A (Not So) Short Introduction To MEMS

A (not so) short
introduction
to MEMS
Franck CHOLLET, Haobing LIU
.
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Contents
Contents
1 Why MEMS?
1.1 What is MEMS and comparison with microelectronics . . .
1.2 Why MEMS technology . . . . . . . . . . . . . . . . . . .
1.2.1 Advantages offered . . . . . . . . . . . . . . . . . .
1.2.2 Diverse products and markets . . . . . . . . . . . .
1.2.3 Economy of MEMS manufacturing and applications
1.3 Major drivers for MEMS technology . . . . . . . . . . . . .
1.4 Mutual benefits between MEMS and microelectronics . . .
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2 Introduction to MEMS design

2.1 Physical scaling laws . . . . . . . . . . . . . . . . . . . . .
2.2 The principles of design and reliability . . . . . . . . . . .
2.3 MEMS design tools . . . . . . . . . . . . . . . . . . . . . .
2.4 Lumped elements modeling . . . . . . . . . . . . . . . . .
2.4.1 Block modeling . . . . . . . . . . . . . . . . . . . .
2.4.2 Open and closed-loop systems . . . . . . . . . . . .
2.4.3 Linear system and Laplaces transform . . . . . . .
2.4.4 Analogies and circuit modeling . . . . . . . . . . .
2.5 Dynamic analysis . . . . . . . . . . . . . . . . . . . . . . .
2.5.1 Time domain analysis with Laplaces transform . .
2.5.2 Frequency domain analysis with Fouriers transform
2.5.3 First-order model . . . . . . . . . . . . . . . . . . .
2.5.4 Second-order model . . . . . . . . . . . . . . . . . .
2.5.5 Effect of frequency on system response . . . . . . .
2.6 Advanced sub-systems modeling . . . . . . . . . . . . . . .
2.6.1 Multi-domain circuit elements . . . . . . . . . . . .
2.6.2 Non-linear sub-system dynamics . . . . . . . . . . .
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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3 How MEMS are made

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3.1 Overview of MEMS fabrication process . . . . . . . . . . . . . . . . 63
3.2 MEMS materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
5
CONTENTS
3.2.1 Crystalline, polycrystalline and amorphous
3.2.2 Materials properties . . . . . . . . . . . .
3.3 Bulk micromachining, wet and dry etching . . . .
3.3.1 Isotropic and anisotropic wet etching . . .
3.3.2 Dry etching . . . . . . . . . . . . . . . . .
3.3.3 Wafer bonding . . . . . . . . . . . . . . .
3.4 Surface micromachining and thin-films . . . . . .
3.4.1 Thin-film fabrication . . . . . . . . . . . .
3.4.2 Design limitation . . . . . . . . . . . . . .
3.4.3 Microstructure release . . . . . . . . . . .
3.5 DRIE micromachining . . . . . . . . . . . . . . .
3.6 Other microfabrication techniques . . . . . . . . .
3.6.1 Micro-molding and LIGA . . . . . . . . .
3.6.2 Polymer MEMS . . . . . . . . . . . . . . .
3.7 Characterization . . . . . . . . . . . . . . . . . .
3.7.1 Light Microscope . . . . . . . . . . . . . .
3.7.2 SEM (Scanning Electron Microscope) . . .
3.7.3 Contact probe profilometry . . . . . . . .
Problems . . . . . . . . . . . . . . . . . . . . . . . . .
4 MEMS technology
4.1 MEMS system partitioning . . . .
4.2 Passive structures . . . . . . . . .
4.2.1 Mechanical structures . .
4.2.2 Distributed structure . . .
4.2.3 Fluidic structures . . . . .
4.3 Sensor technology . . . . . . . . .
4.3.1 Piezoresistive sensing . . .
4.3.2 Capacitive sensing . . . .
4.3.3 Other sensing mechanism
4.4 Actuator technology . . . . . . .
4.4.1 Magnetic actuator . . . .
4.4.2 Electrostatic actuator . . .
4.4.3 Piezoelectric actuator . . .
4.4.4 Thermal actuator . . . . .
Problems . . . . . . . . . . . . . . . .
materials
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5 MEMS packaging, assembly and test

5.1 Assembly . . . . . . . . . . . . . . .
5.2 Packaging . . . . . . . . . . . . . . .
5.2.1 Encapsulation . . . . . . . . .
5.2.2 Hermetic encapsulation . . . .
5.2.3 Electrical feedthrough . . . .
5.3 Testing and calibration . . . . . . . .
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CONTENTS
5.3.1 Testing . . . .
5.3.2 Calibration .
5.3.3 Compensation
Problems . . . . . . . . .
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6 Challenges, trends, and conclusions

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6.1 MEMS current challenges . . . . . . . . . . . . . . . . . . . . . . . 205
6.2 Future trends in MEMS . . . . . . . . . . . . . . . . . . . . . . . . 206
6.3 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
A Readings and References
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A.1 Conferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
A.2 Online resources and journals . . . . . . . . . . . . . . . . . . . . . 210
A.3 Other MEMS ressources . . . . . . . . . . . . . . . . . . . . . . . . 211
B Causality in linear systems
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C Resonator and quality factor
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D Laplaces transform
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E Complex numbers
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F Fraunhofer diffraction
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F.1 Far-field diffraction . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
F.2 Bessel function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
G MATLAB code
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G.1 Bode diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
Bibliography
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Index
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CONTENTS
Chapter 1
Why MEMS?
1.1
What is MEMS and comparison with microelectronics
Micro Electro Mechanical Systems or MEMS is a term coined around 1989 by Prof.
R. Howe [1] and others to describe an emerging research field, where mechanical
elements, like cantilevers or membranes, had been manufactured at a scale more
akin to microelectronics circuit than to lathe machining. But MEMS is not the only
term used to describe this field and from its multicultural origin it is also known
as Micromachines, a term often used in Japan, or more broadly as Microsystems
Technology (MST), in Europe.
However, if the etymology of the word is more or less well known, the dictionaries
are still mum about an exact definition. Actually, what could link inkjet printer
head, video projector DLP system, disposable bio-analysis chip and airbag crash
sensor - yes, they are all MEMS, but what is MEMS?
It appears that these devices share the presence of features below 100 m that are
not machined using standard machining but using other techniques globally called
micro-fabrication technology.
Micro-fabrication makes the MEMS.
Of course, this simple definition would also include microelectronics and some
would do it in the broader microsystem term but there is a characteristic that
electronic circuits do not share with MEMS. While electronic circuits are inherently
solid and compact structures, MEMS have holes, cavity, channels, cantilevers,
membranes, etc, and, in some way, imitate mechanical parts.
This has a direct impact on their manufacturing process. Actually, even when
MEMS are based on silicon, microelectronics process needs to be adapted to cater
for thicker layer deposition, deeper etching and to introduce special steps to free
the mechanical structures. Then, many more MEMS are not based on silicon and
can be manufactured in polymer, in glass, in quartz or even in metals...
Thus, if similarities between MEMS and microelectronics exist, they now clearly
are two distinct fields. Actually, MEMS needs a completely different set of mind,
9
10
CHAPTER 1. WHY MEMS?
where next to electronics, mechanical and material knowledge plays a fundamental

role.
1.2
1.2.1
Why MEMS technology

Advantages offered
The development of a MEMS component has a cost that should not be underestimated, but the technology has the possibility to bring unique benefits. The
reasons that prompt the use of MEMS technology can be classified broadly in three
classes:
miniaturization of existing devices For example the production of silicon based
gyroscope which reduced existing devices weighting several kg and with a
volume of 1000 cm3 to a chip of a few grams contained in a 0.5 cm3 package.
using physical principles that do not work at larger scale A typical example is given by the biochips where electric field are use to pump the reactant
around the chip. This so called electro-osmotic effect based on the existence
of a drag force in the fluid works only in channels with dimension of a fraction
of one mm, that is, at micro-scale.
developing tools for operation in the micro-world In 1986 H. Rohrer and
G. Binnig at IBM were awarded the Nobel price in physics for their work
on scanning tunneling microscope. This work heralded the development of
a new class of microscopes (atomic force microscope, scanning near-field optical microscope...) that shares the presence of micromachined sharp microtips with radius below 50 nm. This micro-tool was used to position atoms
in complex arrangement, writing Chinese character or helping verify some
prediction of quantum mechanics. Another example of this class of MEMS
devices at a slightly larger scale would be the development of micro-grippers
to handle cells for analysis.
By far miniaturization is often the most important driver behind MEMS development. The common perception is that miniaturization reduces cost, by decreasing
material consumption and allowing batch fabrication, but an important collateral
benefit is also in the increase of applicability. Actually, reduced mass and size
allow placing the MEMS in places where a traditional system wont have been
able to fit. Finally, these two effects concur to increase the total market of the
miniaturized device compared to its costlier and bulkier ancestor. A typical example is the case of the accelerometer shown in Figure 1.1. From humble debut as
crash sensor, it was used in high added value product for image stabilization, then
in game controller integrated inside the latest handphones, until the high volume
and low price allowed it to enter the toys market.
1.2. WHY MEMS TECHNOLOGY
Helicopter toys
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Washing machine
Smartphone
NXT robot
HDD fall protection
200
2
Wiimote
Segway
Pedometer
200
7
Active
sub-woofer 1997
92
Camera
stabilization
19
Binoculars
Crash
stabilization
sensor
(Airbag)
1987
Figure 1.1: Increased use of accelerometers in consumer products.
However often miniaturization alone cannot justify the development of new

MEMS. After all if the bulky component is small enough, reliable enough, and
particularly cheap then there is probably no reason to miniaturize it. Microfabrication process cost cannot usually compete with metal sheet punching or
other conventional mass production methods.
But MEMS technology allows something different, at the same time you make the
component smaller you can make it smarter. The airbag crash sensor gives us
a good example of the added value that can be brought by developing a MEMS
device. Some non-MEMS crash sensors are based on a metal ball retained by
a rolling spring or a magnetic field. The ball moves in response to a rapid car
deceleration and shorts two contacts inside the sensor. A simple and cheap method,
but the ball can be blocked or contact may have been contaminated and when your
start your engine, there is no easy way to tell if the sensor will work or not. MEMS
devices can have a built-in self-test feature, where a micro-actuator will simulate
the effect of deceleration and allow checking the integrity of the system every time
you start the engine.
Another advantage that MEMS can bring relates with the system integration.
Instead of having a series of external components (sensor, inductor...) connected by
wire or soldered to a printed circuit board, the MEMS on silicon can be integrated
directly with the electronics. Whether it is on the same chip or in the same
package it results in increased reliability and decreased assembly cost, opening
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new application opportunities.

MEMS technology not only makes things smaller but often makes them better.
1.2.2
Diverse products and markets
The previous difficulty we had to define MEMS stems from the vast number of
products that fall under the MEMS umbrella since the first commercial products
appeared in 1973. The timescale in Figure 1.2 reveals the emergence of the main
successful MEMS products since that early time - and if it seems to slow lately, it
is only because we choose to show only those products that are here to stay and
have generally changed the market landscape, which takes a few years to prove.
2D optical switch (OMM)
Microphone (Knowles)
Mechanical sensors
Microfluidics
Optical MEMS
RF MEMS
Airbag accelerometer
(Sensonor)
2007
2009
1996
1987
1984
1973
Piezoresistive pressure sensor

(NS,Honeywell, Kistler)
1998
1999
2000
2001
2002
2003
2004
2005
Bolometer (Ulis)
3D optical switch (Lucent)
RF switch (Teravicta)
Silicon oscillator (Discera)
Thermal inkjet printer

(HP, canon)
...
Scanner for projector (Microvision)

Tunable lens (Varioptic)
Inhaler nozzle (Microparts)
Optical switch (Sercalo)
Lab-on-chip (Agilent/Caliper)
Micro-spectrometer (Microparts)
Gyroscope (Bosch)
Video projector (TI)
Figure 1.2: Timescale of MEMS products emergence.

The MEMS component currently on the market can be broadly divided in six
categories (Table 1.1), where next to the well-known pressure and inertia sensors produced by different manufacturer like Motorola, Analog Devices, Sensonor
or Delphi we have many other products. The micro-fluidic application are best
known for the inkjet printer head popularized by Hewlett Packard, but they also
include the bioMEMS market with micro analysis system like the capillary electrophoresis system from Agilent or the DNA chips.
Optical MEMS (also called MOEMS) includes the component for the fiber optic
telecommunication like the switch based on a moving mirror produced by Sercalo.
They also include the optical switch matrices that have not yet emerged from the
telecommunication industry bubble at the beginning of the 21st century. This
component consists of 100s of micro-mirror that can redirect the light from one
input fiber to one output fiber, when the fibers are arranged either along a line
(proposed by the now defunct Optical Micro Machines) or in a 2D configuration
(Lambda router from Lucent). Moreover MOEMS deals with the now rather successful optical projection system that is competing with the LCD projector. The
MEMS products are based either on an array of torsional micro-mirror in the Texas
Instruments Digital Light Processor (DLP) system or on an array of controllable
grating as in the Grating Light Valve (GLV) from Silicon Light Machines.
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RF MEMS is also emerging as a viable MEMS market. Next to passive components like high-Q inductors produced on the IC surface to replace the hybridized
component as proposed by MEMSCAP we find RF switches, silicon oscillators
(SiTime) and soon micromechanical filters.
But the list does not end here and we can find micromachined relays (MMR) produced for example by Omron, HDD read/write head and actuator or even toys,
like the autonomous micro-robot EMRoS produced by Epson.
Product type
Examples
Pressure sensor
Manifold pressure (MAP), tire pressure,

.
blood pressure..
Inertia sensor
Microfluidics
bioMEMS
Accelerometer, gyroscope, crash sensor...

Inkjet printer nozzle, micro-bio-analysis
systems, DNA chips...
Micro-mirror array for projection (DLP),

Optical MEMS / micro-grating array for projection (GLV),
optical fiber switch, adaptive optics...
MOEMS
High Q-inductor, switches, antenna, filRF MEMS
.
ter..
Others
Relays, microphone, data storage, toys...

Table 1.1: MEMS products example
In 2010 these products represented a market of a bit less than 9B, increasing by
almost 200% since 2002, with roughly 16% each for the traditional inkjet printer
nozzle and pressure sensor market, 33% in inertial sensors (accelerometers and
gyroscope), 12% each in projection display and microfluidics and the rest split
between RF MEMS, microphones, oscillators[2]... Of course the MEMS market
overall value is still small compared to the 300B IC industry - but there are two
aspects that make it very interesting for investors:
it is expected to grow annually at a 2 digit rate for the foreseeable future,
much higher than any projection for the mature IC industry market;
MEMS chips have a large leveraging effect, and in the average a MEMS
based systems will have 8 times more value than the MEMS chip price (e.g.,
a DLP projector is about 10 times the price of a MEMS DLP chip).
It should be noted that this last point has created large discrepancies between
market studies, whether they report the market for components alone or for devices. The number we cited above are in the average of other studies and represent
the market for the MEMS part alone (actually a somewhat fairer comparison with
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electronics industry where device price is considered would put the value of
the MEMS market to more than 70B).
1.2.3
Economy of MEMS manufacturing and applications
However large the number of opportunities is, it should not make companies believe that they can invest in any of these fields randomly. For example, although
the RF MEMS market is growing fueled by the appetite for smaller wireless communication devices, it seems to grow mostly through internal growth. Actually
the IC foundries are developing their own technology for producing, for example,
high-Q inductors, and it seems that an external provider will have a very limited
chance to penetrate the market.
Thus, market opportunities should be analyzed in detail to eliminate the false perception of a large market, taking into consideration the targeted customer inertia
to change and the possibility that the targeted customer develops by himself a
MEMS based solution! In that aspect, sensors seems more accessible being simple
enough to allow full development within small business unit and having a large
base of customers - in the other hand, an optical switch matrix is riskier because
its value is null without the system that is built by a limited number of companies,
which, most probably, also have the capabilities to develop in-house the MEMS
component...
Some MEMS products already achieve high volume and benefit enormously from
the batch fabrication techniques. For example more than 100 millions MEMS accelerometers are sold every year in the world - and with newer use coming, this
number is still growing fast. But large numbers in an open market invariably
means also fierce competition and ultimately reduced prices. Long are gone the
days where a MEMS accelerometer could be sold 10 a piece - it is now less than
2 and still dropping. Currently, the next target is a 3-axis accelerometer in a
single package for about 4, so that it can really enter the toys industry. And
dont expect that you will be able to ramp -up production and decrease prices
easily : many of the initial producers of MEMS accelerometers(e.g. Novasensor)
have not been able to survive when the price went south of 5 as their design could
not be adapted to lower production cost. New companies overtook them (e.g. ST
Microelectronics), with design aimed from the start at reaching the 1 mark...
Of course, there are a few exceptions to this cost rule. Actually, if the number
of unit sold is also very large, the situation with the inkjet printer nozzle is very
different. Canon and Hewlett Packard developed a completely new product, the
inkjet printer, which was better than earlier dot matrix printer, and created a new
captive market for its MEMS based system. This has allowed HP to repeatedly
top the list of MEMS manufacturer with sales in excess of 600M. This enviable
success will unfortunately be hard to emulate but it will be done again!
But these cases should not hide the fact that MEMS markets are often niche
markets. Few product will reach the million unit/year mark and in 2006 among the
more than 300 companies producing MEMS only 18 had sales above 100m/year.
15
Thus great care should be taken in balancing the research and development effort,
because the difficulty of developing new MEMS from scratch can be daunting
and the return low. Actually current customers expect very high reliability, with
<10 ppm failed parts for consumer products, and even <1 ppm for automotive
applications. As such, it is not surprising that a normal component development
time for automotive applications, as acknowledged by Sensonor, would be 2-3 years
and 2-3 years more if substantial process development is required... And it may
be worse. Although Texas Instruments is now reaping the fruit of its Digital Light
Processor selling between 1996 and 2004 more than 4 millions chips for a value now
exceeding 200m/year, the development of the technology by L. Hornbeck took
more than 10 years [3]. Few startup companies will ever have this opportunity
and dont be over-optimistic: when a prototype is done only 10-20% of the job is
done.
Actually it is not clear for a company what is the best approach for entering
the MEMS business, and we observe a large variety of business model with no
clear winner. For many years in microelectronics industry the abundance of independent foundries and packaging companies has made fabless approach a viable
business model. However it is an approach favored by only a handful of MEMS
companies and as it seems now, for good reasons.
A good insight of the polymorphic MEMS business can be gained by studying
the company MemsTech, now a holding listed on the Kuala Lumpur Mesdaq
(Malaysia) and having office in Detroit, Kuala Lumpur and Singapore.
Singapore is actually where everything started in the mid-90s for MemsTech with
the desire from an international company (EG&G) to enter the MEMS sensor
market. They found a suitable partner in Singapore at the Institute of Microelectronics (IME), a research institute with vast experience in IC technology.
This type of cooperation has been a frequent business model for MNC willing to
enter MEMS market, by starting with ex-house R&D contract development of a
component. EG&G and IME designed an accelerometer, patenting along the way
new fabrication process and developing a cheap plastic packaging process. Finally
the R&D went well enough and the complete clean room used for the development
was spun-off and used for the production of the accelerometer.
Here, we have another typical startup model, where IP developed in research institute and university ends up building a company. This approach is very typical
of MEMS development, with a majority of the existing MEMS companies having
been spun-off from a public research institute or a university.
A few years down the road the fab continuously produced accelerometer and
changed hands to another MNC before being bought back in 2001 by its management. During that period MemsTech was nothing else but a component manufacturer providing off-the-shelf accelerometer, just like what Motorola, Texas Instrument and others are doing.
But after the buyout, MemsTech needed to diversify its business and started
proposing fabrication services. It then split in two entities: the fab, now called
16
Sensfab, and the packaging and testing unit, Senzpak. Three years later, the company had increased its off-the-shelf product offering, proposing accelerometer,
pressure sensor, microphones and one IR camera developed in cooperation with
local and overseas university.
This is again a typical behavior of small MEMS companies where growth is fueled by cooperation with external research institutions. Still at the same time
MemsTech proposes wafer fabrication, packaging and testing services to external
companies. This model where products and services are mixed is another typical
MEMS business model, also followed by Silicon Microstructures in the USA, Colybris in Switzerland, MEMSCAP in France and some other. Finally, in June 2004
MemsTech went public on the Mesdaq market in Kuala Lumpur.
The main reason why the company could survives its entire series of avatars, is
most probably because it had never overgrown its market and had the wisdom to
remain a small company, with staff around 100 persons. Now, with a good product
portfolio and a solid base of investor it is probably time for expansion.
1.3
Major drivers for MEMS technology
From the heyday of MEMS research at the end of the 1960s, started by the discovery of silicon large piezoresisitive effect by C. Smith[4] and the demonstration of
anisotropic etching of silicon by J. Price[5] that paved the way to the first pressure
sensor, one main driver for MEMS development has been the automotive industry.
It is really amazing to see how many MEMS sensor a modern car can use! From
the first oil pressure sensors, car manufacturer quickly added manifold and tire
pressure sensors, then crash sensors, one, then two and now up to five accelerometers. Recently the gyroscopes made their apparition for anti-skidding system and
also for navigation unit - the list seems without end.
Miniaturized pressure sensors were also quick to find their ways in medical equipment for blood pressure test. Since then biomedical application have drained a
lot of attention from MEMS developer, and DNA chip or micro-analysis system
are the latest successes in the list. Because you usually sell medical equipment to
doctors and not to patients, the biomedical market has many features making it
perfect for MEMS: a niche market with large added value.
Actually cheap and small MEMS sensors have many applications. Digital cameras
have been starting using accelerometer to stabilize image, or to automatically find
image orientation. Accelerometers are now being used in contactless game controller or mouse.
These two later products are just a small part of the MEMS-based system that
the computer industry is using to interface the arid beauty of digits with our
human senses. The inkjet printer, DLP based projector, head-up display with
MEMS scanner are all MEMS based computer output interfaces. Additionally,
computer mass storage uses a copious amount of MEMS, for example, the harddisk drive nowadays based on micromachined GMR head and dual stage MEMS
1.4. MUTUAL BENEFITS BETWEEN MEMS AND MICROELECTRONICS17

micro-actuator. Of course in that last field more innovations are in the labs, and
most of them use MEMS as the central reading/writing element.
The optical telecommunication industry has fueled the biggest MEMS R&D effort
so far, when at the turn of the millennium, 10 s of companies started developing
optical MEMS switch and similar components. We all know too well that the astounding 2D-switch matrix developed by Optical Micro Machines (OMM) and the
3D-matrix developed in just over 18 months at Lucent are now bed tale stories.
However within a few years they placed optical MEMS as a serious contender for
the future extension of the optical network, waiting for the next market rebound.
Wireless telecommunications are also using more and more MEMS components.
MEMS are slowly sipping into handphone replacing discrete elements one by one,
RF switch, microphone, filters - until the dream of a 1 mm3 handphone becomes
true (with vocal recognition for numbering of course!). The latest craze seems to
be in using accelerometers (again) inside handphone to convert them into game
controller, the ubiquitous handphone becoming even more versatile.
Large displays are another consumer product that may prove to become a large
market for MEMS. Actually, if plasma and LCD TV seems to become more and
more accepted, their price is still very high and recently vendors start offering
large display based on MEMS projector at about half the price of their flat panel
cousin. Projector based system can be very small and yet provide large size image.
Actually, for the crown of the largest size the DLP projecting system from TI is
a clear winner as evidenced by the digital cinema theaters that are burgeoning
all over the globe. For home theater the jury is still debating - but MEMS will
probably get a good share at it and DLP projector and similar technologies wont
be limited to PowerPoint presentation.
Finally, it is in space that MEMS are finding an ultimate challenge and some
MEMS sensors have already been used in satellites. The development of micro
(less than 100kg) and nano (about 10kg) satellites is bringing the mass and volume advantage of MEMS to good use and some project are considering swarms of
nano-satellite each replete with micromachined systems.
1.4
Mutual benefits between MEMS and microelectronics
The synergies between MEMS development and microelectronics are many. Actually MEMS clearly has its roots in microelectronics, as H. Nathanson at Westinghouse reported in 1967 the resonant gate transistor [6], which is now considered
to be the first MEMS. This device used the resonant properties of a cantilevered
beam acting as the gate of a field-effect transistor to provide electronic filtering
with high-Q (see Example 4.1). But even long after this pioneering work, the
emphasis on MEMS based on silicon was clearly a result of the vast knowledge
18
on silicon material and on silicon based microfabrication gained by decades of research in microelectronics. Even quite recently the SOI technology developed for
ICs has found a new life with MEMS.
But the benefit is not unilateral and the MEMS technology has indirectly paid
back this help by nurturing new electronic product. MEMS brought muscle and
sight to the electronic brain, enabling a brand new class of embedded system that
could sense, think and act while remaining small enough to be placed everywhere.
As a more direct benefit, MEMS can also help keep older microelectronics fab running. Actually MEMS most of the times have minimum features size of 1 5 m,
allowing the use of older generation IC fabrication equipment that otherwise would
just have been dumped. It is even possible to convert a complete plant and Analog
Devices has redeveloped an older BiCMOS fabrication unit to successfully produce
their renowned smart MEMS accelerometer. Moreover, as we have seen, MEMS
component often have small market and although batch fabrication is a must, a
large part of the MEMS production is still done using 100 mm (4) and 150 mm
(6) wafers - and could use 5-6 years old IC production equipment.
But this does not mean that equipment manufacturer cannot benefit from MEMS.
Actually MEMS fabrication has specific needs (deeper etch, double side alignment,
wafer bonding, thicker layer...) with a market large enough to support new product line. For example, firms like STS and Alcatel-Adixen producing MEMS deep
RIE or EVGroup and Suss for their wafer bonder and double side mask aligner
have clearly understood how to adapt their know-how to the MEMS fabrication
market.
Chapter 2
Introduction to MEMS design
2.1
Physical scaling laws
The large decrease in size during miniaturization, that in some case can reach 1 or
2 orders of magnitude, has a tremendous impact on the behavior of micro-object
when compared to their larger size cousin. We are already aware of some of the
most visible implications of miniaturization. Actually nobody will be surprised to
see a crumb stick to the rubbed surface of a plastic rod, whereas the whole bread
loaf is not. Everybody will tell that it works with the crumb and not with the
whole loaf because the crumb is lighter. Actually it is a bit more complicated than
that.
The force that is attracting the crumb is the electrostatic force, which is proportional to the amount of charge on the surface of the crumb, which in turn is
proportional to its surface. Thus when we shrink the size and go from the loaf
to the crumb, we not only decrease the volume and thus the mass but we also
decrease the surface and thus the electrostatic force. However, because the surface
varies as the square of the dimension and the volume as the cube, this decrease in
the force is relatively much smaller than the drop experienced by the mass. Thus
finally not only the crumb mass is smaller, but, what is more important, the force
acting on it becomes proportionally larger - making the crumb really fly!
10
1
v = 1000
v/s=1.6
s = 600
v = 1 v/s=0.16
s=6
Figure 2.1: Scaling effect on volume, surface and volume/surface ratio.

To get a better understanding, we can refer to Figure 2.1 and consider a cube
19
20
CHAPTER 2. INTRODUCTION TO MEMS DESIGN
whose side goes from a length of 10 to a length of 1. The surface of the bigger
cube is 6 10 10 = 600 whereas its volume is 10 10 10 = 1000. But now what
happen to the scaled down cube? Its surface is 6 1 1 = 6 and has been divided
by 100 but its volume is 1 1 1 = 1 and has been divided by 1000. Thus the
volume/surface ratio has also shrunk by a factor of 10, making the surface effect
proportionally 10 times larger with the smaller cube than with the bigger one.
This decrease of volume/surface ratio has profound implications for the design of
MEMS. Actually it means that at a certain level of miniaturization, the surface
effect will start to be dominant over the volume effects. For example, friction
force (proportional to surface) will become larger than inertia (proportional to
mass hence to volume), heat dissipation will become quicker and heat storage
reduced: energy storage will become less attractive than energy coupling... This
last example is well illustrated by one of the few ever built micromachines, the
EMRoS micro-robot from Epson. The EMRoS (Epson Micro Robot System) is
not powered with a battery (which stores energy proportional to its volume and
becomes less interesting at small scale) but with solar cells whose output is clearly
proportional to surface.
Then of course we can dwell into a more elaborate analysis of nature laws and
try to see apart from geometrical factor what happens when we shrink the scale?
Following an analysis pioneered by W. Trimmer [7], we may describe the way
physical quantities vary with scale as a power of an arbitrary scale variable, s. We
have just seen that volume scale as s3 , surface as s2 and the volume/surface ratio
as s1 . In the same vein we may have a look at different forces and see how they
scale down (Table 2.1).
Force
Scaling law
Surface tension
s1
Electrostatic, Pressure, Muscle
s2
Magnetic
s3
Gravitational
s4
Table 2.1: Scaling of nature forces.

From this table it appears that some forces that are insignificant at large scale
becomes predominant at smaller scale. For example lets look at gravity. The
Newtons law of gravitation states that the gravity force between two bodies of
mass m1 and m2 separated by a distance r12 is given by
m1 m2
Fg = G0 2
r12
where G0 is the gravity constant. As the scale goes down, the mass depends on
volume, thus decrease by s3 , and the distance obviously by s, resulting in a scale
2.1. PHYSICAL SCALING LAWS
21
dependence of s3 s3 /(s1 )2 s4 . That is, gravity decreases by a factor 10,000 when

the scale is shrunk by 10, and thus will be relatively weak at micro-scale. However
a more favorable force will be the surface tension force, a line force, which decreases
as s1 making it an important (and often annoying for non-fluidic application) force
at micro-scale. The table also reveals that the electrostatic force will become more
interesting than the magnetic force as the scale goes down. Of course this simple
description is more qualitative than quantitative. Actually if we know that as the
size shrinks the electrostatic force will finally exceed the magnetic force, a more
detailed analysis is needed to find if it is for the scale of 100 m, 1 m or 10 nm. In
that particular case it has been shown that the prediction becomes true when the
dimensions reach a few m, right in the scale of MEMS devices. This has actually
been the driver behind the design of the first electrostatic motors by R. Howe and
R. Muller[8].
A more surprising consequence of miniaturization is that, contrary to what we
would think at first, the relative manufacturing accuracy is sharply decreasing.
This was first formalized by M. Madou [10] and it is indeed interesting to see
that the relative accuracy of a MEMS device is at a few % not much better than
standard masonry. Actually, if it is true that the absolute accuracy of MEMS
patterning can reach 1 m or below, the MEMS size is in the 10 m-100 m,
meaning a relative patterning accuracy of 1%-10% or even less. We are here very
far from single point diamond turning or the manufacturing of large telescope
mirror that can both reach a relative accuracy of 0.0001%. So, OK, we have a low
relative accuracy, but what does that mean in practice? Lets take two examples
for illustrating the issue. First consider a simple door hinge. The pivot of the hinge
need to fit very tightly in the barrel to avoid play in the door. With micromachining
such hinge will be almost useless because of the large play, compared to the pivot
size, it will introduce. Then, let consider the stiffness of a cantilever beam. From
solid mechanics the stiffness, k, depends on the beam cross-section shape and for
a rectangular cross-section it is proportional to
k=
E hw3
,
4 L3
(2.1)
where E is the elasticity modulus, h is the beam thickness, w its width and L its
length. For a nominal beam width of 2 m with an absolute fabrication tolerance of
0.2 m the relative accuracy is 10%. The stiffness for bending along the width
direction varies as a power of 3 of the width and will thus have a relative accuracy
of 30%. For a stiffness nominal value of 1 N/m, it means that the expected value
can be anywhere between 0.7 N/m and 1.3 N/m - the range indicates a potential
variation by almost a factor of two! If our design does not support this full range,
the yield of the device will be very low. In this particular case, we could improve
the relative accuracy figure by taking advantage of the mostly constant absolute
fabrication tolerance (here 0.2 m) and increase the beam width. For example, if
the beam width grows to 4 m we reduce the stiffness variation to 3 4/0.2 = 15%
- of course it also means doubling the beam length if we want to keep the same
22
spring constant.
2.2
The principles of design and reliability
Since the first days of pressure sensor development, MEMS designers have had
to face the complexity of designing MEMS. Actually if IC design relies on an
almost complete separation between fabrication process, circuit layout design and
packaging, the most successful MEMS have been obtained by developing these
three aspects simultaneously (Figure 2.2).
Process/
Material
Process
Device
Device
System /
Packaging
IC design
System /
Packaging
MEMS design
Figure 2.2: IC and MEMS design paradigms.

Actually MEMS fabrication process is so much intertwined with the device
operation that MEMS design often involve a good deal of process development. If
it is true that some standard processes are proposed by a few foundries (e.g, SOI
process, and 3 layer surface micromachining by MemsCap, epitaxy with buried
interconnect by Bosch...), there is in MEMS nothing as ubiquitous as the CMOS
process.
The success of the device often depends on physics, material property and the
choice of fabrication techniques. Actually some industry observers are even claiming that in MEMS the rule is One Product, One Process - and many ways to
achieve the same goal. Actually we are aware of at least five completely different
processes that are currently used to fabricate commercial MEMS accelerometer
with about the same characteristics and price - and for at least two companies the
accelerometer is their only MEMS product.
And what about packaging then, the traditional back-end process? In MEMS it
can account for more than 50% of the final product price and obviously should
not be ignored. Actually the designer has to consider the packaging aspect too,
and there are horror stories murmured in the industry where products had to be
completely redeveloped after trials for packaging went unsuccessful. The main issues solved by MEMS packaging are less related with heat dissipation than with
stress, hermetic encapsulation and often chip alignment and positioning. If chip
orientation for IC is usually not a concern, it becomes one for single-axis MEMS
accelerometer where the chip has to be aligned precisely with respect to the pack-
2.2. THE PRINCIPLES OF DESIGN AND RELIABILITY
23
age. This may imply the use of alignment mark, on the MEMS and in the package.
In other case the chip may need to be aligned with external access port. Actually
MEMS sensors often need an access hole in the package to bring air or a liquid
in contact with the sensing chip, complicating substantially the packaging. One
of the innovative approaches to this problem has been to use a first level packaging during the fabrication process to shield the sensitive parts, finally linking
the back-end with the front-end. Even for MEMS that do not need access to the
environment, packaging can be a complex issue because of stress.
MEMS often use stress sensitive structure to measure the deformation of a member
and the additional stress introduced during packaging could affect this function.
Motorola solved this problem with its line of pressure sensor by providing calibration of the device after packaging - then any packaging induced drift will be
automatically zeroed.
This kind of solution highlights the need to practice design for testing. In the
case of Motorola this resulted in adding a few more pins in the package linked
to test point to independently tweak variable gain amplifier. This cannot be an
afterthought, but need to be taken into consideration early. How will you test your
device? At wafer level, chip level or after packaging? MEMS require here again
much different answers than ICs.
Understandably it will be difficult to find all the competence needed to solve these
problems in one single designer, and good MEMS design will be teamwork with
brainstorming sessions, trying to find the best overall solution. MEMS design cannot simply resume to a sequence of optimized answer for each of the individual
process, device and packaging tasks - success will only come from a global answer
to the complete system problem.
An early misconception about MEMS accelerometer was that these small parts
with suspension that were only a few m wide would be incredibly fragile and
break with the first shock. Of course it wasnt the case, first because silicon is a
wonderful mechanical material tougher than steel and then because the shrinking
dimension implied a really insignificant mass, and thus very little inertia forces.
But sometime people can be stubborn and seldom really understand the predictive
nature of the law of physics, preferring to trust their (too) common sense. Analog
Devices was facing the hard task to convince the army that their MEMS based
accelerometer could be used in military system, but it quickly appeared that it had
to be a more direct proof than some equations on a white board. They decided
to equip a mortar shell with an accelerometer and a telemetry system, and then
fired the shell. During flight, the accelerometer measured a periodic signal, that
was later traced back to the natural wobbling of the shell. Then the shell hit his
target and exploded. Of course the telemetry system went mum and the sensor
was destroyed. However, the fragile sensing part was still found in the debris...
and it wasnt broken.
In another example, the DLP chip from Texas Instruments has mirrors supported
by torsion hinge 1m wide and 60nm thick that clearly seems very prone to failure.
24
TI engineers knew it wasnt a problem because at this size the slippage between
material grains occurring during cyclic deformation is quickly relieved on the hinge
surface, and never build-up, avoiding catastrophic failure. But, again, they had to
prove their design right in a more direct way. TI submitted the mirrors of many
chips through 3 trillions (1012 ) cycles, far more that what is expected from normal
operation... and again not a single of the 100 millions tested hinges failed.
Of course, some designs will be intrinsically more reliable than other and following
a taxonomy introduced by P. McWhorter, at Sandia National Laboratory [11],
MEMS can be divided in four classes, with potentially increasing reliability problems.
Class
Type
II
No moving
parts
Moving
parts,
no
rubbing and
impacting
parts
Example Accelerometer, Gyroscopes,

Pressure sen- Resonator,
sor, High-Q Filter...
inductor,
Inkjet nozzle...
III
IV
Moving
Moving
parts, im- parts, impacting
pacting and
surfaces
rubbing
surfaces
TI DLP, Re- Optical
lay, Valve, switch,
Pump...
scanner,
locking
system
Table 2.2: Taxonomy for evaluating MEMS devices reliability

By looking at this table it becomes clearer why developing the Texas Instruments DLP took many more years than developing accelerometer - the reliability
of the final device was an issue and for example, mirrors had originally a tendency
to stick to the substrate during operation. TI had to go through a series of major
improvements in the material and in the design to increase the reliability of their
first design.
2.3
MEMS design tools
As we have seen miniaturization science is not always intuitive. What may be true
at large scale may become wrong at smaller scale. This translates into an immediate difficulty to design new MEMS structure following guts feeling. Our intuition
may be completely wrong and will need to be backed up by models. However
simulation of MEMS can become incredibly complex and S. Senturia describes a
multi-tiered approach that is more manageable [14] as shown in Figure 2.3.
2.3. MEMS DESIGN TOOLS
25
System
DE
s
ti
ua
eq
PDEs
ric
Ge
o
m
et
am
a gr
l
-d i
de
ck
mo
FEM
Material
DB
cro
Process
blo
ma
state
on
Device
Physical
AD
TC
lumpe
de
red
le m
uc
ed
BEM -orde
r
t
en
s behavioral model
Figure 2.3: MEMS multi-tiered simulation (adapted from [14] and expanded).
Some simulation tools like Intellisuite by Intellisense or Coventorware by Coventor have been specifically devised for MEMS. They allow accurate modeling using
meshing method (FEM, BEM) to solve the partial different equation that describe
a device in different physical domains. Moreover, they try to give a complete view
of the MEMS design, which, as we said before, is material and process dependent,
and thus they give access to material and process libraries. In this way it is possible to build quickly 3D model of MEMS from the mask layout using simulated
process. However MEMS process simulation is still in its infancy and the process simulator is used as a simple tool to build quickly the simulation model from
purely geometrical consideration, but cannot yet be used to optimize the fabrication process. One exception will be the simulation of anisotropic etching of silicon
and some processes modeled for IC development (oxidation, resist development...)
where the existing TCAD tools (SUPREM, etc) can be used.
Complete MEMS devices are generally far too complex to be modeled entirely ab
initio, and they are first divided into sub-systems that are more manageable. First
they can be partitioned between a pure MEMS part and electronics, but they also
need to be considered as a mosaic of diverse elements: mechanical structures, actuator, sensor, etc. For example, the MEMS optical switch shown in Figure 2.4
without its control electronics can be divided into a set of optical waveguides, a
pair of electrostatic actuator, multiple springs and hinges, a lock and many linkage
bars. Then each of the sub-systems can be modeled using reduced order models.
For example, behavioral simulation is used with MEMSPro from MemsCap using
numerical simulation (ANSYS) to obtain elements characteristics and generate the
reduced model, which then is solved in a circuit-analysis software like Spice. Sugar
from C. Pisters group at UC Berkeley is also based on behavioral model with discrete elements, but the decomposition of the structure in simpler elements is left
to the designer. Still, although the actual tendency is to use numerical modeling
extensively, it is our opinion that no good device modeling can be devised without
a first analytic model based on algebraic equation. Developing a reduced order
26
Figure 2.4: MEMS optical switch composed of (red) optical waveguides (yellow)
hinges and lock (purple) springs and suspension (green) electrostatic actuator
(blue) alignment structure.
model based on some analytic expression help our intuition regains some of its
power. For example, seeing that the stiffness varies as the beam width to the cube
makes it clearer how we should shrink this beam: if the width is divided by a
bit more than two, the stiffness is already ten times smaller. This kind of insight
is invaluable. The analytical model devised can also be usefully for validating
numerical simulation, which in turn can be used to get detailed insight into the
device.
The system level simulation is often not in the hand of the MEMS designer
alone, but here block diagram can be used with only a limited set of key state
variable. The model may then include the package, the electronics, and the MEMS
part will be represented by one or more blocks, reusing the equation derived in the
behavioral model.
2.4
Lumped elements modeling
The exact internal (hear physical ) description of a complete microsystem is generally rather complex and time-consuming to fully handle for the designer. Except in
the the most simple cases where an analytical solution is existing for the complete
structure, modeling the continuous physical system is obtained by discretization.
Actually the description of the physical system requires the resolution of the partial differential equations (Maxwell, Newton, ...) of physics by dividing the system
in many sub-domains where the equation can be solved analytically or numerically
with ease. In this way, the complete continuous problem is replaced by a set of
2.4. LUMPED ELEMENTS MODELING
27
discrete problems, and we intuitively understand that the larger the size of this
set is, the closer the resulting discrete model will be from the physical model. As
such, in the FEM method, this approach is systematically applied to divide the
continuous system in small sub-blocks, yielding a large number of linear equation
that can only be solved numerically with the help of a computer.
However the discretization approach can be used with another strategy: instead
of blindly discretizing the complete structure, we can consider only its characteristics of interest and its behaviour. For example, if we have a cantilevered beam
submitted to a vertical force at its end as shown in figure 2.5, we can choose to
model its behaviour in a number of ways:
F
F
F
Figure 2.5: Modeling a continuous structure by discrete models: finite elements

and lumped element.
Solve the elastic model with the adequate boundary conditions for the continuous beam (it is here one of these rare cases where the solution is analytic
- but it is generally impossible)
Discretize it with a large number of sub-elements in which the solution of the
partial differential equation is trivial (and use a computer to get numerically
a complete solution)
Discretize it with a few lumped elements that capture only the principal
characteristics of the beam behavior (a spring extending in the force direction
with elastic constant k)
The last approach loose some of the detail of the device (What happen if the force
is sideway? The beam behaves as a spring but it also has a mass, how can we take
care of that?) it is a reduced order model but it often has the advantage to be
amenable to an analytic solution or at least to a simple enough model to be useful
during design, even if it requires numerical simulations for refining it.
The block and the circuit representation are two techniques that can be used
with lumped elements for complete system simulation, particularly for studying
their evolution with time, that is, their dynamic. If these two representations are
somewhat equivalent and can be used interchangeably to describe most systems,
the circuit elements modeling is usually preferred for sub-systems as it has the
advantage to be energetically correct and to intrinsically represent the reciprocal
28
exchange of energy between sub-systems. In the block diagram analysis, we follow

state variables representing more abstract variable of interest (the signal), which
may loose the underlying physics behind the behavior of the elements but becomes
simpler to use at system level, particularly to represent change of physical domain
(e.g. from electrical to mechanical, or from thermal to mechanical). In Figure 2.6,
damping - c
actuator - F
spring - k
.
x
mass - m
F +
-
-c
m
+
++
1/m
1/s
1/s
-k
k
Figure 2.6: Lumped element modeling of a translating micro-mirror using (left)

circuit and (right) block analysis.
we illustrate these two techniques by showing how a MEMS device can be analyzed
as lumped elements to simulate its behavior. The device is a 3D mirror erected
at the edge of a plate which is suspended at four corner over the surface of the
substrate and with an electrostatic linear actuator at the back. When the actuator
is powered, the mirror can mostly move along one direction (x) and we break down
the suspended structure in four lumped elements : an actuator with force F (t), a
spring with elastic constant k, a mass m, and a damper mainly linked to the air
flow around the structure with damping coefficient c. The model that we develop
is able to answer the simple question : what is the position of the mirror x as a
function of the actuator force F (t)? This can be solved by the two models, where
the different elements have been connected together, on the left as circuit elements
(resistor, capacitor, inductor and voltage source) and on the right as a series of
blocks.
We will see soon how these models can be built, but we shall start by using
them for the general description of the behavior at system level. The analytical
determination of the characteristics of the lumped elements (e.g. what is the
elastic constant k of the spring from geometry and material properties ?) is left to
Chapter 4. Actually, it should be noted that for obtaining these characteristics,
instead of using analytic formulas, it is generally possible to use numerical physical
simulation using static model. Then we use the extracted characteristics in the
lumped models to quickly obtain the dynamic of the system, a task that would
have been very difficult if direct numerical physical dynamic simulation would have
29
been performed. This hybrid method, tries to use the best of the analytical and
numerical approach and can be very efficient to model complex system, particularly
when the underlying physics is not fully understood by the designer.
2.4.1
Block modeling
If artistic drawings, like the beam in Figure 2.5, can be nice for a textbook introduction, it is obvious that the engineer needs another technique to represent
the elements inside such system. One method is to use block diagram, where each
components is represented by a box with an input and an output. Inside the box
we write the transfer function, that is the function that relates the input to the
output (Figure 2.7). In general the choice of the input and output variable is dic-
Input
x
Transfer
function
(y = h(x))
Output
y
Figure 2.7: Block representation of a system element.

tated by the system, and for a measurement system, as in Example 2.1, the input
of the first block should obviously be the measured quantity, the measurand. One
of the interest of block analysis is that the input and output variables need not belong to the same energy domain, as it is usually the case in circuit analysis. Thus
the block can represent easily complex coupled multiphysics sub-systems, like an
electrostatic actuator, simplifying the representation of the complete system.
Example 2.1 Describing a temperature measurement system using block diagram.
e consider a thermometer using a thermocouple and an amplifier. The
thermocouple deliver a voltage in the mV range that, in a wide temperature range, is linearly proportional to the temperature difference between the two
end of the thermocouple (note that as it is a temperature difference we may use
either Kelvin or degree Celsius). The proportionality constant is s the Seebeck
coefficient. This signal is then further amplified by a voltage amplifier of gain A
to give a usable value in the V range.
Temperature Thermocouple Voltage

T ( C)
VT (mV)
VT = s T
Amplifier
V = AVT
Voltage
V (V)
30
2.4.2
Open and closed-loop systems
In the system theory, the measurement system presented in the Example 2.1, is
called an open-loop system. This kind of architecture is typical for measurement
system, but control system will use closed-loop architecture. The function of such
system is to maintain a variable (e.g., temperature, speed, direction...) to a desired
value (e.g., 37 C, 1 m/s, 175 ...). Sensors are used there to measure the controlled
value or a related quantity and actuators to regulate it. Obviously, control systems
are everywhere, from the biologic system that adjusts the diameter of the pupil in
the eye for controlling the light intensity on the retina, to the lever system allowing
automatic leveling of water in the toilet flush!
In control system the output of the system is fed back to the input where an
error detector will sense any difference between the desired output and the actual
output and act accordingly to correct the error (Figure 2.8). Note that often
Error
detector
Error signal Forward path

Control signal
G = ye
e=xf
i
Output
y = Ge
Feedback signal
f = Hy
Feedback path
H = fy
Figure 2.8: A typical control system with a closed-loop architecture (feedback).

control system are open-loop because they just set the operating value but dont
use any sensor for correcting error. Although they are cheaper to fabricate and
simpler to design, they are progressively disappearing in favour of control system
with feedback.
The block diagram representation allows to perform simplification and for example the feedback system may be brought to the simpler form of Figure 2.9,
where only the input and output signals appear with one single transfer function.
Actually for the closed-loop diagram we have the following relationships:
y = Ge
e = xf
f = Hy
31
We combine the first and second equation

y = G(x f ),
and then replace the feedback value of f with its value giving
y = G(x Hy) y = Gx GHy
y(1 + GH) = Gx
y
G
=
x
1 + GH
Thus we can redraw the previous block diagram as shown in Figure 2.9. However
Input
i
Transfer
function
G
i
o = 1+GH
Output
o
Figure 2.9: Another block diagram representation of a linear closed-loop system.

although both diagrams are mathematically equivalent, this new configuration
(Fig. 2.9) is slightly less interesting. Actually, now we hide the detail of the implementation too much and it is not clear when we change the sensor what quantity
should be changed - whereas it is obvious in the original representation. Thus the
use of the simplification should not be abused in block diagram, and each block
should try to describe physical element - although computation will need simplification, the use of computer and software like MATLAB with its Simulink
module for example, wont require to explicitly perform the simplification.
The previous derivation and Example 2.2 have used an implicit hypothesis: the
transfer functions G and H are simple scalar, allowing to relate input and output
of the block by a simple product.
However the transfer functions are usually not simple real constant. For example, in the control system of Example 2.2, the controller used is a simple amplifier,
which is called a proportional controller. However, to improve the dynamic characteristics of the control system it would be beneficial to replace the proportional
controller by a PID (proportional-integral-derivative) controller, which use the
derivative and the integral of the error signal for the actuator. Moreover, we were
able to express the effect of the iris by a linear relationship between a voltage
and the open area, but what would happen for example for a RLC circuit were
the relationship between the voltage and the current is given by a set of integrodifferential equations?
Can we continue to use the simple algebraic manipulation to find the transfer
function of the system? In the next section we will see the Laplaces transform
that will help answer this question affirmatively!
32
Example 2.2 A model of the eyes iris

ets consider a simple model of the eye iris where a photodetector (PD)
collects all the light crossing an iris with variable aperture. The photovoltaic
cell used as the photodetector delivers a voltage proportional to the radiant flux
of the light VP = k with in W.
PD
I0
Iris
Controller
This voltage is compared in the controller to a reference voltage V0 , amplified and

connected to the iris control, whose aperture a change linearly with applied voltage
(a = cVI ). The relationship between the radiant flux and the aperture is given by
= aI0 , where I0 is the light intensity (in W/m2 ).
Error
detector
Error
Amplifier
e
A
Set-point
V0
Control
VI
Iris
cI0
Luminous
flux
Controller
Sensor voltage
VP
Photovoltaic
cell
k
The corresponding transfer function for the whole system is given by

AcI0
1+kAcI0
kAcI0
V0
G
1+GH
1/k which show that the radiant flux on the retina (PD) is independent of the value of the light intensity I0 if the gain is high, kAc
1.
2.4.3
33
Linear system and Laplaces transform
Generally the relationship between the output and the input (i.e. the transfer
function) is a complex non-linear function of both input and output changing with
time. If we restrict ourselves to the case of a single input-single output (SISO)
system, this relationship is expressed as,
y = f (x, t),
(2.2)
where x is the input, y the output and f an arbitrary function.

Hopefully, systems (and the blocks describing them) can often be modeled
as a linear system, which means that the output of the system depends linearly
with the input : if the input amplitude is two times larger, the output will also
increase by a factor of two. Another consequence is that if we have two signal
received simultaneously by the system, the output will be the sum of the output
that would have been obtained if the two signal had been measured one at a time.
For example, if we measure the light irradiance (or intensity) of two lamps with a
linear photodetector, we can either turn on the two lamps and record the reading
or turn one lamp after the other and add the two readings together, the result will
be the same1 .
Mathematically these two conditions are represented by:
f (x, t) = f (x, t)
(2.3)
f (x + x , t) = f (x , t) + f (x , t)
1
or equivalently
f (x1 + x2 , t) = f (x1 , t) + f (x2 , t)
(2.4)
Moreover if the system is linear and time-independent (i.e., its characteristics dont
depend noticeably on time at least during the time of observation2 ) the relationship between its input and output can be represented by a differential equation,
dn y
dn1 y
dy
dm x
dm1 x
dx
+
a
+
+
a
+
a
y
=
b
+
b
+
+
b
+ b0 x
n1
1
0
m
m1
1
dtn
dtn1
dt
dtm
dtm1
dt
(2.5)
3
with theoretically n > m. The sum m + n is called the order of the system.
The Laplaces transform gives a way to represent the differential equation 2.5
governing a physical system (e.g., the equation of the voltage in an electric circuit,
an
1
note that the eye is definitely not a linear detector (it follows more or less a logarithmic
function) and thus visually two lamps of equal intensity lit together wont create twice as much
luminosity (i.e. visual intensity)
2
it means that we neglect any drift effect, or treat it as a set of quasi-stationary systems
3
Actually we have used in the previous examples n = m. It is acceptable in punctual system
(i.e., system without spatial extension) as it is the case in lumped model (cf. Appendix B)
34
Example 2.3 Laplaces transform and block diagram in electric domain.

he RC circuit shown in the drawing below is also called a low-pass filter.
The relationship between the input and output voltage (the two state variables) may be found by looking at the current i flowing in the circuit.
vR
iR
vi
iC
vo
We have iR = vR /R = (vi vo )/R in the resistance, and iC = C dvo /dt for the
capacitor. Thus as iR = iC , the relationship between vo and vi becomes simply:
RC
dvo
+ vo = vi
dt
Using the table of Laplaces transform properties (Appendix D) we see that the
derivation correspond to a product by the Laplace variable s, and that the sum
remains a sum. Thus, in the Laplaces domain the previous equation becomes:
RCsVo + Vo = Vi
1
1
Vo
=
=
Vi
1 + RCs
1 + s
where = RC is called the time constant of the filter (with dimension of second).
Consequently the block diagram in the Laplaces domain (note the capital letters)
for this element can be represented by:
Vi
1
1+RCs
Vo
35
the mechanical response of a suspended mass...) by a simple algebraic equation

in s. Actually, with the Laplace transform, a time derivative becomes a simple
product by the variable s while integration with respect to time becomes roughly
a division by s. Thus, the transfer function for any block in the diagram will
keep an algebraic expression, and all the operation and simplification of the block
algebra will still be valid in the so called Laplaces domain, that is, after the
transformation obtained with the Laplaces transform, provided we have timeindependent linear systems.
Example 2.4 Laplaces transform and block diagram in mechanical domain.

nother example showing the versatility of this method of analysis is found
in a simple mechanical system analyzed with lumped elements, a mass and
a spring connected together to a frame. Here we will take as state variable the
displacement of frame x (the input) and the displacement of the mass y (the
output).
Spring (k)
Mass (m)
Neglecting the gravity effect, we write down the fundamental equation of dynamic
as:
d2 y
F = k(x y) = m 2
dt
Using again the table of Laplaces transform properties (Appendix D) we see that
the second order derivative correspond to a product by s2 . Thus, in the Laplaces
domain we have:
k(X Y ) = ms2 Y
Y
1
1
=
m 2 =
X
1+ ks
1 + s2 /n2
where n = k/m is the natural frequency of the mass-spring system. Consequently the block diagram in the Laplaces domain for this element is represented
by:
X
1
1+ m
s2
k
36

Formally speaking the Laplaces transform4 is given by
f (t)est dt,
L{f (t)} = F (s) =
(2.6)
but for the most common functions and operation (like derivation, integration, time
delay...) we may use table of transforms (Appendix D) that avoid repeating the
integration. We should note that usually the name of a function in the Laplaces
domain is written in upper case or block capitals (F (s)) and it uses the variable s.
2.4.4
Analogies and circuit modeling
As we have seen, for block analysis (and Laplaces transform), it doesnt matter
what physical effect is behind the system we are considering, because the behavior
of electrical, mechanical, thermal or even fluidic systems may be described by
similar differential equations. We have already seen in examples 2.3 and 2.4 that
electrical and mechanical systems give transfer functions (and differential equation)
of similar form. Then by inspecting the equations, we can see that the lumped
electrical elements behaves in the same way as the lumped mechanical elements.
They are said to be analogue systems.
Accordingly we give simple analogies for system made of lumped mechanical
(mass m, spring k, damper c), electrical (resistor R, capacitor C, inductor L),
thermal (thermal capacitance C and resistance R ) and fluidic (fluidic inductance
L and resistance R ) elements in Table 2.3.
Lumped element
Electrical
Mechanical
Thermal
Fluidic
Effort
Voltage
Force
Temperature
Pressure
Flow
Current
Speed
Heat flow
Flow rate
Capacitance
1/k
Inductance
Resistance
L
R
Table 2.3: Example of lumped elements analogies

It is to be noted that this is just a set of example but that the form of the
equation may be different if we take other state variables to describe the system
4
We described here the unilateral Laplaces transform where the integral starts in 0, and thus
is defined only for t > 0. Actually in Engineering all signals are causal - that is have an origin
in time - and thus the unilateral Laplace transform takes all its meaning. Bilateral transform
will start the integration at and allows, for example, for signals that started an infinite time
ago, not a real concern for practical case... An advantage of the unilateral transform is that the
value of the function at t = 0 can be used (for example when we apply the t-derivative theorem)
to set initial condition and solve more complex problems.
f
Passive
+
e
Lumped

Element
f
f
Active +
e
Lumped
Element
f
37
f1
f2
Lumped
e+2
e+1
Element
f1
f2
Figure 2.10: One and two port(s) lumped elements in circuit analysis.
(for example we could take the voltage instead of the charge, which will invert
the role of the capacitor and inductor) or if the elements are connected differently.
The right set of state variable could be dictated by the input and output of the
block used but there is a rationale behind the different analogies that makes some
more meaningful than other.
Actually, physical variables may be classified as effort and flow
variables. The effort variables follow the Kirchoffs voltage law
e3
+ + e4
(KVL), that states that their sum is zero along a closed path, like
voltage, pressure, temperature or velocity difference (note that e1 KVL

+ + e2
the effort variable has a direction indicated by + and signs, or
sometimes by an arrow placed beneath the circuit path).
+e1-e2-e3+e4=0
The flow variables follow the Kirchoffs current law(KCL), that
states that their sum is zero at a any node, like force, current, heat
f3 f4
flow, or flow rate (note that the direction of the flow variable is
KCL
indicated by an arrow on the circuit path). A physical analogy
f2
f1
(and not only a mathematical one, only based on the form of the
+f1-f2-f3+f4=0 differential equations) will take analog variables inside one class
only.
With these analogies in mind, it comes out that instead of
using block analysis, another representation of a system can be used: the circuit
analysis. In fact, as the internal signal is often an electric signal, it is interesting to
represent the rest of the system using a similar description: circuit elements, like
capacitor, inductance and resistor. A more fundamental point is that with block
analysis we follow the signal in one direction at a time only, whereas circuit analysis
intrinsically represents the reciprocal exchange of energy arising in transducers.
Actually, if the system receive energy from the environment, its presence will also
modify the environment.
Circuit elements will have one port (for effort or flow sources and for passive
elements) or two ports (for transformer, gyrator...). A port can be described as
a pair of terminals that shares the same flow variable (i.e. current), entering on
one terminal and leaving at the other. A different convention is used for passive
and active elements, where the flow direction is inverted with respect to the effort
across the terminal.
In this case, the analogies in Table 2.3 are energetically correct. This convention
38
associates the voltage of circuit to all the other effort variables and the current
to all the flow variables. Notice that in this case the product of the flow and
the effort variable has indeed the dimension of a power (and accordingly, the time
integral of the product, the dimension of energy), and thus could allow some sanity
check during modeling. The main problem encountered with circuit description
Example 2.5 Circuit modeling using analogies.
aking again the simple mass-spring mechanical system analyzed previously,
but with this time an additional external force F (t) applied on the mass.
Spring (k)
Mass (m)
F (t)
From Table 2.3, we find that the speed (x)

is the flow variable, thus as the mass,
the spring end and the external force share the same velocity, they share the same
flow and are thus connected in series. Moreover the spring of constant k becomes
a capacitance of value 1/k, the mass m becomes an inductance of value m and the
external force F (t) is an effort and it becomes a voltage source.
Thus the equivalent circuit becomes:
m
F (t)
1/k
is: how to connect the lumped elements together? This is solved by understanding
that elements that share the same effort are connected in parallel, while elements
sharing the same flow are connected in series.
We note that when we have the circuit-element model of our sub-system, instead of deriving the differential equation we may use impedances and Kirchoffs
laws to directly establish transfer function. Actually, in the Laplace domain, for
each passive circuit element the relationship between the voltage drop across one
port U (the effort) and the current I (the flow) can be written as :
U = Zi I
where Zi is the impedance of the element i.
For resistance we have,
ZR = R
2.5. DYNAMIC ANALYSIS
39
for capacitance,
ZC =
1
Cs
and for inductance,

ZL = Ls.
Then by applying Kirchoffs Voltage and Current laws as seen in Example 2.6
it becomes very simple to find the relationship between any voltage (effort) or
current (flow) variable in the sub-system and particularly, to establish its transfer
function.
Example 2.6 Establishing filter transfer function using complex impedance.
e revisit the case of Example 2.3 by using complex impedance. Actually
we have in Laplace domain:
Vo = VC =
IC
Cs
moreover, in the circuit, applying Kirchoffs voltage law we can write:

vi + vR + vo = 0
thus in Laplaces domain,
Vi = RIR + Vo IR =
Vi Vo
R
which can be replaced in the first equation as IR = IC ,

Vo =
Vi Vo 1
R Cs
giving the expected final relationship in Laplace domain without any differential
equation:
Vi
Vo =
1 + RCs
2.5
Dynamic analysis
In principle to obtain the dynamic response of a system (that is, its evolution with
time) we need to solve the differential equation that describes the system (eq. 2.5)
with the appropriate initial conditions.
However with the lumped element analysis using either block or circuit elements
we have simpler ways to deal with this problem5 . Actually, we will be using again
5
It could be noted that the lumped elements we use in our modeling are actually punctual
40
the Laplaces transform for studying the system dynamic in the time domain, or a
very close formalism, the Fourier transform, to study it in the frequency domain.
Actually, the dynamic study of a system can be accurately performed both in
the time domain (where the variable is t) or in the frequency domain (where the
variable is f or ).
2.5.1
Time domain analysis with Laplaces transform
With the Laplaces transform the tedious task of solving the differential equation6
is replaced by a lookup in a table of transforms (cf. Appendix D.2) and algebraic
manipulations facilitated by simple properties (cf. Appendix D.1).
The procedure can be summarized as follow:
First step using the properties of the Laplaces transform (Table D.1), transpose
the integro-differential equation of the system (t variable) to an equation
in the Laplaces domain (s variable), to obtain the transfer function of the
system;
Second step Transpose the input signal in the Laplaces domain using the table
of functional transform (Table D.2);
Third step Compute the output signal in the Laplaces domain by multiplying
the transfer function with the input signal;
Fourth step Transform back this subsidiary solution to the time domain using a
table of inverse Laplaces transforms (Table D.2). Before looking-up in the
table of inverse transform, it is better to perform some algebraic manipulation on the equation in s to bring it to a form consisting of a sum of simple
polynomial, whose inverse transforms are easily found in the table.
Although this procedure works for any input signal, we usually limit ourselves
to a few classes of typical signals. The most useful one is the step signal, that represents a sudden change in the input, and which is represented by a step function:
x(t)
0 if t < 0
u(t) =
1 if t > 0
elements: we neglect their spatial extension and accordingly the time for the signal to travel
through one element is completely ignored. The dependence of the response of a system with
time is of another nature, linked with the existence of energy storage elements that requires time
to be charged or discharged.
6
Laplaces transform method works both for ordinary differential equations (ODE) and partial
differential equation (PDE), but we will see here only the simpler problems, described by the
former.
41
As we can see from the table D.2, the Laplaces transform of this function is
very simple,
1
U (s) = L(u(t)) = .
s
The response of a system to the step signal is simply called the step response as
in Example 2.7, and it gives a good insight on how quickly the system will react
when there is a sudden change in the input (e.g., for an accelerometer it would
mean when a car crashes and the acceleration increases quickly).
2.5.2
Frequency domain analysis with Fouriers transform
However, the time domain analysis is generally not sufficient to get a good understanding of the properties of a system, and often the dynamic analysis is completed
by an analysis in the frequency domain. In frequency domain, the plot of a function versus frequency is called the spectrum of the function and we talk about the
spectrum of a signal or the spectrum of a transfer function.
To obtain the spectrum of the response, we need to compute the Fourier transforms of the transfer function and of the input signal. These computations are
again obtained easily with the Laplaces transform. The trick is even simpler
than for the time domain analysis7 : we need to replace in the function in the
Laplaces domain the s variable with j, where j is the complex imaginary unit
(i.e., j 2 = 1) and is the angular frequency of the signal (i.e., = 2f where f
is the frequency).
For any value of the frequency, the transfer function becomes a complex number
(H() = A()ej() ) whose amplitude A() is the gain (or amplitude ratio) and
whose phase () is the phase-shift induced by the transfer function.
Then, as we did in the Laplaces domain, we can obtain the spectrum of the
response to any input signal by multiplying the transfer function in frequency
domain by the spectrum of the input signal. The spectrum of the input signal is
again obtained by replacing the s variable with j in the Laplaces transform of
the signal8 . The resulting spectrum of the input signal is a complex quantity with
an amplitude and a phase and it can be represented by its amplitude spectrum
(the amplitude vs frequency) and its phase spectrum (the phase vs frequency).
Again, in the frequency domain there is a particular
A
X()
response that is more often studied, which is called the
1
sinusoidal steady state response. The sinusoidal steady
state response is the response of the system when the

input signal is an infinite sum of sinusoid of all frequencies
with equal amplitude and phase and after we have waited
long enough for the transient response to disappear. This particular input signal
has thus a constant amplitude spectrum over all the frequencies and a constant
7
Actually what we compute here is the Fouriers transform, that could be obtained directly
with integral or tables too - but as we already have the Laplaces transform this is a much
simpler way. Note that the transform is a complex quantity and a refresher in complex numbers
is provided in Appendix E
8
Actually we are again performing a Fouriers transform of the input signal.
42
Example 2.7 Response to a step signal for a low-pass filter

ets try to derive the output voltage of the previous low-pass filter when the
input voltage brutally change from 0 V to 10 V. We have already computed
in the previous example the Laplaces transform of the filter transfer function, and
we have found:
1
Vo
=
H(s) =
Vi
1 + s
We also need to transform in the Laplaces space the input signal. This signal is
a step function with amplitude 10 V, that is thus represented by, vi (t) = 10u(t),
where u(t) is the usual name for the step function (i.e., u(t) = 0 for t < 0 and
u(t) = 1 for t 0). We use the properties of table D.1 and then look in the
table D.2 to find that :
Vi (s) = L{vi (t)} = L{10u(t)} = 10L{u(t)} =
10
s
We compute the output voltage using simple algebra :

Vo (s) = H(s)Vi (s) =
10
1 10
=
1 + s s
s(1 + s)
Finally, we just need to transform back the solution to time domain:

Vo (s)
vo (t)
=
=
vo (t)
t>0
1/
1
1
10
= 10
= 10
s(1 + s)
s(1/ + s)
s 1/ + s
1
1
L1 {Vo (s)} = L1 10
s 1/ + s
1
1
10 L1
L1
s
1/ + s
10(1 et/ ) = 10u(t)(1 et/ )
The output of the circuit will never reach the final value but rises slowly towards
it asymptotically (we have 63% of the max value when t = ).
10
vi (t)
10
6.3
0
vo (t)
43
phase spectrum of 0 (see the amplitude spectrum in the inset9 ). To obtain the
corresponding response we need, as we just said, to multiply the transfer function in
frequency domain by the input signal spectrum it is of course trivial because the
spectrum of the input signal is constant and equal to 1. Thus the sinusoidal steady
state is actually simply H(j), that is, the Fouriers transform of the transfer
function. We note here that as the analysis is actually performed in frequency
domain we dont need to transform back the result as we did for the time domain
analysis with the Laplaces transform.
The sinusoidal steady state response (H() = A()ej() ) is a complex quantity, with an amplitude and a phase and it is customary to plot it as a function of
frequency in a pair of plots called the Bode diagram. On one plot, the amplitude
is plotted in decibel (20 log A()) and on the other the phase (()) is plotted in
degree. In both plots the horizontal axis is the frequency on a logarithmic scale,
allowing display of a wide range of frequency (e.g., from 0.1 Hz to 1 MHz)10 .
At the frequencies where the amplitude (or gain) spectrum is larger than 1,
the input signal is said to be amplified by the system, while when it is smaller
than 1 it is attenuated. The phase of the sinusoidal steady state response is also
a very important parameter of a system. For example, it is used to determine if
a closed-loop system is stable or not, that is, if it will start oscillating by itself or
saturate11 . Even with the Laplaces transform method, a general linear system of
order m + n is quite tedious to handle. It is thus advisable to try to simplify the
problem by lowering the order of the system using valid approximation.
If we remember Example 2.2, we have already used a crude approximation for
the photodetector transfer function by using a constant (VP = k), corresponding
actually to a model of zero order. It is valid only for slowly varying signals,
where the output can be considered to match the input instantaneously (i.e., at a
much larger speed than the time it take for the signal to change). Actually strictly
speaking, a zero order transfer function is not physical and a less crude model
for the photodiode will be using a first order model.
Actually the transfer function of many microsystems can be quite accurately
described by an equation of first (i.e, m+n = 1) or second (m+n = 2) order. This
happen even in complex system because there is often only one or two elements
9
How does such a signal with a constant frequency spectrum and phase look like? In the time
domain it is a pulse, that is a signal of very short duration and finite energy . Mathematically,
it is represented by the dirac function (t) whose Fouriers transform is of course... 1 constant
over the whole frequency spectrum as confirmed by Laplaces transform table.
10
Another often used representation of the sinusoidal steady state response is the Nyquist
diagram, where instead of plotting the amplitude and phase on two separate diagrams, we use
a parametric plot (f is the parameter) of the complex frequency response with the real part on
the X-axis and the imaginary part on the Y-axis.
11
Control theory tells that a closed-loop system is not stable if the signal fed back to the input
has been amplified (i.e., A 1) and is in opposition of phase (i.e., = 180 ) - such condition can
be observed directly on the Bode diagram. The very important problem of stability in closedloop system is beyond the scope of this course, but interested reader may refer to control theory
books.
44
Example 2.8 Sinusoidal steady state response of a low-pass filter

ets look again at the low-pass filter. We have already computed the
Laplaces transform of the filter transfer function, that is :
H(s) =
1
Vo
=
Vi
1 + s
To get the transfer function in the frequency domain we replace s by j and get :
H(j) =
1
1
1
=
j
=
ej arctan
2
2
2
2
1 + j
1+
1+
1 + 22
-10
-20
-20
Phase (o)
Amplitude (dB)
We have here extracted the amplitude (modulus) of the complex transfer function
and its phase using the properties of complex numbers (cf. Appendix E).
-30
-40
-50
0.01
1
0.1
10
Normalized pulsation wt
100
-40
-45
-60
-80
-90
-100
0.01
1
0.1
10
Normalized pulsation wt
100
Looking at the amplitude transfer function, it becomes obvious why such a circuit
is called a low-pass filter: it let the signal with low-frequency pass ( < 1 or
f < 1/(2RC)) and attenuates substantially the signal with higher frequency.
45
dominating its behavior. Of course, this is just an approximation and it will be

generally valid only for a limited frequency range, but it is important for obtaining
an insight in the behavior of complex systems and justify to study a bit more these
two types of systems.
2.5.3
First-order model
Typical example of microsystems that may be modeled using a first-order approximation are thermal sensors, certain chemical sensors, a photodiode, a seismic
sensor... and we have already seen a first-order transfer function in the example 2.7. In all this cases the inertia of the system (i.e., its ability to resist change)
is much larger than any other characteristics. Then, the relationship between the
input (x) and the output (y) is given in the time and the Laplaces domain by :
dy
dt
G
Y (s) =
X(s)
1 + s
y = Gx
(2.7)
(2.8)
where G is the static gain of the system (e.g., the sensitivity of a sensor or 1 in the
low-pass filter example) and is its time constant. The static gain is given by the
ratio between the input and the output after an infinite time has elapsed after
the input has changed - that is when the transient part of the signal at the output
has died out and dy/dt = 0. It is also simply the value of the transfer function
when the frequency of the input is 0 (G = H(0)).
Step-response
The step response of the first order system is given by:
ystep (t) = Gu(t)(1 et/ )
(2.9)
By observing the step response of the first order system in Figure 2.11 it appears
that waiting about > 7 is sufficient to obtain about 99.9% of the final response
(i.e., 1 e7 ).
This behavior will fix the speed of the system and thus will ultimately limit
the capability to follow the input at a high rate.
From the measured step-response of a system, we can retrieve the value of the
two parameters of the first-order model, the static gain and the time constant. The
static gain (G) is obtained as the value of the gain (the ration between the output
and the input) when the transient response has vanished, that is, after a long
enough time. The time constant can be obtained as the time for the output
to reach 63.5% of its maximum value (i.e., 1 e1 ). A more practical definition
for this quantity (avoiding difficulty to define signal level near the start and end
points exactly) uses the rise time of the system, which is defined as the time to go
from the 10% level to the 90% level. For first order system we have = trise /2.35.
46
y/G
1
0.9
0.5
0.1
Rise time
1
t/t
Figure 2.11: Step response (x(t) = u(t)) of a first order system.

Frequency response
The transfer function in the frequency domain of the first order system is given
by:
G
H(j) =
ej arctan = A()ej()
(2.10)
2
2
1+
10
15
20
-20
0,6
[]
A/G [1]
0,8
-40
0,4
-60
0,2
-80
0
-90
0
10
15
20
Figure 2.12: Plot of a first order transfer function (linear frequency scale)
Actually we have already seen this response in Example 2.8, but instead of
reproducing the Bodes plot here (with its logarithmic scales for frequency and
amplitude), we show in Figure 2.12 a linear plot, without using dB nor logarithmic
frequency scale. Still it should be understood that the two figures show exactly
the same data there is only a scale difference! The transfer function amplitude
remains almost constant when < 1/ . When = 1/ , the gain has been
47
divided by 2 (or decrease by about 20 log( 2) 3dB on the log plot). This
frequency fc = 1/2 , is called the cut-off frequency and at fc the phase shift is
exactly 45 (/4), which provide another mean to obtain the time constant of the
circuit.
For a frequency much larger than the cut-off frequency (i.e., f
fc or
1),
the transfer function amplitude becomes simply A() G/( ). Thus, when the
frequency is multiplied by a certain factor, the signal is divided by the same factor.
For example the signal is divided by 10 when the frequency is multiplied by 10
(i.e., on the log plot, the amplitude decreases by 20 dB per decade) or it is divided
by 2 when the frequency is multiplied by 2 (that is 6 dB per octave on the log
plot). In this frequency range the transmittivity (corresponding to the amplitude
of the transfer function) changes too rapidly usually preventing to use the system
predictably.
2.5.4
Second-order model
The next simplest model after the first-order model is the second-order model
where we have m + n = 2. Such model describes systems where there are two
inertial components of similar magnitude coupled together, or a transfer between
kinetic energy and potential energy. Typical example are (R)LC circuits, some
thermal sensor, most of the mechanical sensors (accelerometer, pressure sensor,
etc) or linear actuators... The general equation governing such system is given in
time and Laplaces domain by :
2
y = Gx 2 n dy 12 d 2y
dt
n dt
2
Gn
Y (s)
= s2 +2n s+2 X(s)
(2.11)
(2.12)
where G is the static gain, n the natural frequency and (pronounced zeta) the
damping ratio.
Using analogies, Table 2.4 shows the parameters of first and second order systems expressed using typical lumped elements existing in the different physical
domains.
Characteristic
Mechanical
c
2 km
1
LC
R C
2 L
1/k
c
4
k
RC
k
m
Electrical
Thermal
Rt Ct
Table 2.4: First and second order analog model.
48
Step-response
The step response of a second-order system is more complicated than for a firstorder one, and depends on the value of .
ystep (t) = Gu(t) 1 en t cosh
2 1n t +
sinh
2 1n t
(2.13)
The complicated expression does not give much insight, but we can study limiting
cases depending on the value of . When the damping ratio is very small (low
damping) we have,
<< 1
2 1 j ystep (t) = Gu(t) 1 en t cos(n t)
that is an oscillation of decreasing amplitude. In another extreme case, we consider

a large damping and we have
>> 1
2 1 ystep (t) = Gu(t) 1 en t
representing a slowly increasing response, similar to first order response. In the

middle we have the case = 1, where we get12 :
=1
2 1 = 0 ystep (t) = Gu(t) 1 en t (1 + n t)
This last case gives the fastest possible settling time without any overshoot or
oscillation. These three cases are schematically depicted in Figure 2.13. We show
in the Figure the typical terms used to describe the response: overshoot, settling
time and rise time. We have figured also the case where the oscillations and the
overshoot just disappear which is called a critically damped system. This happen
when the term 2 1 cease to be complex and becomes real, that is when 1.
Note that if it is possible to tolerate overshoot, the rise time may be shortened
by using a slightly under-damped system ( < 1). Usually over-damped systems
( > 1) are avoided, because they dont bring advantage over the two other cases
(still, a slightly over-damped system 1 may be useful to improve the robustness
of the system).
It can be noted that in an under-damped ( < 1) second order system, we
can easily retrieve different parameters of the model with the step response. The
static gain (G) is again obtained as the value of the gain (output/input) when
the transient response has vanished, that is after a long enough time. Then, the
natural frequency (n ) is roughly obtained from the period n of the oscillations
(cos n t term) as
2
n =
.
n
12
The simplest at this stage to obtain the function is to see that limx0 sinh(ax)/x = a using
limited development of the function close to 0
49
2% settling time
tn
Overshoot
y/G
1
0.9
Underdamped (z<1)
D
C
A
2% band
Critically damped (z=1)
Overdamped (z>1)
0.1
t
Rise time
Figure 2.13: Step response for a 2nd order transfer function with different damping
ratio < 1 (under-damped), = 1 (critically damped), and > 1 (over-damped).
Finally, the damping ratio is obtained by taking the ln of the ratio of the amplitude
of two consecutive oscillations. Actually the amplitude of the oscillation decreases
as en t , thus we have ln(A/B) = ln(B/C) = ln(A/C)/2 = /
yielding :
<0.3
1 2 ,
ln(A/B)/ or ln(B/C)/ or ln(A/C)/2 or ...

This first approximate expression is particularly useful because it needs only the
relative overshoot (B/A) (e.g., if the overshoot is 40% of the final amplitude we
have ln(0.4)/ 0.29). Note that if the overshoot is smaller than about
40% we should not use the approximate equation ( ln(A/B)/) but use the
exact expression with the square root given above.
Frequency response
For the frequency response, the equation is again much more involved than for a
first order model, but the Bode plot will revel its most important features. Again
we replace s by j in the Laplaces expression of the transfer function, and separate
the amplitude and phase part of the complex expression.
Gn2
H(j) =
2 + 2jn + n2
2/n
G
j arctan
1(/n )2
=
e
(1 2 /n2 )2 + (2/n )2
(2.14)
Using these formulas we may plot the Bode diagram using the MATLAB code
given in Annex G. In the plot of Figure 2.14 we have used the normalized pulsation
50

20
0.05 z
-40
-20
Phase (o)
Amplitude (dB)
5
-40
-80
-90
-120
-60
-80
0.01
0.05 z
1
0.1
10
Normalized pulsation w/wn
100
-160
-180
-200
0.01
1
0.1
10
Normalized pulsation w/wn
100
Figure 2.14: Bode diagram for a 2nd order transfer function with different damping
ratio = [0.05, 0.1, 0.3, 0.5, 1, 3, 5].
/n , a gain of 1 and we have varied the damping ratio between 0.05 and 5. The
main feature of the amplitude plot is the resonance phenomena that appears for
certain values of the damping ratio. We observe a marked increase of the transfer
function amplitude that appears around the natural frequency, and where the
output becomes larger than the input. The frequency where the transfer function
has its maximum is called the resonance frequency and can be found by looking
for the maximum of the amplitude term in eq. 2.14. This maximum is attained
when the denominator of the amplitude reaches a minimum, thus by equating the
derivative of (1 2 /n2 )2 + (2/n )2 with 0 and we find that the resonance
frequency is given by :
0 = n
1 2 2 for < 1/ 2.
(2.15)
At the same time we find that this maximum amplitude reached by the output
when = 0 is ymax = Gxmax /(2 1 2 ) (or simply ymax = Gxmax /(2) when
0.3) : the amplitude at resonance is multiplied by a factor 1/2. This may be
used to amplify the response of a system - but it is rarely used as it only works
for a limited band of frequency
and is hard to control.
The condition that < 1/ 2 in eq. 2.15 implies that for values larger than 1/ 2
there is no resonance : the amplitude does not increase above the value at = 0.
This can be easily proved, by using the value of 0 in the amplitude factor of
eq. 2.14, and by searching for which value of the resonance (i.e., the amplification)
51
disappears. We have:
G
(1
1
02 /n2 )2
1 2 2
+ (20 /n )2
2 2
>G
2
+ 2
1 2 2
<1
4 4 + 4 2 < 1
< 1/ 2
We can note that for 1/ 2 < < 1 there is no resonance in the frequency
response whereas the step response clearly shows an overshoot - although these
two phenomena are interrelated, there is no direct relationship. This shows that
we need to take care of too quick conclusions when we try to deduce the frequency
response from the step response (or the reverse), and that their careful individual
study is interesting!
Quality factor
There is another way to look at the resonance by using the concept of quality factor .
We have seen that high damping factor are associated with small resonance peak
or even no peak at all, and conversely low damping means a high resonance peak.
The damping of a system represents its loss to the environment, usually as heat,
and a system that has a large loss is understandably a low quality system. Thus we
also quantify the sharpness of the resonance using the quality factor, defined as the
maximum of the normalized frequency response amplitude, that is the frequency
response when = 0 :
1
1
Q=
2
2 1 2
However this definition of the quality factor does not give much more information
than the damping ratio, and is not very easy to measure practically as far from
the resonance the amplitude may be too small and lost in the system noise. A
more practical definition, valid for Q
1, is given by:
Q
n
0
2 1
2 1
G
where 1 and 2 are the frequency where the transfer function is 12 2
, that is,
the maximum of the transfer function divided by 2. As signal energy is proportional to the square of its amplitude, these two points correspond to frequencies
where the energy in the system has been reduced to half of the maximum energy
stored at resonance.
This definition is quite easy to apply and is used to define a quality factor and a
damping ratio, even when the system is not purely a second-order system.
52
Example 2.9 Experimental determination of the parameter of a second order

model.
nterestingly, if we measure and draw the Bode plot of a system that could
be modeled as a second order system, we may be able to easily find all the
characteristics (0 , , and G) of the model.
We have plotted in the figure the transfer function of a second order system, and
we directly get : G 5, f0 9.8 MHz, and f 1 MHz. From the last data
we obtain Q = 0 / = f0 /f 10. Thus the damping ratio for the system
is = 1/2Q 0.05. The differential equation governing this system may thus
be written as : y 5x 108 dy/dt 1014 d2 y/dt2 . Alternatively the system
could be represented by a RLC circuit with elements connected in series, and,
from Table 2.4 C = G, L 1/G02 , R 2/G0 .
f0
50
40
df
Amplitude (1)
50/ 2
30
20
10
G
0
0
10
Frequency (MHz)
15
20
2.5.5
53
Effect of frequency on system response
A good insight in the frequency limitation of a system is obtained with the Bode
plot. Actually the change of the amplitude and phase of the transfer function with
the frequency of the input signal means that the characteristics of the system will
vary with the frequency of the input signal! Meaning, for example, that a microsensor measuring two measurands with the same magnitude could return different
informations because the two measurands have different frequencies. This effect
is often difficult to compensate, thus usually systems are rated for a maximum
frequency above which the manufacturer does not warranty their characteristics
anymore.
Lets have a look at what it means for our typical systems, looking separately at
the limitations imposed by the amplitude and the phase change.
Gain distortion
The change in the amplitude of the transfer function place a limit to the range
of frequency where a system will keep its accuracy. To understand the problem
we will imagine that we have a photodiode, modeled here as a first order system
with cut-off frequency fc (fc = 2/ ), and that we need to compare two luminous
signals modulated at different frequencies. When one of the modulation frequency
is much smaller than fc the sensitivity of the sensor is about G, but if the frequency
is much larger than fc the sensitivity of the sensor approaches quickly 0, and the
sensor wont see the modulation at all! In this case a comparison between the
two measurements is barely possible, because the sensor will have different output
signal for signal that originally have the same amplitude, simply because they are
at different frequencies! Figure 2.15 illustrates this effect by using an input whose
spectrum has two frequency components, one at 0.5fc the other at 7fc . The two
frequency component have the same amplitude and the system transfer function
spectrum is representative of a first order system. In the output signal, the two
components dont have the same amplitude anymore, because the system did not
show the same gain at all frequencies. This results in wrong measurement, making
signal comparison almost impossible.
For a first order system, if we want to keep the change in gain smaller than
1% for all frequencies of operation, we need to have A() > 0.99A(0), where A()
is the amplitude of the transfer function H(j). Using the expression for A()
given in eq. 2.10 we find that this condition is fulfilled if f < 0.14fc : we thus need
to keep the operating frequency below 15% of the cut-off frequency to maintain
accuracy within 1%.
If the system is represented by a second order model, we may also try to find
an estimation of the maximum operating frequency to keep the gain error (or
distortion) within 1%. In Figure 2.16 we zoom in the previous Bode plot for
frequency smaller that the resonance frequency to obtain the information. We see
that if we want to keep the error within 1%, it is necessary to keep the frequency of
1
0,8
0,8
0,6
0,6
A/G
Amplitude [a.u.]
Output
Transfer function
1
Input
0,4
1
Amplitude [a.u.]
54
0,4
0,2
0,2
0,8
0,6
0,4
0,2
0
0
0
10
10
f [fc]
f [fc]
10
f [fc]
Amplitude
Figure 2.15: Measurement error induced by the limited bandwidth of a sensor.
1.05
1.04
1.03
1.02
1.01
1.00
0.99
0.98
0.97
0.96
5
0.95
0
z 0 0.3 0.5
0.6
0.656
0.707
1
0.2
0.4
0.6
0.8
Normalized frequency w/wn
Figure 2.16: Amplitude plot for a 2ndorder transfer function with different damping ratio = [0, 0.3, 0.5, 0.6, 0.656, 1/ 2, 1, 5].
the input below 0.1fn if the damping is very small (i.e., 0). When the damping
is large ( 1) the limitations becomes quickly even more drastic, allowing, for
example, a maximum operating frequency of only 2% of fn for = 5. In the
other hand, we see the interest of having a damping ratio around 0.7: it increases
significantly the bandwidth of the system. In this case the bandwidth (assuming
again that an error smaller than 1% can be tolerated) even exceed 50% of fn if
= 0.656.
System response will always benefit from a damping ratio around 0.7, even
if this may be difficult to implement in practice. It should be noted, that active structures may be used to circumvent this problem : for example using a
feedback loop and an actuator inside a micro-accelerometer may help to increase
the operating frequency up to the resonance frequency, even for systems naturally
55
badly damped. Of course, in that case the complexity of the system increases
substantially.
Phase distortion
In the previous section we have only considered the effect of the frequency on the
amplitude of the transfer function (i.e. the gain or sensitivity), however the phase
is also varying with the frequency and we may ask ourselves what is the effect
of this variation on the signal. This issue will affect first-order and second-order
systems but it will be more pronounced with second-order system because their
bandwidth (determined on amplitude consideration as above) may be larger that
for first order system, and because the maximum phase change is two times larger.
Actually if the input signal is a purely sinusoidal function of time, the change
in phase is not important because usually the phase of the output signal is not a
relevant factor. Thus even if the output phase varies with the frequency, the amplitude wont be affected causing no problem with systems where the information
is contained in the amplitude of the output signal.
However a problem arises when the signal has a complex time dependence. To
describe the reasoning we will consider a periodic input signal and a second-order
sensor, but the result holds for all kind of signal and systems as well. As the signal
is periodic, we may use the Fouriers decomposition to represent the input signal
as a sum of sinusoids, whose amplitude is obtained from the signal spectrum. For
example, as shown in Figure 2.17, the signal is decomposed as a fundamental and
its first harmonic at a frequency twice the fundamental frequency. For the sensor
we take 0.05 (small damping) and we consider that the signal fundamental
frequency is about f = 0.5n .
No phase distortion
Input
Fundamental
Linear
System
=0
Output
1st harmonic
Some phase distortion
Figure 2.17: Phase distortion effect.

From the plot of Figure 2.18 we see that the sinusoidal component at the
fundamental frequency will have essentially no phase shift, while the first harmonic
at 1 = n will experience a 90 shift. Neglecting the effect of amplitude distortion,
we plot the fundamental and the first harmonic on a time scale as in Figure 2.17
by remembering that = t. As the system is linear, we can use the so called
56
z 0
0.1
-10
Phase (o)
-20
-30
0.3
-40
0.5
-50
0.707
1
-60
-70
-80
-90
0.2
0.4
0.6
0.8
Normalized frequency w/wn
Figure 2.18: Phase plot for a 2nd order

transfer function with different damping
ratio = [0, 0.1, 0.3, 0.5, 0.6, 0.656, 1/ 2, 1, 5].
superposition theorem and the output is given by the sum of the two individual
responses given by each of the two sinusoidal components of the input signal. We
see that the output corresponding to the first harmonic is shifted by a quarter of
the period of the fundamental resulting in a large distortion of the output signal,
that doesnt look at all similar to the original signal!
For alleviating this problem in a system there are two possibilities, either all the
sinusoidal components of the input signal should experience no phase shift (noshift), or they should experience the same shift on the time scale (linear-shift).
The same shift on the time scale means that the phase shift has to be linearly
proportional to the frequency as we have
= t
= t t = /
If t = const
/ = const = const .
For the discussion we will only consider the component that have a frequency
smaller than the natural frequency ( n ), because the other components of
the spectrum would have a negligible amplitude as we have seen in the previous
section (the amplitude of the transfer function quickly drops after n ).
From the Figure 2.18, the no-shift condition is fulfilled for any frequency when the
damping ratio is very small (
1) or when the bandwidth is severely limited
n .
The linear-shift condition is approximately fulfilled when the damping ratio is
2.6. ADVANCED SUB-SYSTEMS MODELING
57
about 1/ 2. Actually looking at Figure 2.18 we see that we have 2 n ,

thus changes linearly with , just what we want.
In conclusion, we see that for a second order system it is very desirable to have
a damping ratio around 0.7, because it will simultaneously increase the bandwidth
of the system and decrease its phase distortion. In general, though, the effect of
phase distortion is less watched during design because high frequency signals suffering a large phase distortion will anyway see their amplitude heavily attenuated.
Moreover, one may notice by comparing the curves in Figure 2.16 and 2.18, that
the effect of a small change of around = 0.7 has much more impact on the
amplitude than on the phase. We may thus expect that it will be more difficult
to control exactly the gain than the phase distortion if we choose to place ourself
near = 0.7.
The simplest approach to control the effect of frequency on system response is
to severely limit the operation frequency with respect to the resonant or cut-off
frequency or equivalently to push these frequencies towards the higher end of
the spectrum.
2.6
2.6.1
Advanced sub-systems modeling

Multi-domain circuit elements
MEMS are very often multi-physics system working in more than one energy domain. Actually, many MEMS are used to transform energy in one energy domain
to another one and are called transducers. A typical example will be a motor, that
is a system that convert electrical energy to mechanical energy. But a microphone
would also be such a device, as it converts acoustic/mechanical energy to electrical
energy.
If this is true for a system it can also be found for simple elements in subsystems, that are used to convert energy between domains. The one port circuit
elements we have encountered earlier are intrinsically single domain, however the
two-ports elements (Fig. 2.10) can be used for describing elements that work in
two domains. One port will be used for connecting to other elements in a certain
energy domain (e.g., mechanical domain) while the other will be used to connect
to another domain (e.g. electrical domain).
Actually in its simplest form, a linear reciprocating13 multi-domain element is
a linear quadrupole. As such they can be represented with different impedances
in conjunction with a transformer, where the transforming ratio 1 : n actually
has the dimension suitable to link the effort and flow variables in both domains
(Fig. 2.19). When we work with transformer, we repeatedly make use of the
13
that is the transfer between energy domain is equal both way, which happens in any energyconserving (lossless) transducer
58

f1
i1 1:n i2
Z1 v1
e1
Z2
+
v2
-
f2
+
e2
-
Figure 2.19: Circuit model of a reciprocating linear multi-domain system.

relationships existing between the two effort variables at its two ports:
v2 = nv1
accordingly, because it is an energy conserving device and v1 i1 = v2 i2 , the two flow
variables are linked using
1
i2 = i1
n
Additionally the transformer has impedance transforming properties. Actually,
an impedance Z2 connected between the two terminals of the secondary of the
transformer, is seen from the primary side, as an impedance, connected in parallel
with the primary port, of value:
Z1eq =
1
v2
1 v2
1
v1
= n = 2 = 2 Z2
i1
ni2
n i2
n
For example a capacitance C of impedance ZC = 1/(jC) connected to the secondary, will be equivalent to an impedance ZCeq = 1/(jn2 C) seen from the primary, that is it could be represented by a capacitor of value n2 C.
2.6.2
Non-linear sub-system dynamics
The methods we have described in the previous sections are mostly designed for linear systems, and although we have suggested that the equations governing physics
are linear, they often yield non-linear solutions. For example, if we consider the
Coulombs force between two electric charges, q1 and q2 , we have:
F1/2 =
1 q1 q2
r12
2
4 0 r12
If we consider the charge q1 (thus we are in the electrical domain), the force
is linear, and the effect of additional charges would be easily obtained with the
superposition theorem... however if we are in a system where the distance r12
can vary (we place ourselves in the mechanical domain), as would happen in an
electrostatic actuator, then the law becomes non-linear!
In that case, block or circuit model (with non-linear elements) can still be used
for modeling - but Laplaces transform is no more useful for studying the system
dynamics. In that case one would have to use state equations, that is write
59
Example 2.10 Circuit modeling of a piezoelectric actuator.

he piezolectric actuator is a linear actuator based on the converse piezoelectric effect, where, in some materials, the application of an electric field
causes the apparition of strain. This is the typical example of a (quasi) lossless
conversion mechanism between the electrical and the mechanical domain. It is actually a reciprocating linear process, that can be described by the linear formalism
we developed earlier for multi-domain elements.
A voltage is applied on the electrodes on both side of the material plate that induce
strain and stress deforming the plate until it is balanced by a resisting elastic stress.
At the same time the deformation changes the polarization of the material (direct
piezoelectric effect), in turn modifying the charge on the electrodes. From its
electric behavior the actuator is a capacitor, whereas in the mechanical domain, it
is a classical second order system.
Accordingly the following circuit model can be used for studying the dynamic of
the complete actuator including the excitation by a voltage source:
Actuator
RT
+
VT -
1/k
1:n z
C0
Electrical
domain
F
-
Mechanical
domain
If we consider the effort variables on both sides of transformer we have e2 = ne1 ,

the dimension of n should link the force F in the secondary to the voltage v in
the primary, and thus should be Newton/Volt. Another way to look at it using
the flow variables and we have f2 = n1 f1 . Then n should link the current i to the
velocity of the actuator z and is thus expressed as Ampere/Meter per second, or
if we drop the time, as Coulomb/Meter.
We can use dimensional analysis to verify that these two units are indeed the same:
[N V 1 ] [N (J/C)1 ] [N CJ 1 ] [N C(N m)1 ] [Cm1 ].
Computing the different expression of the lumped elements appearing in the model
will be done in Example 4.4.3.
60
and solve numerically a set of first order differential equations describing the
system14 .
Actually, one should write one equation per independent state variable ui , that
is, per independent energy storage elements (i.e., per capacitor and inductor in the
analogue circuit), and the equations will give the derivative of each state variables
u i as a function of the state variable (but not their derivatives) and the inputs of
the system xi .
u 1 = f1 (u1 , u2 , . . . , x1 , x2 , . . .)
u = f (u , u , . . . , x , x , . . .)
2
2 1
2
1
2
(2.16)
u 3 = f3 (u1 , u2 , . . . , x1 , x2 , . . .)
...
As the system is non-linear at least one of the fi will be non-linear and the solution
will require in most cases numerical solution to find the system dynamic. These
equation can be directly integrated numerically or alternatively can be placed into
the Simulink environment. One may note that the steady state of the system is
obtained when the right hand side of each equation is equal to 0 (i.e. all u i = 0).
The output y of the system can be used as one of the state variables but it is
not always possible, and in this case it will be derived from the state variables
y = g(u1 , u2 , ).
14
Clearly state equations can be used to represent linear system too, but the Laplace transform
or the complex impedance are simpler to use
61
Example 2.11 Dynamic model of a non-linear electrostatic actuator.

e consider the electrostatic actuator on the right where the voltage V
controls the position of the upper electrodes x.
We can model the dynamic of this structure by writing Newtons second law on the mobile plate, where
m will be the rotor mass and c represent the air
k
X
damping, while the first term is the electrostatic
g
force obtained in Sect. 4.4.2:
A 2
V k(x g) cx = m
x
0
2x2
The electrical circuit in the other hand is rather
simple and we write:
V + RI +
1
C
Idt = 0
we get the integral disappear by using the charge Q = Idt instead of the current,
and get:
Q
V + RQ + = 0
C
A
where the capacitance C = 0 x in the parallel plate approximation, thus finally
giving:
xQ
V + RQ +
=0
0A
In this circuit there are 3 energy storage elements: two in the mechanical domain
(the inductor of the mass and the capacitor of the spring), and one in the electrical
domain, the capacitor formed by the electrodes. We will need 3 independent state
variables that should yield only first order differential equations, that is, we need
u1 = x and u2 = x to be able to bring the mechanical equation to a proper format.
The last variable will be u3 = Q as it appears as Q in the electrical equation and
we can finally write the state equations :
A
2
u 1 = m1
0 2u2 V k(u2 g) cu1
u 2 = u1
u = 1 V u2 u3
3
0A
62
Problems
1. The Mad Hatter wants to serve Alice tea, but the tea is waaaaay too hot.
From basic principles, will it be faster (White Rabbit is waiting !) to let
the tea cool in the teapot before pouring it in the cups or to empty the
teapot in the cups first and let the tea cool down there? How much faster ?
(The Hatters teapot makes 2pi cups - but we would count it as 6 cups and
consider every container as spherical)
2. Starting from the expression of the frequency response of a second order
system and using the definition of the Q-factor in the frequency domain (the
difference between the frequencies where the energy in the system has been
reduced to half of the maximum energy stored at resonance divided by the
resonance frequency.), establish the exact expression for Q and simplifies it
in the case where
1.
3. Find the circuit representation of the lumped mechanical system in the Figure.
k1
k2
m1
m2
F (t)
Chapter 3
How MEMS are made
3.1
Overview of MEMS fabrication process
Micro-fabrication is the set of technologies used to manufacture structures with

micrometric features. This task can unfortunately not rely on the traditional
fabrication techniques such as milling, drilling, turning, forging and casting because
of the scale. The fabrication techniques had thus to come from another source.
As MEMS devices have about the same feature size as integrated circuits, MEMS
fabrication technology quickly took inspiration from microelectronics. Techniques
like photolithography, thin film deposition by chemical vapor deposition (CVD)
or physical vapor deposition (PVD), thin film growth by oxidation and epitaxy,
doping by ion implantation or diffusion, wet etching, dry etching, etc have all
been adopted by the MEMS technologists. Standard book on microelectronics
describe in details these techniques but, as MEMS and IC fabrication goals are
different, some of these techniques have evolved as they were applied to MEMS
and we will detail here their new capabilities. Moreover, MEMS has spurred many
unique fabrication techniques that we will also describe in our panorama of MEMS
fabrication introducing bulk micromachining, surface micromachining, LIGA, etc
[20].
In general, MEMS fabrication tries to use batch process to benefit from the
same economy of scale that is so successful in reducing the cost of ICs. As such,
a typical fabrication process starts with a wafer (silicon, polymer, glass...) that
may play an active role in the final device or may only be a substrate on which the
MEMS is built. This wafer is processed with a succession of processes (Table 3.1)
that add, modify or remove materials along precise patterns. The patterns (or the
layout) is decided by the designer depending on the desired function but, for most
materials, it is difficult to directly deposit or modify them locally. In fact there
are few processes equivalent to turning or milling in micromachining. Focused Ion
Beam (FIB), where a beam of high energy ion can be scanned to remove most
materials and deposit some, can perform even down to nanoscale but the sequential processing approach it requires (as opposed to batch processing) is not cost
63
64
CHAPTER 3. HOW MEMS ARE MADE

Additive process
Modifying process
Subtractive process
Evaporation
Oxydation
Wet etching
Sputtering
Doping
Dry etching
CVD
Annealing
Sacrificial etching
Spin-coating
UV exposure
Development
...
...
...
Table 3.1: Process classification.

effective for production. Thus the problem of patterning a material is generally
split in two distinct steps: first, deposition and patterning of a surrogate layer that
can be easily modified locally and then transfer of the pattern to the material of
interest.
Photoresist
coating
Mask aligning
UV-exposure
Positive
photoresist
Development
Negative
photoresist
Figure 3.1: Photo-patterning in positive and negative photoresist.

In the most common process called photo-patterning, the surrogate layer used
is a special solution (called a photoresist) which contains a polymer sensitive to
UV-photon action (Figure 3.1). The liquid photoresist is first coated on the substrate as a thin-film and the solvent is then evaporated by baking on a hotplate
leaving a solid layer of polymer with very uniform thickness. The substrate is
then brought to the mask aligner tool, where the patterning process will take
place. The photoresist film is exposed to UV radiation through a mask which
has been precisely aligned with the substrate. The mask has clear and opaque
regions according to the desired pattern, the clear regions allowing the photoresist
to be exposed to UV radiation and modifying it locally. The exposure creates a
latent image of the mask feature in the surrogate layer. The contrast of this image
may be enhanced by heat, which accelerates the chemical reaction initiated by
the UV-exposure. To finish the process this latent image is revealed in a special
3.1. OVERVIEW OF MEMS FABRICATION PROCESS
65
chemical solution, the developer. Actually the exposure changes the solubility of
the photoresist in the developer and the exact change of solubility depends on the
type of photoresist used originally: for so-called positive photoresist the exposed
region becomes more soluble in the developer, while for negative photoresist the
reverse happens and the exposed region becomes insoluble. After development,
the surrogate layer patterned over the whole surface of the wafer can be used for
pattern transfer.
They are actually two main techniques that can be used to transfer the pattern:
Etching
Lift-off
Surrogate layer patterning
Surrogate layer patterning
Material etching
Material deposition
Surrogate layer stripping
Surrogate layer stripping
Figure 3.2: Pattern transfer by etching and lift-off.

etching and lift-off (Figure 3.2). With etching the patterned layer allows protecting
locally the underlying material. The material in the unprotected regions is then
attacked physically or chemically before we finally remove the protective layer. For
lift-off, the material is deposited on top of the patterned layer. Complete dissolution of this layer (used actually as a sacrificial layer) simultaneously washes away
the deposited material it was supporting, leaving the deposited material only in
the open regions of the pattern.
Combination of photo-patterning and etching is known as photolithography and
is nowadays the most common techniques for micro-fabrication, lying at the roots
of the IC revolution. An important step in this process is the fabrication of the
photolithographic mask, which can clearly not itself use photolithography with a
mask! Its fabrication is actually based on etching of a chromium film deposited
on a transparent substrate. The pattern is obtained inside a pattern generator
system where the photoresist film is exposed point by point by a beam (electron
or laser) which is slowly scanned over the whole mask surface while its intensity is
modulated by a computer control system. This process reaches a very high resolution (electron beam can be focused in spot as small as 10nm) but it is slow. This
66
remains an acceptable trade-off for mask production, as the photolithographic step

requires to produce a unique mask which is then repeatedly used to expose 1000s
of wafers.
Recently we have seen the emergence of new patterning techniques that try to
reduce the cost attached to photo-patterning at small scale where there is a need to
use deep-UV source with complex optics using immersion lens and systems under
vacuum. The most promising ones are based on imprinting, where the desired
pattern on a stamp is pressed against a protective resin film (hot-embossing, nanoimprint lithography, UV-NIL...). The resulting patterned layer can then be used
with lithography or lift-off for pattern transfer.
This succession of patterning/pattern transfer is repeated a certain number
of times on different layers. Usually only a few layers are patterned and stacked
together, but the production of more complex MEMS may use a stack of about
10 different layers - still a far cry from the IC process that could necessitate more
than 30 different patterning steps.
Mask
fabrication
Layer
deposition
Layer
modification
Patterning
Pattern
transfer
Front-end Process
Back-end Process
Final test
Packaging
Dicing /
Release
Wafer
bonding
Wafer level
testing
Figure 3.3: General view of MEMS production process.

MEMS production (Figure 3.3) does not end with wafer fabrication, the socalled front-end process, and there are, like in Electronics, back-end processes...
with a twist. For example, when mechanical parts (mobile elements, channels,
cavities...) exist in the device, the processed wafer passes through a special step
called Release to free these parts. This step may happen before or after the wafer
is diced in individual chips, just before the more traditional assembly, packaging
and final tests.
3.2
3.2.1
MEMS materials
Crystalline, polycrystalline and amorphous materials
Broadly speaking, the MEMS materials can be split in three classes depending
on how orderly the atoms are arranged in space: at one extreme, the crystalline
materials, where order prevails; at the other end, the amorphous materials, where
orientation varies wildly between neighbouring atoms; and in between, the poly-
3.2. MEMS MATERIALS
67
crystalline materials, where order is conserved only on a short scale, called a grain,
while on a larger scale it is made of arrangement of differently oriented grains.
A single crystal presents the highest order, as the
atoms are periodically arranged in space in a precise manSingle Crystal
ner following one of the lattice allowed by thermodynamic
and geometry, that is, one of the 14 Bravais lattice. The
crystal is then built by the repetition of this elementary
Polycrystalline
lattice in all three directions. In this case the material
properties of the crystal are highly reproducible but they
Amorphous
will generally depend on the direction within the crystal,
and the material is said to be anisotropic.
In the case of polycrystalline films, the material does not crystallize in a continuous
film, but in small clusters of crystal (called grains), each grain having a different
orientation than its neighbour. In general the grain size range from about 10 nm
to a few m. The grains may not be completely randomly oriented and some
direction may be favored depending on the material elaboration process, resulting
in highly varying material properties for different process condition. If the distribution of grain orientation is known, a good approximation of the properties of
the material can be obtained by using the weighted average of the single crystal
properties along different directions.
Finally, in amorphous films, the material grows in a disordered manner, with clusters of crystal being of a few atoms only. In this case, the material properties
are not the same as those present in single crystal or in polycrystalline films, and
usually present inferior characteristics: lower strength, lower conductivity... Interestingly, the properties of amorphous material are normally more stable with their
elaboration process parameters and they are also independent of the direction :
amorphous materials are intrinsically isotropic.
Order
In a crystal it is possible to identify the position

of the atoms using a system of coordinate whose
z
axes are placed along the edge of the lattice. In
a cubic crystallographic system (as Si, AsGa...), the
coordinate system is Cartesian with the usual x, y, z
axes. Moreover the coordinate along these axes are
usually expressed in lattice unit, that is, the atom
at lattice origin has the coordinates 0, 0, 0, while the
y
one at the furthest position is located at 1, 1, 1. The x
lattice describes the arrangement of the unit cell,
which is not always composed of a single atom. For example in GaAs one unit
cell is made of one atom of As and one atom of Ga. Similarly, for Si crystal, the
elementary cell has two Si atoms, one placed in 0, 0, 0 and one in , , which are
arranged following a face-centered cubic (fcc) configuration. In this case (2 atoms
in the elementary cell), we can also see the atom arrangement as two fcc lattices
offset by a quarter of the diagonal. On this configuration, we have highlighted the
68
tetrahedron configuration that shows that each Si atom (grey) has 4 neighbours
(black), sharing one electron with each as silicon is a tetravalent material. Many
semiconductor materials - usually tetravalent - will share this fcc arrangement,
also called the diamond lattice.
z
z
001
(001)
z
(110)
(111)
111
y
y
100
x
110
y
x
[100]
(212)
(012)
y
y
[110]
x
[100]
x
[021]
[100]
[101]
[120]
x
Figure 3.4: Lattice points coordinate, planes and directions in the cubic lattice of
silicon.
A plane in the crystal is in turn identified by 3 indices (hkl) placed between
parentheses which are obtained by considering the coordinate of the intersections
between the plane and the 3 crystal axes. Actually the number h, k and l are always
integers that are obtained by using the reciprocal of the intersection coordinates
for each axes and reducing them to the smallest possible integers by clearing the
common factors. If the integer is negative, it is represented by placing a bar on its
top.
Three important crystal planes, the (100) plane, (110) plane and (111) plane have
been illustrated in Figure 3.4. For example the (100) plane intercept the x axis in
1 (the reciprocal is 1/1 = 1!), and along y and z the 0 arises because in these cases
the plane is parallel to the axis and thus will intercept it... at infinity - because
we take the reciprocal of the intercept coordinate we get 1/ = 0. Note that if
the plane intercepts the axes at the origin, we need to use a parallel plane passing
through neighbour cell to be able to compute the indices.
One of the cause of the anisotropy observed in crystal can be understood by
considering the density of atoms at the surface of a particular plane. Actually, let
us use a stack of closely packed hard spheres as a simple 3D model for the atoms
arrangement in a fcc lattice1 . We observe different planes by cutting through this
model2 , and figured the atoms closest to the surface in black (and further away
1
2
This is not a Si crystal here the unit cell has 1 atom only whereas in Si it has two.
To perform this task the simplest is to use a computer system like the Surface Explorer
3.2. MEMS MATERIALS
69
in lighter grey). We see that the (111) plane presents here the highest density of
atoms possible in a plane with a closely packed hexagonal structure. The (100)
plane present a square-packed arrangement, with more voids and thus a lower
density of atoms, and other planes will be of different density.
Example 3.1 Cleavage planes in <100>-cut Si wafer.
n <100>-cut wafer of silicon, cleavage happens parallel to the main flat of
the wafer which is located along the [110] direction which correspond for this
cut to a (110) plane. Why doesnt it happen in the (100) or the (111) planes?
In bulk crystal cleavage preferably happens parallel to high density plane. The
density of atoms in a plane is found by counting the number of atoms belonging
to the plane in one cell of the lattice and dividing by the surface of the plane in
the cell.
For the (100) plane, by looking at the Si crystal structure we
see that the atom at the center of the plane belong to the cell,
z
while the four atoms at the corner belong to 4 other cells, the
total number of atoms is thus: 1 + 4/4 = 2, that is a density
2
(100)
= a22 .
of aa
y
x
For the (111) plane, we see that the 3 atom at the corner of the
triangle belong to 6 cells, while the 3 atoms at the edge belong
z
to 2 cells, the total number of atoms is thus: 3/6 + 3/2 = 2,
4
that is a density of 2a/223a/2 = 3a
2.
For the (110) plane we have the 4 atoms at the corners that (111)
y
x
belong each to 4 other cells, the 2 atoms in the top and botz
tom side diagonal that belong to 2 cells and the 2 atoms from
the lighter fcc lattice that belong to the cell. The total number of atom is thus: 4/4 + 2/2 + 2 = 4, that is a density of
(110)
4 = 8 2 .
3a
3/2aa/ 2
We have 83
> 43 > 2, thus among these 3 planes the (110)plane is indeed the preferred cleavage plane.
Note that the high density rules is not the only rule to decide for cleavage. Actually
the cleavage plane is generally the plane with highest density... that is perpendicular to the surface for minimizing the cut cross-section and thus the energy required
for the cut. In this way in a <110>-cut wafer the cleavage plane generally will be
the (111) plane, as the (110) plane is not normal to the surface.
The same indices are used to represent crystallographic direction as well. In
this case the indices are obtained by considering the vector coordinate between
two points of the lattice placed along the chosen direction. The coordinate are
then reduced to the smallest set of integer and placed between brackets [hkl] to
differentiate them from the plane indices (hkl).
Interestingly, the direction normal to the (hkl) plane is the [hkl] direction. Moreover the angle existing between two directions is given by taking the dot product
proposed by K. Herman that was used to help produce this views http://surfexp.fhi-berlin.
mpg.de/
70
between the two vectors:

= cos1
h1 h2 + k1 k2 + l1 l2
h21 + k12 + l12
h22 + k22 + l22
atoms density
In general, crystal symmetries result in different directions having the same physical properties and there is no
(111)
need to distinguish them. In this case we use the <hkl>
(001)
notation to represent any of these equivalent directions, whereas
for plane with equivalent orientation we use the {hkl} no(110)
tation. For example, it is customary to give the crystallographic orientation of a silicon wafer by indicating the
(221)
equivalent direction of the normal to the top surface. A
<100>wafer means that the normal direction is equivalent to the [100] direction,
which could be [100] or even [010]. In these different cases, the top surface of
the wafer would be (100), (100) and (010), series of plane that present the same
properties because of the silicon face-centered cubic lattice. For other lattices with
less symmetries, care should be taken to use exact direction [hkl] to indicate the
precise crystallographic direction of the top wafer surface.
3.2.2
Materials properties
The choice of a good material for MEMS application depends on its properties, but
not so much on carrier mobility as in microelectronics. Actually we select materials on more mechanical aspect: small or controllable internal stress, low processing
temperature, compatibility with other materials, possibility to obtain thick layer,
patterning possibilities... In addition, depending on the field of application, the
material often needs to have extra properties. RF MEMS will want to be based
on material with small loss tangent (for example high resistivity silicon), optical
MEMS may need a transparent substrate, BioMEMS will need bio-compatibility,
if not for the substrate, at least for a coating adhering well to the substrate, sensor application will need a material showing piezoresistance or piezoelectricity,
etc. Actually, because the issue of material contamination is much less important in MEMS than in IC fabrication, the MEMS designer often tries to use the
material presenting the best properties for his unique application. Still, from its
microelectronics root MEMS has retained the predominant use of silicon and its
compounds, silicon (di)oxide (SiO2 ) and silicon nitride (Six Ny ). But actually, it
was not purely coincidental because silicon, as K. Petersen explained in a famous
paper [21], is an excellent mechanical material. Silicon is almost as strong but
lighter than steel, has large critical stress and no elasticity limit at room temperature as it is a perfect crystal ensuring that it will recover from large strain.
Unfortunately it is brittle and this may pose problem in handling wafer, but it is
rarely a source of failure for MEMS components. For sensing application silicon
has a large piezoresistive coefficient, and for optical MEMS it is transparent at the
3.2. MEMS MATERIALS

Material
71
Youngs modulus
Poisson ratio
Density
kg/m3
GPa
Stainless Steel
200
0.3
7900
Silicon (Si)
<100>130
0.25
2300
<111>187
0.36
PolySilicon (PolySi)
120-175
0.15-0.36
2300?
Silicon Dioxide (SiO2 )
73
0.17
2500
Silicon Nitride (SiN)
340
0.29
3100
Glass
(BK7) 82
0.206
2500
(SF11) 66
0.235
4700
Gold (Au)
78
0.42
19300
Aluminum (Al)
70
0.33
2700
SU8
4.1
0.22
1200
PDMS
0.0004-0.0009
0.5
970
Table 3.2: Material properties.

common telecommunication wavelengths.
Of course, silicon being a crystal, it is anisotropic and
its properties generally vary with direction. For example
200
45
[011]
the elasticity modulus (Youngs modulus) variation in the
150
plane of the wafer are shown here for two different Si
100
wafer cuts. We notice that due to crystal symmetries
50
<100>
<111>
the <111>cut wafer presents an apparent isotropy for the
0
0
130 169
in plane properties3 , making it interesting for mechanical
application. Other cuts will present a marked anisotropy,
and for the <100>-oriented wafer we see that, depending on the direction in which
a flexural beam is cut and bent, its elasticity modulus can vary between 169 GPa
and 130 GPa.
Mathematically this behaviour can be taken into account by using a matricial
formalism to manipulate tensors for relating physical quantities between one another. For example, elasticity theory can be used in an isotropic material to relate
the different components of stress to the strain using the stiffness matrix as
90
E [GPa]
The value of 169 GPa in the graph may seem to contradict the Table where E=187.5 GPa
but this last value correspond to the modulus in the <111>-direction, whereas in the graph we
show the direction perpendicular to that direction ((111)-cut wafer)
72
= C or the compliance matrix as = S:

1/E /E /E
0
0
0
X

Y /E 1/E /E
0
0
0

Z /E /E 1/E
0
0
0

XY 0
0
0
1/G 0
0

Y Z 0
0
0
0 1/G 0

ZX
0
0
0
0
0 1/G
X
Y
Z
XY
Y Z
ZX
(3.1)
where I and I represent the longitudinal strain and stress along direction I,
and IJ and IJ the shear strain and stress in the IJ plane4 . In the case of
unidimensional stress (e.g., along X), the strain is simply described as X = E X ,
where X is the stress along the X direction, X = x/x the strain along X and
E the Youngs modulus. We also observe the effect of the Poissons ratio , where
the positive stress along the X direction does not only cause elongation along X as
seen above but also contraction in the other direction as Y = E X (and similar
along Z).
For an anisotropic material, the relationship will not be as simple and the stiffness
matrix (the inverse of the compliance matrix) will have a larger number of non-zero
terms, coupling stress and strain components in a much more complex pattern:
c11 c12 c13 c14 c15 c16

X
X

Y c12 c22 c23 c24 c25 c26 Y
Z c13 c23 c33 c34 c35 c36 Z
(3.2)
XY c14 c24 c34 c44 c45 c46 XY
Y Z c15 c25 c35 c45 c55 c56 Y Z
c16 c26 c36 c46 c56 c66

ZX
ZX
The C matrix is symmetric (action-reaction principle) as the stress and strain
tensors, limiting the number of independent terms. Actually instead of 81 terms5
we have at most 21 independent terms as shown above.
Moreover, crystals have symmetries that may further limit the independent terms
when we place ourselves in the crystallographic system of coordinate. In this
4
We may note at this stage that we should have 9 components for stress or strain as they
are second rank tensors, but for symmetry reason the shear IJ terms are equal to the JI terms,
resulting in only 6 independent terms that are represented as a 6 terms vector. Using this
trick, the 4th rank tensors C and S can be represented by a 6 6 matrix.
5
C is a 4th rank tensor relating the two 2nd rank tensors of stress and strain, each with 9
components, thus requiring 9 9 = 81 terms to relate them.
3.2. MEMS MATERIALS
73
system of coordinate the X, Y , and Z axes are, respectively, parallel to the A,

B, and C crystallographic axes that are defined by the atoms arrangement in the
crystal. In cubic materials, such as silicon, A is the [100] direction, B the [010]
and C the [001] and they form a Cartesian system of coordinate where the stiffness
matrix has only 3 independent coefficient:
c1 c2 c2 0 0 0
c2 c1 c2 0 0 0
c2 c2 c1 0 0 0
C=
0 0 0 c3 0 0
0 0 0 0 c3 0
0 0 0 0 0 c3
with c1 = c11 = = 166 GPa, c2 = c12 = = 64 GPa and c3 = c44 = =
80 GPa for Silicon. If we compare this matrix to the isotropic case in Eq. (3.1),
they seem similar, however, this form of the matrix in the case of Silicon is only
valid for one particular X, Y and Z Cartesian coordinate system parallel to the
crystallographic (A,B,C) axes for isotropic materials it is true for all Cartesian
coordinate system with any orientation. Alternatively instead of C, we could use
the compliance matrix S and obtain:
s s s 0 0 0
1 2 2
s2 s1 s2 0 0 0
s2 s2 s1 0 0 0
S=
0 0 0 s3 0 0
0 0 0 0 s3 0
0 0 0 0 0 s3
with s1 = s11 = = (c1 + c2 )/(c21 + c2 c1 2c22 ) = 7.66 1012 Pa1 ,s2 = s12 =
= c2 /(c21 + c2 c1 2c22 ) = 2.13 1012 Pa1 and s3 = s44 = = 1/c3 =
12.5 1012 Pa1 for Silicon. Instead of using the cumbersome matrix notation,
it can be shown that for arbitrary direction in a cubic crystal we can define an
equivalent Youngs modulus in the direction (l1 , l2 , l3 ) using:
1
= s1 2(s1 s2 0.5s3 )(l12 l22 + l22 l32 + l12 l32 )
E
and a Poissons ratio for any pair of orthogonal directions (l1 , l2 , l3 ) and (m1 , m2 , m3 )
using:
= E s2 + (s1 s2 0.5s3 )(l12 m21 + l22 m22 + l12 m23 )
74
Example 3.2 Elastic modulus of <100>-cut Si wafer.

or the case of silicon in a <100>-cut wafer (i.e. the <100>direction is perpendicular to the surface of the wafer), if we assume that the X-axis is normal to the wafer surface, the direction cosines in this (Y Z) plane becomes simply
(0, l2 , l3 ). Then the expression for the Youngs modulus in the plane becomes:
1
= s1 2(s1 s2 0.5s3 )l22 l32
E
that is, by inserting the values of the material properties,
E=
1
1
=
2 2
12
s1 2(s1 s2 0.5s3 )l2 l3
7.669 10
7.107 1012 l22 l32
thus for the [010] and [001] direction we have either l2 or l3 that is zero and we
obtain
E = 130.3 GPa. At 45 from these direction, we have l2 = l3 = cos(/4) =
3/2 and E = 169.6 GPa. These results corroborates the curves shown in the
inset p. 71.
Additionally, silicon has a stable oxide easy to grow at elevated temperature,

forming an amorphous film that is transparent and both thermally and electrically
insulating. Actually this oxide has the smallest coefficient of thermal expansion
of all known materials. Those properties are often put to good use during MEMS
fabrication, where oxide support will be used to thermally insulate a pixel of a
thermal camera for example.
A smart substrate based on silicon and coming from
IC industry has made a remarked entry in the MEMS
Device
material list: the SOI (Silicon On Insulator) wafer. This
Handle
substrate is composed of a thick silicon layer of several
Oxide
Silicon
hundredm (the handle), a thin layer of oxide of 1 or 2m
and on top another silicon layer, the device layer. The thickness of this last layer is
what differentiates the IC and the MEMS SOI wafers: in the first case it will reach
at most a few m where in the later case, the thickness can reach 100 m or more.
The high functionality of this material has allowed producing complete devices
with very simple process, like the optical switch produced by Sercalo (discussed in
more details in Section 3.5) fabricated with its mobile mirror, actuator and fiber
alignment feature with one single process step!
Another interesting compound is silicon nitride (Six Ny ), which is stronger than
silicon and can be deposited in thin layer with an excellent control of stress to
produce 1 m thick membrane of several cm2 . A good control of stress is also
obtained during deposition of poly-crystalline silicon. For example the Sandia
National Labs Summit V process stacks five layer of poly-silicon allowing an
unparalleled freedom of design for complex MEMS structure. Adding oxygen in
3.3. BULK MICROMACHINING, WET AND DRY ETCHING
75
varying quantity to the nitride yields oxynitride compounds (Six Oy Nz ), giving the
possibility to tune the refractive index between stoichiometric nitride (n=2.1 @
542 nm) and oxide (n=1.5) - an interesting property for optical MEMS applications. Closing the list of silicon compound we can add a newcomer, silicon carbide
SiC. SiC has unique thermal properties (albeit not yet on par with diamond) and
has been used in high temperature sensor.
But silicon and its derivative are not the only choice for MEMS, many other
materials are also used because they posses some unique properties. For example,
other semiconductors like InP have also been micromachined mainly to take advantage of their photonics capabilities and serve as tunable laser source. Quartz
crystal has strong piezoelectric effect that has been put into use to build resonant
sensors like gyroscope or mass sensors. Biocompatibility will actually force the
use of a limited list of already tested and approved material, or suggest the use of
durable coating.
Glass is only second to silicon in its use in MEMS fabrication because it can
easily form tight bond with silicon and also because it can be used to obtain biocompatible channels for BioMEMS. Moreover, the transparency of glass is what
makes it often popular in optical MEMS application.
Polymers are also often used for BioMEMS fabrication where they can be tailored to provide biodegradability or bioabsorbability. The versatility of polymers
makes them interesting for other MEMS application, and for example the reflow
appearing at moderate temperature has been used to obtain arrays of spherical
microlenses for optical MEMS. This thermoplastic property also allows molding,
making polymer MEMS a cheap alternative to silicon based system, particularly
for micro-fluidic application. Recently the availability of photosensitive polymers
like SU8 [24] than can be spun to thickness exceeding 100 m and patterned with
vertical sides has further increased the possibility to build polymer structure.
This quick introduction to MEMS materials needs to mention metals. If their
conductivity is of course a must when they are used as electrical connection like
in IC, metals can also be used to build structures. Actually, their ability to be
grown in thin-films of good quality at a moderate temperature is what decided
Texas Instruments to base the complete DLP micro-mirror device on a multilayer aluminum process. In other applications, electroplated nickel will produce
excellent micro-molds, whereas gold reflective properties are used in optical MEMS
and nitinol (NiTi), presenting a strong shape memory effect, easily becomes a
compact actuator.
3.3
Bulk micromachining, wet and dry etching
Bulk micromachining refers to the formation of micro structures by removal of

materials from bulk substrates. The bulk substrate in wafer form can be silicon,
glass, quartz, crystalline Ge, SiC, GaAs, GaP or InP. The subtractive process
commonly used to remove excess material are wet and dry etching, allowing varying
76
degree of control on the profile of the final structure.
3.3.1
Isotropic and anisotropic wet etching
Wet etching is obtained by immersing the material in a chemical bath that dissolves the surfaces not covered by a protective layer. The main advantages of this
subtractive technique are that it can be quick, uniform, very selective and cheap.
The etching rate and the resulting profile depend on the material, the chemical,
the temperature of the bath, the presence of agitation, and the etch stop technique
used if any. Wet etching is usually divided between isotropic and anisotropic etch-
Figure 3.5: Isotropic and Anisotropic wet etching

ing (Figure 3.5). Isotropic etching happens when the chemical etches the bulk
material at the same rate in all directions, while anisotropic etching happens when
different etching rate exists along different directions.
However the etching rate never reaches 0, and it is acw
tually impossible to obtain etching in only one direction.
This is commonly quantified by estimating the underetch
d
(w/d), that is the lateral etching under the edge of the
mask with respect to the vertical etching, as shown in the
figure. This parameter may range between 1 for isotropic etching to about 0.01 for
very anisotropic etch, obtained for example by etching Silicon in a KOH bath. For
substrates made of homogeneous and amorphous material, like glass, wet etching
must be isotropic, although faster surface etching is sometimes observed. However,
for crystalline materials, e.g. silicon, the etching is either isotropic or anisotropic,
depending on the type of chemical used. In general, isotropic etchants are acids,
while anisotropic etchants are alkaline bases.
77
The top-left part of Figure 3.5 shows isotropic etching of silicon when the
bath is agitated ensuring that fresh chemical constantly reaches the bottom of the
trench and resulting in a truly isotropic etch. Isotropic wet etching is used for thin
layer or when the rounded profile is interesting, to obtain channels for fluids for
example. For silicon, the etchant can be HNA, which is a mixture of hydrofluoric
acid (HF), nitric acid (HNO3 ), and acetic acid (CH3 COOH). In HNA the nitric
acid acts as an oxidant and HF dissolves the oxide by forming the water soluble
H2 SiF6 . The two steps of the simplified reaction are:
Si + HNO3 + H2 O SiO2 + HNO2 + H2
SiO2 + 6HF H2 SiF6 + 2H2 O
The etching rate for silicon can reach 80 m/min, and oxide can be used as mask
material as its etch rate is only 30 to 80 nm/min. Etching under the mask edge or
underetch is unavoidable with isotropic wet etching. Moreover, the etch rate and
profile are sensitive to solution agitation and temperature, making it difficult to
control the geometry of the deep etch usually needed for MEMS.
Anisotropic etching developed in the late 60s can overcome these problems.
The lower part of Figure 3.5 shows features obtained by etching a (100) wafer
with a KOH solution. The etched profile is clearly anisotropic, reveling planes
without rounded shape and little underetch. Potassium hydroxide (KOH), tetramethyl ammonium hydroxide (TMAH) and ethylene diamine pyrocatechol (EDP)
are common chemicals used for anisotropic etching of silicon.
For KOH and TMAH the simplified chemical reaction is written as :
4H2 O + 4e 4OH + 2H2
Si + 4OH Si(OH)4 + 4e
We thus have a generation of hydrogen (bubbles escape during etching), and we
notice that electrons are important elements in the reaction. Actually, the etching
anisotropy has its roots in the different etch rates existing for different crystal
planes that is generally thought to arise because of their different density of atoms
and hence, of electrons. In fact, scavenging electrons will generally be a mean of
stopping the reaction.
<100>
<110>
[111]
90
[111]
54.7
54.7
125.2
[110]
90
[110]
Figure 3.6: Orientation of the pattern edge for benefiting of the <111> lateral
etch stop plane in <100> and <110> wafers.
78
The anisotropy can be very large and for example, for silicon and KOH, the
etch rate ratio can reach 400 between (100) and (111) planes and even 600 between
(110) and (111) planes - meaning that when the etch rate for the (100) plane is
about 1 m/min then the (111) plane will etch at only 2.5 nm/min effectively
allowing to consider it as an etch-stop plane. With different combinations of wafer
orientations and mask patterns, very sophisticated structures such as cavities,
grooves, cantilevers, through holes and bridges can be fabricated. For example,
if the (100) wafers in Figure 3.5 shows an angle of 54.7 between the (111) plane
and the surface, typically producing V-grooves, (110) oriented wafer will present
an angle of 90 between these planes resulting in U-grooves with vertical walls. To
obtain these grooves, as shown in Figure 3.6, the mask pattern edges need to be
aligned with the edge of the (111) planes. For a (100) wafer it is simple because
the groove edge are along the <110> direction, that is parallel to the main wafer
flat. Moreover the four (111) planes intersect on the (100) surface at 90 and a
rectangular pattern will immediately expose four sloping (111) planes and provide
a simple way to obtain precisely defined pits or square membranes. (110) wafers
are more difficult to handle, and to obtain a U-groove the side should be tilted by
an angle of 125.2 with respect to the <110> wafer flat. In addition, to obtain a
four-sided pit, the two other sides should make a 55 angle with the flat direction
- defining a non-rectangular pit that is seldom used for membranes.
If the control of the lateral etching by using the (111) planes is usually excellent,
controlling the etching depth is more complicated. Monitoring the etching time
is the simplest technique. However this is limited by the etching uniformity in
the bath, and by the variation of the etching rate. Actually, if the etching rate is
known with 5% accuracy, after etching through a wafer of 300 m, the uncertainty
on the etched depth is 15 m. We see that producing flat thin membranes of
precise thickness (often t < 30 m) needed for pressure sensors will require a
better approach that what can be achieved by this method. We have seen that we
could use the self limiting effect appearing when two sloping (111) planes finally
contact each other, providing the typical V-grooves of Figure 3.5. However, if
this technique is interesting because
it provides an etch stop and a structure of
precise depth (we have d = w/ 2), it is unable to provide membrane with flat
bottom. MEMS technologists have tackled this problem by developing other etch
stop techniques that reduce by one or two order of magnitude the etch speed when
the solution reach a particular depth.
w
d
V-groove
p
n
Electrochemical
p+
Boron
Figure 3.7: Comparison between timed etch and etch-stop techniques for controlling membrane thickness.
79
The electrochemical etch stop works by first creating a diode junction by using
epitaxial growth or doping of a n-layer over a p-substrate. The junction is reverse
polarized by contacting the substrate and the chemical bath, preventing current to
flow between anode and cathode. As soon as the p-substrate is completely etched,
a current can flow from the anode causing the apparition of a passivation layer
by anodization, effectively stopping the chemical reaction and the etching. This
process yields an excellent control over the final membrane thickness that is only
determined by the thickness of the epitaxial layer, and thus can be better than 1%
over a whole wafer.
Another popular method that does not require epitaxial growth, consists in heavily
doping (> 1019 cm3 ) the surface of silicon with boron by diffusion or implantation. As soon as the p+ doped zone is exposed the electron density is lowered,
slowing down the etching reaction by at least one order of magnitude. However,
if diffusion is used to obtain the boron layer, the resulting high boron concentration at the surface will decrease substantially the piezoresistive coefficient value
making piezoresistors less sensitive. Ion implantation can overcome this problem
by burying the doped layer a few m under the surface, leaving a thin top layer
untouched for the fabrication of the piezoresistors.
Actually, the seemingly simple membrane process often requires two tools specially designed for MEMS fabrication. Firstly, to properly align the aperture of
the backside mask with the piezoresistor or other features on the front side (Figure
2.5) a double-side mask aligner is required. Different approaches have been used
(infrared camera, image storage, folded optical path...) by the various manufacturers (Suss Microtec, OAI, EVGroup...) to tackle this problem, resulting in a
very satisfying registration accuracy that can reach 1 m for the best systems.
Secondly, etching the cavity below the membrane needs a special protection tool,
that in the case of electrochemical etch stop is also used for ensuring the substrate
polarization. Actually the presence of the cavity inevitably weakens the wafer and
to avoid wafer breakage, the membrane is usually etched in the last step of the
process. At that time, the front side will have already received metalization which
generally cannot survive the prolonged etch and needs to be protected. This protection can be obtained by using a thick protective wax, but more often a cleaner
process is preferred based on a mechanical chuck. The chuck is designed to allow
quick loading and unloading operation, using O-ring to seal the front-side of the
wafer and often includes spring loaded contacts to provide bias for electrochemical
etch-stop.
The chemical used during anisotropic etching are usually strong alkaline bases
and requires a hard masking material that can withstand the solution without
decomposing or peeling. In general polymer (like photoresist) can not be used to
protect the substrate, and if some metals (like tungsten) can be used effectively,
in general a non-organic thin-film is used. For example, silicon oxide mask is
commonly used with TMAH, while silicon nitride is generally used with KOH.
Table 3.3 summarizes the characteristics of some anisotropic etching solution.
80
Solution
KOH / H2 O
44g / 100ml
(30 wt.%) @
85C1
TMAH / H2 O
28g / 100ml
(22 wt.%) @
90C2
EDP (Ethylene diamine /
pyrocatechol /
H2 O) 750ml /
120g / 240ml
@ 115C3
1
2
3
(100) Si
Etch rate
etch rate
ratio
(m/min)
400
for
(100)/(111)
1.4
600
for
(110)/(111)
30
for
(100)/(111)
1
50
for
(110)/(111)
1.25
Mask
Boron
etch
rate etch stop
(nm/min)
(cm3 )
3.5
(SiO2 )
<0.01 (Si3 N4 )
> 1020
rate/20
0.2
(SiO2 )
<0.01 (Si3 N4 )
4 1020
rate/40
0.5 (SiO2 )
35
for 0.1 (Si3 N4 )
(100)/(111) 0 (Au, Cr,
Ag, Cu, Ta)
7 1019
rate/50
+largest etch rate ratio; K ions degrade CMOS; etch SiO2 fast
+SiO2 mask; +CMOS compatible ; large overtech
+SiO2 mask; +no metal etch; +CMOS compatible; large overtech;
toxic
Table 3.3: Characteristics of some anisotropic etchants for silicon.
Of course anisotropic wet etching has its limitation. The most serious one lies
with the need to align the sides of the pattern with the crystal axes to benefit from
the (111) plane etch-stop, severely constraining the freedom of layout. A typical
example is when we want to design a structure with convex corners - that is instead
of designing a pit, we now want an island. The island convex corners will inevitably
expose planes which are not the (111) planes and will be etched away slowly, finally
resulting in the complete disappearance of the island. Although techniques have
been developed to slow down the etch rate of the corner by adding protruding
prongs, these structures take space on the wafer and they finally cannot give the
same patterning freedom as dry etching techniques.
3.3.2
Dry etching
Dry etching is a series of subtractive methods where the

solid substrate surface is removed by gaseous species. Most of
h
these methods are shared with microelectronics, but they take
a different twist when they are applied to MEMS fabrication
w
as in general MEMS necessitates deeper (> 2m) etching. As
such we define an important parameter commonly used to describe dry etching:
wr
81
the aspect ratio. Actually we can define an aspect ratio for features (h/wr ) and for
holes (h/wh ) with most technologies giving better results with features than with
holes - but generally with only a small difference. Typical values for this parameter
would range between 1 (isotropic etch) and 50, for very anisotropic etching like
the DRIE process.
As in many other processes, dry etching makes often use of a
plasma. The plasma is an equal mixture of positive ions and high
G
e- + e- +
energy (=high speed) electrons with some neutral atoms that reA G
A
mains mostly electrically neutral. The plasma will help form a high
quantity of reacting ions and radical, increasing the etching rate. In a plasma, new
pairs of ion and electron are continuously formed by ionization and destroyed by
recombination.
Cathode
Cathode glow
Crookes dark space
G
Negative glow (plasma)

G
G
G
Anode
Faraday dark space
Figure 3.8: Glow discharge principle.

Plasma can be created by a glow discharge when a low pressure gas is submitted
to a large electric field. In the glow discharge when the plasma is ignited, electrons
close to the cathode are accelerated by the electric field across the Crookes dark
space until they reach the velocity necessary to ionize gas atoms. When the electrons hit a neutral gas atom they knock electrons out of their outer shell, ionizing
them. The space region where this happen is called the negative glow and it is
where most of the plasma is present. Actually the glow, whose colour (or wavelength) is characteristic of the plasma, comes from the photon emitted when a
previously ionized atom and one electron recombine. The positively ionized atoms
are in turn accelerated by the electric field in the Crookes dark space, but because
of their charge they move toward the cathode. When they hit it, the collision produces secondary electrons, which can be accelerated again to ionize more neutral
82
atoms, creating a self-sustaining phenomena.

In the region after the negative glow, the electron have lost most of their kinetic
energy during the collision with the atoms and they accelerate through the Faraday
dark zone before having enough energy to ionize atoms again and creating more
glow zone in what is called the positive column. In general this part of the glow
discharge region is not useful - except in neon tube, as it produces light emission
- and the anode is kept close to the Faraday zone edge.
The pressure in the plasma has to be kept low so that the accelerated electrons
do not encounter neutral atoms before they have acquired enough kinetic energy
to ionize them. In the other hand if the pressure is too low the probability of the
electrons ionizing an atom is very small and the plasma may not sustain itself.
There is thus understandably a preferred range of operation pressure where the
plasma is the brightest.
Due to the species present in the plasma, the etching can be obtained by
three different mechanism that achieve different results in term of anisotropy or
selectivity:
physically by ion bombardment, knocking out atoms from the surface (ion
etching or sputtering and ion-beam milling): anisotropic, non-selective
by combining both physical and chemical effects (reactive ion etching or
RIE): anisotropic, selective
chemically by reaction giving gas by-products at the surface (plasma etching
or radical etching): isotropic, selective
The dominant mode of operation will depend on the energy of the ions and the
reactivity of the radicals. Usually the etching is more anisotropic (vertical) and
less selective when it is more physical (corresponding to high energy plasma), while
it is more isotropic and selective when it is more chemical (for low energy plasma).
In the RIE mode, obtained for mildly energetic ions, the bombardment of the
surface by ions allows to increase tremendously the rate of the chemical reaction,
while keeping selectivity and providing anisotropy. For example, using an argon
plasma (a non-reactive gas) in a chamber with XeF2 has been shown to increase
the etch rate of Si by a factor of more than 10.
The RIE is the most versatile technique and is often used in MEMS. In its
original configuration shown in Figure 3.9, if it is based on the glow discharge
principle to generate the plasma, the excitation is obtained through a capacitively
coupled RF source. Actually the high frequency RF source generates an alternating
field at a frequency high enough (13.56 MHz) for affecting only the low inertia
electrons. The electrons that are set into motion ionize the gas atoms, and end
up on the chamber wall or on the electrodes. This loss of electrons in the plasma
places it at a slightly positive potential. The electrons that come to the upper
electrodes or the chamber wall are evacuated (ground), but those falling on the
lower electrode accumulate, polarizing the plate with a negative voltage (a few
83
gas
wafer
pressure control valve

vacuum pump
Figure 3.9: Capacitively coupled parallel plate RIE.
-100 V). This self-polarization voltage will accelerate the positive ions from the
plasma toward the wafer, resulting in RIE etching, an enhancement of chemical
reaction due to the high energy of the ions. The directionality of the ions forced
by the vertical electric field in the chamber enhances vertical etching over lateral
etching, resulting in anisotropic etching profile. This simple RIE architecture has
the main drawback that it is difficult to control separately the density of ions
(ionization) and their energy (acceleration). Other scheme for RIE chamber have
been designed (e.g. ICP-RIE in Section 3.5) that try to overcome this limitation,
using additional electrodes and two RF sources to control independently these two
parameters.
To improve the aspect ratio of the etching, several techniques based on RIE
have been developed, usually trying to increase the anisotropy by protecting the
sidewall during etching. For example, the SCREAM process developed in Cornell
University alternate steps of etching and growth of oxide that remains longer on the
sidewall, while for the RIE cryogenic process, very low temperature in a SF6 /O2
plasma is used to obtain continuous deposition of a fluoro-polymer on the sidewall
during the etch. Finally the innovative Bosch process uses alternating cycle of
etching and protection in the plasma chamber to achieve the same function. This
important process is the cornerstone of DRIE micromaching and will be described
in more details in a following section.
3.3.3
Wafer bonding
A review of MEMS fabrication technique cannot be complete without mentioning wafer bonding. Wafer bonding is an assembly technique where two or more
precisely aligned wafers are bonded together. This method is often used simultaneously for device fabrication and also for its packaging - belong both to front-end
and back-end process, another peculiarity of MEMS, but at this stage it is not
surprising anymore!
84
Wafer bonding has the potential to simplify fabrication method because structures
can be patterned on both wafers and after bonding they will be part of the same
device, without the need for complex multi-layer fabrication process. The main
issues that need to be considered to evaluate a wafer-bonding technique are : the
bonding temperature (high temperature may damage the materials or structure
on the processed wafer), the difference in coefficient of thermal expansion between
the bonded materials (in the worst case causing debonding or affecting stress sensitive systems during use) and the permeability to gas and humidity of bond and
bonded wafer (affecting long term reliability).
The bonding techniques are usually split between intermediate layer bonding
technique, where an intermediate layer is used to form the bond between the two
wafers, and direct bonding methods where there is no such layer.
Type
Intermediate
layer
Direct
Bonding
Temp.
Stress
Hermeticity
epoxy
low
average
poor
eutectic
average
average
very good
glass frit
low
very good
anodic
average
very good
excellent
fusion
high
excellent
excellent
Table 3.4: Comparison of bonding techniques.

The simplest form of intermediate layer bonding is of course epoxy bonding.
Although epoxy cures at low temperature (< 100 ) and is cheap, such bonds pose
performance problems as epoxy have large thermal expansion coefficient and are
permeable to gas and moisture.
Intermediate-layer eutectic bonding is based on forming an eutectic alloy that
will diffuse into the target wafer and form intermetallic to create a strong bond.
For silicon-to-silicon bonding the intermediate layer is often gold which form a
eutectic alloy with silicon at 363C. Actually, if the two sides have been coated
with gold, an even lower temperature can be used ( 250 ) by applying pressure
(50 MPa) at the same time. This process is called thermocompression bonding
and was originally developed for gold wire-bonding in the late 1950s.
The most commonly used MEMS bonding methods is probably the direct bonding method called anodic bonding (Fig. 3.10), or field assisted bonding, which is
mainly used to bond silicon wafers with glass wafers. The technique works by applying a high voltage to the stacked wafers at elevated temperature (250-400)
that induces migration of Na+ ions from the softened glass towards the cathode,
leaving a negative space charge of oxygen ions. This ions repels free electrons
in the semi-conductor, letting positive charge appear close to the interface. Accordingly, a strong electric field appears between silicon and glass, pulling both
3.4. SURFACE MICROMACHINING AND THIN-FILMS
85
Cathode
Glass
Na+
Na+
Na+
Na+
Na+
Na+
Na+
Na+
Na+ Na+
Na+
-
Na+
-
O2 +O2 +O2 +O2 + O2 + O2 + O2 + O2+ O2+ O2+ O2 +O2 +O2 +O2 +O2 + O2 + O2 + O2 + O2+ O2+ O2+ O2 + O2 + O2+ O2+
Si Si
Si Si Si Si
Si
Si Si Si Si Si Si Si Si Si
Si Si Si Si Si Si Si Si Si
Silicon
Na+
-
O2
Hot plate
Si
Na+
-
O2
+
Si
Na+
-
O2
+
Si
O2
+
Si
Anode
-
O2 Na depleted glass (~1m)

+
SiO2 layer (~20nm)
Si
Figure 3.10: Anodic (field assisted) bonding principle.

surface in intimate contact and, with the help of the elevated temperature, forming chemical bond with a thin SiO2 layer. The elevated temperature of bonding
poses a unique challenge as it could introduce high stress when the bonded wafers
are cooled down. Here, the choice of the material is of paramount importance
: the Pyrex glass (Corning 7740) does not have the same coefficient of thermal
expansion (CTE) than silicon6 , but over the complete temperature excursion, the
total strain in both material is kept about the same, insuring that the stress free
condition existing at bonding temperature is also found at room temperature.
This technique is commonly used to fabricate sensors allowing for example to obtain cavities with controlled pressure for pressure sensor as shown in Figure 3.11.
At the same time, the glass wafer provides wafer level packaging, protecting sensitive parts before the back-end process.
The fusion bonding allows bonding directly two identical wafers (usually siliconto-silicon), effectively achieving seamless bond possessing an exceptional strength
and hermeticity. The surface are activated by plasma before the bond, but the
technique still requires excellent flatness and high temperature, two hurdles that
limit its use.
Before closing this section, it should be noted, that wafer bonding is also used
to fabricate MEMS substrates such as SOI and SOG (silicon on glass) wafers.
For SOI fabrication a thinned Si wafers is bonded to an oxidized Si substrate
(tSiO2 < 200 nm) before it can be polished to the desired device thickness, resulting
in the typical silicon-oxide-silicon stack.
3.4
Surface micromachining and thin-films
Unlike bulk micromachining in which microstructures are formed by etching into

the bulk substrate, surface micromachining builds up structures by adding ma-
6
Pyrex glass has a CTE=3.2 106 /K constant until 400 , while silicon has a CTE lower
than Pyrex until about 140 and higher above - the bonding temperature is chosen such that
the integral of the difference of thermal expansion over the temperature range is close to 0
86
Figure 3.11: Silicon pressure sensor SP15 bonded with glass cover (Courtesy Sensonor AS - An Infineon Technologies Company).
terials, layer by layer, on the surface of the substrate. The thin-film layers are
typically 1 5 m thick, some acting as structural layer and others as sacrificial
layer. Dry etching is usually used to define the shape of the structure layers, and a
final wet etching step releases them from the substrate by removing the supporting
sacrificial layer.
A typical surface micromachining process sequence to build a micro bridge is
shown in Figure 3.12. Phosphosilicate glass (PSG) is first deposited by LPCVD
to form the sacrificial layer. After the PSG layer has been patterned, a structural
layer of low-stress polysilicon is added. Then the polysilicon thin-film is patterned
with another mask in CF4 + O2 plasma. Finally, the PSG sacrificial layer is etched
away by an HF solution and the polysilicon bridge is released.
As a large variety of materials such as polysilicon, oxide, nitride, PSG, metals,
diamond, SiC and GaAs can be deposited as thin film and many layers can be
stacked, surface micromachining can build very complicated micro structures. For
example Sandia National Laboratories is proposing a process with four polysilicon
structural layers and four oxide sacrificial layers, which has been used for fabricating complex locking mechanism for defense application. Figure 3.13 demonstrates
surface micromachined micro-mirrors fabricated using two polysilicon structural
layers and an additional final gold layer to increase reflectivity. They have been
assembled in 3D like a pop-up structure, using a micromanipulator on a probestation.
87
Figure 3.12: Basic process sequence of surface micromachining.
Figure 3.13: A micro optical stage built by surface micromachining.
3.4.1
Thin-film fabrication
The choice of the thin-film and its fabrication method is dictated by many different
considerations: the temperature budget (limited by the maximum temperature
that the substrate can withstand and the allowable thermal stress), the magnitude
of the residual stress in the thin-film (too much stress cause layer cracking), the
conformality of the thin-film (how the thin-film follows the profile of the substrate
as shown in Fig. 3.14), the roughness of the thin-film, the existence of pinholes, the
88
uniformity of the thin-film, the rate of fabrication (to obtain cost-effective thick
thin-film)...
h min
h max
h min
h min
h max
Conformal ( h min / hmax =1 )
h max
Poor conformality ( h min / hmax <1 )
Non-conformal ( h min / hmax =0 )
Figure 3.14: Conformality of layer deposited over a ridge.

Common thin-film fabrication techniques are the same as those used in microelectronics fabrication. Most of these methods are additive processes like chemical
vapor deposition (CVD) at atmospheric (APCVD) or more often at low pressure
(LPCVD), sputtering, e-beam or thermal evaporation, spin-coating, etc, but some
methods are based on modifying process like oxidation (in dry or in wet oxygen),
doping... These techniques have various characteristics that makes them desirable
in different cases and are compared in Table 3.5. In general the best film quality
is obtained at higher temperature, where the highest atom mobility assure good
conformality and pin-hole free films with good adhesion.
Technique
Temperature
Conformality
Rate
Spin-coating
room temp.
--
++
Oxidation
very high
++
Evaporation
low
Sputtering
low
LPCVD
high
Table 3.5: Comparison of some thin-film fabrication techniques.

Besides the characteristics listed above, for surface micromachining we also
need to consider an additional condition: the compatibility between sacrificial and
structural layers. Actually, the selection of a suitable sacrificial material depends
on the structural material and particularly on the availability of an etching method
that can selectively etch the sacrificial material without significantly etching the
structural materials or the substrate. A few common combinations of structural
material and sacrificial etching method are shown in table 3.6, but the list is
endless.
The quality of the thin-film is often linked with its microstructure, and we
differentiate them according to an increasing degree of order as amorphous, polycrystalline and single crystal films.
89
Structural material
Sacrificial material
Etchant
Polysilicon
Oxide(PSG, LTO, etc)
Buffered HF
Si3 N4
Poly-Si
KOH
SiO2
Poly-Si
EDP/TMAH
Aluminum
Photoresist
Acetone/O2 plasma
Polyimide
Cu
Ferric chloride
Ti
Au
Ammonium iodide
SiO2 , Si3 N4 , metal
Poly-Si
XeF2
Table 3.6: Combination of materials and etchant for surface micromachining.

Single crystal thin-films are relatively hard to obtain, and only a few process like
epitaxy will yield such films.
Oxidation
Oxidation belongs to the modifying processes, sharing with them a generally excellent conformality. Oxidation is a reactive growth technique, used mostly on
silicon where silicon dioxide is obtained with a chemical reaction with a gaseous
flow of dry or wet dioxygen. Using dry dioxygen results in a slower growth rate
than when water vapour are added, but it also results in higher quality films. The
rate of growth is given by the well-known Deal and Grooves model as
do =
A
2
1+
t+
A
,
2
A /4B
2
where B is called the parabolic rate constant and B/A the linear rate constant that
are obtained for the long and the short growth time limit respectively. Actually,
for the short growth time limit, we notice that (neglecting the correcting factor )
t
limt0 do = A2 (1 + 12 A2 /4B
) A2 = B
t : we indeed have a linear growth rate with
A
the slope B/A. Accordingly, we would find a parabolic approximation for long
growth duration (cf. Problem 4).
Typical value for these constant at 1000 are A = 0.165m, B = 0.0117m2 /h
and = 0.37h in dry O2 and A = 0.226 m, B = 0.287 m2 /h and = 0 in wet
O2 . It should be noted that the model breaks down for thin dioxide (<300
A) in
dry atmosphere because of an excessive initial growth rate that is modeled through
the use of . The passage from a linear growth rate to a parabolic rate is dictated
by the need for the oxygen atoms to diffuse through the growing layer of silicon
dioxide - the thicker the layer the slower its growth rate. The parabolic form of
90
the growth rate is a typical signature of diffusion limited process. The diffusion
rate is increased for wet oxidation as the presence of hydrogen facilitates oxygen
diffusion through dioxide, resulting in much faster growth.
Actually, it is possible to control locally the oxidation by
blocking in selected places the diffusion of oxygen to the surface,
performing what is called a LOCOS process (local oxidation).
In this process, Si3 N4 is deposited and patterned on the silicon
surface (atop a thin oxide layer used for stress relieving) to
Oxide
Silicon
act as a barrier against oxygen diffusion. During the oxidation
Silicon nitride
process in the furnace, oxide grows only in the bare regions
while Si3 N4 prevents oxidation in the covered regions, effectively resulting in a
patterned oxide layer. We note that the oxide growth happens in part below the
original surface and that at the edge of the region, the oxide lateral growth lifts
the nitride film resulting in a birds neck profile of the oxide, both characteristics
resolutely different from what would happen with etched oxide films.
For MEMS applications, an interesting feature of oxidation is that it results in
a net volume change as the density is lower for oxide than for silicon. Actually, the
volume increases by about 53% of the grown oxide. That is, for an infinite plane,
the growth of a thickness do of dioxide results in the consumption of a thickness
dSi = 0.46do of silicon, but a net expansion of do dSi = 0.53do during growth.
If this phenomenon may produce unwanted stress, it is also used to close holes in
silicon or poly-silicon layers.
The relatively large range of variation of the oxidation growth rate, allows to
obtain thick layer (up to 2m for 10h wet oxidation) or very thin layer (a few nm)
with a good control. The thicker films can be used as mask for wet etching or as
sacrificial layer, and the thinner ones serve to produce nano-structures with high
accuracy. This versatility and the high quality of the film produced give oxidation
an important role in MEMS manufacturing.
Doping by diffusion and ion implantation
Doping is a process where impurities are introduced into a material to modify it,
and as such belongs to the modifying processes. The impurities can be directly
introduced during the fabrication of the substrate (for example, As can be introduced into the melt during the growth of the silicon ingot to obtain n-doped silicon
wafer), but we are here interested by techniques that could be used selectively for
doping locally and in-situ a thin layer of material. The two main techniques that
are used are diffusion and ion implantation.
Diffusion is performed by placing the substrate in a high temperature furnace
in presence of the doping species. In the main process currently used the doping
species are present in gaseous form in the furnace or have been deposited as a
thin film directly onto the substrate. The high temperature will agitate atoms
strongly and allow the impurities atoms to move slowly inside the substrate, until
temperature is lowered or their concentration is uniform.
91
Actually, the diffusion is governed by the Ficks laws which are derived from the
statistical study of the random motion of particle due to thermal energy. The first
law relates the flux of the diffusing species (j) with the gradient of concentration
C. The proportionality constant D is the diffusion constant, a material constant
depending on the substrate, the diffusing atoms and the temperature.
j = D gradC
which in system with one dimension gives j = DC/x. This equation translates
the fact that the average flow of impurities will last until the concentration is equal
everywhere and the gradient is null. The second law allows to relate the evolution
of the concentration with time.
C
= DC
t
which in one dimension is given by C/t = D 2 C/x2 . These partial differential equations can be solved for different set of initial and boundary condition,
depending on the diffusion configuration.
Of particular interest is the case of infinite source, where he concentration
at the surface remains constant during the complete diffusion, as happen during
diffusion from a gaseous source in a furnace. In this case the concentration is given
as:
x
C(x, t) = CS erfc
2 Dt
x 2
where erfc(x) = 1 erf(x) = 1 2/ 0 e d is the complementary error
function. From this equation we can obtain the diffusion depth d as:
d = 2 Dt erfc1
Cd
CS
where Cd is the concentration in d. We verify here that the depth varies as the
square root of time, that is, to go twice as deep, the diffusion needs to be 4 times
longer. The surface concentration CS remains constant during the diffusion and is
generally given by the solubility limit of the impurities in the substrate (e.g. 2
1020 at/cm3 for Boron in Silicon at 1100C). Actually, the Ficks equations describe
only the evolution of the concentration inside the material and not what happen
at the interface between the substrate and the upper medium. The solubility
limit gives the maximum concentration that is reached before the impurity forms
cluster and small crystals which will require a lot more energy and generally does
not happen. In this way it also gives the maximum impurities concentration that
can be obtained by diffusion in a material.
Another common case is the case of finite source, where, after some time, the
source is completely consumed by the diffusion, as happen when a thin-film on the
substrate surface acts as the diffusion source. In this case, the relevant quantity is
92
the total amount of dopant present Q that will finally fully diffuse in the substrate.
In this case the solution to the Ficks second law is:
C(x, t) = CS exp x2 /4Dt
with in this case the surface concentration CS = Q/ Dt, decreasing steadily

with the diffusion time. We obtain in this case a diffusion depth given by
d = 2 Dt ln(Cd /CS )
varying again as a function of the square root of the time.
Ion implantation is comparatively a more versatile technique, but it requires a
much more complex set-up (Figure 3.15). In this case the impurities are introduced
into the substrate by bombarding the substrate with ions of the impurity traveling
at high velocity. The ions will penetrate and be stopped after a short distance
under the surface (at most a few m) by interaction with the electrons and atoms of
the substrate material. The ion implanter is thus composed of a collimated source
of ion, a section using high voltage to accelerate the ions, a mass spectrometer
to sort the ions and only select the desired species and finally an electrostatic
scanning system allowing to direct the ion beam toward any place on the wafer
surface.
Acceleration
Ion
source
Scanner
Mass
spectrometer
Wafer
Figure 3.15: Schematic of an ion implanter.

The parameters governing ion implantation are simply the ion energy, expressed
in eV and depending on the acceleration voltage, and the dose, that is the number
of implanted atoms per unit area. The energy will determine the depth of implantation, with deeper implantation resulting in broader distribution of atoms. The
dose is simply the ion current density (j) multiplied by the implantation duration
(t) and divided by the charge of one ion. It can also be expressed by using the
total current I,
jt
It
D=
=
.
q
Aq
93
The implantation being a rather violent process, the collision of the impurity
ions with the stationary atoms of the substrate cause them to recoil and generally results in amorphization of the doped portion of the substrate. In general
recrystallization is needed and thus the implantation process needs to be followed
by an annealing process at high temperature (800C to 1200C) under an inert
atmosphere.
If ion implantation allows to tailor, by varying dose and energy, doping profile
much more precisely than diffusion, it is not exempt of drawbacks. The implantation is a rather directional process and it is affected by shadowing behind tall
structures and reflection on the side wall, making uniformity more problematic
with high aspect ratio structures. Additionally, inside crystals there are often
direction with less chance of nucleus collision were ions will be channeled much
deeper. For example in Si, such phenomenon appears along the < 111 > orientation, and when ion implantation replaced diffusion for microelectronics at the
turn of the 1980s, the preferred Si wafer orientation changed from < 111 > to
< 100 >. Finally, ion implantation is unable to provide deep doping profile (> a
few m) and, contrary to microelectronics, diffusion remains widely used in MEMS
fabrication.
C
50 keV
2(Dt) =0.1m
100 keV
200 keV
400 keV
0.5m
1m
0.5
0
Depth [m]
Figure 3.16: Concentration profile for (left) implanted ions of different energy
(right) diffused atoms with different diffusion time and with (dots) infinite and
(solid) finite source.
In general, it is possible to control locally the doping by placing a protecting layer over the zone that should not be doped before the doping process is
performed. Actually the protecting layer will be doped at the same time as the
exposed substrate, but will be removed in a later step leaving only the exposed
substrate with doping. If the doping is obtained by diffusion, at the edge of the
pattern lateral (isotropic) diffusion will occur enlarging the original pattern, but
implanted layer will have more precisely defined edges.
94
Spin-coating
Spin-coating is a simple and fast technique that allows to deposit thin-films in
liquid form. In general it is used to deposit polymer in a solvent, and particularly
photoresist, but it can also be used for glass (spin-on glass) or other material
(PZT...) with the sol-gel technique.
Figure 3.17: Spin-coating principle.
Thickness
As shown in Figure 3.17, the substrate is mounted on a chuck that is able

to spin at high speed before the liquid is dispensed in a puddle in the substrate
center. In a first spinning step at relatively low speed (a few 100 rpm), the liquid
spreads over the entire substrate. Then a fast acceleration brings it to a high speed
spinning for about 30 s where the layer reach its desired thickness. In general the
high speed spin has to be kept between 1000 rpm and 5000 rpm to give optimum
results, with increasing speed giving thiner films. The viscosity of the liquid is the
main factor that determine the final layer thickness at a certain spinning speed,
requiring a good temperature control (viscosity changes rapidly with temperature)
to obtain reproducible results.
Photoresists exist in a wide range of viscosity, from a
few cSt to 50000 cSt or more, allowing in a single spin
to obtain thickness between about 100 nm and up to a
Higher viscosity
few 100 m. A standard layer would be around 1 m,
but thick resist are very attractive in MEMS fabrication.
However, spin-coating very viscous polymer is difficult
1000
5000
Rotating speed [rpm]
and will be helped by using a spinner with a co-rotating
cover. In that case the top cover above the substrate is rotating at the same speed,
allowing to avoid the effect of air flow that creates uneven layer with particularly
thicker edge called edge-bead. The edge-bead can be removed in a post-process
conducted just after spin-coating, but their minimization is still important.
The method works best over a flat substrate as its
Thinner
conformality
is not good. Actually, when the liquid is
Thicker
spun over a substrate with topography, the liquid surface
tension will smooth out the sharp edge, rounding convex
corner and filling concave ones. This phenomena can be put to good use to smooth
out the topography of a wafer and has been use for local planarization. However
in general this phenomena is a problem and a few methods have been developped
95
to solve it in the case of photoresist where a good control of thickness is very important. One of such method is the spray coating method, where the photoresist
is sprayed over the surface avoiding presence of thinner layer at corners. Photoresist has also been deposited by using electroplating. In that case a conductive
substrate (i.e. metal coated) is placed in a special electrolytic bath and after application of a current, a layer of photoresist is grown uniformly on all the surface
of the substrate, providing excellent conformality.
The main limitation with spin-coating is that the material need to be in liquid
form, restricting the range of available material to a relatively small list. In general, as it is the case for photoresist, the material is dissolved in a solvent which is
then evaporated after spin-coating leaving a hard film on the substrate. Alternatively, monomer can be spin-coated and then polymerized by heating or using UV
exposure to form a film. Finally, in sol-gel method like the spin-on-glass (SOG),
suspension can be spin-coated and will form a network upon thermal treatment.
Physical Vapor Deposition (PVD) techniques

There are two main techniques for physical vapor deposition : evaporation and
sputtering. These techniques are low temperature and most often used to deposit
conductive materials like metals (Au, Pt, Ti, Cr, Al, W, Ni...). However they can
also be used for oxide or semi-conductive materials, resulting almost invariably in
amorphous thin-films.
The principle of evaporation is very simple. The wafer is first placed with the
source material in a vacuum chamber. The material is heated above its evaporation temperature sending vaporized atoms across the chamber. The atoms then
condense on the colder surfaces : the wafer and the chamber walls. The material
source is kept in a small crucible and heated using resistive heating (Joules effect)
or using an electron beam. In the later case, a high velocity beam of electron
is directed towards the source. When the electron collide with the surface atom
they transfer their kinetic energy, bringing the material to high temperature. The
choice between the two techniques is not only governed by the evaporation temperature, which would make the e-beam technique superior as it can reach much
higher temperature than resistive heating. Actually, some materials are easier to
evaporate with one method or the other, and for example, some rare earth oxide
can not be evaporated nicely with e-beam whereas they are successfully evaporated
with resistive heating in a tungsten crucible.
For both heating techniques, the substrate has to be
kept at a relatively large distance from the hot source to
Atoms flux
prevent the substrate from heating uncontrollably. HowShadow zone
ever as the source material in the crucible has a relatively
small size, the large distance result in a line of sight deposition with poor conformality. As we see in the figure, the horizontal surface
will be uniformly coated, but the vertical surface will receive less material as their
96
projected surface is smaller7 . The vertical side can even be left in the shadow
and receive no material at all. This last problem can be generally avoided (except
in narrow trenches) by rotating the substrate during the deposition. Of course the
shadowing effect is not always a problem and actually lift-off process can benefit from it. Actually, if nothing deposits on the sacrificial material side this will
facilitate its dissolution by providing a better access to the etching liquid.
The basic operation of the DC sputter relies on a plasma and is close to the
glow discharge principle, but operated at a higher voltage. In that case, when
the positive gas ions are accelerated in the Crookes dark space and hit the target
surface they have enough momentum to eject one or more atom of the target in
addition to the secondary electrons. The neutral atom will then fly through the
chamber and land onto the wafer.
Coolant pipe
Magnet
Target
Ar
Ar gas
Wafer
Heater
+
Pressure control valve
Vacuum pump
Figure 3.18: Typical DC Sputter schematic.
The most commonly used gas for sputtering is argon, an inert gas, avoiding any
chance for the gas to chemically react with the substrate of the target. The target
is located at the cathode which is biased at a few kV where the sputtering efficiency
is highest for most materials. The substrate bias is also often set to a negative
value ( 100 V, that is, of course, much lower than the cathode voltage), to
attract ions that will help compact the deposited film and remove the loose atoms.
Alternatively a positive bias could be used to attract the electrons and repel the
ions, resulting in different thin-films properties. Clearly, the substrate bias should
not be made too negative otherwise sputter of the substrate will occur. In fact,
this possibility is often used for a short time by biasing the substrate to 1 kV before
the deposition is started in order to clean the substrate surface. Additionally, the
wafer is normally heated at a temperature set halfway to the melting temperature
(T 0.5Tm ) to increase the atom mobility at the surface. This result in film
7
This is the same phenomena that makes the temperature depends on the latitude on earth:
at higher latitude the curve of the globe let the rays of the sun shine obliquely on the earth
surface and thus make them illuminate a larger surface, bringing less heat there.
97
having less porosity and lower stress. However, the main factor affecting stress is
the gas pressure, and lower stress will be obtained with low pressure.
The magnet is used to increase the ionization yield of gas atoms. Actually
the magnetic field traps the moving electrons (Lenzs law) in an helical path,
increasing the length of their trajectory and thus increasing the chance they hit a
gas atom. The yield increases dramatically (> 10) resulting in a similar increase
of the deposition rate. Most modern sputter are using this principle and are called
magnetron sputter.
One issue with the DC sputter is that it can not be used efficiently for depositing
insulating material. Actually, the charge building-up on the insulating target
surface would finally repel the incoming ions and require a dramatic increase of
the voltage to sputter the target material. However, instead of a DC potential,
the sputter can also be operated with a pulsed field in the radio frequency (RF
sputter) range (in general at 13.56 MHz). In this case the potential of the target
is maintained negative for most of the period and then briefly turned positive.
The short duration of the positive field does not modify much the momentum of
the heavy ions that behave mostly as seen before in the DC field. In the other
hand the much lighter electrons are affected by the positive field and they move
backward toward the target. This neutralizes the build-up of positive charge which
would happen in DC sputter with non conductive target and allows deposition of
insulating or semi-conducting materials.
The atoms coming from the target follows mostly a line of sight path, but the
conformality is still better than with evaporation. Actually, as can be seen in
Figure 3.18, owing to the large dimension of the target and its proximity with the
wafer, target atoms arrive on the wafer within a relatively broad solid angle spread,
decreasing the shadow effect usually observed with evaporation. Additionally, the
atoms from the sputter have a higher velocity that atoms obtained by evaporation,
resulting in layer with better adhesion to the substrate. Finally the deposition
speed is higher with sputter, making it the tool of choice for metal deposition in
the industry.
Chemical Vapor Deposition (CVD) techniques
Chemical vapor deposition techniques are split according to the operating pressure,
from atmospheric pressure CVD (APCVD), low-pressure CVD (LPCVD) to finally
ultra-high-vacuum CVD (UHCVD). However they all work on the same principle:
the decomposition of a gas on the heated surface of the wafer in the absence of any
reagent, a phenomena called pyrolysis. CVD is performed in a simple furnace with
a gas inlet and connected to a vacuum pump to maintain a controlled pressure as
shown in Figure 3.19.
Depending on the gas, or gas mixture, used it is possible to deposit a wide
variety of thin-films. The most commonly deposited films are polysilicon using
the decomposition of silane (SiH4 ) at 620C, silicon nitride using a mixture of dichlorosilane (SiH2 Cl2 ) and ammonia (NH3 ) at 800C and low temperature oxide
98

3-zone heater
Wafers
Furnace
door
Gas inlet
Pressure control valve

Vacuum pump
Figure 3.19: LPCVD furnace for thin-film deposition.

(LTO) using silane and oxygen (O2 ) at 450C.
In general the resulting films are of good quality showing a very good conformality,
having no pinholes with good deposition rate (1m/h). The stress in the film can
be controlled by varying the temperature and the gas flow rate or composition.
For example if stoichiometric silicon nitride (Si3 N4 ) will usually present a very
large tensile stress (>1 GPa) making it crack easily for thickness above 200nm,
increasing the amount of dichlorosilane in the gas mixture will result in siliconrich silicon nitride films with a much lower stress that can become compressive and
allow growing 1m thick film and above. For polysilicon deposition using silane
pyrolysis, increasing the temperature from 560C to 620C lowers the as-deposited
stress, changing the compressive stress usually present in polysilicon films to tensile
stress [22]. A subsequent high temperature (>950C) anneal result in layer with
very low stress, making Poly-Si the material of choice for building multi-layered
structure on silicon surface.
Mixing of gas can result in other interesting variation in thin-films. For example
it is possible to deposit oxynitride thin-films with an index of refraction anywhere
between oxide (n=1.46) and nitride (n=2.1) by simply varying the ratio of oxygen
and ammonia in a mixture with dichlorosilane.
The main concern with the LPCVD is the relatively elevated temperature
needed for the pyrolysis of the gas. Actually, even the LTO deposition is actually rarely used as it shows a low conformality and usually oxide is deposited
using pyrolysis of TEOS at 650C. To circumvent this temperature problem, it is
possible to use Plasma Enhanced CVD (PECVD). In this case a plasma is used
to add kinetic energy to the thermal energy to facilitate the chemical reactions
allowing the furnace to run at much lower temperature (<450C). The low process
temperature has made the PECVD reactor a popular tool for research and industry, used for many materials as shown in Table 3.7.
The PECVD furnace is completely different and more complex than its LPCVD
conterpart, as in addition to temperature and gas control it needs the circuitry to
excite and maintain a plasma inside the chamber above the wafer. As such, the
deposition can only happen for one wafer at a time, and because of the horizontal
position of the wafer, is more prone to contamination from falling particles. Ad-
99
ditionally, the quality of the thin-films is usually lower - but adjusting the plasma
parameter allows a better control on the mechanical properties of the film.
Material
Gas
LPCVD LTO
SiH4 + O2
425
low density
LPCVD TEOS
Si(OC2 H5 )4
700
good film
PECVD
SiH4 + N2 O
300
contain H
Nitride
(SiNx ,
Si3 N4 ...)
LPCVD Si3 N4
SiH2 Cl2 + NH3
800
high stress
LPCVD SiNx
SiH2 Cl2 + NH3
800
low stress
PECVD SiNx
SiH4 + NH3
300
contain H
Silicon
(PolySi,
a-Si...)
LPCVD PolySi
SiH4
620
small grain
LPCVD a-Si
SiH4
570
amorphous
PECVD a-Si
SiH4
280
contain H
LPCVD W
WF6 + SiH4
440
good conf.
Oxide
(SiO2 )
Tungsten (W)
T[
Technique
Remark
Table 3.7: CVD of common thin-films.

Actually LPCVD furnaces, even with vertically standing wafers, are also subjected to contamination from particles falling from the furnace walls. As we mentioned earlier the walls are hot and thus experience the same deposition as the
wafer, accumulating across multiple run and finally falling on the wafer as particles. There are a few solution to this problem, and for example the LPCVD
furnace may be oriented vertically instead of horizontally. Another possibility is
to keep the wall cold so that no deposition occurs on them. This is not possible
with LPCVD furnaces, but it can be achieved with Rapid Thermal Processing
(RTP) furnaces. In a RTP furnace wafers are processed one by one horizontally,
similar to what is done in a PECVD furnace. However here the high temperature
is obtained using strong lamp whose NIR radiation is absorbed in the wafer. The
walls can thus be kept at low temperature by water circulation preventing any
deposition there.
It should be noted though, that for MEMS the problem of particles contamination is not as bleak as it could seem because the dimension of the feature are
usually much larger than for ICs. Actually fabrication process generally generates
much more small particles than big ones: in a typical cleanroom air, when the
size of particles goes from 1m to 0.01m, the particle density may increase by 2
order of magnitude! As such, if we accept the rule of thumb that particle should
be smaller than about one third of the critical dimension in the layout, we understand easily that MEMS with feature size rarely below a few m are much less
impacted by the particle contamination than ICs with 50nm design rules. We can
100
also remark that the expected gain in yield achieved by shrinking the chip dimension (smaller area has less chance to see one particle) can be easily offset by the
dramatic increase of smaller particle number noted above: to keep the same yield,
the environment should actually be cleaner, and the number of smaller particle
should decrease proportionally with the scaling factor.
Epitaxy
Epitaxy is a CVD techniques, as it generally relies on furnace very similar to what
is used for LPCVD, but actually it presents features that makes it unique. The
main difference between epitaxy and other CVD techniques is that in the case of
epitaxy the structure of the thin-film depends on the substrate, and particularly,
epitaxial growth allows to obtain single crystal layers. Actually if in the case
of CVD the deposition is relatively random and independent of the substrate,
generally resulting in amorphous or polycrystalline films, with epitaxy the thinfilm will grow in an ordered manner determined by the lattice of the substrate.
If the material of the epitaxial layer is the same as the substrate, the process
is called homoepitaxy and heteroepitaxy otherwise. Moreover, depending on the
match between the lattice period of the substrate and the film, we can distinguish
three types of epitaxial growth:
commensurate growth when the substrate and the layer have the same crystal
structure and lattice constant,
incommensurate growth when they dont have the same lattice constant resulting in point defects at the interface,
pseudomorphic growth when they dont have the same lattice constant but the
epitaxial layer strains to match the lattice of the substrate.
The growth of high quality crystals, like silicon, is generally obtained by the
Czochralsky method, which consists in pulling slowly from a melt very large single
crystal starting from a small seed crystal. Actually, this method could be described
as an extreme case of homoepitaxy with commensurate growth.
The epitaxy process needs a furnace similar to a LPCVD furnace, but in practice the process is relatively more complicated to control. On silicon the main
process is based on the reduction in a H2 atmosphere of SiCl4 at 1200C with HCl
as a by-product. However the high temperature makes it hardly useful, except as a
first process step, and lower temperature process using dichlorosilane above 950C
have been developed, but are harder to control resulting often in polycrystalline
layers.
The main interest of the technique is in the high quality of the grown layer,
which results in good electronics properties, important for optoelectronics (solar
cell, laser diode...) and some specific electronics circuits, and good mechanical
properties (low stress) more interesting for the MEMS application. The relative
101
difficulty of the technique makes it rarely used in MEMS fabrication, with the
notable exception of the process used by Bosch for their multi-user foundry process.
In the MPW process the structural layer is a 10.5m polycrystalline layer grown
by epitaxy (called epipoly). In this case the interest is the growth speed (that
could exceed 0.3m/min) that can be obtained without sacrificing the low stress
present in the layer.
3.4.2
Design limitation
The flexibility of surface micromachining is not free of unique problems that need
addressing to obtain working devices.
During layer deposition, a strict control of the stress in the structural layer
has to be exerted. Compressive stress in a constrained member will cause it to
buckle, while a gradient of stress across a cantilevered structure causes it to warp,
resulting in both case in probable device failure.
The possibility to stack several layers brings freedom but also adds complexity.
Actually there is large chance that the topography created by the pattern on
underlying layer will create havoc with the upper layer, as illustrated in Figure 3.20.
Photoresist
Dimple
Interference
Stringer
Stringer formation
Layer interference
Figure 3.20: Common surface micromachining issues.

A common problem is the formation of strings of structural material, called
stringers, during the patterning of the upper layer. Actually the high anisotropy
of the etching by RIE leaves some material where the layer is thicker because of
the conformal deposition of the structural material. To avoid the problem during
fabrication, the RIE etching time needs to be substantially increased to fully etch
the layer where it is thicker. For example the MUMPS surface micromachining
process proposed by the foundry MemsCap is using an overteching of 100%, that
is, the etching lasts twice the time needed to clear the material in the flat zone. Another common issue is the likelihood of structure interference between the stacked
layers. In Figure 3.20 we see that the topography creates an unintended protrusion
102
below the top structural layer that will forbid it to move freely sideway - probably
dooming the whole device. This problem can be tackled during layout, particularly
when the layout editor has a cross-section view, like L-Edit from Tanner Research.
However even a clever layout wont be able to suppress this problem completely
and it will need to be addressed during fabrication. Actually it is possible to polish
using Chemical-Mechanical Polishing (CMP) the intermediate sacrificial layer to
make it completely flat, will avoid all interference problems. For example, Sandia
National Laboratory uses oxide CMP of the second sacrificial layer for their four
layers SUMMiT V process.
However, sometimes the interference may be a desired effect and for example the
so called scissors hinge [25] design shown in Figure 3.21 benefits greatly from
it. The scissors hinge is designed to provide a hinge functionality with micromachining process and as we see here the protrusions below the upper layer help to
hold the hinge axis tightly. If we had to rely on lithography only, the gap between
the axis and the fixed part in the first structural layer would be at best 2 m, as
limited by the design rules, and the axis will have too much play. However the
protrusions below the staple reduce the gap to 0.75m, the thickness of the second
sacrificial layer, and the quality of the hinge is greatly increased.
Protrusion
2nd structural layer
Axis
Staple
Connecting via
1st structural
layer
Figure 3.21: Tight clearance obtained by layer interference in a hinge structure.
The final step in surface micromachining process is the release - and this critical
step has also a fair amount of issues that need to be considered.
3.4.3
103
Microstructure release
The release step is the source of much technologist woes. Release is usually a wet
process that is used to dissolve the sacrificial material under the structure to be
freed. However the removal rate is usually relatively slow because the sacrificial
layer is only a few m thick and the reaction becomes quickly diffusion limited.
Then the depth of sacrificial layer dissolved under the structure will increase slowly
with the etching time as
drelease tetch .
Simply said, releasing a structure twice as wide will take 4 times more time. However if the etching lasts too long the chemical may start attacking the device
structural material too. A first measure to avoid problems is to use compatible
material and chemical, where the sacrificial layer is etched quickly but other material not at all. A typical example is given by the DLP (Digital Light Processing)
from Texas Instruments, where the structural layer is aluminum and the sacrificial
layer is a polymer. The polymer is removed with oxygen plasma, and prolonged
release time will only slightly affect the metal.
This ideal case is often difficult to reach and for example metals have often a finite
etch rate in HF, which is used to remove PSG sacrificial layer. Thus to decrease
the release time we have to facilitate etching of the sacrificial layer by providing
access hole for the chemical through the structural layer. In the case of Figure 3.13
for example, the mirror metal starts to peel off after about 10 minutes in HF. However in about 5 minutes HF could only reach 40 m under a plain plate, and the
designer introduced release holes. These holes in the structural layer are spaced
by roughly 30 m in the middle of the mirror plate (the white dots in the figure)
allowing for the HF to etch all the oxide beneath in less than 5 minutes.
Figure 3.22: Stiction phenomenon during release.

The problems with wet release continue when you need to dry your sample. The
meniscus created by the receding liquid/air interface tends to pull the structure
104
against the substrate. This intimate contact give rise to other surface forces like
Van der Walls force, which will irremediably pin your structure to the substrate
when the drying is complete, effectively destroying your device. This phenomenon
is referred as stiction (Figure 3.22). Strategies that have been used to overcome this
problem have tackled it at design and fabrication level. In surface micromachining
the idea has been to reduce the contact surface by introducing dimples under the
structure. From the fabrication side, super-critical drying, where the liquid changes
to gas without creating a receding meniscus, has also been applied successfully.
Coating the structure with non-sticking layer (fluorocarbon, hydrophobic SAM...)
has also proved successful and this method, albeit more complex, has the added
advantage to provide long lasting protection again sticking that could arise during
use.
Finally, a completely different approach is to avoid wet release altogether and
instead to perform a dry release with a gas or a vapour, suppressing entirely the
stiction concerns. For example the Multi-Project-Wafer (MPW) process run by
Bosch uses HF vapour to remove the oxide layer below the polycristalline structures. The reaction is roughly as follow:
SiO2 + 2H2 O Si(OH4 )
Si(OH4 ) + 4HF SiF4 + 4H2 O
where all the final by-products are, of course, gaseous. The main issue with the
technique is the high toxicity of the HF vapour and in Table 3.6 we describe two
other popular methods which present less risk: dissolving polymer sacrificial layer
with O2 plasma, and using xenon difluoride (XeF2 ) to etch sacrificial silicon. The
xenon difluoride is a gas showing an excellent selectivity, having etching rate ratio
close to 1000 with metal and up to 10000 with oxide. The gas has thus been used
successfully to release very compliant or nano-sized oxide structures where silicon
was used as the sacrificial material. The process does not use plasma, making the
chamber rather simple, and several manufacturers like XactiX (in cooperation with
STS), in the USA or PentaVacuum in Singapore are proposing tools exploiting the
technology.
3.5
DRIE micromachining
Deep reactive ion etching (DRIE) micromachining shares features both from surface and bulk micromachining. As in bulk micromachining the structure is etched
in the bulk of the substrate, but as in surface micromachining a release step is used
to free the microstructure. Figure 3.23 shows a simplified process of bulk micromachining on silicon-on-oxide (SOI) wafer using deep reactive ion etching (DRIE),
a special MEMS dry etch technique allowing large etch depth with very vertical
side walls. The SOI wafers used in MEMS usually have a device layer thickness
between 10 and 200m where the structure is defined. After photolithography, the
3.5. DRIE MICROMACHINING
105
Figure 3.23: Bulk micromachining of SOI wafer by DRIE.

wafer is etched with DRIE to form high aspect ratio silicon structures, and the
buried silicon dioxide acts as an effective etch stop. Stripping off the protective
photoresist by O2 plasma and then etching the sacrificial layer of the oxide using HF to release the microstructure finish the device. This simple, yet powerful,
technique needs only one mask to obtain working devices, and it is understandably
used in commercial products. The best known example is the optical switch produced by Sercalo, a company founded by C. Marxer the inventor of this fabrication
technique.
DRIE has reached a large popularity in recent years among MEMS community
and the tools produced by Adixen (Alcatel), Surface Technology Systems (STS)
and Oxford System produce high aspect ratio structures (>25) with vertical sidewalls (>89) at a decent etch rate (6m/min or more). A standard DRIE system,
as shown in Figure 3.24, uses high density inductively coupled plasma (ICP) as the
plasma source. In the ICP plasma source the electrons are set in motion by a RF
magnetic field, creating plasma with much higher density than with capacitively
coupled source. Additionally, a second RF source is placed on the wafer to increase the ion bombardment on the wafer by polarizing it negatively with respect
to the plasma. By using the two sources we can decouple the ion generation and
energy, thus allowing a much finer control of the etching condition. We can get a
lot of energy in the ICP (e.g. 3 kW) to generate large ion density and high etching
speed simultaneously with a mild accelerating voltage (e.g. 100 W) on the wafer
to remain in the RIE regime and avoid mechanically chirping matter out of the
wafer.
In addition to increase the anisotropy for deep etch, DRIE usually adopts the
patented Bosch process (Figure 3.25). The Bosch process is a repetition of
106
two alternating steps: passivation and etching. In the passivation step, C4 F8 gas
flows into the ICP chamber forming a polymer protective layer (n (-CF2-)) on all
the surfaces. In the following etch step, the SF6 gas in the plasma chamber is
dissociated to F-radicals and ions. The vertical ion bombardment sputter away
the polymer at the trench bottom, while keeping the sidewall untouched and still
protected by the polymer. Then the radicals chemically etch the silicon on the
bottom making the trench deeper. By carefully controlling the duration of the
etching and passivation steps, trenches with aspect ratio of 25:1 are routinely
fabricated - and aspect ratio as high as 100:1 have been reached. Figure 3.25 right
shows a SEM picture of a movable mirror fabricated by DRIE on a SOI wafer.
The DRIE is a very versatile tool and allows a good control on the etched profile
slope, mostly by varying the etching/passivation duration and also by varying the
substrate biasing voltage. However, it is affected by common RIE problems like
microloading, where etching rate is slower for high density patterns than for low
density ones. This effect is linked with the transport speed of reactant and products
to and from the surface, which can be improved somewhat by increasing the flow
rate of etching gas. But this is not the only issue, and other common issues are
shown in Figure 3.26.
One issue with DRIE is the presence of regular ripple with an amplitude over
100 nm on the vertical edge of trenches, a phenomena referred to as scalloping.
The ripples comes from the repetition of isotropic etching and passivating steps,
and can be annoying for etching nano-pillars with a few 100 nm diameter or for
obtaining vertical wall with smooth mirror finish. Actually, they can be mostly
removed by shortening the etching step to 1 s, instead of a standard 7 s, and
by reducing the passivation step duration accordingly. This of course results in
coil
gas
+
wafer
pressure control valve

vacuum pump
Figure 3.24: ICP-DRIE system.
3.5. DRIE MICROMACHINING
107
SF6
Etching
SF6
Etching
C4F8
Passivation
Passivation
Etching
Photoresist
SF6
6'
Etching
Etching
SF6
SF6
Silicon
4'
C4F8
Fluoropolymer
Figure 3.25: Principle of the Bosch process for DRIE etching and 50 m thick
movable mirror fabricated on SOI wafer.
DRIE lag
Scalloping
Notching
Silicon
Oxide
Figure 3.26: Some issues affecting DRIE process: scalloping, notching and lag
(ARDE).
a much slower etching rate, but is a usual practice of trading etching speed for
improving another etching parameter.
The existence of DRIE lag is also a nuisance that needs to be considered. Actually,
in narrow trenches, ion charging at the sidewall lowers the electric field and the
energy of the ions, decreasing etching rate as compared to what happens in wide
trenches. This is described as the aspect-ratio dependent etching (ARDE) effect.
This effect again can be controlled by properly tweaking the recipe and trading a
bit of etching speed.
Another major issue existing in DRIE is the fast silicon undertech that happens
in SOI trenches when the etch reaches the buried oxide layer. Actually after the
silicon has been completely etched, the oxide get exposed, and positive charges
build-up in the insulating layer. This local space charge deviates the incoming ions
laterally, causing an increased etch at the lower portion of the sidewall of the trench,
an effect called notching. The most recent DRIE tools have managed to tackle
this problem satisfactorily, by using a low frequency biasing scheme. Actually the
108
normal RIE plasma frequency (13.56 MHz) is too high to have any effect on the
ions, but by lowering the frequency to 380 kHz the ions bombardment will follow
the field. In a way similar to what happens in a RF sputter, but this time for the
ions, the ions during the positive bias pulse wont be anymore directed toward the
substrate. The plasma electrons will then be attracted there and recombine within
the charged insulator, suppressing the spatial charge. By varying the cyclic ratio
of the low frequency bias pulse it is thus possible to control the etching/uncharging
timing, and obtain optimal etching rate while avoiding notching.
It should be noted that the notching effect can be put to good use and help produce
an etch and release process. Actually it has been found [23] that the notching
effect is self limiting and the depth of the notch is roughly equal to the width of the
trench as soon as the trench has an aspect ratio larger than 2 (for smaller aspect
ratio there is no notching effect). In this way, by carefully designing the geometry
of the layout, it is possible to etch the structure and finally obtain anchored or
free structures within the same etching step. This simplifies further the DRIE
fabrication process, and the device can now be operated right after emerging from
the DRIE - without the need for a separate release etch!
The SOI wafer used often in DRIE machining is still expensive and it is possible to obtain the thick silicon structural layer by growing it using epitaxy on
an oxidized wafer. Even more simply, DRIE has been used to etch through the
Si wafer for a dry etched version of bulk micromachining but allowing complete
freedom over layout as there is no more crystallographic orientation concerns. In
this case wafer bonding can be used to provide movable part.
3.6
3.6.1
Other microfabrication techniques

Micro-molding and LIGA
Other methods exist for patterning where no material is removed but where it is
simply molded. LIGA, a German acronym for lithography (LIthographie), electroforming (Galvanoformung), and molding (Abformung) is the mother of these
methods. LIGA makes very high aspect ratio 3-D microstructures with non-silicon
X-ray lithography
Electroforming
Molding
Substrate
X-ray photoresist
Metal
Molded polymer
Figure 3.27: The LIGA process.

materials such as metal, plastic or ceramics using replication or molding. The general view of the LIGA process is shown in Figure 3.27. The process begins with
3.6. OTHER MICROFABRICATION TECHNIQUES
109
X-ray lithography using a synchrotron source (e.g. energy of 2.4 GeV and wavelength of 2
A) to expose a thick layer of X-ray photoresist (e.g. PMMA). Because
of the incredibly small wavelength, diffraction effects are minimized and thick layer
of photoresist can be patterned with sub-micron accuracy. The resist mold is subsequently used for electroforming and metal (e.g. nickel using NiCl2 solution) is
electroplated in the resist mold. After the resist is dissolved, the metal structure
remains. This structure may be the final product but to lower down the costs,
it usually serves as a mold insert for injection molding or hot embossing. The
possibility to replicate hundreds of part with the same insert opens the door to
cheap mass production.
When the sub-micrometer resolution is not much of a concern, pseudo-LIGA processes can be advantageously used. These techniques avoid using the high cost
X-ray source for the mold fabrication by replacing it by the thick photoresist SU8
and a standard UV exposure or even by fabricating a silicon mold using DRIE.
3.6.2
Polymer MEMS
Bulk and surface micromachining can be classified as direct etch method, where
the device pattern is obtained by removing material from the substrate or from
deposited layers. However, etching necessitates the use of lithography, which already includes patterning the photoresist, then why would we want to etch the
lower layer when the pattern is already here? Actually lithography for MEMS
has seen the emergence of ultra-thick photoresist that can be spun up to several
100 m and exposed with a standard mask aligner, providing a quick way to the
production of micro-parts. SU8, a high-density negative photoresist can be spun
in excess of 200 m and allows the fabrication of mechanical parts [24] of good
quality. It is used in many applications ranging from bioMEMS with micro-parts
for tissue scaffold or channels, for example to packaging, where it is used as buffer
layer.
Another application of thick photo-patternable polymer is the fabrication of miD1
D2
r1
r2
500 m
Figure 3.28: Fabrication of microlenses using reflow of polymer.

crolenses as shown in Figure 3.28. After patterning pillars of appropriate diameter
in photoresist, the key process step is to place the wafer at a temperature higher
than the glass transition temperature of the polymer (e.g. 115 for AZ9260 photoresist). The polymer will melt, and due to surface tension forces, will assume a
spherical shape the classical shape of the lens. The interest of this technique is
110
that the continuous profile of the lens, which would have been hard to obtain using
etching method, is obtained here through a fundamental principle of nature, the
minimization of energy in a system, which translates itself in the minimization of
surface energy at this scale. Varying the diameter of the pillar before this so called
reflow process allows obtaining different radius of curvature, that is, different focal
length. Another option would be to change the thickness of the photoresist layer,
as the final shape is mostly determined by the volume of photoresist in the original
pillar. One of the interest of this technology is that polymers usually have better
optical properties than silicon in the visible, and there is a lot of opportunity for
polymer micro-optical elements and system, a domain that is sometimes called
Polymer Optical MEMS or POEMS.
Next to these major techniques, other microfabrication processes exist and keep
emerging. They all have their purpose and advantages and are often used for a
specific application. For example, quartz micromachining is based on anisotropic
wet etching of quartz wafers to take benefit of its stable piezoelectric properties
and build sensors like gyroscopes.
3.7
Characterization
The small dimension of the MEMS makes it hard to properly measure their geometry or observe their operation by simply using rulers or our naked eyes. Accordingly, a large range of specialized tools including some specifically developed for
the MEMS industry, are used for interfacing with the micro-world and measure
geometry, layer thickness, beam motion, materials properties, etc.
We list in Table 3.8 some of the most common measurements tools for the
measurands encountered in MEMS. We note that most measurand can usually be
obtained with different tools, but the tool will usually differ in other characteristics,
as whether it is an area or a point measurement, or a contact or a non-contact
method, etc. For example, measuring surface roughness may be obtained with a
stylus profilometer, which is a contact method working point by point or with an
optical interferometer, which is non contact method and records a complete surface
simultaneously. For a proper choice of the right instrument, additional properties
will often need to be considered and, for example, the optical interferometer will
have difficulty to work with transparent samples and will usually have a smaller
range than a stylus profilometer. Clearly, the ability to work with multiple tools
is important for answering all the challenges of MEMS measurement.
In the following sections we will describe a few of these tools in more details,
but be convinced that good characterization skills will only be acquired with a
knowledge of the capabilities of more tools than what is cited in the table.
3.7. CHARACTERIZATION
Type
Mesurand
in-plane
Geometry
depth
thickness
roughness
Physical
refractive index
resistivity
surface energy
interfacial tension
modulus
composition
111
Tool
Remark
optical microscope, SEM

stylus profilometer, AFM
contact
optical mic., interferometer
non-contact
SEM (SE)
destructive
ellipsometer
dielectric
IR reflectometry
metals
contact
contact
interferometer
non-contact
ellipsometer
multi-layer
four-probe measurement
sessile drop, pendant drop
No
uy ring, Pt plate
nano-indenter, instrom
SEM (EDS), SEM (BSE)
XPS, SIMS, AES, NMR
Chemical
structure
XRD
TEM
Dynamics
vibration
LDV
point meas.
strobed interferometer
area meas.
Table 3.8: MEMS characterizaton techniques and tools.
3.7.1
Light Microscope
The light microscope is ubiquitous in MEMS characterization, letting the microworld come to our sight. It is used repeatedly in the cleanroom at the end of each
process steps for quality control or after fabrication for observing the operation of
the completed MEMS. From the light microscope we have been using for biological sample viewing in 3rd grade to the fluorescent confocal microscope there is a
complete palette of microscopes available for different usage, and for MEMS characterization the most used microscope is called a reflected light infinity corrected
112
compound microscope (Figure 3.29). The compound part just means it uses two
Camera
Relay lens
Ocular
Tube lens
Objective turret
Infinity corrected objective
Sample X/Y stage
Focusing knob
X/Y stage knobs
Transmissive illumination
Figure 3.29: Compound microscope for reflected and transmitted light observation.
sets of lenses for magnifying the sample, the infinity corrected is a cool thing we
will explain latter while the reflected part (as opposed to transmitted light used
for biologic sample microscopy) means that the optical path for observation and
illumination are from the top allowing opaque samples observation which are the
norm in MEMS. Such microscope is a very precise optical component, requiring
high tolerance manufacturing and careful design to obtain all the desired features
for precise characterization.
Although its design details are complex the principle of the compound microscope is simple : the objective forms an enlarged and inverted image of the object
at 160 mm (normalized length) from the objective end and it is this real image
that is observed with the ocular (also called the eyepiece) allowing further enlargement. The imaging light path is shown in Figure 3.30, where we have used the
principal planes to represent the equivalent optical system for each set of thick
113
Figure 3.30: Formation of magnified image in a compound microscope with infinity

corrected objective (ray propagation is shown based on principal planes, not lens
interface).
lenses8 . Actually we represent in the figure an infinity corrected microscope where
the objective lens is used to form an image at infinity (instead of the standard
160 mm) thus requiring that the object is placed in the focal plane of the objective
(fO ). Then we use an additional lens (the tube lens) placed after the objective to
form in its focal plane (fT ) the real image of the object. The space between the objective and the tube lens provides a path of parallel light where optical components
(like polarizers, beam-splitters...) can be inserted or removed without changing
the optical path, maintaining the same observed position on the sample. Finally
the eyepiece object focal plane (fE ) is positioned at the intermediate image plane
for forming an image at infinity. In this case the eye does not need accommodation
(that is, tense or relax the eye lens) and observation will remain comfortable for
long duration.
For MEMS observation, the main parameters of interest in the microscope are:
the magnification, the resolution, the depth of field and the working distance.
Magnification is the parameter describing the apparent enlargement of the object when it is observed through the microscope. It may not be completely
obvious, but the concept describes different things if the image is observed
with the eye through the ocular or observed with a camera.
For an observation through the eyepiece, the magnification is the product
of two terms M = MO ME : one term due to the objective MO and one due
to the eyepiece ME . As the objective (or the combination of the objective
and the tube lens in case of infinitely corrected objective) is producing a
real image in the intermediate plane, the magnification is simply computed
as the ratio between the size of the object and the size of its image (the so
called lateral magnification). As the angular dimension of the object (i.e., the
angle subtended by the object) and of its image are the same (this property
8
The equivalent ray path shown in the figure (using principal planes) is useful for obtaining
the actual position and size of the image but between the object and image conjugate pointsreal
rays would follow a different path and propagate by bending at each lens interface according to
Snell-Descartes law.
114

is directly linked to Snell-Descartes law), it is simple to show that the lateral
magnification of the objective is actually equals to MO = 160 103 /fO the
ratio of the standard distance9 from the objective principal plane to the
intermediate image plane (called the tube length) and the objective focal
length (in the case of infinitely corrected objective we have MO = fT /fO
as shown in Figure 3.30). The magnification of the eyepiece is computed
differently as it is producing a virtual image like a simple magnifier. In this
case we use the concept of angular magnification, the ratio between the angle
that the object subtends if it is placed at 25 cm10 from the eye and the actual
angle subtended by the object when it is magnified. We also note that the
angular dimension of the object is directly linked to the dimension of its
image on the retina, which is given for parallel rays entering the eyes by
l = 22mm where 22 mm is the focal length of the eye. Again it is simple
to show that this definition is equivalent to saying that ME = 250mm/fE .
Finally, the angular magnification of the microscope can be given by:
160 103 250 103
for classical microscope
fO
fE
fT 250 103
M=
for infinitely corrected microscope
fO
fE
M=
(3.3)
(3.4)
We note that the objective is inverting the image and the eyepiece isnt
changing orientation (magnification is positive) thus the final image should
be inverted. However, the prisms placed before the eyepiece that can be seen
in Figure 3.29 ensure by using folded reflection that the actual image is erect.
The magnification is changed by rotating the turret and selecting an objective with a higher or lower magnification. Interestingly, although we change
the focal length (hence their magnification), the objective are designed so
that even for objective corrected for finite tube length, the position of the
intermediate image does not change, a fact known as parfocality. In practice, there is little reference to focal length on objectives and oculars and
the lateral magnification is directly labeled on the objective (common value
are 2, 5, 10, 20, 40, 100) while the angular magnification of the
eyepiece is commonly written as 10 or 20.
When we use a camera we need to form a real image on its photosensitive
sensor, thus we can not use the ocular (it produces a virtual image) but
should place the sensor directly after the objective. The issue with this simple configuration is that the camera can not be placed in the intermediate
image plane inside the microscope (Figure 3.29) but can only be placed further away outside of the microscope. Accordingly the object would have
9
A few manufacturers do not use this standard length of 160 mm.

This reference distance of 25 cm corresponds to the minimum distance where normal
unaided eye can focus.
10
115
to be moved using the focusing knob to change the position of the intermediate image and focus the image through the objective directly on the sensor.
However this is not very practical because if we switch back to visual observation through the eyepiece the intermediate image wont be in focus and
the focusing knob would have to be used again11 . The modern microscope
solves this problem by using an additional relay lens (Figure 3.29) forming
a real image of the intermediate image on the camera sensor. This lens is
normally placed so that the magnified intermediate image fills the camera
sensor and, depending on its format the magnification is normally between
0.5 and 1.25. The magnification of the microscope is then simply equal
to the lateral magnification of the objective multiplied by the relay lens magnification. Note that because we use two lenses with negative magnification,
the resulting image will be erect. Actually here we only considered the optical magnification, but when we use a camera, we may also want to consider
the electronic magnification: for optimal magnification, a pixel on the image will be a magnified view of one sensitive element on the camera. For
visual observation this factor can be obtained by simply taking the ratio of
the image dimension on the screen with the camera sensor dimension. For
example, for an image that comes from a camera with a 1 sensor (with an
actual diagonal of 16 mm) filling completely a 17 (or 43 cm) screen, the
electronic magnification is 430/16 27. Note that the format of the sensors labeled as 1/3, 1/2, 2/3 or 1, does not directly translate to actual
dimension and we would need to refer to Table 3.9 The total visual magniFormat
Diagonal length
Length
Height
1/3
4.8
3.6
1/2
6.4
4.8
2/3
11
8.8
6.6
16
12.8
9.6
Table 3.9: Camera sensor size.

fication will be the product of the optical magnification and the electronic
magnification. In general, as the exact magnification factor is not easy to
come by, the software used for microscope image processing will allow using
a calibration procedure. In this case an object of known dimension is first
placed under the objective and measured (in pixels), then the software will
apply the same scaling factor in m/pixel to all the images recorded with
11
Additionally, and more importantly, the objective will correct optical aberrations for a particular distance between the object and the image change this distance and some aberration
will crop up again.
116

the same objective. Normally when we change objective, the scaling is just
multiplied by the ratio between the reference objective magnification and the
current objective magnification, as the electronic magnification will remain
the same, but some slight adjustment may require a new calibration.
Resolution is also called the resolving power of the microscope and gives the
shortest distance between two points on a specimen that can still be resolved. The resolution depends ultimately on physics, and more specifically
on diffraction law.
We note that the resolving power does not describes the ability to observe
small structure, but the capability to resolve between two neighboring points
or observe detailed features. The difference is of importance, and, for example, nanoparticle below 50 nm that disperse enough light can still be observed (that is, we see there is a halo, but can not really tell its details
and only guess that the particle stays at the center of the halo) with a light
microscope.
The possibility to correct the optical aberration of objectives has tremendously improved since the apparition of simulation software. Nowadays,
most optical system are mostly limited by the diffraction effect and no more
by spherical or other aberration. Diffraction by the microscope objective
acting as the entrance pupil of the microscope can be simply considered as
a problem of diffraction by a circular aperture in the far field - with infinity
corrected objective we observe at infinity - and we can use the simplified
model of Fraunhofer diffraction (cf. Appendix F)12 . This means that the
image of a point object observed by the objective and formed by the tube
lens in an infinitely corrected microscope is not a point, but an Airy disk.
Then we may define criterion for resolution, based on whether the Airy disk
produced by two neighbouring points can be distinguished or not. The meaning of distinguished is subject to debate and one of the earliest criterion
has been postulated by Lord Rayleigh: two points of the same size can be
distinguished if the center of the two resulting Airy disks is separated by a
distance equal to the diameter of the Airy disk (Figure 3.31-c). Another way
to look at this criterion, and what makes its simplicity, is to say that the
maximum of the Airy disk should be located at the first zero of the other
Airy pattern. According to Rayleighs criterion we may obtain the resolving
power of the objective using the formulas derived in Appendix F as :
xminR = 1.22
fO
D
where D = 2a is the diameter of the objective entrance pupil and fO its focal
length.
12
Actually it is an approximation as the far-field hypothesis is not entirely verified here: the
observation plane is indeed far but the wave from the very close object striking the objective
aperture is not plane.
(a)
(b)
117
(c)
(d)
Figure 3.31: Resolving two neighbouring punctual objects having the same Airy
disk (a) not resolved (b) barely resolved according to Sparrows rule (c) barely
resolved according to Rayleighs rule (d) resolved.
The Rayleighs criterion is not the only one possible and other, less stringent
ones, have been proposed like the Sparrows rule which is particularly representative of what is actually observed with a telescope. Here the idea is to
say that two points can not be resolved anymore when the dip between the
two maximums disappears and we get a flat topped signal (Figure 3.31-b).
In this case the limit is slightly improved and we get :
xminS = 0.96
fO
D
Of course the approximation we made for modeling the objective diffraction

(remember we dont really have Fraunhofer diffraction after all), does not
make the 25% improvement really meaningful, and a rule of thumb that the
resolution is of the order of
xmin
fO
D
is more than enough.

It is interesting to note that, in a way, if we include the eye in the system, the
overall resolution rapidly stops increasing with magnification. Actually, the
angular resolution limit of the eye is given in many document as 1 angle and
its focal length at about 22 mm, corresponding to an image of roughly 6 m
on the retina about the size of the light sensitive elements there. Thus
for an objective resolving power of about 300 nm we already get the 6 m
limit with a mean 30 magnification ! The actual resolution of a normal
eye may be 2 to 3 times lower (2 or 3), thus we may expect that in reality
magnification up to 100 still induce an improvement. Still, we should not
deduce that larger magnification is useless (it is relatively easy to obtain with
a microscope 500 or 1000) because a larger magnification will allow more
118

comfortable observation, and the Airy disk of the points observed through
the microscope will be imaged on a group of eye sensitive elements, getting
an improved resolution by allowing to resolve the detail of this disk. The
same things happens with a camera. As soon as the magnification produces
an Airy disk of the objective matching with the size of the camera pixel, a
further increase in magnification will only increase the resolution by allowing
sub-sampling of the Airy disk profile.
Depth of field is the number describing the longitudinal resolving power (axial resolution along the focus direction) as opposed to the lateral resolving
power, just described. Actually, for an infinity corrected microscope, a flat
object placed in the objective focal plane fO will be perfectly imaged in the
intermediate image plane. However if the object is offset and placed slightly
above or below fO , its image wont be right at the intermediate image plane
but slightly before or after. Thus in the intermediate image plane which is
observed through the ocular (or by the relay lens), this last object would
appear slightly blurred. The depth of field gives an estimate of how much
offset can be tolerated before the image is too blurred.
This effect has two main contributors (neglecting again aberrations) a geometrical effect and the diffraction due to wave optics. The geometrical effect
can be obtained by first observing that for an object on the optical axis there
is a region symmetrical around the image plane where the image of a punctual object will give a disk with a diameter smaller than . If is small (on
the order of the diffraction effect), this geometrical blur can be ignored and
for practical purpose we would consider that the object is on focus. Then,
the depth of field (DOF) is actually the range where the object can be placed
in front of the objective and still yield an image in this zone of acceptable
blur (Figure3.32). We note that this region is not symmetrical around the
nominal focal plane in front of the objective but is longer before it than
after. The diagram in the figure allows after some calculation and simDOF
Nominal
object position
Intermediate
image plane
Figure 3.32: Depth of field due to geometrical effect.

plification to obtain a relatively simple expression for the DOF. Similarly,
the wave optics effect can be obtained by considering the diffraction in more
details and after combining the two expressions obtained for each source we
119
find :
DOF = n
D
2f0
n D
MO 2f0
where n is the index of refraction in front of the objective and MO the

lateral magnification of the microscope objective. For high D/fO ratio (and
magnification MO ) of the microscope, depth of field is determined primarily
by wave optics (first term of the equation), while at lower value of D/fO
ratio, the geometrical effect (second term) dominates the phenomenon.
Numerical Aperture is a critical value that indicates the light gathering power
of the objective. The numerical aperture (Figure 3.33) is defined by :
NA = n sin
where n is the index of refraction of the medium at the lens entrance and
the incidence angle of the most extreme ray that will be accepted by the
entrance lens without hitting a stop somewhere down the optical system. Interestingly we note that from Snell-Descartes law, this quantity is invariant
across all interfaces in the optical system, thus it wont change if a parallel side glass plate is placed in front of the objective or if the objective
is immersed in a liquid. For a microscope objective, the numerical aper-
Figure 3.33: Numerical aperture NA and relative aperture f/#.

ture is directly related to a quantity known to photographers: the relative
aperture, also called the f-number f/#. This second variable also revels the
light gathering capability of an optical system by saying that this ability is
proportional to the entrance aperture (pupil) surface, thus proportional to
D2 , and inversely proportional to the size of the image in the focal plane,
thus proportional to 1/f 2 . Then the light gathering power is proportional to
D2 /f 2 = (D/f )2 . In practice people had more use for the light stopping
property, that is the opposite of the light gathering ability, and for describing this property we thus use the quantity f /D, the relative aperture. For
example a lens of aperture 3 mm with a focal length of 6 mm will have a
relative aperture of f /D = 6/3 = 2, which is curiously noted f/2 - the fnumber. Actually photographs know too well that when one increases the
120

aperture by one stop one is dividing the quantity of light hitting the film
or the sensor by a factor of 2 actually the standard series of f-number for
camera
objective diaphragm is 1, 1.4, 2, 2.8, 4, 5.6, etc and we have a ratio
of 2 between two consecutive stops in the series, explaining the factor of
2
2= 2 .
In the case of microscope objective it is striking to see the close relationship
between f/# and NA. Actually by looking at Figure 3.33, we see that for
small angle we have Df thus f/# 1/. In the case of n = 1 (objective is
placed in air) we have NA sin the latter approximation being valid
for small angle. As = 2 is the solid angle of the cone of accepted rays
in the optical system, we see that f/# 1/(2NA), the f-number is inversely
proportional to NA.
What makes NA interesting is that it non only directly determines the light
gathering power but also the resolving power, and the depth of focus of the
objective. By replacing in the previously derived equations D/2fO by NA
we find the dependency shown in Table 3.10. That means, for example, that
Parameter
Expression
NA2
Light gathering
Resolving power
Depth of field (diffraction)
Improves with
xmin
n
NA2
2NA
NA
1/NA2
Table 3.10: Influence of numerical aperture on main microscope characteristics.

the larger the numerical aperture of the objective is, the smaller its depth of
field and the larger its resolving power will be.
Working distance is the distance that is existing between the end of the microscope objective and the sample as shown in the inset.
In general this distance decreases rapidly with the focal
length and the numerical aperture of the objective, and
if standard 10 objective have a comfortable working distance of about 10 mm, the 100 can only boast a meager 0.5 mm or less. This short distance poses problem for
MEMS characterization as the probe used to power the
device will easily interfere with the microscope objective. WD
Luckily, for infinity corrected objective this distance is normally larger and the manufacturers have developed special
long working distance objective (LWD) particularly useful for MEMS application.
However, the objective still requires a large NA for maintaining the high
121
resolution and this conundrum can only be solved by using large lens for the
objective input lens, upping their price by a factor of 10 when compared to
classical objectives. Some brand like Mitutoyo are proposing 10 objective
with a working distance of 33 mm and 100 exceeding 6 mm while keeping
NA = 0.7.
As we see on the inset, many information are written on the
objective barrel: the type of objective, usually reflecting the correction of chromatic aberration (best is Apochromat corrected for
4 wavelengths, less good is Achromat corrected for 2 wavelength)
and of field-curvature aberration (Plan means that the focal plane
is a plane the best for a camera sensor instead of a sphere
section), the magnification (for example 60) followed by the numerical aperture (for example 0.5), the tube length in mm (
means infinity corrected objective, other value is 160 for standard
160 mm tube length) followed by the thickness in mm of the glass slide placed
between the lens and the sample for which the objective is corrected (usually 0.17
for the 0.17 mm thick coverslip used for biological sample, and a - when there is
no such correction as is usually the case for MEMS observation) and sometimes at
the bottom, the working distance in mm. Unfortunately different manufacturers
use different arrangement and sometimes, written figures become ambiguous (e.g.,
is 0.17 the NA or the glass slide thickness ?).
The microscope subject is much richer than this short section exposes and for
example we did not discuss the problem of illumination, including the possibility
to use dark-field microscope for reveling small details on a flat surface. However,
we shall finish the topic by noticing that we may beat the diffraction limit in an
original way by using for imaging a very small aperture scanned very close to the
sample instead of a lens. The short distance prevents diffraction effect to appear
and the resolution becomes roughly equal to the aperture diameter - which can
be down to 50 nm. With this so called Scanning Near-field Optical Microscope
(SNOM) we need to scan line by line the object and record each points of the
surface independently and sequentially, instead of the parallel way used for imaging
with traditional light microscope. Even if it is slower and if its extremely short
depth of focus is not easy to manage, the SNOM remains an optical microscope
and as such renders important services for high resolution measurement of material
optical properties.
3.7.2
SEM (Scanning Electron Microscope)
The scanning electron microscope (SEM) is the workhorse of 3D micro-characterization. Not only does it give hard to match resolution for geometry measurement
(down to 1 nm), but also allows finding material composition or morphology. The
SEM magic starts at the top of the vacuumed instrument column where electrons
are produced (the so-called primary electrons PE), accelerated and shaped in a
122
beam before they are focused and scanned on the surface of the sample. Actually
the SEM is part of the scanned microscopy (like the SNOM just described) where
imaging is obtained point by point by progressively exploring the surface of the
object using raster (succession of line) scanning. Here at the impinging point, the
interaction between the primary electrons and the sample results in the generation
of different signals that are measured with multiple detectors schematically shown
in Figure 3.34.
Electron source
Condenser coils
Electron beam (PE)
Aperture
Scanning coils
Focusing
electrodes
X-Ray
detector
Electron (BSE)
detector
Electron (SE)
detector
Figure 3.34: Simplified schematic of a typical scanning electron microscope.

The signals comes from different depth in the sample (from 10 nm to a few
m), depending on the energy (or speed) of the primary electrons (from 200 eV to
30 keV) and on the type of interaction (Figure 3.35):
Secondary Electron Imaging uses the secondary electrons (SE) that are produced near the surface (<50 nm) of the sample where impinging electron are
able to free electrons from the atoms shell, without them being recaptured.
The number of electrons generated depends mostly on the topography of the
image, with sharp slope being illuminated by a large number of electrons giving off more SE than flat surface. Actually the image retrieved in this mode
are relatively simple to interpret (brighter is sloppier and darker is flatter)
and because of the shallow interaction zone present the largest resolution
that can exceed 1 nm.
Back Scattered Electron Imaging uses the back-scattered electrons (BSE) that
are produced in a larger volume (1-2 m) below the surface when the primary
electrons recoil as they interact with the atoms. In this case the number of
123
electrons returned depends directly on the atomic number of the element,

the larger the Z number (heavier element) the brighter the image. This mode
allows for comparative measurement of the composition of the sample where
composition variation below 1% and down to a resolution of 10 nm can be
resolved.
X-Ray Spectroscopy uses the X-rays that are produced when vacancy appearing in the inner shells of the atoms are filled. They originate from an even
bigger volume (2-5 m), thus with an even lower resolution, and the most
common technique to study them is the energy dispersive X-ray spectroscopy
(EDS). EDS allows for detecting qualitatively and sometimes quantitatively
the atoms present in the sample for all elements between Boron and Uranium,
the lighter elements presenting insufficient X-tray signature.
PE
BSE
SE
X-Ray
TE
Figure 3.35: Interaction of electron with matter, showing primary electron beam
(PE) with resulting backscattered electrons (BSE), secondary electrons (SE),
transmitted electrons (TE) and X-rays.
Actually, we also show in Figure 3.35 that if the sample is thin enough (<
100 nm) and if we use higher energy beam (100 keV) transmitted electrons (TE)
pass through the sample. By adding a detector below the sample we get measurement linked to absorption inside the material and we talk then of scanning transmission electron microscopy (STEM). However, the special configuration required
for these measurement are best done inside a transmission electron microscope
(TEM), which does not use scanning but projection and imaging for characterizing the sample. In this case, by using ultra-thin samples (a few nm) it is even
124
possible to reach an ultimate resolution well below the nm and see individual
atoms, revealing the atomic structure of the sample13 .
The resolution of the SEM is directly linked to the size of the spot where the
electrons can be focused and also on the interaction volume (cf. Figure 3.35).
Contrary to the optical microscope, the diameter of the focused spot is not limited
by diffraction effects. Actually the De Broglies wavelength of an electron at 30 keV
is given by =
h/p where the momentum p is actually obtained from the kinetic
energy as p = 2Em, resulting in a value of... e = 7 pm, that is 0.007 nm.
Even if the beam energy is 100 times smaller, the influence of diffraction (aperture
would be 10s of m at least) can clearly be neglected. Thus in the SEM case,
the spot size is still linked to the aberration of the electron optics (the coils, the
electrostatic lens, etc), and is far from being diffraction limited. Currently the
highest resolution claimed by manufacturer is below 1 nm and in some extreme
case close to 1
A.
The main techniques for obtaining a better resolution would be to decrease the
diameter of the aperture in the column (Figure 3.34) and to bring the sample closer
to the column end. Both techniques reduces the number of stray electrons blurring
the image and are also an effective means to lessen electron lens aberration. Of
course, in the first case, that means having a lower current reaching the sample
and thus darker images, but with modern detector it is usually not so much of an
issue. These techniques aim at decreasing the SEM spot size, but it is also possible
to decrease the interaction volume by lowering the velocity of the electrons and
working with lower beam energy. Ultimately using in the focusing section of the
column additional elements for performing beam deceleration can decrease the
energy of the electrons hitting the sample to about 50 eV, giving interaction depth
as small as a few nm for secondary emission.
Another feature that differentiates the SEM is that it presents a very large
depth of field, 10 to 100 times larger than what is typical with an optical microscope. Actually, for practical reason (focusing electrons is more complicated than
photons), the NA of the focusing column is very small for example, compare the
length of a SEM column to the frontal distance of a microscope and thus the
illuminating beam has a very small divergence, keeping its diameter constant over
a rather large distance, and hence the resolution of the SEM14 .
An annoying feature of the conventional SEM, which operates in high vacuum,
is that the specimen has to be electrically conductive or has to be coated with
a thin conductive layer (e.g., carbon, Au), which is usually done inside a small
sputter placed close to the tool. This avoids negative charge build-up on dielectric
sample (electron get trapped in defect) that would finally prevent primary elec13
There are more signals coming from the electron excited sample, like the Auger electron
studied with Auger electron spectroscopy (AES) or the photons from cathodaluminescence, that
can be used for sample analysis, but fall beyond the scope of this short introduction.
14
We may note that the term depth of field is inappropriate here as we dont use the electron
for imaging (except in the TEM), but only for very local illumination of the sample and then
look in many direction what comes out of it.
125
trons to reach the surface, quickly decreasing image quality.

If reaching an ultimate resolution is not the main issue, the environmental scanning electron microscope (ESEM) circumvent this problem by proposing different
vacuum modes besides the high vacuum. Actually instead of working in vacuum,
the ESEM works with controllable pressure inside the chamber, while using a special pumping scheme for maintaining high enough vacuum in the SEM column.
The presence of gas in the chamber absorbs the electron fast, thus the distance
between the column and the sample has to be decreased and a new electron detector had to be designed for detecting the SE and BSE, but this does not affect
significantly the resolution of the SEM. In the other hand, the gas atoms ionized in
the chamber do a good job at neutralizing the electrons on the surface, completely
removing the issue with charging effect on non-conductive samples that do not
require metal deposition anymore. The possibility to have a high enough pressure
in the chamber even allows for probing wet samples, if not at room temperature
at least by cooling it to decrease their water vapour pressure.
The large depth of field of the SEM is very interesting for imaging large MEMS
with a relatively high resolution, which is unpractical with a standard microscope,
and thus the main use of SEM will be for surface geometry observation and measurement. The observation is facilitated by using a sample holder with multiple
rotation and translation axes (Figure 3.34), and then the depth may be estimated
by rotating the sample holder by 90and looking to the sample sideways. However, accurate measurement can only be obtained by first sectioning the sample
and looking perpendicular to the exposed surface, avoiding the projection angle
distortion appearing with glancing observation.
Most SEM tools have a signal port allowing to power or control MEMS from outside the chamber allowing to test MEMS in operation. Still, applying electrical
field inside the device will inevitably affect the electron path and may create artifact that may be hard to overcome, and when it is possible it is good to avoid
large electrodes with high voltage and thus favor thermal actuator over electrostatic ones.
The EDS capability of the SEM is also very convenient to analyze locally the
composition of materials and is useful for developing new material or checking the
composition of unknown residue after processing.
3.7.3
Contact probe profilometry
The contact probe profilometry is a family of tools that are used for measuring
surface profile by simply measuring the vertical displacement of a sharp tip that
is scanned on the sample surface (Figure 3.36). The method is basically a line
measurement method, but it can be used for surface measurement by repeating
line scan in a raster like manner.
The stylus profilometer is the oldest of these tools, where a sharp metal tip is
pressed against the surface and scanned while its vertical movement is recorded
using magnetic sensing (LVDT). The user has only to set the sampling length
126
Figure 3.36: General principle of a contact-probe profilometer.

(the distance of the measurement on the sample), the number of sampling points
and the range of expected vertical motion, setting the vertical resolution of the
measurement. In this way we easily get the profile of the surface, as shown in
Figure 3.37, and by computing, for example, the height difference at points 1 and
3 we easily measure pit depth with high accuracy. However, it should be noted that
important artifacts appear with the stylus profilometer when one tries to measure
steep profiles: if the slope of the profile is steeper than the tip of the profilometer
we cant record the surface profile.
Actually, a zoomed view of typical tips is shown in the inset,
where we can see the rounded tip with varying radius of curvature
90
(commonly 2 m, 5 m or 10 m) and varying cone angles (norR1
mally 60 but 90 tip can also be found). We understand then why
60
in Figure 3.37 at point 2 the slope profile is accurately measured,
whereas at point 4 the slope is incorrectly recorded (actually we
R2
measure the tip slope) and at point 5 the narrowness of the hole
makes the depth measurement wrong. To overcome this issue one may use sharper
tip, but no tip is infinitely sharp and this limitation will always remain when high
frequency corrugation appears on the sample surface. Another artifact that is often observed with stylus profilometry is that measuring a bump or a hole profile
from left-to-right or from right-to-left does not give the same profile. Actually the
tip support has a tendency to bend when the tip goes up, changing the actual
position of the tip and skewing the measured profile. For uncovering this effect
we may scan the same feature from both directions and verify if the measured
profile are the same. Finally, it should be noted that the tip is pressing over the
sample surface with a force that is in the mN range, potentially leading to local
deformation. This may affect substantially the recorded profile of soft materials
like polymer.
A derivative of this tool is the atomic force microscope (AFM), where the tip is
127
Figure 3.37: Measurement and artifacts with stylus profilometer.

mounted on a very soft cantilever whose deformation is measured with an optical
lever method. The high precision of the method allows measurement with high
accuracy easily reaching sub 0.1 nm resolution while lowering the contact force,
avoiding deformation or damage of sample surface. Moreover AFM are usually
fitted with piezo-electric actuators for X-Y scanning, allowing accurate in-plane
measurement with sub-nm resolution, compounded by the fact that the bending
support problem described above for stylus profilometer is controlled here. Of
course, the actuators limit the achievable range of in-plane scanning that usually
do not exceed 1 mm.
The contact type of measurement used by these tools implies that it is simple to
interpret and it has become the reference tool for checking thin-film thickness after
deposition. Of course this requires to create a step at a film edge for measuring
and the trick here is to mask a part of the substrate with kapton tape or a drop
of photoresist, make the deposition, and then lift-off the material atop the tape
(lift the tape) or the photoresist (dissolve it in acetone), leaving a clear step at its
edge.
The surface profile measured allows simple computation of many surface parameters like roughness, waviness or higher order parameters. Actually a surface
profile can be considered has being a combination of undulations of different frequencies it is after all a single variable signal, using spatial (x) coordinate instead
of the usual time variable t, where Fourier transform can be applied to get (spatial)
frequency spectrum. The high frequency part is commonly called the roughness,
while the mid-frequency range is the waviness. The measurement with a finite dimension tip appears as a low-pass filtering of the surface profile15 , smoothing the
recorded profile of the sample. A common parameter for evaluating roughness,
Ra, is the arithmetic mean of the roughness profile
Ra =
15
1
l
|z(x) z|dx
0
More precisely it is a convolution of the sample and the tip profiles.
128

l
where l is the sampling length and z = 1l 0 z(x)dx the average profile height. We
need to understand that there is no unique value of this parameter, as a surface is
mostly fractal, and using sharper and sharper tip will reveal more peak and valley.
Thus the roughness is measured for a certain application dictating the useful range
of spatial frequencies, and choosing the appropriate tool and data processing for
achieving this goal. The high frequency cut-off (or low wavelength cut-off) is given
by the tip radius and by the sampling period. Actually we can consider that the
radius of curvature of the tip gives a mechanical cut-off wavelength of about
the same value as such a tip of 2 m radius will allow to measure down to a
wavelength of 2 m (or a spatial frequency of 0.5 m1 ). The sampling period
obtained by dividing the sampling length by the number of sampling points gives
rise to a cut-off wavelength which according to Nyquist theorem is at about twice
its length. In practice, for recording roughness profile we would oversample the
surface and use a sampling length about 1/6th of the desired cut-off wavelength.
For example, for obtaining a cut-off only limited by the mechanical cut-off with
a tip radius of 2 m thus resulting in a low wavelength cut-off of about 2 m, we
should sample the surface every 0.35 m. At the other side of the spectrum, the
high wavelength cut-off (or low frequency cut-off) will be given by the sampling
length, and usually we would use 0.5 mm or so (i.e., spatial frequency of 2 mm1 ).
PROBLEMS
129
Problems
1. Plot using polar coordinate the Youngs modulus variation w.r.t. to direction
in the top surface plane for a < 110 > Silicon wafer in a way similar to what
was done for < 100 > and < 111 >-cut wafers in the inset p. 71.
2. An optical telecommunication devices manufacturer wants to use microfabrication to produce V-groove for holding optical fiber. The process that he
most likely use is:
silicon substrate, photoresist mask and HF etchant
glass substrate, chromium mask and RIE etching with SF6
silicon substrate, silicon nitride (Si3 N4 ) mask and KOH etchant
silicon substrate, silicon dioxide (SiO2 ) mask and HF etchant
Draw a cut-out view of all the different processes proposed before making
your choice
3. A mask has the pattern of Figure 3.38(a). Which photoresist and pattern
transfer technique could be used to pattern a thin film (in black) as shown
in Figure 3.38(b)?
(a) Mask pattern
(b) Film pattern
Figure 3.38: Mask and film pattern.

positive photoresist and lift-off
negative photoresist and wet etching
positive photoresist and RIE etching
negative photoresist and lift-off
4. A circular hole in silicon is closed by growing oxide. The hole has a diameter
of 2 m.
(a) Approximate the Deal and Groves equation when t is much larger than
and A2 /4B (long duration approximation).
(b) How long will it take to close the hole if the long duration oxidation is
performed at 1100 in wet O2 ? (Note: we have B = 0.51 m2 /h at
1100)
130

Wafers
Shutter
Material
V1
Crucible
V2
Vent
V3
Roughing
pump
Diff.
pump
Backing
pump
Figure 3.39: Evaporation system schematic.

5. An old evaporation system is schematically represented in Figure 3.39.
(a) The wafers are not placed in the same plane in the chamber. Justify
their position using simple geometric argument.
(b) Suppose the chamber is originally under vacuum. Detail the sequence of
operation needed to introduce the sample and prepare for evaporation
(detail particularly the operation of the 3 valves).
(c) It is possible to make the vacuum system simpler by removing one
of the pumps. Propose a new structure adding pipes and valves as
needed and detail again the new sequence of operation to prepare for
an evaporation.
6. Suggest a complete microfabrication process that can be used to fabricate
the channel shown in Figure 3.40.
SiO2
Poly-Si
Channel
Glass
Figure 3.40: Sealed micro-channel on glass.

7. We consider the structure of Figure 3.41.
(a) Propose a complete process based on KOH etching that could be used
to produce the structure.
(b) Justify the use of a sandwich of SiO2 and Si3 N4 . Could the two layers
order be inverted?
PROBLEMS
131
Membrane
Silicon
Doped silicon
SiO2
Si3N4
Figure 3.41: Membrane obtained by KOH etching.
132
Chapter 4
MEMS technology
4.1
MEMS system partitioning
At the early stage of MEMS design an important question to be answered will

be: hybrid or monolithic? Actually the decision to integrate the MEMS directly
with its electronics or to build two separate chips has a tremendous impact on the
complete design process. Most MEMS observer will advocate the use of separate
chips and only in the case of a definite advantage (performance, size, cost) should
a MEMS be integrated together with its electronics. From past industry examples,
Figure 4.1: Hybrid integration in a pressure sensor (Courtesy Sensonor AS - An

Infineon Technologies Company).
only a handful of companies, like Analog Device for its range of accelerometer or
Motorola for its pressure sensors, have promoted the integrated process - and all
are big companies having market reaching millions of chips. The hybrid approach
in the other hand is used by many more companies on the market. For example
Figure 4.1 shows a hybrid solution from Sensonor, the pressure sensor SP15. The
MEMS chip on the left is connected to the ASIC on the right using tiny wire
and both are mounted in a metal frame before encapsulation in the same package.
The advantage of this solution, dubbed system in the package (SIP), is that both
133
134
CHAPTER 4. MEMS TECHNOLOGY
chips can use the best process without compromise and may achieve a better overall
yield. However compactness and reliability suffers from the additional elements
and the packaging becomes slightly more complicated. Moreover, the electronic is
somewhat further from the sensing element and the tiny wires used for connection
may introduce additional noise if the signal is small. It is this last argument that
has pushed AD to develop its fully integrated accelerometer range, the iMEMS.
IC chip
MEMS chip
Figure 4.2: Flip-chip assembly of an IC chip on a MEMS chip.
More recently an intermediate solution has emerged that tries to reconcile

both approaches: the flip-chip integration. In that case, shown in Figure 4.2, the
electronics chip and the MEMS chip are interconnected using small solder balls
that allows very tight assembly between them, with connection lead only a few
m long. This technique is very interesting, but it remains more expensive to use
and has the drawback to hide the MEMS chip surface, preventing its inspection
or open use.
Actually, an interesting way to split the different sub-systems entering in the
design of MEMS is to consider separately passive and active structures:
Passive structures are used to support, guide, channel, etc providing indispensable building blocks for the realization of complete systems. Their main
role is to transport energy within the system.
Active structures (or transducers) are at the core of actuator and sensor
operation. Fundamentally there role is to allow a certain form of energy
transfer between the environment and the system.
4.2. PASSIVE STRUCTURES
4.2
4.2.1
135
Passive structures
Mechanical structures
Most MEMS required the development of special micro-mechanical elements to

achieve standard mechanical functionalities as linkage, spring, articulation, etc.
The spring, because traditional microfabrication of coiled springs is generally
to complex to be considered, has seen many original developments based on the
elastic properties of beams.
Actually the elasticity of a simple beam is well known[9],
Z
and for a beam submitted to a pure internal1 transverse
z
y(z)
F
bending moment M the deflection y(z) is governed by:
Y
d2 y
M
=
2
dz
EI
(4.1)
with E the Youngs modulus for the material of the beam and I
the second moment of inertia for the beam cross-section, which is
w F
given by I =
x2 dA = wh3 /12 for a beam with a rectangular h
cross-section as shown in the inset.
x
y
For the cantilever of the inset submitted to a point load normal
to the surface at its end, the moment is simply M (z) = F (L z) and the beam
equation becomes :
F
d2 y
= (L z)
2
dz
EI
we integrate twice w.r.t. z the equation and obtain:
y=
F 1 2 1 3
( Lz z + Az + B)
EI 2
6
Considering the boundary conditions at z = 0 :

deflection is null y(0) = 0, thus B = 0
slope is null
dy
dz z=0
= 0, thus A = 0
giving finally
y=
F
EI
L 2 1 3
z z
2
6
F z2
(3L z)
6EI
The deflection at the end of the beam where the force is applied is thus
y(L) =
F L3
3EI
giving an equivalent spring constant :

k=
F
3EI
= 3
y(L)
L
136
L
y
L
F
Figure 4.3: Beams with different boundary conditions (cantilever, clamped-guided

beam, clamped-clamped beam) in bending.
Type
Deflection
Cantilever
Clamped-guided beam
y=
y=
Clamped-clamped beam y =
F z2
(3L
6EI
Max Defl.
Spring
constant
z)
y(L) =
F L3
3EI
3EI
L3
2z 3 )
y(L) =
F L3
12EI
12EI
L3
F
(3Lz 2
12EI
F
(12Lz 2
192EI
16z 3 )
F L3
192EI
y(L/2) =
192EI
L3
Table 4.1: Characteristics of beams in bending.

We list in Table 4.1 the deflection when a point force is applied on the beam for
different cases detailed in Figure 4.3. We also add the expression of an equivalent
spring constant, corresponding to the deflection at the point of application of
the force divided by the force. This parameter is useful for simple 1D lumped
parameter modeling, where the beam is considered to be an ideal unidirectional
spring.
But of course these beams are not enough and need usually to be combined
together for forming suspension with added flexibility. Actually for choosing a
suspension there are usually four main characteristics to watch: the spring constant
in the direction of use, the compliance in the other directions (it needs to be low to
keep the motion in the desired direction), the tolerance toward internal stress (long
beam may buckle during fabrication) and the linearity during large deformation.
There is of course a trade-off to be observed and different designs have been pursued
(Figure 4.4) which have the characteristics shown in Table 4.2. As we see here,
Type
Compliance
Buckling
Linearity
clamped-clamped
++
crab-leg
controllable
folded-beam
Table 4.2: Comparison of typical MEMS suspensions.

the folded beam suspension is versatile and particularly suitable for process where
1
The internal moment is exactly balanced by an externally applied moment of opposite sign.
137
shuttle
anchor
shin
clamped-clamped
thigh
crab-leg
folded-beam
truss
Figure 4.4: Layout of different type of suspension.

there is a risk of buckling (it will stand large internal stress, as those appearing in
surface micromachining) but other designs may be suitable with other processes.
For example a clamped-clamped beam could be preferred in process with little or
no internal stress like DRIE micromachining where structure is etched in bulk Si
wafer, as it would allow building more compact suspension.
In the case of suspension made of multiple beams the computation of the spring
constant may be complicated but often existing symmetries allow to decompose
the suspension into elementary beams connected in series and in parallel. For two
beam connected in series, the equivalent spring constant is simply the sum of the
two beams spring constants whereas if the two beams are in series, the resulting
spring constant is the inverse of the sum of the inverse of the spring constants - in
fact the spring constant behaves in a similar way as capacitor in electronic circuit.
for example, a clamped-clamped beam can be seen as two clamped-guided beams
of half length in series, while a clamped-guided beam can also be decomposed in
two cantilevers of half length connected in series. Accordingly, the spring constant
of the clamped-clamped beam and the clamped-guided beam are, respectively,
1/(4 1/(1/4)3 ) = 64 times (i.e., 4 cantilevers of length L/4 in series) and 1/(2
1/(1/2)3 ) = 4 times (i.e., 2 cantilevers of length L/2 in series) the cantilever spring
constant, as indicated in Table 4.1.
Of course the force on the beam is not always concentrated and in some application, particularly in fluidic application, the beam is subject to a uniform line
pressure, q, in N/m. In that case it is less relevant to define an equivalent spring
constant (we note, still, the force on the beam is qL) but the deflection can still be
obtained and is given in Table 4.3 corresponding to the cases shown in Figure 4.5.
In addition to beams, MEMS often uses membranes or diaphragms, that is
plates with thickness at most 20% of their width, for which the behaviour equations
are usually more complicated. We give here the simpler case of small deflection
for round and square membranes clamped at the edge (Figure 4.6)2 . These cases
2
In order to remain linear, diaphragms are limited to deflection of about 30% of their thickness
t and in that case experience only tensile stress. Membranes allows large deflection - yC /t > 5 -
138
L
y
L
q
Figure 4.5: Beams under pressure.

Type
Deflection
Cantilever
y=
Clampedclamped beam
y=
qz 2
(z 2
24EI
qz 2
(z 2
24EI
Max deflection
qL4
8EI
4Lz + 6L2 )
y(L) =
2Lz + L2 )
y(L/2) =
qL4
384EI
Table 4.3: Deflection of beams under pressure.

are corresponding to typical application for pressure sensor or valves, showing the
general dependence of the characteristics with the geometry (Table 4.4).
a
a
Figure 4.6: Deflection of membranes.
Type
Deflection
Round (Force)
Round (Pressure)
Max Defl.
F a2
16D
yC =
y=
3(1 2 )q
(a2
16Et3
r 2 )2
yC =
Spring
constant
k=
16D
a2
k=
Et3
F a2
qa4
64D
Square (Force)
yC =
F F a2
Et3
Square (Pressure)
yC =
P qa4
Et3
Table 4.4: Deflection of round and square membrane (Plate constant D =

Et3 /[12(1 2 )], F = 0.014 ( =0.3), P = 0.061 ( =0.3).)
Of course the case of deflection of membrane under pressure is of particular
interest for pressure sensors, where the measurement of the deflection or the stress
will be used to infer the pressure. We note that the formulas given are for small
deflection, and are not valid for large deflection where bending stress can not be
but are made of a soft material (low flexural rigidity), showing no bending stress and only tensile
stress.
139
f
cantilever hinge
fork hinge
Figure 4.7: Flexure hinge and equivalent free hinge for (left) standard cantilever
hinge (right) improved fork hinge
neglected. For example for a round diaphragm with large deflection (assuming the
material remains in its elastic limit) we obtain the following non-linear characteristic equation to obtain the center deflection yC :
q = 64
D
D
yC + 4(7 ) 2 4 yC3
4
a
ta
Besides suspension, other mechanical function, like hinge or joint, are often
needed in MEMS. However the fundamental inability to miniaturize hinge because
of the low relative manufacturing accuracy evoked previously, forces designers to
often use flexible micro-joint instead. This joints will have excellent wear characteristic but they will usually restrict rotation. These flexure hinge may use a
simple cantilever or more complex beam arrangement. As we can see schematically
in (Figure 4.7), the fork hinge[26] has the advantage to present a larger rotation
angle for the same horizontal displacement than a standard cantilever beam with
the same stability (resistance to buckling). Of course, if the angle of rotation need
to be really large (> 20 ), the alternative is to use a free hinge as shown in
Figure 3.21, but the manufacturing complexity will increase substantially - and
the reliability will drop.
4.2.2
Distributed structure
Using lumped elements to represent continuous structure is clearly an approximation, and it requires good judgment to decide how a structure should be represented. For example, as we see in Figure 4.8, a beam can be represented by a
single lumped element, a spring, or we can also take into account the weight of
the beam itself and represent it by a lumped spring and a lumped mass. We could
even go further, and consider the material loss inside the beam (linked to atomic
rearrangement during deformation) and add to the model a dash pot to represent it as a viscous loss. The choice between the three representation illustrated
140
F
m
k
F
m
F
c
Figure 4.8: Modeling a continuous beam using different approximation with
lumped elements.
in Figure 4.8 will directly depend on an estimation of the dominant effect in the
complete structure. For example if a mass is connected at the tip of the bending
beam, and the mass is 20 times the weight of the beam itself, the inertia of the
beam can probably be ignored, and its mass forgotten in the model. Likewise, if
we place the beam in vacuum and damping due to air becomes negligibly small,
then material damping could become important and a dash pot could be added to
the beam model.
In the case of an elastic structure with a distributed mass, a method pioneered
by Lord Rayleigh can be used to estimate an equivalent mass for the moving
structure while keeping the spring constant obtained from beam or shell theory.
The Rayleigh method is based on the hypothesis that at resonance (where there
are no loss in the system) the maximum kinetic energy and the maximum potential
elastic energy are equal.
The method is best explained using an example and we will consider a shuttle mass with a clamped-clamped suspension, composed, by symmetry, of two
clamped-guided beams, as shown in Figure 4.9.
L
w
clamped-guided beam
shuttle
clamped-guided beam
Figure 4.9: A shuttle mass oscillating between two positions with a pair of clampedguided beams of length L, width w and thickness h as suspension.
We need first to estimate the kinetic energy in the structure when it is excited
sinusoidally at resonance with = 0 .
We consider one beam of the suspension and approximate the amplitude of its
141
resonant mode by using the expression of the static deflection with a force at the
end as given in Table 4.1.
F
(3Lz 2 2z 3 ) sin(t)
12EI
We take the derivative to obtain the velocity distribution along the beam as:
y(z, t) =
v(z, t) = y(z,
t) =
F
(3Lz 2 2z 3 ) cos(t)
12EI
The kinetic energy ( 21 mv 2 ) in the beam is then obtained by integrating over the
volume:
2
L
13
F
hwv 2 (z, t)dz = hwL7
Kb =
cos(t)
70
12EI
0
We will now turn our attention to the determination of the potential elastic
energy inside the beam.
The elastic energy density in pure bending (that is, we have = M y/I) for
isotropic materials is given by:
1 2
1 (M y/I)2
1
=
=
2
2E
2
E
Noting that he bending moment along the beam is given by
d2 y(z, t)
F
M (z, t) = EI
=
(6L 12z) sin(t),
dz 2
12
we can obtain the potential energy in the complete beam by integrating the energy
density over the beam volume:
1
1 (M y/I)2
dV =
dV
E
V 2
V 2
L
1
1
2 2
y 2 dA
=
M y dV =
M 2 dz
2
2
2EI V
2EI 0
A
L
L
1
1
=
M 2 dzI =
M 2 dz
2
2EI 0
2EI 0
2
L
1
F
=
(6L 12z) sin(t) dz
2EI 0
12
F 2 L3
=
sin2 (t)
24EI
At resonance = 0 we have a periodic transfer between kinetic and potential
energy (for non dissipative systems) thus the maximum of kinetic energy is equal
to the maximum of potential energy:
Ub =
max Kb = max Ub
13
hwL7
70
F
0
12EI
F 2 L3
=
24EI
142
and we get
70 12EI
26 hwL4
If the continuous beam can be represented by a massless spring and a punctual
mass at its end (lumped model), we have:
02 =
02 =
keff
meff
where keff the effective spring constant is taken as the spring constant of a single
clamped-guided beam as defined by beam theory and meff is obtained by identification with the previous formula.
Thus we have for the equivalent model of the beam a spring of stiffness
keff = kb =
12EI
L3
and a load of mass
keff
26
26
= hwL = mb
2
0
70
70
where mb is the mass of the beam.
Thus the complete suspension we are considering composed of two equal springs and a central
kb
mshuttle
kb
mass can be represented by this equivalent model.
It means, for example, that its resonant frequency
meff
meff
could be estimated using 0 = k/m with k = 2kb
and m = mshuttle + 2 26
m
.
70 b
meff =
4.2.3
Fluidic structures
In microfluidic devices the ubiquitous passive element is the channel which is used
to transport fluids. In general the problem of fluid flow, even using simpler incompressible fluid, is rather complex as it is governed by the Navier-Stokes equation.
However, in some practical cases at micro-scale this equation can be simplified and
has even a few analytic solutions. The distinction between these cases is based on
a series of dimensionless coefficients, principally the Knudsen number and Mach
number (M a = u/cs ) for gas and the Reynolds number (Re = uL/) for gas and
liquid. The fluid properties are noted as u for the velocity of flow, cs the speed of
sound in the fluid, the density of the fluid, the dynamic viscosity ( = with
the kinematic viscosity) and L a characteristic dimension of the channel (usually
its width). Interestingly, for value of Mach number smaller than 0.3, a gas can be
considered as an incompressible fluid and use the same simplified equations as for
liquids for example in air the velocity of sound is approximately cs = 340m/s,
that is air can be considered an incompressible fluid for speed u < 100m/s.
In cases of microchannel at the low flow velocity usually observed in microdevices, the Reynolds number is small (< 1500) and the flow is laminar (that is, there
143
Cross-section Fluid velocity and flow

Circular
u(r) =
dp r02 r2
dx
4
u(y, z) =
dp 16a2
dx 3
Rectangular
and Q =
and Q =
dp 4ba3
dx 3
dp r04
dx 8
(1)
i1
2
i=1,3...
192a
5 b
i=1,3...
cosh(iz/2a)
cosh(ib/2a)
cos(iy/2a)
i3
tanh(ib/2a)
i5
Table 4.5: Fluid velocity and flow in channels with circular and rectangular crosssection (the channel is placed along x, p is the pressure, r0 the channel radius, a
the channel width and b its height).
is no turbulence). This complicates the tasks for producing mixers, as turbulence
is the most efficient way to mix two fluids, but in that case, the flow induced by a
difference of pressure (Poiseuilles flow) can be obtained analytically as shown in
Table 4.5 [18].
With the equations in the table it is possible to obtain the flow and the velocity
across the channel section according to the pressure drop and to the geometry.
However it is not always necessary to know them precisely
at any point across the channel and often it is enough to obtain
the average velocity u. The flow Q is related to the average
u
fluid velocity by:
A
Q = uA
(4.2)
where A is the channel cross-section area. In the case of pressure driven flow, the
average fluid velocity can simply be expressed as:
upf =
2Dh2
p
Ref L
(4.3)
where Ref is the product of the Reynolds number (Re) and f the friction factor.
This product can be computed from first principle for circular channel and we have
Ref = 64. Experience shows that this value needs correction for micro-channels,
where it is actually more in the 50 60 range.
If the channel is not circular it is still possible to use the same equation, but then
we need to use an effective diameter, which is called the hydraulic diameter. For
a channel of any cross-section we have:
Dh =
4A
Pwet
(4.4)
where Pwet is the wetted perimeter, that is, the length of the channel perimeter in
direct contact with the fluid. We note that for a circular channel of diameter D
we have Dh = 4A/Pwet = 4(D/2)2 /2(D/2) = D, as we would expect.
These equations will give the pressure drop along a channel, or the flow rate if the
pressure drop is known.
144

slg
In micro-channel there is another phenomena that needs

ssg
ssl
to be considered, the problem of wetting. At the interface
between gas, liquid and solid the equilibrium of surface tension forces (that is the
resultant cohesive forces between neighboring molecules in the gas the liquid and
the solid) can be written as:
sl + lg cos = sg
(4.5)
where sl , lg and sg are the surface tensions at the solid-liquid, the liquid-gas and
the solid-gas interfaces respectively, and is the contact angle. The contact angle
is used in particular to distinguish between hydrophobic and hydrophilic surfaces,
with the exact criterion being that the contact angle should be larger than 90 for
the former and lower for the later. However in general this concept is often used in
a less rigorous manner and describe relative value of different concepts as shown
in Table 4.6
Parameters
Hydrophobic surface
Hydrophilic surface
>90
Drop behavior
<90
Contact angle
high
low
Adhesiveness
poor
good
Wettability
poor
good
Solid surface free energy
low
high
Table 4.6: Properties of hydrophobic and hydrophilic surface.

The wetting properties of a micro-channel results in a drop of pressure across
a liquid-gas interface given by the Young-Laplace equation as:
p = lg
1
1
+
R1 R2
(4.6)
where R1 and R2 are the two radii of curvature of the interface (this surface is
three dimensional and for a circular channel we have R1 = R2 ).
Using these two equations we can find the force exerted on a liquid in a circular
micro-channel - also called a capillary. Actually in that case the pressure drop at
the liquid-gas interface simplifies to:
p =
2lg
r/cos
(4.7)
where r is the radius of the capillary. This resulting pressure difference can draw
liquid in narrow channel (where r is small, thus p large), even balancing the
4.3. SENSOR TECHNOLOGY
145
gravitational force induced hydrostatic pressure (p = gh) and thus allowing the
liquid to rise in the capillary to the height h. This property of fluid to rise in
narrow channel made of material that they wet (actually the contact angle need to
be smaller than 90 for the force to pull the fluid) is called capillarity. Capillarity
makes it difficult to fill hydrophobic channels, as it tends to push the liquid back,
or to empty hydrophilic ones, where it pulls the liquid inside. This effect is more
pronounced for liquid with larger surface tension (Table 4.7), like water, which has
one of the largest surface tension of common material due to the hydrogen bond
between water molecules.
Liquid
Liquid-gas surface tension

(N/m)
Mercury
0.425
Sodium Chloride 6M
0.082
Water
0.072
Hydrochloric Acid (conc.)
0.070
Ethylene glycol
0.048
Isopropanol
0.023
Ethanol
0.022
Perfluorohexane
0.012
Table 4.7: Surface tension for selected fluids at 20 (the surface tension will
decrease with the temperature).
4.3
Sensor technology
Sensing is certainly a quality that we associate with living being. A stone does
not sense, but can a silicon circuit do it? Of course, the answer is yes, and MEMS
have increased tremendously the number of physical parameters that are sensed
by silicon.
Sensing can be formally defined by the ability to transform any form of energy present in the environment into energy inside a system. An example will
be to convert the air temperature (heat energy) to an electrical signal by using a
thermo-couple. At the heart of the sensor is the ability to perform the energy transformation, a process usually called transduction. MEMS sensors ability to measure
different parameters as pressure, acceleration, magnetic field, force, chemical concentration, etc is actually based on a limited number of transduction mechanisms
compatible with miniaturization : piezoresistive, capacitive, piezoelectric, and in
146
fewer cases, inductive. In general this primary transduction mechanism wont

directly produce a signal in a form suitable for further processing in an instrumentation chain. In fact, 95% of the time we want to obtain the signal as a variation of
voltage, and we will need some signal conditioning to reach that goal. In Table 4.8
we list the different sensing mechanisms with the corresponding primary form of
the signal and typical circuits used for obtaining voltage variation.
Type
Measurand
Primary signal
Conditioning circuit
Piezoresistive
Stress
Resistance
Potentiometric, Bridge
Capacitive
Deformation
Capacitance
Permitivity
Bridge
Frequency converter
Piezoelectric
Stress
Charge
Inductive
Deformation
Reluctance
C-V converter
Bridge
Frequency converter
Table 4.8: Sensing principles and conditioning.
4.3.1
Piezoresistive sensing
The oldest MEMS sensor that gained huge popularity was the pressure sensor and
it was based on the piezoresistive effect. Piezoresistivity can be described by the
change of resistance of a material when it is submitted to stress. This effect is
known since the 19th century in metals, but it was only in the mid 1950s that it
was recognized that semiconductor and particularly silicon had huge piezoresistive
coefficient compared to metal[4]. The MEMS designer will then create piezoresitors
by doping locally silicon and place them where the stress variation is maximal,
for example, at the edge of a membrane in pressure sensor. Then by measuring
their resistance change he will be able to infer the stress which is related to the
deformation.
For converting the resistance change R in a voltage,
the potentiometric (voltage divider) configuration is the
R
simplest, and the voltage at the output is given by :
+
+
Vin
-
R+ D R
Vout
-
Vout =
R + R
Vin R
Vin
+
Vin
2R + R
2
2R
However, as we see, this configuration suffers from a strong offset ( V2in ), complicating the signal processing operation, and a relatively low sensitivity (s =
in
dVout /dR = V2R
). A better configuration is based on the Wheatstone bridge
circuit (Figure 4.10) that completely suppresses the offset and reach a better sensitivity in some configurations. The suppression of offset is obtained by balancing
147
the bridge, that is obtaining a null output voltage when the resistor has its nominal
value. This condition is obtained when the resistors in each branch of the bridge
have values verifying R1 R3 = R2 R4 which is automatically reached if the four
resistors are the same and R1 = R3 = R2 = R4 = R. From there, it is simple
to show that if there is one single variable resistor in the balanced bridge and if
R << R then
Vin
R.
Vout
4R
We see here that we have suppressed the offset completely allowing easy amplification further down the chain. Moreover, we can increase the sensitivity to make
it surpass the earlier voltage divider configuration. By positioning the variable
resistors with the configuration shown on the right (where there are four variable
resistors and where the change of resistance induced by the measurand on two of
the resistors is opposite to the change induced on the two other but with the same
magnitude), then we exactly have
Vout =
Vin
R
R
and the sensitivity of the bridge configuration increases fourfold

s=
R
+
Vin
-
R
-Vout +
R+ D R
Vin
.
R
R- D R
+
Vin
-
R+ D R
-Vout +
R+ D R
R- D R
Figure 4.10: Resistors in a Wheastone bridge with (left) one variable resistor, or
(right) four variable resistors.
For resistors much longer than wide it is possible to write the relative change
of resistance as :
R
= l l + t t
R
where i is the piezoresistive coefficient and i the stress component respectively,
along the direction parallel to the current flow (l longitudinal) or perpendicular
to it (t transverse). However the anisotropy in silicon, and actually in most crystals, makes it difficult to obtain the piezoresistive coefficients. Actually, all the
148
physical parameters of silicon, like Youngs modulus or conductivity, depends on

the direction with respect to the crystal axes in which they are measured. Thus,
a complete treatment of piezoresistivity will involve mathematical objects called
tensors. Moreover, the piezoresistive coefficients in silicon depend on the type (nor p-type) and concentration of doping impurities, being generally larger for ptype resistors, and finally, it depends also on temperature. However for the most
important cases the expression can be found in the literature and for example
for p-type resistors placed in a n-type substrate along the (110) direction, that
is, parallel to the wafer flat in (100) wafers, we have l 71.8 1011 Pa 1 and
t 66.3 1011 Pa 1.
s
l
st
Figure 4.11: Typical position of piezoresistors for a square membrane on (100) Si

wafer.
On a square membrane, for symmetry reasons, the stress in the middle of
a side is essentially perpendicular to that side. Piezoresistor placed parallel or
perpendicular to the side at that point will be, respectively, under transverse
or longitudinal stress. If the membrane sides have been aligned with the (110)
direction, the l and t are about the same magnitude but of opposite sign and
the resistance of the two resistors under longitudinal stress in Figure 4.11 will
increase when the membrane deforms while the resistance of the two resistors under
transverse stress will decrease. It is thus possible to connect the four identical
resistors in a full bridge configuration, as in Figure 4.10, and the bridge sensitivity
simplifies to:
Vout 70 1011 Vin
where Vin is the bridge polarization voltage and = l = t the maximum stress
in the membrane. Although it seems really advantageous this configuration has
seldom been used in practical devices because it suffers from a low manufacturability as the positioning of the resistors requires a very good accuracy. In general
only one or two sensing resistors are used allowing simpler bridge balancing with
trimmed external thick-film resistors.
Piezoresitivity is not only used for pressure sensor but find also application in
acceleration or force sensors. Unfortunately, the simplicity of the method is counterbalanced by a strong dependence on temperature that has to be compensated for
most commercial products by more complex circuitry that the elementary Wheatstone bridge, as described in section 5.3.3.
4.3.2
Capacitive sensing
A
149
er
Capacitive sensing is a versatile sensing technique independent of the material used and it relies on the variation of capacitance appearing when the geometry of a
capacitor is changing. Capacitance is proportional to
C
0 r
A
g
where A is the area of the electrodes, g the distance between them and r the
permittivity of the material separating them (actually, for a plane capacitor as
shown above, the proportionality factor is about 1). A change in any of these
parameters will be measured as a change of capacitance and variation of each of
the three variables has been used in MEMS sensing.
For example, accelerometers have been based on a change in g or in A, whereas
chemical or humidity sensor may be based on a change of r .
If the dielectric in the capacitor is air, capacitive sensing is essentially independent
of temperature but contrary to piezoresistivity, capacitive sensing requires complex
readout electronics. Still the sensitivity of the method can be very large and, for
example, Analog Devices used for his range of accelerometer a comb capacitor
having a suspended electrode with varying gap. Measurement showed that the
integrated electronics circuit could resolve a change of the gap distance of only
20 pm, a mere 1/5th of the silicon inter-atomic distance.
The conversion from capacitance to voltage can be obtained by using a bridge
configuration but using AC voltage excitation. Then, instead of resistance as in
the Wheatstone bridge we would then consider complex impedance of capacitor
(ZC = jC) and do the same math. A remaining issue would be to detect the
amplitude of the signal (e.g., with a diode) but that principle would be sufficient
for may applications. A more evolved principle has been used in some capacitive accelerometer from Analog Devices that highlights the interest of differential
sensing and will be described in more details.
The designer have chosen to use the variation of the
gap g between the electrodes as it may provide large seng0-x
sitivity if the initial gap g0 is small enough. However,
+V0
Ct
because the electrodes thickness was limited as they used x
Cb
surface micromachining, the capacitance was small and 0
-V0
they connected many such capacitors in parallel using a
Vx
g0+x
fin-like structure with interpenetrated fingers for the mobile (rotor) and fixed (stator) parts.
If we zoom on a single rotor finger, we see that it is surrounded by two stator
fingers that are polarized with AC voltage V0 and each constituting the fixed
electrode of a variable capacitor where the rotor finger acts as the second movable
electrode. We notice that when the rotor moves (e.g. for an accelerometer, because
it is subjected to acceleration) one capacitance increases (decreasing gap) while the
150
Example 4.1 The resonant gate transistor.

he first known MEMS, the Resonnant Gate Transistor (RGT), has been developed by H. Nathanson in 1967[6] and was based on a variation of capacitive
sensing. Actually the device was well ahead of his time, and used capacitive sensing amplification and capacitive actuation to yield a complete narrow bandpass
filter.
Actually the input signal (Vin ) was setting the suspended beam into vibration
with an amplitude depending directly on how close the excitation frequency of
the signal was from the resonance frequency of the cantilever. At resonance, the
vibrating cantilever polarized by VP will come very close to the substrate, and act
as the gate of a n-channel enhancement mode field effect transistor diffused into
the p-type substrate. Actually the close presence of the positively charged gate
would attract electrons from the silicon bulk into the gap between the source and
drain electrodes, allowing the passage of a current that could be sensed by the
electronic circuit.
If the gate remained far away because the input signal was not close to the beam
resonant frequency, the FET transistor would remain blocked and no current would
flow through.
In this way the device acted as a bandpass filter with a Q factor only determined
by the mechanical properties of the beam and the viscous damping from air which
could be very low if the system is placed in vacuum. Unfortunately this clever
design was not used as the apparition of the operational amplifier made the issues
encountered with inductor integration almost disappear, and filters were then build
using only capacitors. Interestingly, high frequencies makes it harder and RGT
like devices are studied again for replacing bandpass filters inside handphones.
Vp
Source
Cantilevered
gate
Drain
Fel
Vin
p silicon
Metal
n silicon
Oxide
151
other decrease (increasing gap). Individually each of this capacitance varies very
non-linearly with the position x and we have, for example for the top capacitor :
Ct =
0 r
A
=
g0 x
0 r
A
1
1
= C0
g0 1 x/g0
1 x/g0
this expression can be linearized if we have x/g0

Ct C0 1 +
1, and we get :
x
g0
Let now consider the difference between the top and the bottom capacitance :
C = Ct Cb =
= 2C0
0 r
g0 x
0 r
A
=
g0 + x
0 rA 2
g0
2x
x2
x/g0
1 (x/g0 )2
which can be linearized if (x/g0 )2

C 2C0
x
g0
1 as :
1+
x
g0
2C0
x
g0
The interest ? Well, first the sensitivity has increased by a factor of 2 between
the two cases, and besides the approximation is much less stringent, meaning
that the non-linearity will be decreased. To convince yourself of this last point,
imagine that the displacement x is 20% of the initial distance g0 it is not sure
that this case still qualify for x/g0 = 0.2
1... but clearly it would respect the
2
(x/g0 ) = 0.04
1 condition. Actually what we have done here is that we have
removed the first order error in the approximation and now the error between the
approximate (linear) formula and the exact formula is only of the second order.
However the last equation still depends on an approximation to be linear and
on many geometrical parameters (buried in C0 expression) that could make it
harder to go for industrialization. To overcome this issue the engineers came up
with a more complex demodulation scheme (Figure 4.12) than the simple bridge
configuration, that is based on using two AC excitation voltages of opposite sign
(frequency 1 MHz) and performing the required amplitude detection with a multiplier.
The voltage Vx of the rotor electrode is floating and its value is found by
considering the node there. Because of the buffer amplifier, no current goes out
of this node and thus the total charge on the connected capacitors has to be 0,
that is, Qt + Qb = 0, where t and b subscripts are used for the top and bottom
capacitors as previously. Thus, using the capacitor relationship Q = CV , we can
write
Qt + Qb = Ct (+V0 Vx ) + Cb (V0 Vx ) = 0
152

+V0
Ct
Vx
+
-
Cb
-V0
Figure 4.12: Demodulation principle for differential capacitance sensing.

getting Vx as :
Ct Cb
Ct + Cb
Using the previous expression for the capacitance the voltage Vx is given by :
Vx = V0
Vx = V0
x/g0
2C0 1(x/g
2
0)
1
2C0 1(x/g
2
0)
= V0
x
g0
Although there is still dependence on one geometrical parameter g0 the C0 dependence is gone, and, more importantly, the expression is now fully linear and we
may use displacement x as large as we want without any approximation ! The
trick here has been to normalize the value of the difference by the average value
of the capacitance, removing the factor in front of the expression. It should be
noted that it is a general property and such principle could be used whenever a
non-linear element response needs to be linearized.
The remaining issue is that the signal amplitude still need to be retrieved, which
is performed by the multiplier after the buffer amplifier. Actually, by multiplying
the signal Vx with GV0 (G is the gain of the multiplier) we actually get
V = GV02
x
,
g0
thus the signal becomes continuous (V0 is a symmetric bipolar signal of amplitude
Va thus V02 is simply a continuous signal of amplitude Va2 ) with an amplitude
directly proportional to the displacement.
4.3.3
Other sensing mechanism
A third commonly used transduction mechanism is based on piezoelectricity. The

direct piezoelectric effect occurs when stress applied on a material induces the
apparition of charge on its surface. Then a simple charge-to-voltage converter
using an operational amplifier mounted as a transimpedance amplifier will convert
this signal in a voltage. Silicon does not present piezoelectricity but crystalline
quartz has a large piezoelectric coefficient and other material like ZnO or PZT
4.4. ACTUATOR TECHNOLOGY
153
can be deposited in thin films possessing piezoelectric properties. The advantage

of the piezoelectric effect is that it is reversible and can be used to sense stress
but also for actuation. Actually a difference of potential applied on two sides of a
piezoelectric layer will induce its deformation. Thus piezoelectric material can be
excited in vibration and the vibration sensed with the same structure. This has
been the heart of the quartz watch since its invention in the 1970s, but it is also
used for different inertial MEMS sensor like gyroscope.
Magnetic sensing, although less often used, has its supporters mainly because it
is a non-contact sensing mechanism with a fairly long range. Its main application
has to be found in the (giant)magnetoresistive effect used inside the hard-disk
head. However other uses of magnetic sensing have been tested and for example
some sensors have been based on the Hall effect taking advantage of the simplicity
to manufacture this sensing element.
4.4
Actuator technology
Since the industrial revolution we have understood that machines can perform
tasks with more force and endurance than humans. Bulldozers moving around with
their huge engine and pushing big rocks with their powerful pneumatic actuators
are probably a good example of what big machines can do. But what will be the
function of a micro-sized actuator?
Force
Stroke
Efficiency
Manuf.
Gap-closing
Electrostatic Comb-drive
Bimorph
Heatuator
Shape memory
alloy (SMA)
Thermo-fluidic
Type
Electromagnetic
SDA
Piezoelectric
Thermal
Table 4.9: Comparison of common micro-mechanical actuators.

The main parameters useful to describe an actuator are its force and its stroke.
However we have seen previously that all forces decrease with the scale, thus we can
not expect to move big rocks around - but only micro-rocks. The micro-actuators
154
are currently used to act on micro-object, typically one part of a MEMS device,
and generate forces in the micro to milli Newton range with a stroke from a few
m to several hundreds m. It would be interesting to have enough force and
stroke to allow actuator to help interface human and machine by providing force
feedback for example, but micro-actuators are still unable to do that properly.
Still a wide range of principles exists that would transform internal energy of a
system (usually electrical energy) to energy in the environment (in the case of
MEMS, generally mechanical energy). Sometimes the conversion from electric
energy to mechanical energy is direct but often another intermediate energy form
is used. For example, the heatuator, a form of thermal actuator, uses current to
generate heat which in turn becomes strain and displacement.
The MEMS actuators can be conveniently classified according to the origin of their
main energy form. In Table 4.9 we compare the most common MEMS actuators,
where Efficiency refers to the loss existing in the actuator conversion of electrical
energy to mechanical energy and Manuf. is the manufacturability or the easiness
of mass micro-fabrication.
4.4.1
Magnetic actuator
Electromagnetic actuation is recognized for providing most of the actuators used

in house appliances, toys, watches, relays... The principle of electromagnetic motor
is well known and it is tempting to miniaturize such a versatile device to use it
in the micro-world. However an electromagnetic motor with its coils, armature
and bearings prove a tremendous task for micro-fabrication and so far nobody has
been able to batch produced a motor less than 1mm diameter.
Still magnetic actuation has many proponents and some version of magnetic linear
actuator have been used in different devices. Such a mobile armature actuator
is shown in Figure 4.13, where by increasing the current in the coil the mobile
armature is attracted along the x direction to align with the fixed armature.
I
n
g /2
x
w
Figure 4.13: Mobile armature linear magnetic actuator.

The magnetic force produced on the mobile armature is linked to the change
155
of reluctance and is given approximately by [14] :

Fma =
(nI)2
2w
0 A
g + 0 L/
From this equation it is clear that the force is non linear with the current, and
assuming a constant resistance for the coil, the force will also depend on the square
of the coil voltage.
Although this force does not scale very favorably, the possibility to increase the
current at small scale, because the heat can be dissipated more quickly, still allows producing relatively strong force. However the main difficulty preventing the
widespread use of this type of actuator in a MEMS component is the fabrication of the coil. In that case the most convincing approach proposed so far are
most probably those using a hybrid architecture, where the magnetic circuit is
fabricated using micro-fabrication but the coil is obtained with more conventional
techniques and later assembled with the MEMS part. Actually some design have
shown that the coil does not need to be microfabricated at all and can be placed
in the package, taking benefit of the long range action of the magnetic field.
Finally it should be noted that magnetic actuation can used in conjunction with
ferro-magnetic material to provide bistable actuator where two positions can be
maintained without power consumption. A permanent magnet placed in the package is used to maintain the magnetized ferro-magnetic material in place. Then,
when we send a current pulse of the right polarity in a coil wound around the
ferro-magnetic material we invert its magnetization and the actuator switch to its
second state. NTT has been producing since at least 1995 a fiber optic switch
based on a moving fiber with a ferro-nickel sleeve that has two stable positions in
front of two output fibers [15]. The device will consume power only during the
brief time where the current pulse is sent and can maintain its position for years.
4.4.2
Electrostatic actuator
A physical principle that leads itself well to integration with MEMS technology is
electrostatics. Actually by applying a potential difference between two electrodes,
they develop charges of opposite sign and start attracting each other through the
Coulombs force. This principle has known several applications among which,
the comb-drive actuator, the gap-closing actuator and the scratch drive actuator
are the most commonly used (Figure 4.14). To derive an expression of the force
developed by such actuator we will use the principle of virtual work. This principle
states that for energy conserving systems (no dissipation) the potential energy of
the system changes as the work of internal forces. This is another way of saying
that a system tends towards a state of minimal energy in mathematical terms it
says something like:
F = gradU
156
t
with grad = ( x
, y
, z
) a vector composed of the partial derivative along each
axis. We note the minus sign in front of the gradient, saying that the direction of
the force is opposite to the direction of increase (gradient is positive if the function
rises) of energy: that is, the force is leading the system toward a minimum of stored
energy.
In this case, as simple electrostatic systems are capacitors, the energy3 stored
in the system upon application of an external voltage is
1
UC = CV 2 .
2
Thus any variation of the internal (potential) energy of the capacitor due to some
change in its geometry can be attributed to the (virtual) work of a force. Thus the
force developed between the two electrodes becomes proportional to the gradient
(spatial derivative) of the energy :
F elec V 2 grad C.
This fundamentally shows that electrostatic actuators develop force non-linear
with voltage and proportional to the gradient of the capacitance. The V 2 depeng
stator
x
rotor
+
V
-
h
rotor
x
stator
comb-drive
gap-closing
scratch-drive actuator (SDA)
Figure 4.14: Different type of electrostatic actuators.

dence shows that potentially (pun intended!) the force can be quite large if we are
able to increase the voltage substantially. However as we know lightning strike
during a storm would make a good recall there is in air a maximum value of the
electric field that would cause ionization and a destructive short circuit, preventing the voltage to be too high. Interestingly it has been shown at the end of the
XIXth century by F. Paschen that the ionization field is not constant and actually
depends on the air pressure and on the gap between the electrodes. Actually if one
think at the ionization phenomena as an avalanche process (a single accelerated
electron hits an atom releasing two such electrons which in turns get accelerated
and hits two other atoms, liberating four electrons, etc) this dependence of the
ionization field can be relatively simply understood: if the mean free path between
collision is much larger than the electrodes gap then ionization may not occur.
3
Actually we have to use here the co-energy
vidt =
vdq =
vCdv = 0.5CV 2
157
This can be obtained in two ways: either the mean free path is increased by reducing the pressure (that is, at constant temperature, the density of gas molecules),
or alternatively the gap between the electrodes is reduced. At micro-scale it is
this second phenomena that occurs and allow for much higher electric field than
at large scale. This is the main contributor to the interest of electrostatic force
at microscale, making it able to pack almost as much energy in a finite volume
(energy density) than electromagnetic energy.
However avalanche effect is not the only contributor to conductivity and with
high enough field and even in vacuum electron emission will occur through other
mechanism (e.g., field emission at surface asperities) and finally result in arcing.
Experimental investigation of this effect has lead to the elaboration of modified
Paschens curves (Figure 4.15) showing an estimate of the breakdown voltage as
a function of the gap that take into consideration the Paschens curve and the
vacuum emission. These critical curve will vary with the gas used, its pressure,
600
Vacuum breakdown
Paschen's curve
Applied voltage [V]
500
400
Modified Paschen's curve
300
200
100
0
0
10
Gap [m]
15
20
Figure 4.15: Maximum admissible voltage in electrostatic actuators following modified Paschens law at 1 atm.
the electrodes material and the presence of asperities on the electrodes (including
at its edge). Still, we see that for obtaining maximum force there is little incentive
to get a gap below 2-3 m, and that a typical voltage of several 100 V may be used
for micro-electrodes. In practice test will be required to ascertain the real critical
voltage, but robust development will try to use gap of 4 m to avoid random effect
due to field emission while keeping the maximum voltage below 200 V.
The comb-drive actuator (Figure 4.14-left) was invented by W. Tang [16] at UC
Berkeley and it generally allows motion in the direction parallel to the finger length.
The capacitance can be obtained by considering each side of a finger behaves as
a parallel plate capacitor, giving for each finger a capacitance of C 2 0 hx/g.
Taking the gradient, the force produced by n fingers in the rotor is approximately
158
given by
Fcd n
h 2
V
g
where we see the expected dependence with the square of the voltage and notice
that it is independent of the displacement x. The proportionality factor is 0 , a
small quantity indeed, hinting to a small force generated per finger, in the order
of a few 10 nN. Of course the number of fingers can reach 100 or more and the
actuator aspect-ratio can be made larger (i.e., increase h/g) to increase its force
proportionally. This actuator has been used repeatedly in MEMS component, for
example in the original Analog Devices accelerometer or in the fiber optic switch
from Sercalo.
The origin of the force parallel to the electrodes
a
rotor
b
results from the unbalance of the Coulombs force
along some part of the finger. Actually the rotor
stator
charges located in (a) will experience a symmetrical
attraction resulting in an absence of net force, whereas, charges located in (b)
will, as a result of the unbalanced attraction, create a net force pulling the rotor
parallel to the stator. We note that the Coulombs force also results in a force
perpendicular to the surface, however the motion toward the stator is prevented
by the rotor suspension and by the balancing force of the stator finger placed on
the other side of the rotor finger.
The gap-closing actuator (Figure 4.14 center) actually makes use of this force
perpendicular to the electrodes surface and usually delivers a larger force (proportional to A). Actually the capacitance is now expressed as C 0 A/x, resulting
in a force again non linear with the applied voltage, but additionally depending
on the displacement x:
Fgc
A 2
V .
2x2
As this force is unidirectional (changing the voltage sign does not change the force
direction), a reversible actuator will need a restoring force to bring it back to its
original position. This is usually obtained with a spring (usually a bending beam)
that will be used to polarize and retain the rotor electrode as seen in Figure 4.16.
To find the rest position, we write the force equilibrium,
Fgc + k(g x) = 0
where k(g x) is the magnitude of the upward directed spring force. Thus we get
a third order equation relating the position x with the applied voltage V .
x3 gx +
A 2
V =0
2k
159
Using Cardans method, the roots can be found and we get:

2
x1 = g cos
3
2
x2 = g cos
3
1
2V 2
arccos 1 2
3
Vpullin
1
2V 2
arccos 1 2
3
Vpullin
4
3
g
3
(4.8)
g
3
(4.9)
plus another root yielding x < 0 that is unphysical. The two physical roots of this
equation have been plotted in Figure 4.16. We note that instead of solving the third
order polynomial equation, we may plot V as a function of x for 0 < x < g. The
solution shows that, the rotor position can only be controlled over a limited range,
and actually one root corresponds to a completely unstable position. Actually,
when the voltage is increased the rotor slowly moved toward the stator electrode
but as soon as the rotor has moved by one third of the original gap width (g), snapin suddenly occurs and the rotor comes into contact with the stator (in the figure
we show two blocks in black used to prevent the contact between the electrodes
and a short-circuit, the position of these blocks will determine the pull-out voltage
when the voltage is decreased). The pull-in voltage is given by:
g
2g
3
R
Vpull-in
Figure 4.16: Voltage-Displacement curve for a gap-closing actuator showing the

pull-in phenomena.
Vpullin =
8 kg 3
27 0 A
where g is the original gap width and k the rotor suspension spring constant.
This behavior can be advantageous if the actuator is used for bi-stable operation,
but as here, preventive measures should be taken to avoid electrodes short-circuit.
Actually, the actuator behind the Texas Instruments DLP is a gap-closing electrostatic actuator working in torsion with the two stable states position fixed by
resting posts. By biasing the actuator at a voltage in the middle of the hysteresis
curve, it needs only a small swing of voltage to allow a robust bi-stable actuation.
160
The scratch drive actuator (Figure 4.14 right) has been invented by T. Akiyama
[17] and although it is actuated by a varying electrostatic field, the friction force is
the real driving force. As we can see in the diagram, as the voltage is applied, the
electrostatic energy is stored in the SDA strain while its front part, the bushing,
bends. When the voltage is released, the strain energy tends to decrease and the
elasticity of the bushing returns it to its rest orientation producing displacement.
The main advantage of this actuator is that it is able to produce a rather large force
(100 N), which can be even increased by connecting multiple actuators together.
Actually the SDA has been used as an actuator in the 2D optical switch matrix
that was developed by Optical Micro Machines (OMM) and which received the
stringent Telcordia certification.
Electrostatics can also be used to move liquids. It is based on two phenomena:
electro-hydrodynamic which works with non-conductive fluids and electro-osmosis
which works with conductive fluids. Electro-osmosis pumps are of larger significance because biological fluids are actually solute with different ions (salts) and
are thus conductive.
In an electro-osmosis pump a stationary electric field is applied along a channel
and result in an overall motion of the conductive fluid. Although the liquid is
globally neutral, this motion can happen because of a so-called double layer of
charged particles near the walls of the channel. In general with conducting fluids
DV
- - - - - - +- - +- - +- - charged layer { + + + + + + + +
+ + + +- u +- ++ - + + neutral layer
+ - - + - - + - + + - - + +
+
charged layer { -+ - - +- -+ - +- +- +- -+ +- -+-+
u
u eof
Figure 4.17: Electro-osmosis flow in a channel.

a surface charge appears on the insulating walls, usually made of polymer or glass,
resulting in a negative potential (the zeta potential ) ranging generally between
-20 mV and -200 mV. Those trapped charge attracts positive ions in the solution
close to the wall creating the double layer of a few nm thick, as shown in Figure 4.17. Then, the external electrostatic field makes this layer move, entraining
all the liquid in the channel, because of the shear force present in liquids with
non-zero viscosity. The flow velocity profile, contrary to pressure driven flow, is
uniform across the channel (called a plug flow) and we have:
ueof = ueof =
(4.10)
161
where is the dielectric constant of the fluid and its viscosity. Actually the
proportionality constant between the velocity and the field is usually rather small
(eo = 0 r /, eo electro-osmotic mobility) and in practice the voltage used for
electro-osmosis flow across a 10 mm-long channel will be in the order of 1000 V.
4.4.3
Piezoelectric actuator
At the end of the 19th century Pierre and Jacques Curie discovered that certain
materials produce electrical charges at their surface when they are submitted to
an external force the so called direct piezoelectric effect. Reciprocally, when
these materials are subjected to an electric field they contract or expand the
so called converse piezoelectric effect. The materials themselves are called piezoelectric materials and are natural transducers between electrical and mechanical
domains. They have thus been used inside different mechanical sensors and actuators and are particularly interesting for micro-scale actuation because they have
a high power density, producing rather large force for small volume. However, the
deformation being induced in the rigid bulk of the material, the magnitude of the
deformation remains small requiring clever designs to obtain actuators with large
stroke. Fundamentally the origin of piezoelectricity is linked with the absence of
l
-
Figure 4.18: Converse piezoelectric effect in a non-centrosymmetric crystal.

center of inversion symmetry in the ionic crystal at the nano-scale we have a
dipole (polarization) that for the converse effect will be influenced by an external field and because of the regular charge repartition in the crystal wont cancel,
inducing a macroscopic deformation.
Piezoelectricity shows coupling between electrical and mechanical variables,
and require both domain for a complete description. As we have seen previously
the elasticity of a crystal can be described by relating the strain to the stress4
using the compliance tensor = S. Moreover, we know that the electric
displacement for a linear polarization proportional to the electric field is given
by D = E, where, for anisotropic materials, the permittivity is a second rank
tensor (a 3 3 matrix).
4
As described previously these are both second rank tensors, but written as a 6 components
vector by considering symmetry and using index contraction.
162
The piezoelectric effect is linear and for small deformation can be considered
to be independent of the compliance and the permittivity of the material. Thus
we can write the combination of piezoelectricity and elasticity as:
= S E + dt E
(4.11)
D = d + E
(4.12)
with S E the compliance at E = 0, dt the transpose of the piezoelectric charge

tensor d, E the electric field, D the electric displacement and the permittivity
tensor at = 0.
For the converse piezoelectric effect, the transpose of the piezoelectric charge
tensor dt relates the strain (second rank tensor) to the electric field (a vector or
first rank tensor) and is thus a third rank tensor, which should require 33 = 27
terms. However, the existing symmetry of the tensor with respect to stress and
the index contraction rule allows for the dt tensor to be simply represented as a
6 3 matrix as:
d
d
d
11 21 31
d12 d22 d32
d13 d23 d33

t
d =
d14 d24 d34
d15 d25 d35
d16 d26 d36

Again, symmetries results in many piezoelectric coefficient dij to be zero in most
crystals when we use the (X=A,Y=B,Z=C) crystallographic system of coordinate.
In this case, for quartz (trigonal crystal) we have:
d
0
1
d1
0
0
0
t
d =
d2
0
0
d2
0 2d1
with d1 = d11 = 2.3 1012 C/N and d2 = d14 = 0.67 1012 C/N. For zinc
oxide (ZnO), a material from the hexagonal class different from quartz that can

be deposited by sputtering, we get in the
0
t
d =
d3
163
(A,B,C) system of coordinate:
0 d1
0 d1
0 d2
d3 0
0 0
0 0
with d1 = d11 = 5.4 1012 C/N, d2 = d33 = 11.6 1012 C/N and d3 = d42 =
11.3 1012 C/N.
In practice the most commonly used materials are artificial ceramic (e.g., Lead
Zirconate Titanate or PZT) which, although they present at nano-scale the right
lack of center of symmetry, are not naturally piezoelectric because they are polycrystalline. Actually, in each grain the random orientation of the polarization
cancels each other resulting in a lack of observable piezoelectric effect. For circumventing this problem, the materials is heated (close to the Curie temperature
where reorganization can easily occur) and submitted to a large electrical field, an
operation called poling, that orients the polarization of all the nano-crystallite in
the same direction. When the material is cooled down, most of this orientation is
preserved and the resulting material shows macroscopic piezoelectric effect. The
PZT crystal symmetry is the same than ZnO but the piezoelectric coefficient are
much larger making this crystal very interesting for lower voltage operation. We
have for poled PZT d1 = d11 = 123 1012 C/N, d2 = d33 = 289 1012 C/N and
d3 = d42 = 496 1012 C/N.
Besides the PZT it is possible to deposit by sputtering thin-film crystalline
material like AlN and ZnO that present interesting piezoelectric properties without
poling. Alternatively it is also possible in certain cases to work on piezoelectric
substrate like quartz, gallium arsenide (AsGa) or lithium niobate (LiNbO3 ). Most
of the time, the purpose of the actuator is to generate acoustic waves (vibration)
into the materials but they are rarely used to produce mechanical work.
Z
X
Y
V
V
V
t
l
w
Simple
Bimorph
Figure 4.19: Simple and bimorph piezoelectric actuators.

For the simple actuator in Figure 4.19, if we apply voltage along the crystal
C-axis in a ZnO layer, the field along C is V /t (and 0 along the other axes)
164
and, placing ourselves in the (X=A,Y=B,Z=C) system of coordinate, we obtain a

change in dimension according to (4.11) as:
XY
Y Z
ZX
0
0
5.4
0
0
11.6 12
10
=
0
11.3
0

V/t

11.3
0
0

0
0
0
5.4
Thus
XY
Y Z
ZX
1012 Vt
5.4

5.4 1012 Vt

11.6 1012 Vt
=

0

0

0
Finally, using the expression of longitudinal strain ( = L/L) we get w =

5.4 1012 V wt , l = 5.4 1012 V tl and t = 11.6 1012 V . We notice that the
thickness change t is independent of the layer thickness t for a voltage of 100 V
it will be about 1.1 nm.
It is clear that an actuator simply based on longitudinal expansion will have a
very short stroke, and normally piezoelectric actuator rely on stacking many layers
of materials and electrodes or on bimorph-type structure. In this last structure
shown in Figure 4.19, because the two layers are polarized with fields of opposite
signs, one will expand and the other contract along the Y-axis5 creating large stress
at the interface and resulting in bending of the beam with a large stroke x.
4.4.4
Thermal actuator
The thermal energy used by this class of MEMS actuator comes almost invariably
from the Joule effect when a current flows through a resistive element. These actuators are generally relatively strong and their main drawback is most probably
their speed, although at micro-scale the heat is quickly radiated away and operating frequency up to 1 kHz can be achieved.
Bimorph actuators are the most common type of thermal actuator. The bi-material
5
It will also happen along the X-axis but with much less bending as the beam is narrow.
165
Example 4.2 Dynamic model of a bimorph piezoelectric actuator

e want to analyze a piezoelectric actuator obtained by depositing on a silicon cantilever a ZnO layer of thickness t with its C axis perpendicular to
the surface (that is along the Z axis). We will be using a model similar to what is
described by Senturia[14].
A voltage applied on the electrodes will
X
induce stress at the ZnO/Si interface
Y
Z
through the converse piezoelectric effect,
V
creating a bending moment, effectively
z
bending the cantilever and deflecting the
W
H
tip. At the same time the direct piezoL
electric effect will change the polarization
inside the piezoelectric layer because of its
deformation, modifying the capacitance of the actuator.
The piezoelectric actuator is linear and
Actuator
thus the dynamic of this actuator can be
1/k
RT i
1:n z
modeled with the formalism developed in
+
+
Section 2.5 actually we are trying to
+
m
v
F
C0
VT assign the values to the elements of the
c
lumped model in Example 2.10.
Electrical
Mechanical
As we have seen, applying the electrical
domain
domain
field EZ along the Z-axis (the C axis of
the crystal) creates expansion along the Z
direction. As the film is free to extend in this direction Z = 0. However the
contraction occurring along the X and Y directions are prevented because the film
is placed on a rigid substrate ( X = Y = 0). Thus we have:
0 0 d1
s s s 0 0
0
0
X
1 2 3
Y 0 0 d1
0 s2 s1 s3 0 0
0

0 0 0 d2
Z s3 s3 s4 0 0
0
+
0
=
XY 0 d3 0
XY 0 0 0 s5 0
0

V /t

Y Z d3 0 0
Y Z 0 0 0 0 s5
0
0 0 0
ZX
0 0 0 0 0 2(s1 s2 )
ZX
with s1 = 7.79 1012 Pa-1 , s2 = 3.63 1012 Pa-1 , s3 = 2.12 1012 Pa-1 , s4 =
6.28 1012 Pa-1 and s5 = 24.7 1012 Pa-1 . We use the two equations along X and
Y and write
0=s +s +d V
1 X
2 Y
1 t
0=s +s +d V
2 X
1 Y
1 t
166
Example 4.2 Dynamic model of a bimorph piezoelectric actuator (continued)

V
1
and obtain X = Y = s1d+s
showing that we have a bi-axial stress in the
2 t
cantilever.
Because the piezoelectric thin film is much thinner than the silicon beam (H >> t),
we can assume the neutral axis is still in the middle of the beam and the stress
is just at its surface. We also understand that the bending of the cantilever will
mostly be along its length and ignore the bending along Y. Then, neglecting the
stiffness of the piezoelectric layer, the bending moment M is simply given by
considering the force X tW at a distance H/2 of the neutral axis:
M X tW
d1 HW
H
=
V
2
s1 + s2 2
it is again independent of t, the thickness of the piezoelectric layer. The moment

is also independent of x thus the beam is under pure bending moment along Z.
Using Eq. (4.1) and I = H 3 W/12 we write:
d2 z
s1 M
s 1 d1 6
=
=
V
2
dx
I
s1 + s2 H 2
Thus, the deflection of the actuator z(x) is obtained by simply integrating twice
the previous expression and assuming that z(0) = 0 and the slope dz/dx is also 0
at x = 0:
d1 s 1 3
V x2
z(x) =
s1 + s2 H 2
The beam assumes a parabolic profile, and the deflection at the tip x = L is:
zL =
d1 s 1 3 2
LV
s1 + s2 H 2
Noticing that in the mechanical domain considering the spring in quasi-static we

have F = kzL and that the transformer implies that F = nV we can write that:
nV = kzL zL =
n
V
k
By identifying the two expressions obtained above for zL , we get:

n
d1 s1 3 2
=
L
k
s1 + s2 H 2
We turn now our attention to the electric domain equations, assuming that the
cantilever deformation does not change significantly the stress in the piezoelectric
layer. Thus we can write the equation for the direct piezoelectric effect in this
layer as:
167
Example 4.2 Dynamic model of a bimorph piezoelectric actuator (continued)
DX
DY
DZ

= 0 0 0 d3

d1 d1 d2 0
d3
0
0
0

0
0

XY
Y Z
ZX
X 0

+ 0
Y

0 0
0 0

Z
V /t
The Gauss law expressed with the electric field displacement D states that
D ndA = Q the charge in the system. The electrodes are in (X,Y) parallel
planes, thus the normal to the electrodes is along Z and the Gauss integral simplifies as DZ W L = Q. The two other components of the electric displacement(DX
and DY ) do not contribute to the electrodes polarization. From the direct piezoelectric effect equation, we find that DZ = d1 X + d1 Y + Z Vt , thus using the
previous expression for the biaxial stress in the piezoelectric layer we obtain:
Q = DZ W L =
WL
d21 W L
+ Z
c1 + c2 t
t
There are two contributions to the capacitance of the electrodes: a first capacitance
term due to the charge appearing through the direct piezoelectric effect and the
biaxial stress in the piezoelectric layer, and a second capacitance term arising
from the charge displacement in the dielectric. This second term Z WtL is the
capacitance from the electric domain and is the C0 of the model. The first term
d21 W L
2 c1 +c
is actually the capacitance of the mechanical domain 1/k seen from the
2 t
electrical side. As an impedance connected on a transformer secondary is divided
by n2 when it is seen from the primary, the equality between these two capacitances
is written as:
d21 W L
n2
=2
k
s1 + s2 t
Thus taking the ration between this expression, and the expression found previously in the mechanical domain for n/k, we get an expression for n:
n=
2d1 W H 2
3s1 tL
and an expression for k:

k=
2 s1 + s2 W H 2
3 s21
tL
Now, we turn our attention to the value of the effective mass m appearing in the
model that will be obtained by using Rayleighs method.
168
Example 4.2 Dynamic model of a bimorph piezoelectric actuator (end)

s1 3
The cantilever bends under a parabolic profile z = ax2 , where a = sd11+s
2 V . We
2 H
use this shape to approximate the vibrating mode shape under varying stress as
z(x, t) = ax2 sin(t)
The velocity along the beam is then given by:
z(x,
t) = ax2 sin(t)
Thus the kinetic energy stored in the beam is:
L
1
1
z 2 dV =
dA
z 2 dx = HW
2 V
2 A
2
0
1
= HW a2 L5 2 sin2 (t)
10
a2 x4 2 sin2 (t)dx
Kb =
d z
I
The bending moment in the beam is given by M (x, t) = EI dx
2 = 2 s a sin(t)
1
where the Youngs modulus along Z is taken as E = 1/s1 . We evaluate the elastic
energy as shown in Section 4.2.2 for a beam in pure bending:
1
s1 L 2
2
dV =
s1 (M z/I)2 dV =
M dx
2 V
2I 0
V E
s1 L I 2 2 2
W H3 2 2
(2 ) a sin (t)dx =
La sin (t)
2I 0
s1
6s1
Ub =
1
2
where we have used the fact that I = W H 3 /12. At resonance the amplitude of
kinetic and elastic energy are equal:
W H3 2
1
HW a2 L5 02 =
a L sin2 (t)
10
6s1
5H 2
02 =
3s1 L4
The effective mass is then given by:
k
m
2(s1 + s2 ) L3 W
m =
5s1
t
02 =
The last parameter of the model would be the loss c which is harder to evaluate
analytically without further hypothesis. In practice, we would estimate from past
experience
or measure the quality factor Q of the structure and set the value
of c = Qkm accordingly.
169
actuator, well known from the bimetallic version used in cheap temperature controller, and the heatuator (Figure 4.20) are both bending actuator where bending
is induced by a difference of strain in two members connected together.
a
ah
al
T0
T0
T1
Th
I>0
Tl
T1 >T0
bimorph
heactuator
Figure 4.20: Thermal bimorph actuators.

The bi-material actuator obtains this effect by using two different materials
with different coefficients of thermal expansion that are placed at the same temperature resulting in a misfit strain m = (1 2 )T . The curvature of a bi-material
actuator is given by:
=
E12 h41
6E1 E2 (h1 + h2 )h1 h2 m

+ 6E1 E2 h21 h22 + 4E1 E2 h32 h1 + E22 h42
4E1 E2 h31 h2
(4.13)
where Ei is the Youngs modulus for the two materials and hi their thickness.
Actually the difference in thermal expansion existing for materials deposited at
different temperatures (e.g., polysilicon and metal) makes any bilayer curl when
it is released at room temperature. This effect is often annoying, and if it can be
controlled to some extent, it is the main issue behind the use of bilayer actuator.
Actually, for such actuator, upon release the bilayer will curl (up if it has been well
designed!) and as its temperature changes (e.g. using Joules heating by flowing a
current) its radius of curvature evolves but it will be difficult to make it flat. Still,
the initial stress induced curvature has been put to good use to fabricate curling
beam that naturally protrude high above the surface of wafer in a permanent
way. They have been used to lift other MEMS structure (e.g. micro-assembly in
Figure 5.1) or micro-parts (e.g. conveying system).
The heatuator [19] does not have this problem as it uses a single material. This
simplifies the fabrication, and the difference in strain is obtained by maintaining
different temperature in the two arms. Actually as the current flow through the
actuator the wider cold arm will have a lower resistance and thus generate less
heat than the other narrow hot arm.
It should be noted that the force produced by these two actuators decreases with
the stroke: at maximum stroke all the force is used to bend the actuator and no
external force is produced. One heatuator can produce force in the 10 N range
and they can be connected together or made thicker to produce larger force.
170
The thermo-pneumatic actuator is another actuator where the expansion of a

heated fluid can bulge a membrane and produce a large force. This principle has
been used to control valve aperture in micro-fluidic components. In the extreme
case, the heating could produce bubble resulting in large change of volume and
allowing to produce force as in the inkjet printer head from Canon or HP.
Finally the shape memory effect is also controlled by temperature change and
traditionally belongs to the class of thermal actuator. The shape memory effect appears in single crystal metal like copper and in many alloys among which
the more popular are NiTi (nitinol) or Nix Tiy Cuz . In such shape memory alloys
(SMA) after a high temperature treatment step, two solid phases will appear one
at low temperature (martensite phase) and the other at high temperature (austenite phase). The alloy is rather soft and can be easily deformed at low temperature
in the martensite phase. However, upon heating the alloy above its phase transition temperature it will turn to austenite phase and returns to its original shape.
This process creates large recovery forces that can be used in an actuator. The
temperature difference between the two phases can be as low as 10C and can be
controlled by changing the composition of the alloy. In principle the alloy can be
trained and will then shift from a high temperature shape to a low temperature
shape and vice-versa when the temperature is changed. In practice, training is difficult and micro-actuators based on SMA are one way actuator, the restoring force
being often brought by an elastic member, limiting the total deformation. The
most common application of such material has been for various micro-grippers,
but its use remains limited because of the difficulty in controlling the deposition
of SMA thin-films.
PROBLEMS
171
Problems
1. Establish the expression of the spring constant of the folded beam suspension. You may want to consider the symmetry existing in the structure and
decompose it as a set of cantilever beams connected in series and in parallel.
2. We consider a micro-cantilever of length L, width w and thickness h bending
under its own weight.
What is the expression of the weight per unit of length of the cantilever
assuming the material has a density of ?
What is the general expression of the deflection at the tip of the cantilever?
What is the length of a 2 m thick silicon cantilever whose tip deflects
by 2 m? (Note: the density and Youngs modulus of silicon are =
2.33 103 kg/m3 and E = 106 GPa, the acceleration of gravity is g=9.81
m/s2 )
What are the practical implication of this deflection for the cantilever?
3. A force sensor is based on a piezoresistor placed on a cantilever. For which

of the layout in Figure 4.21 will the force sensitivity be the highest when
the force is applied at the tip of the cantilever? (Note: we have l = 31
1011 Pa1 and t = 17 1011 Pa1 .)
Force
(a)
(b)
Piezoresistor
(c)
(d)
Figure 4.21: Design of force sensor.

4. A channel etched in silicon by KOH is then sealed with wafer bonding resulting in the cross-section shown in the Figure 4.22. What will be the expression
of the flow as a function of the pressure drop for such a channel?
5. Establish the equation (eq. 4.7) for the pressure drop in the capillary shown
in Figure 4.23, starting from the expression of the Young-Laplaces equation
(eq. 4.6).
172

a
54
Figure 4.22: Channel cross-section.
2R
Figure 4.23: Capillary cross-section.

6. A capillary of diameter 100m is placed vertically above a reservoir. How
high will water rise in the channel if it is made in silicon (contact angle
63 ) or if it has been coated with silicon nitride (contact angle 24 )? What
happens in the capillary if water is replaced by mercury (considering contact
angle remain the same)?
7. Establish the expression of the pull-in voltage in the electrostatic gap-closing
actuator shown in Figure 4.16. You can start first by writing the equilibrium
equation between the restoring spring force and the electrostatic force.
Chapter 5
MEMS packaging, assembly and
test
MEMS packaging, assembly and test collectively called back-end process problems are the aspects of the MEMS technology that even now remain the less
mature. Actually, although the bookshelves appear to be replete with books discussing all the aspects of MEMS technology, we had to wait until 2004 to finally
have a reference book really discussing these three issues with real MEMS examples [28]. However it is hard to stress enough how MEMS packaging and test are
important for obtaining a successful product at a low cost. Figure 5.1 shows two
real life examples of MEMS based micro-sensor where packaging, assembly and
test are a dominant part of the total cost.
Package
5%
Substrate
17%
Die
14%
Package
14%
Assembly
and test
64%
Assembly
and test
32%
Die
30%
ASIC
24%
(a)
(b)
Figure 5.1: Cost break-up in (a) a pressure sensor in plastic package (b) an accelerometer in surface-mount package
As a matter of fact, the choice taken for packaging and test may dictate how
to design the MEMS chip itself! This is in sharp contrast with micro-electronics
packaging where packaging is a somewhat independent activities than chip processing or design. On the contrary, in the MEMS case (no pun intended!), the
influence of the package on the microsystem behavior may be very significant.
173
174
CHAPTER 5. MEMS PACKAGING, ASSEMBLY AND TEST
Example 5.1 Packaging affecting MEMS response

e consider a thermal sensor, used in a flow sensor and look at two
different scenarios for the packaging : either the sensing element is directly
in contact with the fluid or, because the fluid is corrosive, it is protected by a
sheath.
In the first case the sensor is a first order system, where R is the thermal resistance
(the way it oppose change in temperature) of the sensing element and C its thermal
capacitance (how it stores heat).
Tf
Rs
Tf
Ts
Cs
Ts
Thus its transfer function is given by: TTfs = 1+1 s s with s = Rs Cs
However, when a sheath is placed around the sensing element it brings an additional thermal resistance (Rp ) and thermal capacitance (Cp ), and the sensor
becomes a second order system.
Tf
Ts
Tp
Tf
Rp
Cp
Tp
Rs
Cs
Ts
with the transfer function :

Ts
1
=
with p = Rp Cp and s = Rs Cs
Tf
1 + (p + s + s Rp /Rs )s + s p s2
The dramatic differences existing between responses of first and second order systems clearly underscore the necessity to include the packaging at an early stage of
the design.
5.1. ASSEMBLY
175
The Example 5.1 shows clearly that early consideration of the packaging solution could lead to a successful product... while ignoring it could lead to a dramatic
failure.
The different operations that could appear in a somewhat complete MEMS
back-end process are presented in Figure 5.2, and we find the assembly, packaging
and testing steps. However as we stressed earlier, nothing is less typical than
a standard MEMS back-end process - and in practice, some steps may not be
present or their order be different.
Electrical
Test
In-Pack.
Assembly
Release
Wire
bonding
WL
Assembly
Sealing
Mounting
Dicing
Functional
Test
Calibration
Compens.
Figure 5.2: Standard packaging steps for MEMS

The general tendency, to decrease the cost, is to perform as many steps as
possible at the wafer level and not for individual die. Accordingly, recent years
have seen the emergence of techniques like wafer Level Packaging (WLP), where the
back-end process can hardly be distinguished with the front-end process. However,
in most cases, many operation still need to be performed component by component,
explaining largely the cost of this step in the MEMS production.
5.1
Assembly
Assembly of MEMS part is normally not a good idea as it traditionally requires

part-by-part processing and loose the cost advantage attached to batch processing.
However there are examples that show it can still be used and we have discussed previously (4.1) that hybrid integration is the normal answer to electronics
integration with MEMS. The IC chip is assembled with the MEMS chip either
quasi-monolithically using flip-chip solder bump, or more simply using in-package
assembly (Figure 3.11) : the MEMS part is placed inside the package along the
electronics chip and connected using wire-bonding. Such systems are referred to
SIP (System In the Package) and contrast strongly with the SOC (System On
Chip) approach, where MEMS and electronics are built together on the same die
like in the ADXL accelerometer from Analog-Devices.
Assembly is sometimes a viable solution, and it is actually even possible to have
real MEMS part assembly. After all, watch-makers assemble small parts and still
manage to reach very low cost using automation. Accordingly, different automated
MEMS assembly systems have been demonstrated, and some showed success for
tasks with reduced manipulation need. However complete free 3D assembly of
MEMS part (6DOF) with the necessary accuracy and precision (< 1m) is still
176
too slow to be of practical use.

However MEMS offers a much clever path to assembly than serial processing:
the batch assembly, which maintains the advantage of batch processing. This is
accomplished along two paths : self-assembly or integration of assembly microactuator.
In the first case, natural forces like capillary forces, are used to pull and position
the MEMS element in place.
In the second approach, at the same time the MEMS is developed, microactuator are integrated to realize the assembly task. In this way, we can recoup
some of the overhead brought by assembly, because now, the mechanical assembly
can be performed by batch. Actually for allowing complete assembly, the MEMS
should not only include an assembly actuator but also some locking structure that
will keep the assembly in position even after the special actuators are no more
powered. As they are used only for a short time, these actuators can have a
short lifespan (e.g., SDA actuator) even working one time only (e.g., stress based
actuator as in Example 5.2), require large power (e.g., heatuators) or high voltage
(e.g. large force comb-drive actuator) without posing too much problem.
5.2
Packaging
MEMS packaging, unlike the well-established and standardized IC packaging technology, is still largely an ad-hoc development. The main packaging efforts have
been conducted within MEMS manufacturer companies, and they have jealously
kept their secret considered, with reason, as the most difficult step to bring MEMS
to market.
Still, the purpose of packaging in MEMS is in many ways similar to IC, and
we can list a series of functionalities that should be brought by the package:
Support: provide a standard mechanical support for handling during assembly of the MEMS part into a system.
Protection: protect the chip from the environment (dust, stress, shock, moisture...). For MEMS the most important parameter to be controlled is often
stress.
Interfacing: bring signal in and out of the chip. For MEMS, signals will not
only be electrical but may be fluids, radiation, fields...
Heat removal: ensure the heat generated inside the chip is properly evacuated
to the environment (it is actually only a special kind of interfacing, but not
for a signal). Actually, this point is much less severe with MEMS than with
IC and is usually relatively easy to fulfill.
The need for protection from the environment is actually for MEMS not only
for reliability (e.g. preventing corrosion of metal contact) but it often serves to
5.2. PACKAGING
177
Example 5.2 Stress-driven automated assembly of tunable micro-mirror.

lcatel-Lucent Bell labs did develop at the turn of the millennium (and
in 18 months!) the Lambda router (marketed until mid 2002 as the core component in their Wavestar all-optical routing system) using an intricate structure
of integrated stress-driven vertical actuator to assemble array of two-axis gimbal
mirrors.
The complex mirror structure needed a fast electrostatic command that could be
easily obtained with surface micromachining. However they also needed a large
tilting angle that this process could not directly provide as deposited sacrificial
layer are too thin to obtain enough space below the 500 m wide mirrors. They had
to develop a clever assembly process to obtain from the flat surface-micromachined
layers the 3D structures they needed.
Blocking support
Dual gimbal mount
Mirror
2
1
2
The mirror is actually pushed above the surface of the wafer using beams curling
up permanently under stress gradient (see Section 4.4.4) and held in operating
position by additional blocking structure. The Figure shows the principle of the
1 ) the
device which get automatically assembled during the release etch: at first (
narrow bilayer beams get freed positioning the locking structure above the gimbal
2 ) the wider bilayer beams are freed, curling up and pushing
mount ears, then (
the mirror against the blocking structure that self-align using the V-shaped frames.
solve simultaneously a functional problem. For example, hermetic encapsulation

protects die from contamination but it is also used in pressure sensor to obtain
a reference pressure in a cavity, or to control damping in resonant system. But
the required protection level in MEMS is often higher than for IC. Actually the
presence of water vapor - that could condensate during use on any mobile part may make hermetic package a must have and not only for pressure sensor. For
example, a water droplet appearing inside the TIs DMD mirror array would induce
178
defects hard to accept in a product of that price.

To understand some of the challenge that lies in the design of MEMS packaging
we may have a look at the Table 5.1 adapted from [27], where, next to some typical MEMS micro-sensors, we have also figured the requisite for micro-electronics
packaging.
Sensors
Elec.
port
Fluid
port
Transp.
wind.
Hermetic
encaps.
Stress
isolation
Heat
sink
Pressure
yes
yes
no
maybe
yes
Flow
yes
yes
no
no
no
Thermal
isolation
Calib.
Comp.
no
no
yes
no
yes
yes
Accel.
yes
no
no
yes
maybe
no
no
yes
Yaw-rate
yes
no
no
yes
maybe
no
no
yes
Sound
yes
yes
no
no
no
no
no
yes
Light
yes
no
yes
no
no
no
maybe
no
Temp.
yes
maybe
no
maybe
no
maybe
maybe
yes
IC
yes
no
no
moisture
no
maybe
no
no
Table 5.1: Packaging and testing requirement for some micro-sensors (adapted
from [27]).
It is obvious that the challenges brought by micro-sensors packaging are completely different from those encountered by electronics packaging. The necessity
for the measurand to reach the sensing element brings in transparent windows,
fluid port, gas hermetic sealing, stress isolation... unheard of in the IC industry,
and unfortunately, in the IC packaging industry.
In fact, besides protection, the major hurdle often rests in interfacing to the
external environment. Actually this problem is diametrically opposed to the preceding point: interfacing requires us to open a way in (and out) through the protection to come close to the MEMS die. For inertial sensors, such as accelerometers
and gyroscopes, the packaging problem is not too severe because they can be fully
sealed and still sense the measurand they are to probe provided they are rigidly
attached to the package. In that case, the use of stress relieving submount and a
bonded cap is all whats needed to be able to use modified IC packaging procedure.
But this is for the simplest cases, for chemical and biological sensors, which must
be exposed to fluids, the task is much more complex and the package can represent
as much as 90% of the final cost. Actually, the diversity of issue encountered for
interfacing has for the moment received no standard solution and the packages
are then designed on a case-by-case basis. In many cases the package will condition the response of the MEMS, particularly in the case of micro-sensor, and the
package must be considered during design at the earliest possible stage. See for
example the gas sensors developed by Microsens in Figure 5.3. The package use
a charcoal filter placed inside the cap for a very important function : decreasing
cross-sensitivity by allowing only small molecule gas to go through and to reach
the sensing element. The time for the gas to diffuse through the filter determines
mostly the response of the sensor, that behaves as a first order system with a time
5.2. PACKAGING
179
constant in the order of 10 s, whereas the response of the sensing element (the
MEMS die) is shorter than 1 s. The package has definitely a dramatic effect on
the system response!
Nylon mesh
Nylon cap
Filter
16 mm
Metal
mesh
Metal cap
Sensor die
Figure 5.3: A gas sensor and its package developed by Microsens
5.2.1
Encapsulation
Encapsulation is used to protect the MEMS from mechanical contact, dust, water
vapour or other gases that could affect the reliability of the MEMS. Encapsulation
is performed by using plastic, ceramic or metal, with cost increasing in the same
order. For example, a pressure sensor from Novasensor packaged in plastic may
be sold for less than US5, while a steel housed sensor with metallic membrane
for harsh environment may exceed the US100 mark! NovaSensor is proposing
the three types of packaging: the plastic package for a low-cost low performance
sensor, a ceramic package for compensated structure for medical application, a
metal case (modified from a standard TO-8 cap from the early IC industry) and a
full metal package (the interface to the environment is a metallic membrane) for
corrosive or harmful media. But we should note that the MEMS sensing element
used in these three sensors is exactly the same - the value of the sensor is mostly
in the package!
Ceramic cap
TO-cap
MEMS die
TO-base
Lead pin
TO-package
Low temp.
seal glass
Ceramic base
IC die
MEMS die
Lead frame
CERDIP-package
Figure 5.4: Box and lid package in metal (TO-header) and ceramic (CERDIP).
180
Material
Modulus (T/S)
CTE
ppm/K
GPa
Yield strength (T/S)

MPa
Si
4.1
150
N/A
Al (pure/alloy 1100)
23
69
35/60
Al (Si alloy)
6.5-13.5
100-130
Cu
17
117
70
Ni
13
207
148/359
In
29
11
1.9/6.1
Alumina (Al2 O3 )
6.7
380
Kovar
5.9
131
340
Borosilicate glass
4.5
65/26
29
Epoxy (pure)
60
2.4/0.9
54
Epoxy (carbon fiber)
-1.1
186
Table 5.2: Characteristics of some packaging materials (T:tensile, S:shear).
As MEMS generally have mobile parts, the main difficulty of MEMS encapsulation is to avoid blocking this motion. This originally forbid the simple use of
injection molding after mounting on a lead frame as in standard IC packaging.
The earlier idea were to use existing box and lid type of casing, like the older TO
series of package used for transistors or the ceramic CERDIP package, as we see
in Figure 5.4. This package have been adapted to the specific MEMS application,
and for example we have figured an original Transistor Outline (TO) case modified
by welding a fluid entry port to the cap for using it in a pressure sensor. Later
on, to reduce cost, injection molded plastic box and lid cases were used, most notably in Motorolas consumer grade range of pressure sensors. The CERDIP case
solves the second main issue generally encountered in MEMS packaging : thermal
stress. Many MEMS devices are actually stress sensitive, and besides the obvious
piezoresistive type of sensors, even DLP chips or fluidic micro-valves would have
issue if too much stress is induced during the encapsulation step or during the device use. As such, the choice of materials is often tied to the coefficient of thermal
expansion (CTE) with respect to silicon. The Alumina used in CERDIP package
has a CTE close to the CTE of silicon and thus wont introduce too much stress
changes while it is operated in the environment.
Another example of matched CTE in MEMS packaging is given by the DLP.
Actually the glass window above the chip is made in borosilicate glass that is
bonded to a covar lid. A rapid look in Table 5.2 shows that this choice of material
5.2. PACKAGING
181
is well thought of: they have both a matching CTE which is close to the CTE of
silicon!
However, matching the CTE is not the only way a material may be suitable for
MEMS packaging - particularly for a material that is in contact with the MEMS
die. Actually some polymer, although they exhibit a very large CTE and will
experience large thermal expansion, can still be used for packaging. To understand
that, we note that the stress induced by thermal expansion is proportional to the
temperature T , the CTE but also to the Youngs modulus E:
T ET
As polymer have usually small Youngs modulus, they wont exert much force on
the silicon die as they will deform readily and absorb much of the induced strain.
In fact soft polymer are often used as a stress relieving buffer to attach the die to
the casing for example.
More surprisingly, some material, that possess a high CTE and a relatively high
Youngs modulus can still be used in packaging. The best example is given by
indium. This metal can be used for solder or as a paste for die attachment because,
although it has a relatively large CTE and Youngs modulus, its yield strength
is very low. Thus as the thermal strain changes, the alloy will quickly deform
plastically and again wont induce any excessive stress on the MEMS die.
If MEMS encapsulation is still too often an adhoc development, some strategies
are maturing to keep as much as possible of the cost advantage brought up by batch
fabrication. As such, more and more MEMS devices use first level encapsulation,
where a glass or silicon wafer is bonded to the chip, helping to maintain the MEMS
integrity during dicing and further mounting in the package. In the packaging
with wafer bonding technique (cf. Sec. 3.3.3) the cap wafer is first patterned
with a simple cavity, or even a hole if an access to the environment is needed.
Then, alignment of the MEMS wafer and the cap wafer brings the cavity in front
of the MEMS part before the bonding is finally performed (Figure 5.5). This
Figure 5.5: Glass to silicon anodic bonding to provide first-level encapsulation of

MEMS sensor.
pre-encapsulation technique has the advantage to be wafer level and to provide
an inexpensive way to allow the use of the epoxy overmolding to package the
182
component. Actually, after dicing the wafer in chips, the capped MEMS is rather
sturdy and can be processed using standard IC packaging procedure.
The first step, shown in Figure 5.6, consists in placing each die on a lead frame,
a long strip of identical metal structures punched from a thin foil. The lead frame
is used as a support for the die and to obtain electrical connection that can be
soldered on a printed circuit board (PCB). The dies are first glued on each of
the die bonding site using polymer or indium. Then electrical wiring is done to
connect the pad on the MEMS chip to the lead frame contacts that reroutes them
to the chip contacts. This part of the process is serial in nature, but can benefit
heavily from automation (pick-and-place and wire-bonding machines) as it is a
simple task, making it surprisingly cost effective.
Lead frame strip
Chip mounting
Chip wiring
Wafer bonded die
Figure 5.6: Die mounting and wiring on a lead frame.

The encapsulation steps is, in the other hand, done by batch, using directly the
lead frame strip as shown in Figure 5.7. The lead frames with their wired dies are
placed in a mold having multiple cavities before injection molding can be used. A
thermosetting monomer puck is heated above its glass transition temperature and
pushed by a piston in all the cavities of the mould, completely covering the dies.
Then heating is maintained until the thermosetting monomer is fully cross-linked
and becomes a hard polymer. The polymer normally used is based on epoxy, although it has relatively poor thermal properties and needs to incorporate different
additives (flame retardant for example) to meet environmental regulations.
5.2.2
Hermetic encapsulation
The protection function of the package is normally understood as relatively simple

to ensure if one can make the package fully hermetic: in that case no contaminant
(gas, moisture, dust...) can contact the die and it will be protected. However we
know that even the most airtight metal box of cookies eventually get them spoiled,
thus what does hermetic really mean? What kind of leak rate may be acceptable?
An easy answer will be to look at standard and for example the military standard
Mil-Std-883 splits leaks between gross leak (for leak rate between 101 and 105
atm-cc/s) and fine leak (for leak rate106 and 108 atm-cc/s) and a gray zone
in between. The standard also gives a lower limit of 108 atm-cc/s for what is
5.2. PACKAGING
183
Molding epoxy puck
Wafer bonded MEMS die
Lead frame
Figure 5.7: Main steps in overmolding process using thermosetting polymer

(epoxy).
required for reliable semiconductors operation but is this OK for MEMS ? But
before we try to answer this question, what actually does atm-cc/s mean?
The main characteristic of a leak is its leak rate, that describes the quantity of
fluid that can pass through it in a given time. We note that the literature for leak
or flow often uses a unit of pressure volume (at a certain temperature) instead
of mol for the quantity of matter hence the at-cc/s, that is atmosphere times
cubic centimeter per second. The idea behind this is that the ideal gas law directly
relates P V to moles as P V = NM RT where NM is the number of moles. But this
usual unit is ambiguous (in addition to not being a SI unit) as the quantity of
matter represented by the pressure volume units depends on the experimental
temperature T which is often not reported, making precise comparison between
different systems impossible. If the temperature is known, the ideal gas law allows
conversion of the customary units to mol/s as shown in Table 5.3 by using SI units
of pressure and volume and dividing by RT as :
1 dP V
dNM
=
dt
RT dt
We will be using exclusively the mol/s unit to describe leaks and encourage
184
Unit
0
mol/s
20
mol/s
25
mol/s
300K
mol/s
1 atm cc/sec
4.46 105
4.16 105
4.09 105
4.06 105
1 Pa m3 /s
4.40 104
4.10 104
4.03 104
4.01 104
1 mbar l/s
4.40 105
4.10 105
4.03 105
4.01 105
Table 5.3: Conversion of flow units between customary units and mol/s for different
temperatures.
engineers to do the same.
Fully hermetic package, that is a package without any exchange with the environment for any period of time, hardly exists at all. In practice, given enough
time, some gases will creep through some defects by diffusion like process and
reach the inside of the package. Of course the existence of leaks, as can be found
at seal interface, makes the thing worse, but plain materials without cracks will
anyhow let fluids sip in through a process called permeation. Then the choice of
the material is crucial to obtain good hermetic package, as the permeation of gas
and moisture through the material itself will be the ultimate limit to the leak rate
in any package.
Actually, the flow of gas Q through a barrier made of a certain material can
be linearized and using the unit of mole per unit of time (Q M = NtM ) given the
form:
AP
Q M = P0
d
where P0 is the intrinsic permeability for the material, A the exposed surface, P
the pressure difference between both side, and d the barrier thickness. There is
no standard unit for P0 and it mostly changes with the pressure unit used1 and
we use mol s1 m1 atm1 . The expression of the moisture evolution with time
in a package of volume Vin , is obtained by first recognizing in the case of a closed
volume the relationship between the flow and the pressure inside the volume using
the ideal gas law (P V = NM RT ),
V dP
dNM
= in in
Q M =
dt
RT dt
then we use the definition of the permeability (and the fact that Pout is constant)
to obtain,
dPout Pin
RT A
=
P0 (P
Pin ).
dt
Vin d out
1
We express flow of matter in mol/s but the literature often reports a mass flow in kg/s
instead. Divide the kg/s value by the gas molar mass (e.g. 0.018 kg/mol for water) to obtain
mol/s.
5.2. PACKAGING
185
This differential equation is solved by considering that the external water

vapour pressure is constant (Pout (t) = Pout t), while the inside pressure is
initially Pin (0) = 0, giving:
Pin (t) = Pout 1 e
RT
d
A
V
in
To get some general information out of this equation with a large number
of parameters, we need to make a few assumptions. We will consider the time
(t = t50 ) it takes in a cubic (spherical) box of side (diameter) a (i.e., in both cubic
and spherical cases Vin /A = a/6) for the water vapour pressure to reach 50% of
the outside pressure. Thus using Pin = 0.5Pout we get an expression relating the
permeability with other environmental and package parameters:
log d log t50 + log
ln 2 a
RT 6
= log P0
Finally, considering a temperature of 25, and a package with a side a = 1 mm,

we plot Figure 5.8 showing the relationship between the time it takes to cross a
certain thickness of a barrier made of materials typically used in packaging.
As a matter of fact, for electronic circuit high reliability is obtained even with
non-hermetic packaging (polymer) by coating the surface of the wafer with protecting layer (e.g., low stress silicon nitride and other dielectrics) that acts as excellent
barrier to moisture and gas. We can see in Figure 5.8 that 2 m of such materials
is theoretically equivalent to almost 10 cm of epoxy! Of course the reality will
be different as thin films tend to have more defects, but nevertheless the figure
allows to highlight a big difference with MEMS packaging: in general mobile part
will prevent using protection layers deposited on the die and the reliability will
be harder to guarantee as it will more directly depend on the hermeticity of the
package itself.
To assess and model this issue, and complete the permeability with a study of
fine leaks, we will develop a model of vapour or gas leak where we describe the
flow of gas with classical theory using SI units of mol/s. The leaking behavior of
packages can be described relatively simply by considering leaks as very narrow
channels. Actually when there is a difference of pressure between two sides of a
barrier it also means that there is a difference of gas molecules density (and maybe
velocity if they are not at the same temperature) on both sides. The relationship
between gas molecule molar density and pressure is simply given by using again
the ideal gas law :
P V = NM RT P =
NM
RT P = nM RT
V
(5.1)
where NM is the number of mole of gas molecule, nM the molar density (in mol/m3 )
and R = 8.31J/K.
186

-1
-1
-1
Intrinsic Permeability [mol s m atm ]

-5
10
10
-6
-11
ies
s
e
-5
10
on
10
-9
rb
-4
ca
10
ox
-3
en
ryl
e
tri
d
et
a
ls
Ni
Gl
as
se
Pa
uo
ro
10
Ep
-2
10
Fl
Thickness [m]
10
-7
es
10
on
-1
-3
lic
10
10
Si
10
1
min
1
h
1
day
1
mo
1
yr
10 100
yr yr
Figure 5.8: Required barrier permeability and thickness for reaching specific duration of protection (defined as the time it takes for the moisture pressure inside
the package to reach 50% of the outside pressure at T =25 in a cavity with side
a=1 mm).
But what happens now if there is an aperture in the barrier? In that case,
in the average, the number of molecule entering the aperture on the high density
(i.e. pressure) side will be larger than on the lower density (i.e. pressure) side,
resulting in a net flow of molecule from high pressure to low pressure. This flow
is then simply governed by the gas molar density difference nM 2 nM 1 , and can
be written in the form
NM 1
= C(nM 2 nM 1 )
Q M 1 =
t
where C is expressed in m3 /s and is the conductance of the channel that takes
into account the probability that a molecule is going through the aperture and not
coming back.
The conductance depends on the flow regime, which in turn depends on the
dominant collision mode for the gas molecule flowing through the aperture : are
the wall collisions or the inter-molecule collisions dominating? To estimate this
effect we compare the width of the channel d with the gas molecules mean free
path . At one end of the regime (/d < 0.01 : large channel), as the wall
contact is infrequent and the inter-molecules collisions dominant we have viscous
5.2. PACKAGING
187
Poiseuilles flow (cf. Sec. 4.2.3). Then, as the interaction with the wall becomes
dominant (/d > 1 : narrow channel) we observe molecular and diffusion flow.
The equations governing these different types of flow show that for a long channel
of diameter d, Poiseuilles flow varies as d4 (cf. Eq. 4.3), molecular flow as d3
and diffusion flow as d2 , which could allow to experimentally find what regime is
dominant in a particular case.
But, for small hermetic package, only the study of fine leaks is of interest (larger
leak will change pressure inside the package very rapidly) and we can reasonably
suppose that molecular flow regime is the dominant flow regime2 . The channel
conductance then takes a simple form as shown by Knudsen and the equation
governing the flow becomes3 :
Fm
Q M 1 = (
M
T2 nM 2
T1 nM 1 )
(5.2)
where we have left the opportunity for the temperature to be different on both
side of the leak. In the case where the temperature is equal, the eqution can be
simplified further as:
T
Q M 1 = Fm
(nM 2 nM 1 )
(5.3)
M
where Q M 1 is the molar flow in region 1 counted positive if it enters the region, Fm
is the molecular conductance of the leak (which for a single ideal circular channel
R/18d3 /L), T the absolute
of diameter d and length L is given by Fm =
temperature equal on both side, M the molecular mass of the gas and nM i the
molar density in region i. The conductance of the conduit (also called the standard
or true leak rate), for molecular flow is then defined as:
C = Fm
T
M
We note that the conductance depends on the temperature (and that this definition assumes equal temperature on both side of the leak), but if it is known
for one gas, it can be obtained for any other gases, provided its molecular mass
is known. Helium gas, having the smallest molecular mass after hydrogen, will
leak faster than most other gases and, at the same temperature, the ratio of the
conductance is given by C/CHe = MHe /M . Table 5.4 gives this ratio for some
commonly encountered gases. The air value is for rough computation as the molar
density (or partial pressure) of each component of air should be used with their
corresponding leak rate to estimate the effect of the leak (78% N2 , 31% O2 ...).
Actually, because of the difference in gas conductance, the leaked air will have
2
Diffusion flow will be dominant over molecular flow in the case where L
d, that is a short
conduit between the two regions which is not a common case in encapsulation.
3
We use here molar density instead of pressure as it makes the theory more sound and removes
some ambiguities in existing derivation.
188

Gas
Conductance ratio
Cgas /CHe
H2
1.414
He
N2
0.3779
O2
0.3536
H2 O
0.4714
Air
0.3804
Table 5.4: Conductance ratio for different gases with respect to He.
a different composition than normal air (N2 will leak faster than O2 ) until the
molar density equilibrates4 . The molar leak rate Q M is easily computed if the
molar density difference is constant, but actually for a closed package a gas leaking inside will gradually increase the molar density (or lower if it leaks outside)
continuously changing the leak rate, until
the molar density on both side becomes
equal (or more exactly the product nM T , when the temperature is different on
both side).
If we consider the standard situation for a package where
the molar density (and pressure) of the gas in the enviQ M1
ronment is unaffected by what can leak from the package
nM1
nM2
(i.e., nM 2 = nM 20 is constant), and by using the volume V
of the package to relate the mole number to molar density
V
nM 1 = NM 1 /V , we can solve the flow equation Eq. 5.3 and
obtain the evolution with time of the difference in molar density inside and outside
the package:
C
nM 2 nM 1 = nM 20 nM 1 = (nM 20 nM 10 )e V t
Then the molar leak rate is obtained as:
C
Q M 1 = C(nM 2 nM 1 ) = C(nM 20 nM 10 )e V t
and the molar density inside the package evolves following:

C
nM 1 = nM 20 + (nM 10 nM 20 )e V t
The molar density evolution equation can be converted to use the partial pressure in the package by applying Eq. 5.1 (ni = pi /RTi ), giving:
C
p1 = p20 + (p10 p20 )e V t

4
This is actually the principle behind gas chromatography, where gas species diffuse at a speed
depending on their molecular weight
5.2. PACKAGING
189
This last equation is the one generally obtained by following the standard derivation of the molecular flow theory, however it is only valid if the temperature inside
and outside the package is the same (which is not necessarily the case as heat is
usually generated inside the package). Actually, we see above
in Eq. 5.2 that if the
temperature is different, the variable of interest becomes nM T and the pressure
can not be simply used anymore.
Typically, the equation is used with two different initial conditions:
the package is in vacuum at t = 0 and air slowly leak inside. Then we have
C
: ppack = pair (1 e V t )
the package is pressurized with air at pressure p0 at t = 0 and leaks outside.
C
We have : ppack = pair + (p0 pair )e V t
Of course, other situation will involve more complex behavior, such as, for example,
when He is used to pressurize the chip: as He will escape through the leak, air will
try to enter the package (the partial pressure of nitrogen or oxygen is 0 inside) but will be impeded in its inward flow by the out-flowing He, modifying the results
seen above.
To maintain tight hermeticity the best method is probably to use wafer bonding
technologies with limited permeability to gas, like glass to silicon anodic bonding
or metal to silicon eutectic bonding (cf. 3.3.3).
However all MEMS can not be treated in this way, and for example the Texas
Instrument DLPs packaging is more complex because the tiny mirror would not
survive harsh elevated temperature treatment including glass bonding. Thus, a full
chip-by-chip hermetic package in metal with a transparent glass window had to be
designed. The package is sealed using brazed metal can in a clean room under a
dry nitrogen atmosphere with some helium to help check leaks, and incorporates
strip of getter material, a special material for removing the last trace of humidity
(Fig. 5.9). The getter is a material with a high porosity that will react with the
Metal cap
Glass window
DLP
Ceramic base
Getter
Seal
Al heat sink
Figure 5.9: Schematic of TIs DLP package with hermetic encapsulation and getter.
target gas (usually water vapour, but oxygen or other gases can also be targeted)
forming a solid compound at the getter surface. In general a special trick is
used to activate the getter after the package is closed (heating it above a certain
190
Example 5.3 Variation of pressure in a leaking pressurized package placed in air.

RF switch packaged with anodic bonding has a 500 m500 m200 m
cavity pressurized at to 2 atm with pure nitrogen (N2 ). The leak rate, measured with He, is 1016 mol/s (or 2 1012 mbar l/s). What will be the pressure
inside the package after 1 year?
We know that nitrogen will leak out but that other gases (oxygen, carbon dioxide...) will leak in. Actually, although the pressure inside the package is higher,
molecular flow is driven by difference in molecular density (or partial pressure).
For simplifying the problem, lets suppose we have only two gases, N2 and O2 , that
do not interact together.
The leak conductance for these two gases is computed from He data using Table 5.4
: CN 2 = 0.3779 CHe = 0.3779 1016 mol/s and CH2 = 0.3536 1016 mol/s.
Ambient air is composed of about
2
78% nitrogen and 21% oxygen, that
is, the partial pressure of the gas out2
2
= pN
side the package is pN
20 =
2
1.5
O2
0.78 atm and pO2
2 = p20 = 0.21 atm,
2
while originally inside pN
10 = 2 atm
O2
Total pressure
and p10 = 0 atm. This is converted
1
to molar density by using the perNitrogen partial pressure
fect gas law, nM i = pi /RT , and by
0.5
assuming a constant temperature of
300 K (27). The evolution of the
Oxygen partial pressure
molecular density inside the package
0
5
7
4
0
1
2
3
6
8
for the two gases is obtained using
Duration [10 s]
Equation 5.2.2:
Internal pressure [atm]
2
N2
N2
N2
nN
M 1 = nM 20 + (nM 10 nM 20 )e
02
n02
M 1 = nM 20 (1 e
CN 2
t
V
CN 2
t
V
Finally, the total pressure inside the package is the sum of the partial pressure
2
O2
p1 = nN
M 1 RT + nM 1 RT , and is shown in the Figure. Clearly, after 1 year (i.e.
31.536 106 s) the pressure, and the gas composition, inside the package will be
the same as ambient air : the leak is way too big.
5.2. PACKAGING
191
temperature, for example) so that the getter does not get quickly saturated in
the open air during packaging operation. Getter can be deposited by PVD or
CVD in thin films or pasted in the package, but they have a finite size and thus
will work best for a finite amount of gas molecules: in general the trace of gas
adsorbed on the inner surface of the package. On the longer run, they will retard
the degradation due to the permeation of water vapour but even very small leaks
will saturate the getter rapidly.
In view of the complexity - and cost - of fully hermetic packaging, it is lucky
that all MEMS do not need such packages and the end of the 1990s Ken Gileo and
others introduced a new concept: near-hermetic packaging. If this concept resists a
formal definition (what leak rate defines quasi-hermeticity?) a heuristic definition
would say that the package should be good enough for the MEMS operation.
Accordingly, relaxing the constraint on the hermeticity (possibly by supplementing
it with a getter) opens up the range of techniques that can be used, and for example
polymer encapsulation or bonded wafer using solder bonding or even polymer
bonding, would be generally good enough while allowing a much simpler bonding
procedure (as, for example, the flatness requirement with a relatively thick solder
paste is heavily relaxed compared to what is needed for anodic, or even worse, for
fusion bonding).
Finally, for hermetic or quasi-hermetic package the remaining question will be
how to test the hermeticity? Gross leak can easily be detected by a simple bubble
test where the package is heated and immersed in a liquid: if there is a gross leak
the heated gas will escape through the leak and form bubble. But this test does
rarely make sense in MEMS packaging, where gross leak could be spotted during
visual inspection. For fine leak, the standard test is the He-leak test using what is
known as the bombig test. Here, the package is first placed into a high pressure
chamber with Helium for some time to force the gas into the package. Then the
package is taken out of the high pressure chamber and the He leak rate is measured
with a calibrated mass-spectrometer. This procedure is able to measure fine leak
rate in package with a volume of a fraction of a cm3 down to a leak rate of about
5 1017 mol/s (or 1012 mbar l/s) for the best leak rate detection systems which
could be compared to the . Still, in general MEMS package are too small (and the
amount of He too little) to use directly the test on real packages and special test bed
(using the same material and bonding technique but having a larger cavity) need to
be built to perform this test. More advanced techniques will use the measurement
of the Q factor of a mechanical resonator microfabricated on the chip itself. As
the pressure inside the package increases (when it is left in an ambient at normal
pressure or at higher pressure for accelerated tests), the Q factor of the resonator
decreases, allowing to estimate the leak rate. The advantage of this technique is
that it is sensitive enough to measure the leak directly on the MEMS packages
with their actual dimension.
192
5.2.3
Electrical feedthrough
The main technique used for connecting the die to the contact on the lead frame
(cf. Figure 5.6), or to other dies in case of in-package assembly, is wire-bonding.
Originally developed as thermocompression gold to gold bonding (still used for
wafer-to-wafer bonding cf. Sec. 3.3.3), it evolved to take benefit from ultrasonic
force. We can distinguish now 3 different types of techniques (Table 5.5, with the
dominant one in IC manufacturing being thermosonic bonding, while ultrasonic
bonding is more often used for MEMS because of its low process temperature,
although the high ultrasonic energy may pose problem to mobile mechanical part.
Technique
Pressure
Temp.
US
Mat.
Type
Thermocompression
High
300-500C
No
Au/Au
Au/Al
B-W
W-W
B-W
W-W
Ultrasonic
Low
25C
Yes
Au/Al
Au/Au
Al/Al
Thermosonic
Low
100-150C
Yes
Au/Au
Au/Al
Table 5.5: Comparison of wire-bonding techniques

The type of the bond (ball or wedge) depends on the tool used, as shown in
Figure 5.10. Wedge bonding would usually allow higher contact density (pitch
< 50m), but is slightly slower than ball bonding.
MEMS die
Lead wire
Mount
Wire
Figure 5.10: Principle of (top) Ball-Wedge bonding and (bottom) Wedge-Wedge

bonding.
The most common material used for the bond are gold and aluminum. The
wire is 50-75 m diameter while the pad minimum dimension should be about 4
times the wire diameter for ball bonding, or 2 times for wedge bond. The Al/Au
5.2. PACKAGING
193
combination may form intermetallic and develop Kirkendall voids at moderate

temperature that are detrimental to the reliability of the bond. Accordingly, Al/Al
or Au/Au combinations should be preferred as they are free from these problems.
Other materials could be used as well in special cases. Copper wires are attractive
because of their low price and excellent conductivity, but they are harder to bond
requiring more force and inert atmosphere as they oxidize readily. The Au/Ag
combination has shown excellent high temperature reliability and has been used
for years with Ag plated lead-frame in high temperature electronics and sensors.
Wirebonding is harder to apply if the MEMS has been capped for protection
or for hermeticity. Actually, by covering the surface of the MEMS wafer, the cap
wafer hides the pads that would have normally been used for the interconnect.
Thus, many techniques have been developed to get the electrical contact fed under
the cap. In general the techniques are split in three different classes, with typical
examples in each cases shown in Figure 5.11:
Through the cap in that case the contact are taken through the cap. The advantage of this technique is that it does not interfere with the MEMS process,
as the bulk of the additional processes needed is performed on the cap itself.
Through the wafer in that case the contact are fed through the MEMS wafer
to its back-surface. This require additional process on the MEMS wafer, but
it can be interesting to do if there are already through-the-wafer holes in the
main MEMS process.
Lateral here the contact run below the surface of the MEMS wafer at the edge
of the cap. The difficulty here is to have a conductor running on the surface
that wont compromises the hermeticity of the bond. A solution proposed by
Sensonor for their MPW process is to use boron doped conductors diffused
at the surface of a SOI wafer before bonding, while the foundry Tronics
proposes a process where epitaxy is used to bury the pass-through wiring
before bonding.
Through the cap
Through the wafer
Lateral
Figure 5.11: Example of electrical feedthrough techniques for capped wafers.

The wafer bonding approach, has the potential to be used for a true wafer level
packaging technique (WLP) - without the need for overmolding - that could allow
packaging and of all the chips on the wafer in a single batch operation. Actually
the only remaining feature that is needed after wafer bonding is the possibility
194
to connect the chip to a printed circuit board (PCB) so that it can be assembled
in a complex system. This feature can be obtained by using the ball bonding
technology seen in flip-chip integration that we have seen in Figure 4.2. The
solder ball can be used to interconnect the IC and the MEMS chip, but also the
resulting stack of chips to the PCB, a step forward in 3D packaging technique.
The advantage of solder ball bonding is that it is performed in batch, as the balls
will solder the two wafers after they have been simply aligned in contact with a
pad and heated in an oven. Besides, as we can see in Figure 5.12, the deposition
of solder balls, also called bumping, can be performed at wafer level in batch. In
this case an under-bump-metalization (UBM) (for example a bi-layer of TiW/Au
150nm/300nm) is first sputtered before the solder is electroplated in a resist mold,
before it can be reflown to form spheres. The combination of ball-bonding and
Wafer passivation
Pad
Incoming wafer
Solder paste deposition

Under Bump Metalization
deposition
UBM patterning
Mask removal
Solder bump site masking
Reflow
Figure 5.12: Formation of solder bump on wafer pad.
wafer bonding (including the inclusion of via to bring contact from one side of the
wafer to the other) may result in packaging that is the same size as the die, and
we then speak of chip-size packaging (CSP), the ultimate goal for extreme system
miniaturization.
5.3. TESTING AND CALIBRATION
5.3
195
Testing and calibration
Testing is required to increase the reliability of the packaged MEMS. Different type
of tests are performed during the complete process, and we distinguish qualification
tests to detect failed dies while burn-in tests screen out low reliability dies. Burnin tests are performed at chipe level often after packaging, while qualification tests
are being performed both at wafer and chip level to screen the chips that should
not be packaged.
In addition to qualification test performed at wafer level, the testing phase
allows to perform calibration, which will be normally conducted after packaging.
The purpose of calibration is to compensate some of the defects into the MEMS
characteristic to make it work more ideally. Actually the linearity of MEMS sensor
or actuator may not be perfect or, more often, the cross-sensitivity with some
environmental parameters (usually temperature) would require to be accounted
for, another operation called compensation.
Example 5.4 Using calibrated and compensated sensor or not?
good insight at the importance of the calibration and compensation may be
gained by comparing two products from the range of pressure sensors from
Motorola. The MPX10 is an uncalibrated and uncompensated pressure sensor,
while the MPX2010 is passively calibrated and compensated. We report in the
following table some of their characteristics, extracted from the manufacturers
datasheets (MPX10/D and MPX2010/D).
MPX10
Characteristic
MPX2010
Min
Typ
Max
Min
Typ
Max
Unit
Full Scale Span
20
35
50
24
25
26
mV
Offset
20
35
-1.0
1.0
mV
-18
-13
-1.0
1.0
% FS
1.3
-1.0
1.0
mV
-0.22
-0.16
%/ C
Temp. coeff. offset
15
V/ C
Sensitivity
3.5
Temp. eff. full scale span

Temp. eff. offset
Temp. coeff. full scale span
2.5
mV/kPa
We see the effect of calibration of the sensor using laser trimmed resistor on the full
scale span, that is properly normalized, and on the offset that is almost suppressed.
The compensation technique use additional resistor that are also laser trimmed to
reduce tremendously the influence of temperature on the full scale span. However
we could note that the effect of temperature on the offset is not really compensated
this way.
What is not shown here is the large difference in price between this two sensors,
which could be an important element of choice!
196
The calibration and compensation will help to decrease the influence of unavoidable defects of the micro-sensor but, most of the time, the calibration and
the compensation will be decided at the factory. In the future it is expected that
all the system will include a capability to perform self-calibration. If this is not
always possible to implement (for example, applying a reference pressure for a
pressure sensor, is not an easy task), some system have so much drift that they
wont operate in any other manner. A good example is provided by some chemical micro-sensors that can only compare concentration in two fluids (thus need a
calibration for each measurement) but can hardly give absolute readings.
5.3.1
Testing
However if the overall reliability is mostly considered to be governed by the fabrication process, the reality is different. Actually all the process steps added during
packaging and test may affect adversely the final reliability of the device in sometimes unsuspected ways. For example, it has been shown that the qualification
tests performed at wafer level may affect reliability of wire bonding. Actually,
these tests are performed in a probe station using sharp needles to contact the
pads and apply different test signals to the device. The contact of the test probe
on the gold pads would leave a small scratch on the pad surface, which has been
shown to affect the bonding strength, ultimately possibly decreasing the reliability
of the packaged system.
The main problem faced by MEMS testing is that we now have to handle signal
that are not purely electrical, but optical, fluidic, mechanical, chemical... Then,
verifying the absence of defect needs the development of specialized system and
new strategies.
Texas Instrument DLP chip may have as many a 2 millions mirrors and simple
math shows that testing them one by one during 1 s would take approximately
three weeks at 24 h/day clearly not a manageable solution. TI has thus developed a series of test using specific mirror activation patterns that allow testing
mirrors by group and still detect defect for individual mirror, like sticking or missing mirror. After testing at wafer level the chip is diced, put into packages and
then goes through a burn-in procedure. They are then tested again before being
finally approved. TI noticed that the encapsulation step decreased the yield if the
environment wasnt clean enough and they have to use a class 10 clean-room for
the packaging of their DLP chips.
Testing is also a major hurdle for micro-sensor and to facilitate it additional
test features may have to be included into the MEMS design. A good example
is given by the integrated accelerometer range from Analog Devices. The system
use a micromachined suspended mass whose displacement is monitored by using
induced change in capacitance. However one part of this electrodes has been
configured as an actuator. By applying a voltage on this electrodes it is possible
to induce a movement of the mass without external acceleration. This is used
before the packaging to verify the mechanical integrity of the accelerometer... and
197
allow to save a lot of money, compared to a set-up that would need to apply a real
acceleration. Moreover that function may be used during operation in a smart
system to verify the integrity of the accelerometer.
Testing is conducted at different stage during the fabrication of the MEMS, but
the final test are normally conducted after the packaging is done. The reason is
simple: the packaging process always introduce stress (or damping) that change the
characteristics of the sensing elements, but need to be accounted for. This final test
can be used for burn-in and usually allow the final calibration and compensation
of the sensor.
5.3.2
Calibration
The calibration of the MEMS is the adjustment needed to deliver the most linear
possible transfer function, where the output goes from 0% to 100% when the input
varies in the same range. It generally means two different things:
1. linearization of the transfer function (i.e., having a constant sensitivity)
2. suppression of the offset
It is a particularly important step for microsensors, although it is understood
that all the other environmental variables (e.g., temperature, humidity, pressure,
stress...) are kept constant during the calibration and will be specified. As such,
the response of the system will generally be the best at calibration point. We note
that the cancellation of the change caused by these other environment variables
on the sensitivity or on the offset is left to the compensation procedure. Thus it
is possible to have a calibrated but uncompensated system, while the reverse is
often much less interesting.
To perform these tasks it is possible to trim integrated additional analog circuit
or to use a digital signal and a CPU. The choice between both is a mix of speed,
complexity and cost analysis, but obviously the integrated analog approach needs
more wit! Obviously it is possible to mix the two methods, that are not mutually
exclusive, and for example offset removing is often performed analogically while
sensitivity trimming is more easy to do with digital techniques. In both case the
calibration is performed after having the result of the calibration test that will tell
to which extent the sensor needs to be adjusted.
With analog calibration technique, the basic tuning elements are trimmable
resistors. The technique use a laser or electric fuse to trim the value of resistor
controlling MEMS sensitivity and offset. This method has the advantage to be
relatively cheap and to provide sensor with very high speed. Actually the laser
trimming method is less useful as it does not allow recalibration nor allow the
calibration after packaging, and electrical trimming is preferred. The trimmable
resistor does not allow to compensate for complex non-linearity, and if previously
there was a lot of effort devoted in developing linearizing scheme with complex
198
analog circuits (see for example Section 4.3.2), now the trend is toward digital
calibration for the more complex cases.
Digital calibration technique is quite straightforward to implement if sufficient
computation power is available, but will always be slower because it needs analog
to digital conversion and data processing. The principle is to perform a calibration
test, and to use the data recorded to compute the output of the sensor. The CPU
may use a model of the sensor, usually implemented using a high order polynomial,
or use the actual values of the calibration test, stored in a look-up table (LUT).
Between two points of the look-up table, the correction is estimated by using a
linear approximation. In principle this approach allows to compensate for any
non-linearity, and should deliver perfect characteristics. However apart from
the speed problem, the analog to digital conversion of the signal introduce new
parameters that does not allow to correct all the defect in the transfer function
characteristic. For example, we show in Figure 5.13 the case of a MEMS sensing
element presenting a flatter part in his transfer function. The marked non-linearity
A/D converter output
1111
1110
1100
1010
Sensing element transfer function
1000
0110
0100
0010
0001
0000
0 1 2 3 4 5
10
Measurand (arb. unit)
15
Figure 5.13: Effect of sensing element characteristic on accuracy after digital conversion
of this transfer function introduce measurement errors than can not be calibrated
out. Actually, any input laying in the range between about 5 and 12.5, will give
the same A/D converter output: [0110]! We have here an important loss in the
accuracy of the sensor that can not be suppressed. Thus if digital calibration
allows to correct many defects, it is not possible to eliminate all of them. From
this example, we may remember that the maximum error presented by non-linear
element will be governed by the region of the transfer function presenting the
smallest slope.
Additionally, the digital converter works best by using its full range (otherwise,
we loose some bits of resolution)... which is not necessarily the same range as the
199
MEMS operation range. In general, it is thus necessary to have a controllable gain

amplifier that will adapt the converter signal to the MEMS range. Additionally
it would be interesting for the same reason to have a controllable way to trim
an offset voltage. These two functions can be merged together in an amplifier
with tunable gain and offset. As an example, Microsensors Inc. is producing an
integrated circuit for sensor interfacing, the MS3110, that has an output amplifier
with a voltage gain that may be chosen between 1.7 and 2.3 using 8 bits of control
for a step of 0.0024 and a trimmable offset that change in a range of 100 mV
using 5 bits of control with 6.25 mV step. Actually, this component will also be
very useful for the compensation of the sensor, as we will see now.
5.3.3
Compensation
The compensation refers to the techniques used to separate the MEMS output from
an interfering environmental parameter, like the temperature, and we distinguish:
structural compensation where preventive measure are taken at the design
stage to decrease the magnitude of cross-sensitivities;
monitored compensation where implicit or explicit measurement of the interfering parameter allow to modify the output of the sensor to compensate for
its effect. Implicit measurement approach use additional integrated circuitry
with the sensor, while explicit measurement use a sensor for the interfering parameter (e.g., a temperature sensor) and a CPU to adjust the raw
measurements according to the value of the interfering parameter.
In the first class of compensation, the layout of the microsystem is important
and for example it is possible to insulate it thermally to decrease the influence of
temperature. Another very simple structural compensation technique that should
not be underestimated is the use of symmetry in the design. The principle is
to use a difference signal, while all the other interfering variables will produce a
common mode signal, that will thus not be apparent on the MEMS output. The
compensation for residual stress in many MEMS sensors is often based on this
principle, and observing the design of the sensitive elements will invariably show
a marked 2-folds or 4-folds symmetry.
The monitored compensation may be performed at the system level without
explicit measurement of the perturbing parameter using completely analog signal,
and we talk of implicit compensation, or with explicit compensation. In this
latter case the compensation is using a CPU and an amplifier with programmable
gain and offset. The choice between these two approaches is often dictated by
the complexity of implementation. An implicit compensation is often used to
compensate for temperature in pressure sensor, but as soon as the dependence on
the external factor is complex, or when a very precise compensation is needed the
compensation is performed at the system level using a CPU. Generally speaking,
an implicit compensation needs more cleverness than an explicit approach that
200
will work all the time. For example, if it is relatively easy to compensate for
an offset induced by the temperature with analog circuit, a change in the gain
of the transfer function of the sensor will be much more difficult to compensate
and explicit compensation with analog or digital techniques will be required. Still
implicit approach will produce smaller control circuit that could be a decisive
advantage.
For example, implicit monitored compensation can be applied to shelter from
fluctuation in power voltage. In this case the idea is simply to use working principles that are ratiometric to this voltage.
For example, a Wheatstone bridge (see Sec. 4.3.1) delivers a voltage that is proportional to the supply voltage Vin :
Vin
R.
4R
This may seem to be a serious problem as any fluctuation in the supply voltage
will result in loss of accuracy, but when we consider the complete measurement
chain, this may turn to an advantage. If we consider a pressure sensor based on
piezoresistive elements in a Wheatstone bridge, the signal from the sensor needs
digitization further down in the measurement chain to be transmitted or recorded.
The digitization based on A/D converter requires generally a reference voltage from
which the quantization step (quantum) is derived. If for this reference voltage we
use the bridge supply voltage Vin , then any fluctuation in this voltage is automatically compensated by an equivalent change in the A/D converter quantum. In
this way the recorded digital information of the pressure will be accurate even if
the supply voltage change due to battery charge dwindling or other environmental
factors.
A typical example of a circuit using explicit compensation (also called digital compensation) is shown in Figure 5.14. Here the CPU constantly change the
Vout
Temperature
ADC
Micro-sensor
ADC
DSP
DAC
Memory
Figure 5.14: Explicit temperature compensation in a Smart Sensor
output according to the value of the input, using a model or a calibration curve.
201
A/D converter
range
Sensing element output
However if this implementation looks simple it has some marked drawbacks, when,
for example, the sensitivity of the system decrease with the interfering parameter
as shown for a sensor in figure 5.15. If the sensitivity increase (T1 >T) in this
T1>T
T
max
T2<T
noise
Measurand range
Figure 5.15: Effect of temperature on a sensor sensitivity.

simple scheme, a loss of resolution occurs because the ADC has a limited span
and thus saturates. If the sensitivity decreases (T2 <T), and the noise at the
output of the sensing element remains constant, the resolution of the sensor drops
tremendously. Thus this all digital approach is not completely satisfactory and
a mixed digital-analog approach is required. It generally uses a tunable amplifier
or voltage source to compensate the output of the sensing element, performing
also the signal standardization to match the ADC. A typical implementation of
this strategy will using digital to analog converter to control the supply voltage of
the sensing element, controlling effectively its sensitivity, and use a gain tunable
amplifier (GTA). The additional circuitry used is based on a digital to analog converter (DAC), converting the digital signal from the CPU to an analog signal that
is used directly (voltage offset control) or use an additional compensation actuator
to convert it to a usable signal (voltage/gain conversion, voltage/current conversion, voltage/force conversion as in the ADXL105). Additionally in such circuit
using explicit compensation, in order to reduce circuitry, the temperature sensor
and the sensing element are sharing the same A/D converter using a multiplexer.
The digital signal processor (DSP) will perform the necessary computation to
compute the value of the different adjustable parameters, either using a physical
or empirical model of the dependence of the sensitivity and offset with the temperature, or, better, using the result from a calibration test. In this latter case, as
it is not possible to perform a calibration for every temperature, an interpolation
will be used to determine the change between two measured points. As in the case
of the calibration the correction factor will generally be stored as a series of values,
but in this case in a two dimensional array, the first dimension corresponding to
the measurand and the second, the temperature.
The LUT approach is interesting when only one interfering parameter needs to be
compensated, but when there are multiple interfering parameters, as in the case of
202
chemical sensors, the approach becomes quickly intractable. Actually, as it is not

possible to perform all the calibration tests needed, the compensation can only be
done using a model. This model will be implemented in the system using a series
of coefficient of a polynomial (normally with order < 7), limiting the necessary
amount of memory at the cost of a larger computation effort.
PROBLEMS
203
Problems
1. Redo the problem in Example 5.3 considering now that the electronic circuit
inside the package raises the temperature to 50 during operation, while
the external temperature is considered to be at 25.
You will need to forget
about the pressure variable and derive solutions from
Eq. 5.2 using nM T as the variable.
204
Chapter 6
Challenges, trends, and
conclusions
6.1
MEMS current challenges
Although some products like pressure sensors have been produced since the 1980s,
MEMS industry is, in many ways, still a young industry. The heavily segmented
market is probably the main reason why a consortium like SEMI is still to appear
for MEMS. However everybody agrees that better cooperation and planning has
to happen if the cost of the assembly, test and packaging is to come down. MEMS
can currently only look with envy as IC industry seriously considers producing
RFID chips for cents - including packaging.
Again the path shown by the IC industry can serve as a model, and standardization to insure packaging compatibility between different MEMS chip manufacturers
seems the way to go. Considering the smaller market size of most MEMS component, standard is the only way to bring the numbers where unit packaging price
is reduced substantially. This implies of course automating assembly by defining
standard chip handling procedure, and probably standard testing procedure.
Of course, the diversity of MEMS market makes it impracticable to develop a
one-fit-all packaging solution and the division in a few classes (inertia, gas, fluidic)
is to be expected. For example, several proposals for a generic solution to fluidic
interfacing have been proposed and could become a recommendation in the future.
In the other hand it is not clear if standardization of MEMS fabrication process a`
la CMOS will ever happen - and is even possible. But currently most of the cost for
MEMS component happens during back-end process, thus it is by standardizing
interfaces that most savings can be expected.
The relatively long development cycle for a MEMS component is also a hurdle that
needs to be lowered if we want more company to embrace the technology.
One answer lies with the MEMS designing tool providers. The possibility to do
software verification up to the component level would certainly be a breakthrough
that is now only possible for a limited set of cases.
205
206
CHAPTER 6. CHALLENGES, TRENDS, AND CONCLUSIONS
But it is also true that the answer to proper design is not solely in the hand of better
computer software but also in better training of the design engineer. In particular
we hope that this short introduction has shown that specific training is needed for
MEMS engineers, where knowledge of mechanical and material engineering supplements electronic engineering. Actually, experience has often revealed that an
electronic engineer with no understanding of physical aspect of MEMS is a mean
MEMS designer.
6.2
Future trends in MEMS
Looking in the crystal ball for MEMS market has shown to be a deceptive work,
but current emerging tendencies may help foresee what will happen in the medium
term.
From the manufacturer point of view, a quest for lowering manufacturing cost
will hopefully result in standardization of the MEMS interfacing as we discussed
earlier, but finally will lead to pursue less expensive micro-fabrication method than
photolithography. Different flavors of soft-lithography are solid contenders here
and micro-fluidic and BioMEMS are already starting to experience this change.
Another possibility for reducing cost will be integration with electronics - but,
as we already discussed, the system-on-a-chip approach may not be optimal in
many cases. Still, one likely good candidate for integration will be the fabrication
of a single-chip wireless communication system, using MEMS switch and surface
high-Q component.
From the market side, MEMS will undoubtedly invade more and more consumer products. The recent use of accelerometer in cameras, handphone or in the
Segway is a clear demonstration of the larger applicability of the MEMS solutions
- and as the prices drop, this trend should increase in the future. Of course medical application can be expected to be a major driver too, but here the stringent
requirements make the progress slow. In the mid-term, before micromachines can
wade in the human body to repair or measure, biomedical sensors to be used by
doctors or, more interesting, by patients are expected to become an important
market.
A farthest opportunity for MEMS lies probably in nanotechnology. Actually, nanotechnology is bringing a lot of hope - and some hype - but current fabrication
techniques are definitely not ready for production. MEMS will play a role by interfacing nano-scale with meso-scale systems, and by providing tools to produce
nano-patterns at an affordable price.
6.3
Conclusion
The MEMS industry thought it had found the killer application when at the turn
of the millennium 10s of startups rushed to join the fiber telecommunication
6.3. CONCLUSION
207
bandwagon. Alas, the burst of the telecommunication bubble has reminded people
that in business it is not enough to have a product to be successful - you need
customers.
Now the industry has set more modest goals, and if the pace of development is no
more exponential it remains solid at 2 digits, with MEMS constantly invading more
and more markets. Although the MEMS business with an intrinsically segmented
structure will most probably never see the emergence of an Intel we can be sure
that the future for MEMS is bright. At least, as R. Feynman[29] stated boldly in
his famous 1959 talk which inspired some of the MEMS pioneers, because, indeed,
theres plenty of room at the bottom!
208
CHAPTER 6. CHALLENGES, TRENDS, AND CONCLUSIONS
Appendix A
Readings and References
A.1
Conferences
MEMS conference THE annual MEMS conference, single session and top research, happening usually in January with deadline in August. Hard to get
a paper accepted, but worth it.
Transducers conference The biennial conference, huge, multisession, hapenning every two years around June with deadline in Winter. Shows a really
nice panorama of all the research in MEMS and in related fields.
MicroTAS conference The annual BioMEMS/Microfluidics conference with top
results and researchers.
Optical MEMS & Nanophotonics conference The annual IEEE MOEMS conference including nanophotonics session.
PowerMEMS conference This annual conference is all about power generation,
dissipation, harvesting, and thermal management.
Micro-Mechanics Europe (MME) conference The European conference on
micro has a unique format for fostering interaction between participants:
there are no oral formal presentation but only short introduction and discussion around posters.
HARMST conference The biennial High Aspect Ratio Microstructure Technology conference is rightly focused on process.
Eurosensors conference The annual European microsensors conference.
Micro-Nano-Engineering (MNE) conference A European conference with a
good mix of topics related to MEMS.
209
210
A.2
APPENDIX A. READINGS AND REFERENCES
Online resources and journals
http://www.smalltimes.com/ the free international press organ of the MEMS

NEMS community.
http://www.mstnews.de/ free news journal on European microsystem technology
http://www.dbanks.demon.co.uk/ueng/ D. Banks renowned Introduction to
microengineering website with plenty of information.
http://www.aero.org/publications/aeropress/Helvajian/ The first chapter
of Microengineering Aerospace Systems co-authored by M. Mehregany and
S. Roy and edited by H. Helvajian is online and makes a short, although
slightly outdated, introduction to MEMS.
IEEE/ASME Journal of MEMS This journal originally edited by W. Trimmer, is arguably one of the best journal in the field of MEMS (http://www.
ieee.org/organizations/pubs/transactions/jms.htm).
Journal of Micromechanics and Microengineering The other top journal,
edited in Europe by IOP with all types of MEMS (http://www.iop.org/
EJ/S/3/176/journal/0960-1317).
Sensors and Actuators A That is the most cited journal in the field, with a
copious variety of research work (http://www.elsevier.com/wps/product/
cws_home/504103).
Sensors and Actuators B Catering mostly for Chemical Sensor papers, they
also have issue on MicroTAS, where you find numerous microfluidics and BioMEMS papers (http://www.elsevier.com/wps/product/cws_home/504104).
Smart Materials and Structures Another IOP journal, with editor V. Varadan,
that has a more material oriented approach than his cousin (http://www.
iop.org/EJ/S/3/176/journal/0964-1726).
Microsystem Technologies A Springer journal that favors papers on fabrication technology and particularly on high-aspect ratio (LIGA like) technology
(http://link.springer.de/link/service/journals/00542/index.htm).
Journal of Microlithography, Microfabrication, and Microsystems Journal
from the SPIE (http://www.spie.org/app/Publications/index.cfm?fuseaction=
journals&type=jm3).
Sensor Letters A journal covering all aspects of (micro)sensors science and technology (http://www.aspbs.com/sensorlett/).
Lab on a chip The top bioMEMS/microfluidics journal (http://pubs.rsc.org/
en/journals/journalissues/lc).
A.3. OTHER MEMS RESSOURCES
211
Microfluidics and Nanofluidics One of the top journal for microfluidics and related technologies (http://www.springerlink.com/content/1613-4982/).
Experimental Thermal and Fluid Science A good journal geared toward more
fundamental issues in microfluidics (http://www.journals.elsevier.com/
experimental-thermal-and-fluid-science/).
Biomedical microdevices A Bio-MEMS journal (http://www.wkap.nl/journalhome.
htm/1387-2176).
Biosensors and Bioelectronics Another Bio-MEMS journal with more emphasis on sensors (http://www.elsevier.com/wps/product/cws_home/405913).
IEEE Transaction on Biomedical engineering Bio-MEMS and biomedical application can be found here (http://www.ieee.org/organizations/pubs/
transactions/tbe.htm).
IEEE Photonics Technology Letters Highly cited photonics journal publishing short papers, including optical MEMS or MOEMS (http://www.ieee.
org/organizations/pubs/transactions/ptl.htm).
IEEE/OSA Journal of Lightwave Technology A good quality photonics journal regularly featuring some optical MEMS work (http://www.ieee.org/
organizations/pubs/transactions/jlt.htm).
A.3
Other MEMS ressources
http://www.memsnet.org/ the MEMS and nanotechnology clearinghouse.

http://www.memsindustrygroup.org/ the MEMS industry group aimed at becoming a unifying resource for the MEMS industry. Will hopefully initiate
standardization effort and eventually establish a MEMS roadmap.
http://www.yole.fr/ one of the MEMS industry watch group publishing regular
report on the market.
212
APPENDIX A. READINGS AND REFERENCES
Appendix B
Causality in linear systems
In linear system the relationship between the input x and the output y can be
represented by a differential equation:
dm x
dn y
dn1 y
dy
dm1 x
dx
+ b0 x
an n + an1 n1 + + a1 + a0 y = bm m + bm1 m1 + + b1
dt
dt
dt
dt
dt
dt
(B.1)
where the sum m+n is called the order of the system with the important condition
that normally n > m. This condition describes the assumption of causality in the
system: the output is created by the input, not the reverse!
This may be better understood if instead of looking at the derivative, we invert
the problem and use integration. Lets take for example n = 3 > m = 2 :
d2 y
dy
d2 x
dx
d3 y
+ a0 y = b 2 2 + b 1
+ b0 x
a3 3 + a2 2 + a1
dt
dt
dt
dt
dt
integrate three times and reorganize the equation.
a3 y + a2
y=
b2
a3
y dt + a1
x dt +
b1
a3
y dt + a0
x dt +
b0
a3
y dt = b2
x dt
a2
a3
x dt + b1
y dt
a1
a3
x dt + b0
x dt
a0
a3
y dt
y dt
Thus the output y becomes a linear combination (i.e., a weighted sum) of the
integral of the input and the output itself. Integration is a causal operator (i.e., a
sum over time starting at t = 0) and the function can be physically implemented.
Now if we exchange the values of m and n, that is n = 2 < m = 3 we have:
a2
d2 y
dy
d3 x
d2 x
dx
+
a
+
a
y
=
b
+
b
+ b1
+ b0 x
1
0
3
2
2
3
2
dt
dt
dt
dt
dt
a2
x=
y dt + a1
b2
b3
x dt +
y dt + a0
b1
b3
x dt +
y dt = b3 x + b2
b0
b3
x dt
213
a2
b3
x dt + b1
y dt
a1
b3
x dt + b0
x dt
a0
b3
y dt
y dt
214
APPENDIX B. CAUSALITY IN LINEAR SYSTEMS
thus after 3 integrations we find that the input x becomes a linear combination including integral of the output, and thus the input would depend on what happened
previously at the output! Certainly not a causal behavior...
If n = m we will find that the output is directly proportional to the input,
implying instantaneous transmission of information through the system, which
should violate Einstein postulate. However, the systems we study using block or
circuit analysis are punctual systems: they have no physical size, thus signal can
travel instantaneously from the input to the output. We can more easily see that
we use this simplification all the time by considering a simple voltage divider. In
1
x,
this circuit the relationship between input and output is given by y = R1R+R
2
meaning that as soon as the input voltage change the output will change, which
is clearly not physical.
In practice, we will often use systems where m = n as in the case of Example 2.2, but if we are rigorous, such systems can not exist, and a delay should
be introduced to model the relationship between the output and the input of a
system.
Finally it should be noted that this physical delay is of a different nature (i.e.
speed of propagation of the information) that what we observe in RC circuit (i.e.
time to fill and empty energy storing elements). In telecommunication the physical
delay need sometimes to be modeled and in that case, we may use a ladder of...
R and C elements, definitely adding to the confusion!
Appendix C
Resonator and quality factor
The quality factor has originally been introduced to describe oscillators. Actually,
the larger the loss you have in an oscillator, the less pure will be its frequency, and
thus the poorer its quality.
Simply stated, if a vibrating system (called a resonator, that is an oscillator
without circuit to sustain oscillation) has loss, after the oscillations started, the
larger the loss, the quicker their amplitude will decrease until they stop. For
example, you can think about pinching the string of a guitar: the more loss you
have (e.g., if you press the string with a finger on the frets) the shorter the time
the vibration will last.
Formally this can be seen by looking at the spectrum of the generated signal. If we
had an ideally pure signal it should have only one frequency, thus in time domain
it could be represented by f (t) = A cos(t). For the resonator it means that it
started vibrating at time t = and would never end... a quite unphysical signal
- the universe after all has only 12 billions years! Thus no oscillator can possibly
generate a purely sinusoidal signal, all signals will always have some linewidth .
To understand this we consider that the resonator vibrate sinusoidally between
t = 0 and t = T0 and is stopped before and after these two moments (a slightly
more physical signal). The linewidth can be found from the Fouriers transform
of the temporal signal which gives its frequency spectrum:
f (t) = cos t for 0 t T0

= 0 otherwise
1 sin T0
1

F{f (t)} =
T0
2
215
216
APPENDIX C. RESONATOR AND QUALITY FACTOR
time
frequency
T1
dw1 a 1/T1
t
1/T
T2
T
f
dw2 a 1/T2
t
1/T
Thus as we see here the shorter the time the resonator will sustain the oscillation,
the wider its linewidth... and thus, in some way, the lower its quality. We directly
observe the relationship between oscillator quality (their narrow linewidth) and
the... quality factor, expressed as we know as the ratio of the linewidth over the
resonating frequency.
Appendix D
Laplaces transform
The table D.1 gives the common properties of the Laplaces transformation.
Properties
F (s) = L{f (t)} =
Comments
st
e f (t)dt
0
Definition
f (t) = L1 {F (s)}
Inverse transform
L{af (t) + bg(t)} = aL{f (t)} + bL{g(t)}
Linearity
L{eat f (t)} = F (s a)
s-shifting
L{f (t a)u(t a)} = eas F (s)
t-shifting
L{f } = sL{f } f (0)
t-differentiation
L{f } = s2 L{f } sf (0) f (0)

L{f (n) } = sn L{f } sn1 f (0) f (n1) (0)
L{tf (t)} = F (s)
L{
t
0
s-differentiation
f ( )d } = 1s L{f }
t-integration
s-integration
L{ 1t f (t)} =
F ()d
Convolution
L{f g} = L{f (t)}L{g(t)}
(f g)(t)=
=
t
0
t
0
f ( )g(t )d
f (t )g( )d
Table D.1: General properties of the Laplaces transformation

The table D.2 gives the unilateral Laplaces transform of some common function
(and simultaneously - albeit not really correctly - the inverse transform as well).
Note that as the unilateral transform is defined for t > 0 only, the function in the
time domain can be considered to be multiplied by u(t) (that is, the function is
217
218
APPENDIX D. LAPLACES TRANSFORM
0 when t < 0). In this case the bilateral Laplaces transform (where the integral
extends from to +) is the same as the unilateral Laplaces transform. In
Engineering, where signal are causal (that is, have an origin in time) the unilateral
transform is of course the preferred form, and we often drop the u(t) function
product on the time function, but we still actually imply that the function in time
domain is 0 when t < 0.
F (s) = L{f (t)}
f (t) for t > 0
1/s
1/s2
1/sn
1/ s
tn1 /(n 1)!
1/ t
(n = 0, 1, 2, . . .)
1/s3/2
1/sk
2 t/
tk1 /(k)
(k > 0)
1/(s + a)
Signal decay
a/s(s + a)
Signal rise
eat
1 eat
teat
1/(s + a)2
1/(s + a)n
(n = 0, 1, 2, . . .)
tn1 at
e
(n1)!
1/(s + a)k
(k > 0)
tk 1 at
e
(k)
/(s2 + 2 )
sin t
s/(s2 + 2 )
cos t
a/(s2 a2 )
sinh at
s/(s2 a2 )
cosh at
1
eas
0
a
Unit impulse (Dirac)
(t)
Delayed unit impulse
(t a)
1/s
Unit step at t = 0
u(t)
eas /s
Unit step at t = a
u(t a)
Table D.2: Functional Laplaces transforms
Appendix E
Complex numbers
The use of complex numbers in Physics is not forced, but it simplifies many
problems significantly, for example to solve problems in two dimensions, represent
waves or periodic signal, ...
A complex number, z is defined as an ordered pair of real number (x, y), where
x is called the real part and y the imaginary part of the complex number. This
complex number can be written in its so-called cartesian form as:
z = x + iy
where i is called the imaginary unit and has the property that i2 = 1. In Physics
j is often used instead of i, supposedly to avoid mixing with the symbol used for
the current (this is definitely not a good reason, thus, better use i). With this
simple rule it is possible to use the customary rules of real algebra to compute
with the complex numbers.
The possibility of a complex numbers to represent any point in the plane of cartesian coordinate (x, y) is of extreme importance to solve elegantly problems in two
dimensions using algebraic operation, without the need for matrices1 . Moreover,
instead of using the direct orthonormal axes, we may think to use the polar system
of coordinate (r, )... that gives the polar form of the complex number :
z = x + iy = r(cos + i sin )
where r is called the modulus (or amplitude, in Physics) of the complex number and
its argument (or phase, in Physics). It is possible to relate nicely the polar form
to the complex exponential function by using Eulers formula eix = cos x + i sin x,
giving another representation of the polar form, very useful in computation.
z = x + iy = r(cos + i sin ) = rei
1
There is an interesting mathematical construct that allows to do the same in 3D. These
numbers, originally introduced by mathematician W. Hamilton, are called quaternions and have
4 components (and not 3)
219
220
APPENDIX E. COMPLEX NUMBERS
The properties of the complex exponential regarding computation (ez1 +z2 = ez1 +
ez2 , ...) and calculus (ez = ez , ...) are the same than the real function.
Going from one coordinate system to the other may seem fairly simple, and it
is for the modulus where we always have r = |z|= x2 + y 2 . However, great care
should be taken when the principal value of the argument is larger than /2 or
smaller than /2. Lets have a look at Figure E.1 to see what happen,
y2
z2
y1
z1
2
x2
x1
Figure E.1: Complex numbers in different quadrants.

Here we have,
1 = arctan(y1 /x1 )
as expected, but for 2 we have,
2 = /2 + arctan(|x2 |/|y2 |) or 2 = + arctan(y2 /x2 )
showing a very big difference indeed!
If you still want to use a calculator blindly you may use the function for rectangularpolar coordinate transformation. Because you input two data in this case (x and
y), and not only one (y/x or x/y) as when you use the arctan function, the calculator is able to know in which quadrant you are, and gives the right answer.
However, sketching the complex number in the complex plane wont harm either!
Finally, you may always check you have the right angle by verifying that x =
|z|cos() and y = |z|sin(). The direct function (sin, cos and tan) dont have the
trouble of the inverse ones...
The exponential expression of a complex number is used in Physics to conveniently represent a periodic signal like V (t) = V0 ei(t+0 ) , where is the pulsation, 0 the phase at t = 0, and V0 the amplitude of the signal. However, it
is understood that the only meaningful expression is the real part of the signal
V (t) = V0 cos(t + 0 ) because in standard Physics2 imaginary numbers have no
reality (actually we can also take the imaginary part as the signal, and then forget
the real part, the important point is to be consistent in the choice). The use of this
exponential notation simplifies tremendously the computation (algebra rules for
2
It may be noted that it is substantially different in quantum mechanics, where the imaginary
part of the wave function has a real meaning.
221
exponential are simpler than for trigonometric functions) but it can only be used
with linear problems. Actually most of the fundamental equations of Physics are
linear (Newtons second law, Maxwells equation, wave equation, diffusion equation, Schrodingers equation...) and it is often not a serious limitation.
However, for a non-linear problem the cos(t + b0 ) (or sin) function has to
be used to represent a periodic signal instead of the ei(t+b0 ) . A simple example
will make the reason clear. Imagine a non-linear system that is simply squaring
the input signal, i.e. y = x2 . Note that such a system can not be described by the
theory developed in Chapter 2.4.3.
Now if we use for a periodic input signal the complex signal x(t) = eit , the
complex output becomes y(t) = ei2t , and to obtain the real signal we take the
real part of this expression y(t) = y(t) = cos(2t).
If we now use the cos directly, we have x(t) = cos(t), thus y(t) = cos2 (t) =
1+cos(2t)
, which is the right answer... but which is rather different to the first
2
answer!
222
APPENDIX E. COMPLEX NUMBERS
Appendix F
Fraunhofer diffraction
Diffraction is a physical theory of light explaining the deviation from geometrical
optics that can be observed behind an aperture in an opaque screen. Actually
light behaves as if it bends and can reach region where geometrical optics would
only find darkness. The effect is more pronounced when the aperture diameter is
smaller, closer to the wavelength of light. The general description of this effect
is somewhat complex, but different approximate theory can be derived if we only
observe (and illuminate) at a distance much farther than the aperture diameter, a
condition known as far-field.
F.1
Far-field diffraction
In the general case of light diffraction shown in Figure F.1, we want to compute
the optical field at a point P located at a distance R from an opaque screen with
an aperture of diameter 2a.
y
Y
z
Z
2a
Figure F.1: Diffraction by a circular aperture.

If the distance R is much larger than a, and additionally if the wavefront
illuminating the aperture is plane (this may also mean that the source is much
223
224
APPENDIX F. FRAUNHOFER DIFFRACTION
farther than a, or alternatively is collimated on the aperture), we may then use

the far-field approximation and we talk about Fraunhofer diffraction. In this case
the diffraction equation becomes :
uA ei(tkR)
eik(Y y+Zz)/R dA
R
A
where uA is the amplitude of the illuminating field on the aperture (supposed to
be uniform and with a constant phase as it is a plane wave).
Using polar coordinate the aperture area element is expressed as dA = dd
and we have Y y + Zz = q sin sin + q cos cos = q cos( ), thus the
field amplitude in P becomes:
UP =
UP =
uA ei(tkR)
R
eikq cos()/R dd
0
The d integration yields a Bessel function of order 0:

2
eikq cos()/R d = 2J0 (kq/R)

0
Then the -integral can be computed as:

a
kqa/R
R2
J0 (kq/R)kq/Rd(kq/R)
k2q2 0
R2
= 2 2 2 kqa/RJ1 (kqa/R)
k q
R
J1 (kqa/R)
= 2a2
kqa
2J0 (kq/R)d = 2
0
(F.1)
(F.2)
(F.3)
where J1 is the Bessel function of order 1. Thus the expression of the field amplitude in P is given by:
UP =
uA ei(tkR)
R
2a2
J1 (kqa/R)
R
kqa
Accordingly the irradiance in P is given by:

IP = UP UP =
2u2A 2 4 J1 (kqa/R)
a
R2
kqa/R
Plotting this function with kqa/R as the argument (Figure F.2) we obtain a central
peak with smooth profile surrounded by a series of faint rings. The irradiance
becomes zero for kqa/R = 3.83 (first zero of J1 (z)), and this point may serve for
defining the radius Q of the illuminated zone on the screen. We get :
R
R
R
= 3.83
0.61
ak
2a
a
This central peak is called the Airy disk and as suggested earlier, we see that
the diffracted spot size (or the diameter of the Airy disk) increases as a becomes
smaller.
Q = 3.83
F.2. BESSEL FUNCTION
225
1
0.8
0.6
0.4
0.2
0
10
5
0
10
5
-5
0
-5
-10 -10
Figure F.2: Intensity profile on a screen located far after a circular aperture uniformly illuminated (scale is normalized to kqa/R).
F.2
Bessel function
Bessel functions are complex functions appearing often in physics and not much
more complicated than the usual cos or sin functions. The Bessel function of order
n, Jn (z), is the solution of the differential equation
z2
d2 Jn (z)
dJn (z)
+z
+ (z 2 n2 )Jn (z) = 0
2
dz
dz
that appears often in problem expressed in polar or cylindrical coordinates.

Instead of a differential solution, the Bessel functions are obtained from integral
as :
in iz cos
Jn (z) =
e
cos nd
0
or
2
1
Jn (z) =
ejz cos ein d
2in 0
giving for example
2
1
J0 (z) =
2
and
1
J1 (z) =
i
ejz cos d
0
ejz cos cos d

0
which are plotted in Figure F.3.

Using numerical solution, we find that J0 (z) = 0 for z = 2.40, 5.52, 8.65...
and J1 (z) = 0 for z = 0, 3.83, 7.01....
226
APPENDIX F. FRAUNHOFER DIFFRACTION

1
J0
0.8
0.6
J1
0.4
0.2
0
-10
-5
10
-0.2
-0.4
-0.6
Figure F.3: Bessel function of order 0 and 1.

Moreover, Bessel functions have some interesting properties that can be deduced from their definition that facilitate the resolution of some differential equations. For example we can show that :
1 d
x dx
[xn Jn (x)] = xnm Jnm (x)
which gives for the n = 1 and m = 1 :

1 dxJ1 (x)
= J0 (x)
x dx
or by integration :
J0 (v)dv = uJ1 (u)

0
Appendix G
MATLAB code
G.1
Bode diagram
The Bode diagram in Chapter 2.5 have been obtained using the following code,
that may be used to plot the Bode diagram of any first or second order transfer
function by changing the relevant value.
The first listing is for a first order transfer function.
% Bode-plot for first order transfer function
clear all
omega = logspace(-2, 2);
f = omega/2*pi;
% pulsation range (power of 10)

% frequency range
%%%%%%%%%%%%%%%%%%%%%
% First order model %
%%%%%%%%%%%%%%%%%%%%%
G = 1;
tau = 1;
% static gain
% time constant
% compute the amplitude

A1 = G./sqrt(1 + tau.^2*omega.^2);
% compute the phase
Phi1 = - atan(tau.*omega);
% plot the Bode diagram
figure(1)
clf
semilogx(omega, 20*log10(A1))
grid
% amplitude in dB
227
228
APPENDIX G. MATLAB CODE
title(sprintf(Amplitude of a first order system (tau = %i, G = %i), tau, G))

figure(2)
clf
semilogx(omega, Phi1*180/pi)
% phase in degree
grid
title(sprintf(Phase of a first order system (tau = %i, G = %i), tau, G))
The second listing correspond to a second order transfer function.
% Bode-plot for second order transfer function
clear all
omega = logspace(-2, 1, 1000);
f = omega/2*pi;
% pulsation range (power of 10)

% frequency range
%%%%%%%%%%%%%%%%%%%%%%%
% Second order system %
%%%%%%%%%%%%%%%%%%%%%%%
G = 1;
omega0 = 1;
zeta = 0.1;
% Static gain
% Natural frequency
% Damping ratio
% compute the amplitude

A2 = G./sqrt((1 - (omega./omega0).^2).^2 + (2*zeta.*omega./omega0).^2);
% compute the phase
Phi2 = - atan2(2*zeta.*omega./omega0, 1 - (omega./omega0).^2);
% note the use of atan2 instead of atan because the phase exceed
% the pi/2, -pi/2 limits. atan2 takes into account the quadrant in
% which the complex number lies to get the atan in a -pi, pi range.
% plot the Bode diagram
figure(1)
clf
semilogx(omega, 20*log10(A2))
% amplitude in dB
grid
title(sprintf(Amplitude of a 2nd order system (omega0 = %i,...
zeta = %f, G = %i), omega0, zeta, G))
figure(2)
clf
semilogx(omega, Phi2*180/pi)
% phase in degree
grid
title(sprintf(Phase of a 2nd order system (omega0 = %i,...
zeta = %i, G = %i), omega0, zeta, G))
Bibliography
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BIBLIOGRAPHY
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232
BIBLIOGRAPHY
Index
actuation
boron doping, 79
Bosch, 22, 101, 104
electromagnetic, 154
process, 83, 105
electrostatic, 155
bulk micromachining, 75
thermal, 164
bumping, 194
actuator, see MEMS actuator
AFM, see atomic force microscopy
calibration, 195
Agilent, 12
capacitive sensing, 149
Airy disk, 224
capillarity, 145
Alcatel-Adixen, 18, 105
case
AlN, 163
CERDIP, 180
amorphous, 67, 100
TO, 180
Analog Devices, 12, 23, 134, 149, 158,
causality, 213214
196
chemical vapor deposition, 97
Analogies, 36
APCVD, 97
anisotropic etching, 16, 77
LPCVD, 97
anisotropy, 67
PECVD, 98
annealing, 93
UHCVD, 97
anodization, 79
Chemical-Mechanical
Polishing, 102
ANSYS, 25
chip size packaging (CSP), 194
aperture
CMP, see Chemical-Mechanical Polishnumerical (NA), 119
ing
relative, 119
coefficient of thermal expansion, 180
AsGa, 163
comb-drive actuator, 157
aspect ratio, 81
compensation, 148, 195, 199
Assembly, 175
actuator, 201
atomic force microscope, 126
explicit, 199
AZ9260, 109
implicit, 199
monitored, 199
beam, 135
compliance matrix, 72
bi-material actuator, 169
bimetallic actuator, see bi-material ac- conductance, 187
tuator
conformality, 87
block diagram, 29
controller, 31
Bode diagram, 43
Coventor, 25
plot, 43
crystallographic planes, 68
233
234
INDEX
CSP, see chip size packaging

anisotropic, 76
dry, 80
CTE, see coefficient of thermal expanisotropic, 76
sion
wet, 76
CVD, see chemical vapor deposition
evaporation, 95
Czochralsky process, 100
e-beam, 95
damping, 47
EVGroup, 18, 79
critically damped, 48
eyepiece, see ocular
damping ratio, 47
Ficks laws, 91
over-damped, 48
flip-chip, 134
under-damped, 48
flow, 143
Deep reactive ion etching, 104
plug, 160
ARDE, 107
Poiseuille, 143
etching lag, 107
foundry
process
notching, 107
MPW (Bosch), 101, 104
ripple, 106
frequency
scalloping, 106
angular frequency , 41
Dektak, see stylus profilometer
cut-off, 47
Delphi, 12
natural, 47
depth of field, 118
resonance, 50
design rules, 102
diaphragm, see membrane
gap-closing actuator, 158
differential sensing, 149
pull-in voltage, 159
diffraction, 223
getter, 189
Fraunhofer, 224
glass, 75
diffusion, 90
GLV, see Grating Light Valve
diffusion barrier, 90
grain, 67
DLP, 12, 23, 75, 103, 180, 189
grating light valve, 12
DRIE, see Deep reactive ion etching
edge-bead, 94
EDS, see energy dispersive X-ray spectroscopy
electro-osmosis, 10
electro-osmosis actuator, 160
energy dispersive X-ray spectroscopy, 123
environmental scanning electron microscope, 125
Epitaxy, 100
Epson, 13
ESEM, see environmental scanning electron microscope
etch stop, 78
etching
heatuator, 154, 169

hinge, 102, 139
torsion, 23
hydraulic diameter, 143
hydrophilic, 144
hydrophobic, 144
iMEMS, 134
imprinting, 66
Institute of Microelectronics, 15
Intellisense, 25
ion implantation, 92
isotropy, 67
joint, see hinge
INDEX
Knudsen number, 142
Laplaces transform, 33
lattice
diamond, 68
fcc, 67
lead frame, 182
leak rate
standard, 187
true, 187
lens
relay, 115
LIGA, 108
LiNbO3 , 163
lithography
soft, see imprinting
LOCOS, 90
look-up table, 198, 201
low temperature oxide, 98
LTO, see low temperature oxide
Lucent, 12, 17
LUT, see look-up table
Mach number, 142
magnetoresistive effect, 153
magnification, 113
angular, 114
electronic, 115
lateral, 113
manufacturing accuracy, 21
market, 13, 14
mask, see photolithography, mask
material, 70
membrane, 137
MEMS, 9
actuator, 153
bioMEMS, 12, 16
micro-fluidic, 12, 142
optical, 12, 17
polymer, 109
RF, 13, 14, 17
sensor, 12, 14, 16, 145
MEMSCAP, 13
MemsCap, 22, 25, 101
235
MemsTech, 15
micro-world, 10
microchannel, 142
microelectronics, 9, 18
integration, 133
microloading, 106
Microsens, 178
miniaturization, 10
Mitutoyo, 121
model, see simulation
block representation, 27
circuit representation, 27
MOEMS, 12
molecular conductance, 187
Motorola, 12, 180
MUMPS, 101
NA, see aperture
natural frequency, 47
NTT, 155
numerical aperture, see aperture
ocular, 112
OMM, see Optical MicroMachines
Optical MicroMachines, 12, 160
overetch, 101
Oxford System, 105
oxidation, 89
parfocality, 114
pattern generator, 65
pattern transfer, 64
patterning, 64
PentaVacuum, 104
permeability, 184
permeation, 184
photolithography, 65
mask, 64
photoresist, 64
negative, 65
positive, 65
physical vapor deposition, 95
piezoelectricity, 152, 161
actuator, 161
converse effect, 59, 161
236
direct effect, 59, 152, 161
piezoresistive effect, 16, 146
piezoresistor, 148
plasma, 81, 96
ICP, 105
POEMS, see MEMS polymer
poling, 163
polycrystalline, 67, 100
polymer, 75
process, 63
additive, 64, 88
back-end, 66, 173
front-end, 66
modifying, 64, 8890
subtractive, 64, 75, 76, 80
PVD, see physical vapor deposition
pyrolysis, 97
Q, see quality factor
quality factor, 51
quartz, 110, 163
rapid thermal processing, 99
reactive ion etching, 82
reflow process, 110
relative aperture, see aperture
release etch, 103
reliability, 23, 24
resolution, 116
resolving power, see resolution
resonance frequency, 50
resonator, 215
response
sinusoidal steady state, 41
step response, 41
Reynolds number, 142
RIE, see reactive ion etching
RTP, see rapid thermal processing
sacrificial etching, 88
sacrificial layer, 65, 86, 103
Sandia National Laboratory, 74, 102
scaling laws, 19
scanning electron microscope, 121
INDEX
scanning near-field optical microscope,
121
scanning transmission electron microscope,
123
scratch-drive actuator, 160
SDA, see scratch drive actuator
SEM, see scanning electron microscope
Sensonor, 12, 15, 86, 133, 193
sensor, see MEMS sensor
Sercalo, 12, 74, 158
shape-memory alloy, 170
shape-memory effect, 170
silicon, 70
Silicon Light Machines, 12
simulation, 25
dynamic, 27
single crystal, 67
SIP, see system in the package
SiTime, 13
SMA, see shape-memory alloy
SNOM, see scanning near-field optical
microscope
SOC, see system on chip
SOI, 22, 74
sol-gel, 95
spectrum, 41, 55
Spice, 25
spin-coating, 94
spin-on-glass, 94
spring, 135
sputter, 96
DC, 96
magnetron, 97
RF, 97
ST Microelectronics, 14
STEM, see scanning transmission electron microscope
stiction, 104
stiffness matrix, 71
structural layer, 86
structure
active, 134
passive, 134
INDEX
STS, 18
stylus profilometer, 125
SU8, 109
superposition theorem, 56
surface micromachining, 85
Surface Technology Systems, 105
suspension, see spring
folded-beam, 136
Suss Microtec, 79
Suss microtec, 18
system
closed-loop, 30
control system, 30
first order, 45
linear system, 33
measurement system, 29
non-linear system, 221
open-loop, 30
second order, 47
system order, 33, 213
system in the package, 133, 175
system on chip, 175
Tanner Research, 102
TEM, see transmission electron microscope
tensor, 71
Texas Instruments, 12, 15, 23, 24, 75,
103, 159, 189, 196
TI, see Texas Instruments
time-independent, 33
transducer, 57
transducers, 134
transfer function, 29, 33
Transistor Outline, see case
transmission electron microscope, 123
Tronics, 193
UBM, see under-bump-metallization
under-bump-metallization, 194
underetch, 76
Van der Walls force, 104
variable
effort, 37
237
flow, 37
wafer bonding, 83
thermocompression, 84
Wafer level packaging (WLP), 193
wetting, 144
Wheatstone bridge, 146, 200
working distance, 120
XactiX, 104
XeF2 , see xenon difluoride
xenon difluoride, 104
Youngs modulus, 71
Young-Laplace equation, 144
zeta potential, 160
ZnO, 163
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A (Not So) Short Introduction To MEMS

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2 Introduction to MEMS design

3 How MEMS are made

5 MEMS packaging, assembly and test

6 Challenges, trends, and conclusions

C Resonator and quality factor

What is MEMS and comparison with microelectronics

CHAPTER 1. WHY MEMS?

where next to electronics, mechanical and material knowledge plays a fundamental

Why MEMS technology

1.2. WHY MEMS TECHNOLOGY

HDD fall protection

Figure 1.1: Increased use of accelerometers in consumer products.

However often miniaturization alone cannot justify the development of new

CHAPTER 1. WHY MEMS?

new application opportunities.

Diverse products and markets

Piezoresistive pressure sensor

Thermal inkjet printer

Scanner for projector (Microvision)

Figure 1.2: Timescale of MEMS products emergence.

1.2. WHY MEMS TECHNOLOGY

Manifold pressure (MAP), tire pressure,

Accelerometer, gyroscope, crash sensor...

Micro-mirror array for projection (DLP),

Relays, microphone, data storage, toys...

CHAPTER 1. WHY MEMS?

Economy of MEMS manufacturing and applications

1.2. WHY MEMS TECHNOLOGY

CHAPTER 1. WHY MEMS?

Major drivers for MEMS technology

1.4. MUTUAL BENEFITS BETWEEN MEMS AND MICROELECTRONICS17

Mutual benefits between MEMS and microelectronics

CHAPTER 1. WHY MEMS?

Physical scaling laws

Figure 2.1: Scaling effect on volume, surface and volume/surface ratio.

CHAPTER 2. INTRODUCTION TO MEMS DESIGN

Electrostatic, Pressure, Muscle

Table 2.1: Scaling of nature forces.

2.1. PHYSICAL SCALING LAWS

dependence of s3 s3 /(s1 )2 s4 . That is, gravity decreases by a factor 10,000 when

CHAPTER 2. INTRODUCTION TO MEMS DESIGN

The principles of design and reliability

Figure 2.2: IC and MEMS design paradigms.

2.2. THE PRINCIPLES OF DESIGN AND RELIABILITY

CHAPTER 2. INTRODUCTION TO MEMS DESIGN

Example Accelerometer, Gyroscopes,

Table 2.2: Taxonomy for evaluating MEMS devices reliability

MEMS design tools

2.3. MEMS DESIGN TOOLS

CHAPTER 2. INTRODUCTION TO MEMS DESIGN

Lumped elements modeling

2.4. LUMPED ELEMENTS MODELING

Figure 2.5: Modeling a continuous structure by discrete models: finite elements

CHAPTER 2. INTRODUCTION TO MEMS DESIGN