technology (KTH) for oer of a fellowship
to work at KTH.
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