NiTi based shape memory alloys (SMA) cover most of the commercially produced shape memory devices and components. The reversible martensitic transformation between the phases B2 (austenite) and B19′ (martensite) is responsible for the shape memory effect in these alloys. The amount of strain which can be regained after a permanent deformation through thermal activation, known as the recoverable strain, is a strong function of crystallographic texture and microstructure. Texture influences the activation of a specific martensite variant during stress induced martensitic (SIM) transformation and also the re-orientation of twinned variants during further deformation. The variant selection decides the amount of recoverable strain. Since the NiTi based shape memory alloys inevitably undergo thermo-mechanical processing in the course of component design, the consequent evolution of texture and microstructure regulate the shape memory behavior. The present thesis is aimed to address this issue in some NiTi alloys that are technologically important for different applications, namely a binary Ni-rich NiTi alloy, a copper containing NiTi alloy and a hafnium containing NiTi alloy. The Ni rich NiTi alloy displays pseudoelastic behavior that can be used for couplings, the NiTiCu alloy provides a controlled thermal hysteresis suitable for actuator applications and the NiTiHf alloy can be used for high temperature applications. The first Chapter of the thesis provides a detailed overview of the existing knowledge related to evolution of microstructure and texture during processing, the transformation texture and its role on the shape memory behavior in NiTi alloys. The second chapter includes the experimental procedure followed to generate different textures, namely unidirectional and cross rolling with and without a subsequent annealing and also the details of the techniques used to characterize the structure, microstructure, texture and mechanical properties. The evolution of texture during thermo-mechanical processing of a Ni rich NiTi alloy and its impact on shape memory behavior is addressed in Chapter 3. The two modes of rolling employed at higher temperature led to the formation of different textures. The texture of unidirectionally rolled samples was characterized by a strong <111>||ND fiber, while a strong Goss {100}<110> component along with <111>||ND fiber was observed in the texture of the cross rolled samples. Annealing of the unidirectionally rolled samples generated a strong <100>||ND fiber, and a weak <111>||ND fiber was observed for the cross rolled samples. Microtexture analyses indicated that dynamically recrystallized grains had significantly different texture compared to the statically annealed material. One of the salient features of this study is the analysis of different twin boundaries with coincident site lattice (CSL) relations that has been observed in the hot rolled material. The origin of these twins has been attributed to deformation. The evolution of twin boundaries with CSL relation has strong influence on texture formation. A few of the important texture components have been found to have CSL relation amongst them. The origin of different texture components were found using intra-grain misorientation parameters. In-situ transformation studies in a scanning electron microscope have confirmed the formation of different types of twins at very low amount of strain in the Ni rich NiTi alloy. A Schmid factor based criterion was used to identify the activation of a particular variant. Trace analysis of the surface relief due to SIM transformation was utilized to confirm the theoretically predicted variant. Schmid criterion has been found to be valid in all the cases. Modulus variation with temperature and strain was studied using dynamical mechanical analysis. Microstructural changes during thermal and thermo-mechanical cycling revealed higher orientation gradient along grain boundaries compared to grain interior. The compatibility condition at the grain boundaries were attributed to higher misorientation development. Misorientation development during cycling loading process is also found to be a strong function of texture. Processing condition and texture has a strong influence on the recoverable strain. Particularly, the strength of <111>||ND fiber is influential in deciding the recoverable strain. Study of microstructure and texture evolution in the TiNiCu SMA and subsequent study on its impact on recoverable strain is presented in Chapter 4. Convincing evidences for the mechanisms operating during different dynamic restoration processes have been presented through microstructural investigation. Texture analysis of the austenite phase showed the formation of <111>||ND fiber. Despite the weakening of texture at larger strain, strength of certain deformation texture components like S {123}<634> and Cu {112}<111> increased, which suggested that texture evolution in TiNiCu alloy deviates from the texture of binary NiTi at large strains. Transformation texture analysis was carried out through electron back scattered diffraction technique, using an in-situ heating stage. The analysis of the results showed predominant activation of <011> type II as well as {11 1 } type I twins. A comparison of martensite and austenite pole figures indicated strong variant selection during phase transformation. Like the binary NiTi alloy, cross rolling of TiNiCu alloy also showed ample changes in the texture of martensite phase through the formation of different texture components. Annealing of both unidirectionally and cross rolled samples led to the weakening of texture. The change in volume fraction of Ti2NiCu precipitates, resulting from different processing conditions, influenced the transformation temperature. In this case also, texture and large intra-grain misorientation governed the recoverable strain. Chapter 5 is dedicated to the study of high temperature NiTiHf alloy. X-ray diffraction and differential scanning calorimetric studies confirmed a two step martensitic transformation, a B19` monoclinic and rhombohedral R-phase martensite in the studied alloy (Ni49.4Ti38.6Hf12). Microstructural investigations showed the formation of dendritic (Ti,Hf)2Ni precipitates along the grain boundary. Evolution of R-phase martensite was always observed along with (Ti,Hf)2Ni precipitates, irrespective of the processing condition. Dissolution of (Ti,Hf)2Ni precipitates by solution treatment suppressed the R phase formation. Strong texture of R-phase martensite confirmed variant selection during martensitic transformation. On the contrary, texture of B19` martensite was always weak, suggesting no preference for variant selection. Rolled material with a relatively strong texture exhibited higher recoverable strain compared to annealed material. Finally, all the significant outcomes of the present investigation are summarized in Chapter 6. Based on the conclusions, suggestions for future work have been mentioned.

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Shape memory alloys (SMAs) have been recognized as one of the most promising materials for MEMS micro-actuator applications. Among the available materials, Nickel/Titanium (NiTi) SMAs are more popular because, they exhibit unique properties in shape memory effect (SME) and pseudo-elasticity (PE). In addition NiTi SMA possesses high corrosion resistance, excellent mechanical properties and is also bio¬compatible. NiTi thin-film SMAs have been considered as the most significant material in the field of MEMS applications, which can be patterned with standard lithographic techniques to scale-up for batch production. However, the lack of proper understanding of basic materials’ properties and inability to reproduce, has limited the usage of this material in MEMS devices. The properties of NiTi SMA thin-films are very much sensitive to the elemental composition and structure, which are in turn decided by the deposition process and process parameters. A brief history of NiTi shape memory alloys (SMAs), basic information, transformation characteristics, crystal structure, phase diagram and literature reviewed for the current motivation have been presented in the second chapter In the third chapter, a brief summary about the deposition techniques relevant to NiTi film deposition has been presented. The deposition of NiTi films by a number of deposition techniques such as thermal evaporation, co-evaporation, molecular beam Epitaxy, pulsed laser deposition, flash evaporation, electron beam deposition, filtered arc deposition, ion beam assisted sputter deposition, vacuum plasma spraying, ion beam sputtering, ECR sputtering and magnetron sputtering techniques have been discussed. In order to achieve a precise control over film thickness and composition of the films on to the substrates, the selection of magnetron sputtering has been highlighted. In the present thesis, two prolonged approaches such as DC magnetron sputtering of an alloy target and co-sputtering of elemental targets have been presented. Various characterization techniques used for film thickness, composition, structure, micro¬structure, electrical, phase transformation and mechanical properties have also been briefly presented in the same chapter. In the fourth chapter, description of Conventional Alloy Target Sputtering System has been presented. DC magnetron sputtering of an alloy target with two different atomic ratios (Ni:Ti = 45:55 & 50:50) has been used for depositing the coatings. Several limitations in the reproducibility and repeatability have been observed with single alloy target sputtering, irrespective of the target composition ratio. In addition to this, incorporation of oxygen in the films during and after deposition has been observed, which has limited the extensive usage of this single alloy target system. The limitations regarding control over composition, thickness uniformity over large area have been improved by designing and fabricating a dedicated Three Target Magnetron Co-sputtering System. The vacuum diagnosis of the system under different conditions has been carried out by using PPR-200 Residual Gas Analyzer (RGA), which have included in Appendix I. Similar to alloy target sputtering system, the thickness uniformity and required composition with deposition parameters over a size of 75 mm diameter has been achieved and the process repeatability has been established. Oxygen incorporation in the films during deposition has been minimized by pre-sputtering of Ti target for known duration of time, which has resulted in significant reduction in partial pressure of oxygen in the chamber. The oxide layer formation on film surface has been eliminated by in-situ capping layer (TiN) deposition. In the fifth chapter, the influence of process parameters such as sample locations, substrate to target distance (STD), working pressure (WP), gas flow rates, deposition rates, deposition and annealing temperature, Target power, on the film thickness and composition uniformity have been presented for alloy target sputtering system as well as for the co-sputtering system. The film thicknesses have been measured with stylus method. Film compositions have been determined by energy dispersive X-ray spectroscopy (EDS), Secondary ion mass spectrometry (SIMS), Rutherford backscattering spectrometry (RBS) and X-ray photoelectron spectroscopy (XPS). The working pressure of 1.5 X 10-3 mbar, STD of 90 mm and target power of 100 W have been found to produce coatings having uniform thickness and composition over the given area for alloy target sputtering system. Similar investigations have been carried out for co-sputtered NiTiCu films. The working pressure of 1.5x 10-3 mbar, at a STD of 90 mm, at a rotational speed of 15 rpm and at target powers of 600, 50 and 12 W for Ti, Ni and Cu respectively, have resulted in the thickness and required composition uniformity over a size of 75 mm diameter substrate and the process repeatability has been established. In the Sixth chapter, the influence of process parameters on film structure and micro-structure on the NiTi/NiTiCu films deposited by a single alloy target and co¬sputtering have been studied by different analytical techniques like XRD, TEM, AFM, SEM etc. Phase transformation temperatures and kind of transformations have been investigated by DSC, Resistivity / Temperature and Stress/ Temperature studies and correlations have been established. The process parameters have been optimized for TiN deposition, which act as the capping layer to protect NiTi films from surface oxidation. The variation in mechanical behavior for the NiTi/ NiTiCu films before and after TiN capping by nano-indentation test have also presented. XRD and TEM studies have shown that the NiTi / NiTiCu films deposited at room temperature to 400o C are amorphous. Post-annealing, at a temperature of 450O C or above resulted in the film crystallization with oxide layer formation at the film surface, which has been confirmed by XRD and XTEM studies. In the case of Ni-rich NiTi films, R-phase diffraction peaks have also been identified in addition to the Austenite / Martensite phase. XRD investigations have shown that Ti-rich NiTi and Ni-rich NiTi films have resulted in precipitate free films. In the case of Ti-rich NiTiCu and Ni-rich NiTiCu films, the variations in Ti/Ni target power has resulted in the formation of NiTi 2 and Ni3Ti precipitates along with their parent Martensite and Austenite phases. When the Cu content is increased in NiTiCu films, an increase in number of Martensite phase diffraction peaks in XRD spectrum has been observed. XTEM studies have confirmed formation of oxide layer, inter-metallic layer and interface layer at higher post annealing temperatures. SEM studies have shown that the films deposited at higher gas flow rate results in the columnar micro-structure. In the context of NiTiCu films, the films deposited at higher Ti target power have shown more compact and tightly packed film micro-structure. AFM studies have shown increase in the average crystallite size and film roughness with post annealing temperature and duration. TiN coating has been used as the capping layer onto NiTi / NiTiCu films. Structural and micro-structural comparison of these films before and after TiN coating has resulted the appearance of (111) TiN peak in all TiN capped films. SEM and AFM studies have shown that the film roughness have decreased after capping layer deposition. DSC thermal cycling used to verify the film crystallization temperature has shown the appearance of exothermic peak in NiTi / NiTiCu films. DSC, Resistivity-temperature, stress-temperature response has been confirmed the transformation temperature and kind of transformations in all the films. Residual stress measurements have shown that the crystalline films exhibited lower bi-axial stress in comparison to the amorphous films. Ti-rich NiTi films have shown single phase transformations (M-A and A-M) whereas two phase transformations (M-R-A and A-R-M) have been observed in Ni-rich NiTi films. Higher deposition / annealing temperature have shown the appearance of distinct phase transformation peaks in resistivity vs. temperature studies. In the case of NiTiCu films, the decrease in film crystallization temperature with increase in the Cu content has been observed. The phase transformation temperature evaluated from second thermal cycle has shown decrease in the width of hysteresis loop with increase in the Cu content in NTC films. Nano-indentation studies have been carried out to evaluate the micro-hardness and modulus values of TiN capped and uncapped NiTi / NiTiCu films. The modulus and hardness uniformity have been confirmed for the different location over a diameter of 75 mm. The modulus and hardness values have increased with increase in the substrate and annealing temperature. Increase in the Cu target power has resulted in the increase in the hardness and modulus values under same deposition conditions. TiN coated NiTi / NiTiCu films have shown larger modulus and hardness values than the uncapped films. In the Seventh chapter, the fabrication process and actuation response for silicon dioxide, Aluminum and NiTi SMA coated micro-cantilevers has been discussed. Various nano-structures such as pyramids, beams and pillars by focused ion beam (FIB) micro-machining have been fabricated. High aspect ratio nano-pillars have been selected for micro-compression testing. In summary, this thesis emphasizes on the fabrication of specific sputtering systems relevant to NiTi film deposition and process parameter optimization for desired film thickness and composition uniformity. DC magnetron sputtering of a NiTi alloy target (50:50 and 45:55 at. %) and co-sputtering of elemental targets (Ni, Ti and Cu) have been presented. These films have been investigated for structural, micro-structural, phase transformation and mechanical properties. In-situ deposition of TiN capping layer, on to NiTi / NiTiCu films has been carried out to reduce the oxygen trapping. The fabrication process and actuation response of micro-cantilevers have been described. The etching characteristics to generate various nano-structures viz. pyramids, beams and pillars by focused ion beam (FIB) micro-machining have been investigated and mechanical testing of selected nano-structures have also been reported.

Shape memory alloys (SMAs) exhibit unique combination of structural and functional properties and hence have a variety of current and potential applications. The mechanical behaviour of SMAs, in particular the influence of processing on the microstructure, which in turn influences the performance of the alloy, mechanical properties at the nano-scale, and under cyclic loading conditions, are of great current interest. In this thesis, specific issues within each of these broad areas are examined with a view to suggest further optimize/characterize SMAs. They are the following: (a) For thermo-mechanical secondary processing of SMAs, can we identify the optimum combination of temperature- strain rate window that yields a desirable microstructure? (b) How can indentation be used to obtain information about functional properties of shape memory alloys so as to complement traditional methods? (c) How can the information obtained from indentation be utilized for the identification of the alloy composition that yields a high temperature SMA through the combinatorial diffusion couple approach? Towards achieving the first objective, we study the hot deformation behavior of a cast NiTi alloy with a view of controlling the final microstructure. The “processing maps” approach is used to identify the optimum combination of temperature and strain rate for the thermomechanical processing of a SMA system commonly used in actuators applications (NiTiCu). Uniaxial compressions experiments are conducted in the temperature range of 800- 1050 °C and at strain rate range of 10-3 and 102 s-1. 2-D power dissipation efficiency and instability maps are generated and various deformation mechanisms, which operate in different temperature–strain rate regimes, are identified with the aid of these maps. Complementary microstructural analysis of specimens (post deformation) is performed with the help of electron backscattered diffraction (EBSD) analysis to arrive at a processing route which produces stress free grains. A safe window suitable for industrial processing of this alloy which leads to grain refinement and strain-free grains (as calculated by various methods of misorientation analysis representation) is suggested. Regions of the instability (characterized by the same analysis) result in strained microstructure, which in turn can affect the performance of the SMA in a detrimental manner. Next, to extract useful information from indentation responses, microindentation experiments at a range of temperatures (as the shape memory transformation is in progress) are conducted underneath the Vickers indenter. SME was observed to cause a change in the calculated recovery ratios at temperatures above As. Spherical indentation of austenite and martensite show different characteristics in elastic and elasto- plastic regimes but are similar in the plastic regime. NanoECR experiments are also conducted under a spheroconical indenter at room temperature, where the resistance measured is observed to increase during the unloading of room temperature austenite SMA. This is a signature of the reverse transformation back to austenite during the withdrawal of the indenter. Lastly, recovery ratios are monitored in the case of a NiTiPd diffusion couple before and after heat treatment at different temperature intervals using non- contact optical profilometry. The recovery ratio approach is successfully used to determine the useful temperature and %Pd range for a potential NiTiPd high temperature SMA. The method makes high throughput identification of high temperature shape memory alloys possible due to promising alloy compositions being identified at an early stage.

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