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Mechatronic Design of a Shape Memory Alloy Actuator for Automotive Tumble Flaps: A Case Study
Alberto Bellini, Member, IEEE, Marcello Colli, and Eugenio Dragoni
AbstractThe continuous advance in mechatronics has long attracted researchers toward the development of new highly integrated actuators for automotive applications where reduced space and low weight are common constraints. In this context, Shape Memory Alloys (SMAs) offer many peculiar characteristics that make this technology very attractive for the construction of miniature mechatronic actuators. This paper presents the design, the prototype fabrication, and the functional testing of a case study, where an SMA binary actuator is used for automotive tumble aps. The innovative solid-state actuation system is proposed as an alternative to electromagnetic and pneumatic effectors, traditionally used to drive the tumble shaft of an air intake manifold for internal combustion engines. Original features of the linear actuator involve the mechanical architecture and the control structure. On the mechanical side, two contrasting sets of SMA springs are used to actively generate the net actuating force during both outstroke and instroke. On the control side, a current feedback is exploited for sensorless real-time monitoring of the working temperature of the SMA springs during electrical supply. Major shortcomings of the proposed solution are a low response time and a power consumption higher than pneumatic and electromagnetic counterparts. Index TermsActuators, mechatronics, power converters, shape memory alloys (SMAs).

Fig. 1.

Typical transformation curves for an SMA.

I. I NTRODUCTION OMMON requirements for new automotive products are high miniaturization and integration, small size and weight, and low cost. Innovative actuators based on the technology of Shape Memory Alloys (SMAs) present all these characteristics that make them particularly attractive [1], [3], [4]. Specically, they feature very high power/weight ratio with respect to traditional electric or pneumatic machines. Other advantages offered by SMA devices are the following: compliance with hard environment; simplicity of actuation mechanism; clean, silent, and smooth motion; sparkfree operation; distributed actuation system; and autosensing ability. The change of electric resistance can be used to monitor the phase transformation of SMA [5]. Accompanying these advantages
Manuscript received July 1, 2008; revised October 9, 2008, December 16, 2008, and January 27, 2009. First published April 14, 2009; current version published July 1, 2009. The authors are with the Department of Sciences and Methods of Engineering, University of Modena and Reggio Emilia, 42100 Reggio Emilia, Italy (e-mail: alberto.bellini@unimore.it; Marcello.Colli@magnetimarelli.com; eugenio.dragoni@unimore.it). Color versions of one or more of the gures in this paper are available online at http://ieeexplore.ieee.org. Digital Object Identier 10.1109/TIE.2009.2019773

are also several disadvantages that can be traced back mainly to their relatively slow response speed and to their inherent nonlinear behavior that makes them difcult to control [6][8]. Moreover, they are typically characterized by a low efciency (less than 10%) [9] in converting electrical into mechanical energy. However, if SMA devices are properly designed, the nuisances produced by these intrinsic weaknesses are kept to a minimum. In summary, SMA technology has great potential for the construction of direct binary miniactuators, where it outperforms traditional electromechanical systems in terms of cost, reliability, robustness, and power to weight ratio. The shape memory effect is the ability of a certain group of materials to memorize a specic shape when subjected to an appropriate thermal process. Materials exhibiting this effect are metallic alloys such as AgCd, AuCd, CuAlNi, CuSn, InTi, NiAl, and the popular NiTi. The phenomenon of the shape memory effect in metals is one of the most intriguing in material science. The basis of the shape memory effect is the phase change of the alloy that changes its crystal form, or atomic arrangement when it is cooled or heated through its characteristic transformation temperature. The type of transformation which occurs in the SMAs is known as a thermoelastic martensitic transformation which changes the material from the high-temperature form, called austenite, to the low-temperature form, called martensite. In Fig. 1, typical transformation curves for an SMA spring are reported, showing elongation and recovery versus temperature under a constant applied stress. If the reversibility of the transformation between the two phases depends only on temperature, the material is called a two-way

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Fig. 2. (Circled) Tumble system at work. (a) Lowered ap for free intake. (b) Raised ap for tumble ow.

SMA. If a restoring force is required to return to the martensitic geometry, the material is called a one-way SMA. From a technical standpoint, one-way SMAs have received more attention than two-way SMAs. Mechanical properties differ strongly in martensitic or austenitic condition. Fortunately, the stress needed to deform the martensite is much less than the yield strength of the austenite, in some cases several times less. This leads to one of the most useful aspects of one-way SMAs: The memorized shape is achieved by the material itself upon heating, and the alternative shape is recovered by the restoring force. The restoring force can be provided in a variety of ways: by a spring, by a weight or, interestingly, by another SMA as will be done in this paper. SMAs have been used in a variety of applications and feasibility studies were made to show their potential as actuators. The use in space was an early predicted application and it continues to grow. One form of separation device, the Frangibolt, has been used on several space missions [10]. A short length of TiNi wire, 100 m in diameter, is used in computer magnetic drives to unlatch the oppy disk [4]. The use of an SMA spring as a thermal sensor and one-shot actuator in smart couplings and emergency brakes is described in [11]. In the automotive arena, SMAs actuators have been proposed as preindustrialized concepts for antiglare rear view mirrors, for adaptive car lighting systems, for power door locks, and for air conditioning controls [12]. This paper describes the conceptual design, the prototype fabrication, and the functional testing of a novel binary SMA actuator for automotive tumble aps. Tumble systems have been recently introduced in automotive engines with the double purpose of complying with the strict pollution limits enforced by European directives and of improving performance. A tumble system is basically a rotating shaft with an array of aps which can assume two limit positions (raised or lowered) inside the intake manifold of the engine (Fig. 2). When the aps are in the lowered position, the manifold is opened and free intake occurs. When the aps are in the raised position, the manifold is partially obstructed and tumble ow takes place, enhancing gas combustion and contributing to reduced pollution and increased performance in particular working regimes of the engine. The actuator examined in this paper is used to rotate the tumble shaft. A critical comparison between traditional and SMA actuators is presented with the attention being focused on the rational design and on the integrated mechatronic architec-

ture of the new SMA device. The original contributions of the paper are manifold. The actuator is based on an SMA device where current control allows for sensorless operations and for maximum heating and cooling capabilities. Relying on physical properties of SMA material, the current is used to sense the state of material, without requiring any additional sensor. A bidirectional linear displacement of the actuator is realized, relying on one-way SMAs. The required restoring force is provided by a second SMA device working in antagonistic mode. The heating and cooling of the SMA device are accelerated by means of thermoelectric modules (TEMs), based on the Peltier effect, which transfer heat energy from the inactive SMA device to the activated SMA device during each instroke/outstroke operations [13]. Main heating is realized by Joule effect relying on pulsewidth modulation (PWM) power converters. Control technologies for SMA actuators are not established yet, as they feature nonlinear behavior with hysteresis. Some applications report the use of standard controllers [14], [15]. Design and experimental results of an SMA actuator control system using PWM to reduce the energy consumption by the actuator were presented [16]. Here, PWM is used for the same purpose in a sensorless control system. The design of the actuator is accomplished following the structured approach described in [17], with complements taken from [18] and [19]. Main steps of the process are the following: 1) denition of product requirements: a) customer needs; b) metrics; c) competitive benchmarking; d) house of quality; e) target specications. 2) conceptual design: a) problem decomposition; b) concept generation; c) concept classication and combination; d) concept evaluation and selection; e) Thermal modeling. 3) detailed design: a) mechanical architecture; b) power conversion system. 4) prototyping; 5) experimental results. In [20][22], the basic concepts behind the actuator were outlined separately. Here, the nal solutions adopted are presented, and the design process leading to the mechatronic integration of the entire device is detailed. This paper is organized in ve main sections, covering the ve steps above dened. II. D EFINITION OF P RODUCT R EQUIREMENTS The rst step of the design is the denition of the product requirements. The input for the actuator design came from a leading European car manufacturer which equips the air intake manifold of a car model with tumble aps arranged on a single crankshaft. The overall view of the manifold is shown in Fig. 3. Crank A must reciprocate between two extreme angular positions in order to open or close on demand the row of tumble aps F. A linear actuator mounted between the xed point O

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B. Metrics Associated with the customer needs, a set of metrics was developed, aimed at dening quantitative characteristics that help to drive the design toward the achievement of those needs. Fundamental metrics are stroke, output force (for both pull-in and push-out operation), actuation time, fatigue life, supply voltage, net current absorption, overall dimensions, weight, operative temperature range. In total, a list of 25 metrics was collected.
Fig. 3. Close-up of the attachment points O, E of the actuator within the air intake manifold.

C. Competitive Benchmarking The performances of the available competitors (pneumatic and electromechanical) of the new actuator were measured both in terms of customer satisfaction (customer needs) and in terms of values of the metrics. The evaluation with respect to the customer needs was coarsely expressed with three qualitative marks: unsatisfactory, fair, and satisfactory. D. House of Quality According to the concepts of Quality Function Deployment [28], customer needs, metrics, and competition performance (relative to both customer needs and metrics) were arranged in the House of Quality. A reduced House of Quality for the SMA actuator is shown in Fig. 4. The leftmost column of the House of Quality lists the set of customer needs for the new product. The rightmost two columns of the House contain judgements on how the present products (pneumatic and electromechanical actuators) satisfy the customer needs (symbol means unsatisfactory; symbol = means fair; symbol + means satisfactory). This information is used to nd out where there are opportunities for an improved product. The top row of the House list the metrics that specify how the product ability to meet the customer needs will be measured. The center part of the House correlates the customer needs to the metrics to make sure that all needs are addressed at list by one metric (the solid circle means strong correlation, the hollow circle means low correlation, no circle means no correlation). The bottom row of the House contains the target values of each metric. In summary, the House of Quality is a powerful tool to overview the design process. E. Target Specications

and the end E of the crank arm as indicated by the dashed line serves the purpose. For this application, two conventional linear actuators (one pneumatic and one electromechanical) are in service, and their specications are here used as baseline competitors for the development of the novel SMA actuator. The length of both existing actuators is 110 mm while the maximum width is 70 mm for the pneumatic actuator and 100 mm for the electromechanical one. Typical parameters are a force of about 35 N for a net stroke of 10 mm, covered in about 500 ms. Pneumatic and electromechanical solutions are the common choice for linear or rotary actuation systems in the automotive engine compartment. Pneumatic actuators are usually activated by an electrovalve that connects the actuator to a vacuum reservoir, thus producing a differential pressure which generates the required force. The main disadvantages of this solution are the need for a vacuum reservoir and the low degree of integration of the actuator within the manifold. Electromechanical actuators typically contain a dc motor and a reducing gear drive, used to adapt torque and speed to the output requirements. Although the degree of integration is good, main disadvantages of this solution are the high mechanical losses and the complexity of the gear train, contributing to poor efciency and reliability of the overall design. Linear or rotary electric direct drives could be conceived to overcome these limitations [23], [24], but cost considerations still prevents their use in automotive applications. Piezoelectric actuators are promising [25], [26] mainly because of their small dimensions, high force to mass ratio, and noiseless operation, but they are unt for the present application for their limited stroke. Among modern smart materials [27], SMAs were deemed to have the potential to replace standard pneumatic or electromechanical actuators. A. Customer Needs The main customer need is the use of a binary actuator that exploits the Shape Memory Effect. This is a mandatory option as the main goal of the design is to test the SMA technology in this demanding application. Other essential customer needs are that the SMA actuator is stable, lightweight, quiet, durable, inexpensive, maintenance free, and that it has low energy consumption. Altogether, some 13 customer needs were identied, and a relative weight (importance) ranging from 1 (hardly important) to 5 (very important) in steps of 1 was assigned to each.

The rst use of the House of Quality concerns the setting of the target specications, that is the decision of the target values that the product will have to meet for each of the metrics. For the development of a successful new product, the target specications should be set to improve the performance of existing products. For the SMA actuator, each target specication was set to the best of the values offered by either the pneumatic or the electromechanical competitor designs. Relevant specications are the following: total stroke = 10 mm, minimum output force in push-out mode = 35 N, minimum output force in pullin mode = 5 N; actuation time (push-out mode) = 0.5 s.

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Fig. 4.

House of quality.

III. C ONCEPTUAL D ESIGN Based on the identication of the customer needs and on the denition of target specications, the next stage of development involves a conceptual design process through which the best architecture for the SMA actuator is identied. In order to simplify the design task and to generate more and better concepts, the generation process begins with the decomposition of the problem. A. Problem Decomposition Functional decomposition is the most fruitful method for breaking down into smaller tasks the global design process of high-tech self-contained products [17][19]. Fig. 5 shows the high-level functional diagram for the SMA actuator. The diagram concentrates on the actions (functions) that the product must perform without providing any clues on how these functions will be implemented. Finding specic ways to implement the functions will be the task of the concept generation stage. The functional diagram highlights three fundamental ows through the product: material ow (thick solid line), energy ow (thin solid line), and information ow (dashed line). Arrangement of the actions along these ow routes helps identifying the main functions of the product and the interactions between them. The critical functions of the actuator were identied as follows: 1) receive closing signal; 2) activate closing mode; 3) receive opening signal; 4) activate opening mode; 5) receive external energy; 6) actuate energy; 7) import tumble shaft; and 8) apply energy to tumble shaft. B. Concept Generation The concept generation stage nds solutions to individual functions. This process was undertaken rst by performing external research in order to retrieve existing solutions in this

area or in similar areas of application. Internal research then followed in which creative concept generation was carried out within the design team. Group-oriented techniques as brainstorming formal settings and the 6-3-5 method [18] were extensively used to the aim of generating original ideas. C. Concept Classication and Combination The many concept fragments generated in the previous step for each single function were explored systematically by means of concept classication trees and concept combination tables. Classication trees were used to divide the entire space of possible solutions into several distinct classes for better comparison and augmented insight. Combination tables were used to combine systematically solution fragments referring to linked critical functions to achieve global integrated concepts. A total of 21 global concepts were generated in the process, and many of them are presented in [20]. D. Concept Evaluation and Selection Concepts evaluation and selection were performed in two steps by means of screening and scoring matrices. Six global concepts passed the rst screening stage. After screening, some concepts were revised and improved and then evaluated quantitatively through the scoring matrix. The scoring matrix for the nal six concepts surviving the screening stage is shown in Fig. 6. The customer needs are arranged vertically in the left column. The six concepts, identied by letters AF, are listed horizontally in the top row. Concept A features two antagonistic SMA ribbons, spirally wound around the tumble shaft. Concept B features one SMA ribbon and one antagonistic elastic ribbon, spirally wound around the tumble shaft. Concept C features two antagonistic SMA springs, pulling tangentially on opposite sides of the tumble shaft. Concept D is described below. Concept E features one SMA spring and one antagonistic elastic spring, pulling tangentially on

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Fig. 5. High-level functional diagram of the actuator.

Fig. 6. Scoring matrix.

opposite sides of the tumble shaft. Concept F features a set of polymeric tumble valves, reinforced by SMA wires to produce bending of the valve (and closure of the duct) upon activation of the wires. It is noted that no concepts evaluated with the nal scoring matrix are based on the use of SMA wires loaded in tension. Several concepts using wires were conceived in the early stage of the conceptual generation, essentially reproducing the mechanisms incorporated in concepts A and C above. Although these concepts are much attractive in terms of high force and low energy consumptions, they were abandoned because of strength considerations. Given the target stroke and the limited space available, the deformation requested to the wires was far beyond the limit sustainable for the life expected (2 106 cycles), despite the use of pulleys to increase the initial length of the wires. Concept D was deemed superior and selected for further development. A rened sketch of the winning concept is shown in Fig. 7. Although the possibility of direct angular drives were explored during the conceptual design, the winning concept congures the SMA device as a linear actuator coupled to the crank of the tumble shaft. Two sets of three one-way SMA helical springs are adopted to provide the relatively high force (35 N) and stroke (10 mm) that the actuator must provide. The two sets of springs contrast each other on the center plate to produce, by coordinated heating and cooling, the desired output force in push or pull mode on the actuator shaft. The symmetrical use of SMA springs for generating, interchangeably, both primary and restoring forces is an original idea of this design which is patented [21]. The use of two-way SMAs for

Fig. 7.

Final concept.

reciprocating motion was excluded due to the high operation time needed by these materials during the cooling stroke. Heating of the SMA springs is performed by Joule effect generated by a electric current owing in the SMAs. A dedicated power converter is used to this aim. The temperature must be accurately controlled in order to achieve a fast phase variation (from martensite to austenite), and to avoid overheating that would impair the shape memory effect. Cooling is accomplished primarily by natural convection. In order to reduce the duty cycle, heating and cooling are supplemented by TEMs, based on the Peltier effect, which transfer heat energy from the inactive spring set to the activated set during switching operation. Leading examples of the thermoelectric effect applied to SMA actuators can be found in [29] and [30].

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A dedicated current-controlled power converter was developed to perform this function [22]. E. Thermal Modeling The fundamental feature of the actuator is the actuation time which is primarily conditioned by the heating and cooling of the SMA springs. The differential equation describing the heat exchange between each spring and the environment can be written as [31] mc dT + hS(T T0 ) = Pe dt (1)

where m mass of spring (in kilograms); c equivalent specic heat of spring material (in joule per kilogram kelvin); T spring temperature (in degree kelvin); t time (in seconds); h heat transmission coefcient (in watts per square meter kelvin); S external surface of spring (in square meters); T0 ambient temperature (in degree kelvin); Pe electric power supplied to the spring (in watts). The equivalent specic heat c is the sum of the specic heat and the transformation enthalpy divided by the transformation temperature interval. The rst term in (1) represents the variation of thermal energy contained in the spring. The second term describes the heat losses due to overall cooling (mainly convective). The third term stands for the electric power input. Let us dene the heating time th as the time interval required to change the status of the SMA from martensite to austenite, and the cooling time tc as the time interval required to change the status of the SMA from austenite to martensite. Specically, let us assume that the spring starts from an initial temperature just below Mf [nish temperature of martensite transformation (Fig. 1)] and that it is heated with constant power supply Pe just above Af [nish temperature of austenite transformation (Fig. 1)]. If c indicates the mean equivalent specic heat when the temperature increases from Mf to Af the integration of (1) between Mf and Af gives the following expression of the heating time th : th = mc ln hS Pe hS(Mf T0 ) Pe hS(Af T0 ) . (2)

of the logarithm tends to unity and the heating time tends to zero. In order to improve the dynamics of the actuator, the electric drive should supply the SMA springs with the maximum power available. Likewise, (3) shows that, given the material (c ) and the working temperature ranges (Af T0 and Mf T0 ), the cooling time can be reduced by decreasing the mass to surface ratio of the spring (m/S) and by increasing the overall heat transmission coefcient (h). Since the actuator is operated by heating one of the spring sets and by simultaneously cooling the contrasting spring set (Fig. 7), the cycle time of the device is related to the highest value between tc and th . From (2) and (3), it turns out that tc is larger than th , thus the cooling is the most critical transformation. When the cooling time tc is elapsed, the full stroke (either outward or inward) is achieved, since the other set has surely been heated above the activation temperature. The denition of the relationship between time, temperature, and position along the travel of the rod would be a demanding task. In fact, it is difcult to model nonlinear phenomena, like hysteresis of austenite-martensite transformation (visible as the loop between heating and cooling curves in Fig. 1). Here, the actuator is used as an on-off device, hence the accurate model is not mandatory to characterize the dynamic behavior of the system, that is well approximated by the characteristic time tc (3) and the overall stroke computed in Section IV. In the concept of Fig. 7, the dynamics of the actuator was improved thanks to the TEMs, that reduce the cooling time tc by increasing the heat transmission coefcient (h). Other design solutions aimed at decreasing the cooling time by acting on coefcient h and on the mass to surface ratio (m/S) are described in Sections V and VI. IV. D ETAILED D ESIGN The main purpose of the detailed design was to identify the overall product architecture that: 1) achieves the highest mechatronic integration between the mechanical structure and the electronic power converter used to drive the actuator; 2) occupies the minimum space within the available volume; 3) best integrates with the air intake manifold. A. Mechanical Architecture Most popular shapes for SMA are wire, spring, tubing, sheet, or ribbon. These different shapes can be used to realize linear, angular, or torsional actuators with different working strokes. As detailed in the previous section, the basic concept was to congure the SMA actuator as a linear actuator coupled to the tumble shaft with a crank. Helical compression springs were chosen as the best option for achieving large working strokes. In fact, compared to straight wires, springs have a signicantly higher recoverable strain but, as they perform in torsion instead of tension, they cannot develop the same force. For this reason, the design includes three SMA springs at 120 in order to generate the required force. The spring dimensions were established by following the design procedure described in [32]. Since oneway SMAs were chosen, a restoring force is needed in order

If the power supply is turned off when temperature Af is reached and the spring is allowed to cool down to temperature Mf , the cooling time tc can be computed by integrating (1) between Af and Mf . By letting Pe = 0 and indicating by c the mean equivalent specic heat when the temperature decreases from Af to Mf , (1) gives the following expression for the cooling time tc : tc = Af T0 mc ln . hS Mf T 0 (3)

From (2), it turns out that if the power supply is sufciently high hS(Af T0 ) > hS(Mf T0 )), the argument (namely, Pe

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Fig. 9.

Overall CAD view of the SMA actuator.

Fig. 8. Characteristic curves of the SMA springs.

to recover the starting position. Here, the restoring force is provided by a second set of three SMA springs working in antagonistic mode. This alternative was preferred to the usual arrangement where the restoring force is provided by conventional (passive) springs in order to reduce substantially the time needed by the device to perform the operating cycles in pushout and in pull-in modes. With reference to Fig. 7, the pushout operating cycle is dened as the movement of the actuator shaft from its leftmost (fully retracted) position to its rightmost (fully extended) position. This mode of operation is achieved when the left SMA springs are energized and the right springs are cooled. In the following, this condition will be referred to as state S. Similarly, the pull-in operating cycle is dened as the movement of the actuator shaft from its rightmost (fully extended) position to its leftmost (fully retracted) position. This mode of operation is achieved when the right SMA springs are energized and the left springs are cooled. In the following, this condition will be referred to as state R. Activation of pushout and pull-in modes according to the desired motion of the tumble shaft is carried out by a suitable operation of the power converter (see below). A schematic diagram describing the force balance between hot and cold springs is shown in Fig. 8. The left end of the diagram represents the length of the left spring set (Fig. 7) when compressed solid and the length of the right spring set when fully extended (memorized shape). Similarly, the right end of the diagram represents the length of the right spring set when compressed solid and the length of the left spring set when fully extended (memorized shape). When the left springs are heated and the right springs are cooled, line a measures the push-out force of the hot left springs and line b is the contrasting pull-in force of the cool right springs. The difference between the two lines is the net push-out force of the actuator. Point Y is the rightmost position that the actuator shaft can achieve due to the forces produced by the internal springs. When heating and cooling of the springs are reversed, the characteristic lines become a and b which, for equal left and right springs, mirror the corresponding lines a and b. The actuator now exerts a pull-in force, and point X identies the leftmost position that the shaft can reach under the sole action of the internal springs. The horizontal distance between points X and Y measures the total useful stroke of the actuator. Since the

engineering specications of the actuator demand a push-out force (35 N) larger than the pull-in force (5 N), the set of left springs was designed [32] to be stiffer (larger wire diameter) than the right set. However, the basic working principle of Fig. 8 still holds. Three TEMs based on the Peltier effect are accommodated between the two sets of coils and inside the plastic structure of the linear shaft of the actuator. The TEMs are used to cool the inactive spring set and to heat-up the activated set at the same time. Contoured thin copper sheets ensure the electric connections between power supply and the set of springs. Two end plates and two parts for the moving shaft, all made of polymeric material, form the structural frame of the actuator. The connection between the shaft and the crank of the tumble ap axis is assured by a spherical socket that receives a conformal spherical head. The 3-D assembled view of the actuator is shown in Fig. 9. B. Current-Controlled Power Conversion System As detailed in previous sections, the proposed actuator is composed by two antagonist sets of spring sets which need to be supplied alternatively according to the desired shaft motion direction. At the same time, the TEMs need to be supplied with current in a specic direction in order to obtain the proper heat transfer ow. For efciency reasons each set of springs is supplied through a switching-mode power converter that regulates the average current, and thus the average power, by means of PWM of the impressed voltage. The TEMs are supplied by an H-bridge in order to allow reversal of the heat ow. It turns out that the SMA power converters are unidirectional (Fig. 10), while the TEM power converter is a bidirectional one (Fig. 11). Two main states exist for the actuator shaft position: state S (shaft stretched) and state R (shaft retracted). State S corresponds to the activation of the left set of SMA springs (Fig. 7) and to a conventionally positive current owing into the TEMs so that the heat transfer direction is R S. State R corresponds to the activation of the right set of SMA springs (Fig. 7) and to a negative current owing into the TEMs so that the heat transfer direction is S R. For the SMA power converters, a PWM strategy is used to modulate power according to the required dynamic, while for the TEMs, a PWM driving is used that supplies the maximum available power. The driving logic is based on the intrinsic sensor capacity of the SMA that varies its specic electrical resistance as a function of the temperature. As the material reaches the austenitic transition temperature, its specic resistance assumes a value AU lower than the

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Fig. 10. Schematics of the power converters for SMA springs. Fig. 12. Logic ow chart of the actuator.

Fig. 13. Block diagram of the current control of the actuator.

Fig. 11. Schematics of the power converters for TEMs.

low-temperature (martensite) one. In this condition, the current increases to a value iAU . By a suitable sampling of the current on the SMA springs, it is possible to assess the phase state of the SMA. A typical operation cycle of the actuator can be described as follows. Initially, both SMA sets are in the low-temperature (martensite) state, characterized by a specic resistance MA , and the shaft is in an equilibrium position. As the actuator receives a command to stretch (outstroke) or retract (instroke) the shaft, the appropriate spring set is activated at full power (100% duty cycle). The supplied current produces a temperature increase by Joule effect. According to the physical characteristics of the material, its specic resistance decreases until it reaches the threshold AU that marks the Austenite phase state, hence maximum mechanical rigidity. The transformation is now complete and the shaft reaches its maximum outstretched or retracted position. From now on, it sufces to maintain the austenite state until the next command, avoiding overheating phenomena that would degrade the shape memory effect and reduce the lifetime of the actuator. To this aim, the controller supplies the active spring set with a new holding current value iH

that was empirically derived (iH iAU ) (Fig. 12). This choice results in effects similar to a feedforward compensation. The current feedback loop compares the sampled current iH with the set point iH used to maintain the SMA in the transformed state (Fig. 12). Since the two spring sets have different geometries, the value of the holding current iH is different for each set. The block diagram of the control system shown in Fig. 13 is related to a single set. After the initial phase with a constant holding current (Fig. 12), a stationary controller PI [33] is used to regulate current. The control system is implemented on a Digital Signal Processor (DSP). For the power supply of the TEMs, no regulation is provided, as they must always operate at maximum available power: Only direction reversal is necessary. V. P ROTOTYPE C ONSTRUCTION Based on the aforementioned detailed design, a functional prototype of the SMA actuator was built. The prototype comprises two sets of three customized NiTi springs, three commercial round TEMs, a straight plastic shaft in two parts, three aluminum connection bars, upper and bottom plastic covers, four copper frame providing electric contacts, and the power converter. The springs were made of NiTi alloy with a transformation temperature of about 90 C. The springs of the left set have a wire diameter of 1.8 mm, a mean spring diameter of 12 mm, and comprise 18 active coils each. The springs of the right set have a wire diameter of 1.2 mm, a mean spring diameter of 11 mm, and comprise 18 active coils. All plastic parts were fabricated by Fused Deposition Modeling (FDM).

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Fig. 14. (a) CAD model of the spherical head of the actuator shaft and (b) FDM prototype of the top end plate.

Fig. 16.

Picture of the assembled SMA prototype actuator.

Fig. 15. Picture of the prototype power converter board. Fig. 17. Experimental setup for the mechanical characterization of (circled) the actuator.

Fig. 14 shows the sliced 3-D computer-aided design (CAD) model of the spherical end socket of the actuator shaft and the actual FDM prototype of the top end plate through which the shaft reciprocates. The contoured sheets which provide end electric contacts for the springs were fabricated by laser cutting from thin copper blanks. An electrical wire is soldered to each sheet and is connected to the electronic board containing the power converter. The end plates of the actuators are connected to each other by aluminum spacers (Fig. 9), cut from cylindrical rods, and threaded at the extremities. The double-sided, prototype electronic board was manufactured by means of Surface Mount Device technology to reduce the dimensions and to ensure a better integration into the mechanical structure of the actuator. The prototype of the electronic board includes the power converter and a DSP for the implementation of the current control strategy (Fig. 15). A 12-V automotive battery supplies the board. The mechanical parts and the electronic board were assembled manually to produce the nal construction of Fig. 16. The overall dimensions in the closed conguration (110 65 50 mm) are within specications and compare satisfactorily with those of the pneumatic (60 70 70 mm) and of the electromechanical (110 100 60 mm) counterparts. The overall mass of the prototype SMA actuator is about 240 g, against a target value of 300 g. This is above the mass of the pneumatic competitor (170 g) but well below the electromechanical antagonist (700 g). In Fig. 16, small undulations of the SMA springs are observed due to slight imperfections during the manual winding process. Good integration of the power converter board with the chassis is nally remarked.

VI. E XPERIMENTAL R ESULTS The prototype was tested both mechanically and electrically in order to check its functional performance. A. Mechanical Testing The mechanical tests were carried out on an electromechanical testing machine (Galdabini SUN 500), purposely equipped with attachment rigs to connect it to the actuator prototype. The machine, with a load capacity of 5 kN, is controlled by a PC equipped with proprietary data acquisition software. A picture of the actuator in testing conguration is shown in Fig. 17. The experimental arrangement had the double purpose of checking the mechanical performance of the actuator (force versus stroke in push-out and pull-in modes) and to monitor the current and the overall electric behavior without load in order to state the dynamic performances. The mechanical characterization tests were performed by mounting the actuator at its minimum physical length between the attachments of the machine. Then, the springs were operated in push-out mode against the attachments which were opening at a constant speed of 10 mm/min. At the end of the outward stroke, the actuator was switched to operate in pull-in mode against the attachment that were closing at the same speed until the starting position was reached. During both outward and inward strokes, the force applied by the actuator onto the attachments was measured by the load cell of the testing machine. Fig. 18 shows the experimental force-stroke curves for the actuator. These curves

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Fig. 20. Waveforms of SMA (top trace) voltage and (bottom trace) current during state change S R. Fig. 18. Measured force-stroke curves of the actuator in push-out and pull-in modes.

Fig. 21. Waveform of TEM voltage during a full cycle R S and S R.

Fig. 19. battery.

Picture of the actuator with the power converter and the automotive

exhibited good repeatability from one cycle to the next for both outstroke and instroke and show a remarkably linear behavior. The minimum push-out force is about 40 N (against a target value of 35 N) while the minimum pull-in force is about 10 N (against a target value of 5 N). The total stroke is just above the target value of 10 mm. Another test involved the measurement of the actuation time from the fully retracted shaft position to the fully outward position (Fig. 19). In this test, no external load was applied to the shaft but the shaft end was tted with a mass equivalent to the inertia of the tumble shaft. A mean actuation time of about 0.8 s was obtained averaging ve measurements. A similar value was obtained also for the pull-in stroke. This actuation time is greater than the target time of 0.5 s which the pneumatic, and the electromechanical competitors are able to achieve. As expected, the poor dynamics of the SMA actuator is the major limitation in comparison with classical alternatives. In the actual prototype, the effect of the TEMs was rather limited, since it reduced the actuation time of each stroke from 0.9 (modules not activated) to 0.8 s (modules activated). This result proves that, if applied at the ends of the springs, as in the present concept, the TEMs are almost useless. Following [34], two ways of improving the cooling efciency of the actuator (hence

decreasing the actuation time) are envisioned. The rst solution introduces the concept of heat sink, possibly assisted by the use TEMs. In [34], silicone grease is adopted as conductive medium to transfer the heat generated by an SMA wire to an outer radiating shell. The net effect of this solution is to increase the overall heat transmission coefcient h in (3), thus contributing to reducing the cooling time tc . The second solution consists in performing the heating of the springs by means of very fast electric supply [34]. This results in lower heating of the alloy due to partial transformation of heat energy into kinetic energy of the material. A last remark on the fatigue performance of the actuator is needed. In order to ensure the required life of 2 million cycles (see Fig. 4), the springs were designed to undergo an equivalent strain lower than 2% under the maximum deection imposed by the actuator (stroke plus initial compression). From the data sheet of the material, this deformation can be sustained by the alloy for about 10 Mcycles. While fatigue tests under electric actuation will be performed on the actuator at the end of the optimization phase, all the spring types mounted in the rst prototype have been tested at a frequency of 10 Hz using a servohydraulic machine. The tests were performed, on separate sets of springs, both below and above the transformation temperature with the springs being cycled between the lengths they will assume within the actuator. In all cases, the springs survived the nominal life of 2 million cycles without any sign of damage.

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TABLE I COMPARATIVE PERFORMANCES OF LINEAR ACTUATORS

B. Electronic and Control Testing A prototype of the power converter was realized, in agreement with the structure shown in Figs. 10 and 11, including a DSP for the implementation of the current control policy detailed in the previous sections. Several stretch and retract tests were made both under load (Fig. 17) and without load (Fig. 19) to validate the proposed control structure by monitoring voltage and current. Fig. 20 shows voltage and current waveforms on the right spring set during a S R transition. At rst, the right spring set is supplied with maximum available power, then, when the iAU threshold is reached, a PWM voltage is applied to the set in order to keep the average current value at iH . Voltage is slightly decreasing, because of nonideal behavior of the automotive battery and cabling used to supply the power converters. Results show that a single transition occurs in about 0.8 s. Fig. 21 shows the PWM voltage applied to the TEMs during a full cycle R S and S R. The gure shows the operations required for a full cycle, whose optimal cycle time is being investigated. Fig. 20 shows that supplying a PWM voltage to the SMAs the current waveform is characterized by a similar shape, because the inductance of SMA springs is negligible. This phenomenon does not affect performances, as the aim of the power converter is to change and control SMA temperature through Joule effect. In summary, the proposed solution features an accurate and sensorless temperature control, thanks to a high-current pulse modulation that actuates the alloy fastly using pulses in the milliseconds order. This technique is similar to that presented in [34], where it is shown that actuation response is largely improved with respect to traditional heating and cooling actuation. In fact, this allows one to control accurately the current and, thus, the temperature in the alloy, and to change it quickly according to desired material form. The performances of the three solutions are summarized in Table I. In comparison with pneumatic and electromechanical solutions, the proposed actuator features reduced weight and size. On the other side, it features higher power consumption and reduced dynamics. The power consumption of the SMA actuator is mainly due to the energy required to heat up the springs at the beginning of each stroke. A solution which is now under investigation consists of adopting hollow core springs rather than solid wires. Hollow SMA wires are available from several manufacturers, and their adoption leads to springs that are only slightly bigger and much more energetically efcient than their solid counterparts [35]. As an example, a hollow spring wound with the same spring index of a given solid spring exhibits a hollow cross section only one half of the solid section. The electric resistance and thus the electric power required to heat up the hollow spring is exactly one half that of the solid

spring. In this way, the maximum current is also halved. In order to have the same mechanical strength, the radial dimensions of the hollow spring (outside diameter of the tube and mean coil diameter) increase of a mere 15% with respect to the solid spring. The increase of size is about 50% if the hollow section is one quarter of the solid spring, with a corresponding reduction of maximum current and power. An additional advantage of hollow springs is the reduction of the mass to surface ratio which results in a reduction of the cooling time as shown by (3).

VII. C ONCLUSION A case study reporting the mechatronic design of an SMA binary actuator for automotive tumble aps has been presented, covering all the stages of a quality-oriented development process. Moving from the initial denition of the customer needs, all the steps leading from the conceptual design to prototype construction and testing are detailed. The choice of an SMA binary actuator results in reduced weight and size with respect to actuators based on traditional technologies. Moreover, it features increased reliability although the dynamic performances are intrinsically limited. The proposed mechatronic design aims at increasing dynamic performances thanks to original mechanical, thermal, and electronics solutions. As for mechanical design, the proposed actuator features an original use of two antagonistic sets of SMA springs to provide both direct and recovery output forces during outstroke and instroke operations. As for thermal design, a set of TEMs based on the Peltier effect are accommodated between the two sets of SMA springs and inside the plastic structure of the linear shaft of the actuator. The modules are used to cool the inactive spring set and to heat-up the activated set at the same time. As for electronics design, the peculiar characteristic of SMA materials, that perceivably change their resistivity as the shape transformation temperature is overcome, is purposely exploited to maintain the activated spring set just above its transformation temperature by a sensorless control. The current control allows a fast phase transition and then a fast displacement of the SMA actuator shaft, accurately avoiding overheating and degrading of the SMA. A prototype for the novel current-controlled SMA actuator was realized. Mechanical and electrical functional tests were performed that conrm the effectiveness of the proposed control structure and of the overall design, placing the proposed actuator in a competitive position against electromechanical and pneumatic actuators. Major shortcomings of the present SMA solution are a low response time and a power consumption higher than pneumatic and electromagnetic counterparts.

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ACKNOWLEDGMENT The authors would like to thank P. Cominetti and N. Bellato of Magneti Marelli Powertrain R&D for support with the mechanical prototype. The authors would also like to thank Prof. G. Franceschini, Dr. C. Concari, and A. Toscani of the University of Parma for valuable discussions and realization of electronic hardware. Supply of prototype SMA springs from Technosprings Italia is gratefully acknowledged. R EFERENCES
[1] M. Moallem and J. Lu, Application of shape memory alloy actuators for exure control: Theory and experiments, IEEE/ASME Trans. Mechatronics, vol. 10, no. 5, pp. 495501, Oct. 2005. [2] C. Mavroidis, C. Pfeiffer, and M. Mosley, Conventional actuators, shape memory alloys and electrorheological uids, Autom., Miniature Robot. Sensors Non-Destructive Testing Eval., 1999. [3] K. Ikuta, Micro/miniature shape memory alloy actuator, in Proc. IEEE Int. Conf. Robot. Autom., Cincinnati, OH, May 1990, pp. 21562161. [4] C. Mavroidis, Development of advanced actuators using shape memory alloys and electrorheological uids, Res. Nondestruct. Eval., vol. 14, no. 1, pp. 132, Sep. 2002. [5] N. Ma, G. Song, and H.-J. Lee, Position control of shape memory alloy actuators with internal electrical resistance feedback using neural networks, Smart Mater. Struct., vol. 13, no. 4, pp. 777783, Aug. 2004. [6] D. Grant and V. Hayward, Constrained force control of shape memory alloy actuators, in Proc. IEEE Int. Conf. Robot. Autom., San Francisco, CA, 2000, vol. 2, pp. 13141320. [7] R. Featherstone and Y. H. Teh, Improving the speed of shape memory alloy actuators by faster electrical heating, in Proc. 9th Int. Symp. Exp. Robot., 2004, pp. 6776. [8] J. Peris, D. Reynaerts, and H. V. Brussel, The true power of SMA microactuation, in Proc. Micromechanics Eur. Workshop, Cork, Ireland, 2001, pp. 217220. [9] K. Ikuta, M. Tsukamoto, and S. Hirose, Shape memory alloy servo actuator system with electric resistance feedback and application for active endoscope, in Proc. IEEE Int. Conf. Robot. Autom., Philadelphia, PA, Apr. 1988, pp. 427430. [10] M. Lucy, R. Hardy, E. Kist, J. Watson, and S. Wise, Report on alternative devices to pyrotechnics on spacecraft, in Proc. Annu. AIAA/USU Conf. Small Satellites, 1996, pp. 119. [11] J. Fawcett and J. Burdess, Application of a shape memory alloy in a smart thermal clutch or brake, Proc. Inst. Mech. Eng., Part L: J. Mater.: Design Appl., vol. 213, no. 1, pp. 2126, 1999. [12] D. Stockel, Shape Memory Actuators for Automotive Applications, T. W. Duerig, K. N. Melton, D. Stockel, and C. M. Wayman, Eds. Toronto, ON, Canada: Eng. Aspects Shape Memory Alloys, 1990. [13] J. Abadiea, N. Chaillet, and C. Lexcellent, An integrated shape memory alloy micro-actuator controlled by thermoelectric effect, Sens. Actuators A, Phys., vol. 99, no. 3, pp. 297303, Jun. 2002. [14] M. L. Tharayil and A. G. Alleyne, Modeling and control for smart mesoap aeroelastic control, IEEE/ASME Trans. Mechatronics, vol. 9, no. 1, pp. 3039, Mar. 2004. [15] P. V. Hulla, S. L. Caneld, and C. Carrington, A radiant energy-powered shape memory alloy actuator, Mechatronics, vol. 14, no. 7, pp. 757775, Sep. 2004. [16] N. Ma and G. Song, Control of shape memory alloy actuator using pulse width modulation, Smart Mater. Struct., vol. 12, no. 5, pp. 712719, Oct. 2003. [17] K. Ulrich and S. Eppinger, Product Design and Development. New York: McGraw-Hill, 2000. [18] D. G. Ullman, The Mechanical Design Process. New York: McGrawHill, 1997. [19] K. Otto and K. Wood, Product Design. Englewood Cliffs, NJ: PrenticeHall, 2001. [20] M. Colli, E. Dragoni, and N. Bellato, System design of a shape memory alloy actuator for automotive tumble aps, presented at the SAE Powertrain and Fluid Syst. Conf. and Exhibit., Toronto, ON, Canada, Oct. 1619, 2006, SAE Paper 2006-01-3424. [Online]. Available: http:// www.sae.org/technical/papers/2006-01-3424 [21] N. Bellato, S. Sirani, M. Colli, and E. Dragoni, Tumble system for internal combustion engines actuated by shape memory alloys, U.S. Patent, n. 05 425 834.8, 2006.

[22] M. Colli, A. Bellini, C. Concari, A. Toscani, and G. Franceschini, Current-controlled shape memory alloy actuators for automotive tumble ap, in Proc. Annu. Conf. IEEE Ind. Electron., Paris, France, Nov. 2006, pp. 39873990. [23] T.-W. Chun, J.-R. Ahn, H.-H. Lee, H.-G. Kim, and E.-C. Nho, A novel strategy of efciency control for a linear compressor system driven by a PWM inverter, IEEE Trans. Ind. Electron., vol. 55, no. 1, pp. 296301, Jan. 2008. [24] A. Forrai, T. Ueda, and T. Yumura, Electromagnetic actuator control: A linear parameter-varying (LPV) approach, IEEE Trans. Ind. Electron., vol. 54, no. 3, pp. 14301441, Jun. 2007. [25] M. Moallem, M. R. Kermani, R. V. Patel, and M. Ostojic, Flexure control of a positioning system using piezoelectric transducers, IEEE Trans. Control Syst. Technol., vol. 12, no. 5, pp. 757762, Sep. 2004. [26] R.-J. Wai and J.-D. Lee, Comparison of voltage-source resonant driving schemes for a linear piezoelectric ceramic motor, IEEE Trans. Ind. Electron., vol. 55, no. 2, pp. 871879, Feb. 2008. [27] H. Janocha, Adaptronics and Smart Structures: Basics, Materials, Design, and Applications. Berlin, Germany: Springer-Verlag, 1999. [28] D. Clausing, Total Quality Development. New York: ASME Press, 1994. [29] B. Selden, K.-J. Cho, and H. H. Asada, Segmented binary control of shape memory alloy actuator systems using the Peltier effect, in Proc. IEEE Int. Conf. Robot. Autom., Apr./May 2004, vol. 5, pp. 49314936. [30] A. Bhattacharyya and D. Lagoudas, Thermoelectric shape memory alloy actuators and the issue of thermomechanical coupling, J. Phys. IV, vol. 7, no. C5, pp. 673678, Nov. 1997. [31] D. Reynaerts and H. V. Brussel, Design aspects of shape memory actuators, Mechatronics, vol. 8, no. 6, pp. 635656, 1998. [32] R. Velazquez and E. Pissaloux, Design of shape memory alloy helical springs using force and time response criteria, in Proc. Int. Conf. Mechatron. Robot. 2004, Aachen, Germany, Sep. 1315, 2004. [Online]. Available: http://www.mechrob.de/dokument/mechrob_ programmPRELIMINARY.pdf [33] M. P. Kazmierkowski and L. Malesani, Current control techniques for three-phase voltage-source PWM converters: A survey, IEEE Trans. Ind. Electron., vol. 45, no. 5, pp. 691703, Oct. 1998. [34] C. S. Loh, H. Yokoi, and T. Ara, Natural heat-sinking control method for high-speed actuation of the SMA, Int. J. Adv. Robot. Syst., vol. 3, no. 4, pp. 303312, Dec. 2006. [35] I. Spinella and E. Dragoni, Shape memory alloy helical springs with hollow cross-section, Italian Patent Application n. RE-2008-A000096, Oct. 2008, (in Italian).

Alberto Bellini (S96A98M03) was born in Italy, in 1969. He received the Laurea (M.S.) degree in electronic engineering and the Ph.D. degree in computer science and electronic engineering from the University of Bologna, Bologna, Italy, in 1994 and 1998, respectively. From 1999 to 2004, he was with the University of Parma, Parma, Italy. He was an Honorary Scholar with the University of Wisconsin, Madison, during 2000. Since 2004, he has been with the University of Modena and Reggio Emilia, Reggio Emilia, Italy, where he is currently an Assistant Professor of electric machines and drives. His research interests include power electronics, signal processing for audio and industrial applications, and electric drive design and diagnosis. He is the author or coauthor of more than 80 papers and one textbook, and is the holder of three industrial patents. Dr. Bellini was the recipient of the First Prize Paper Award from the Electric Machines Committee of the IEEE Industry Applications Society in 2001. He is a member of the Italian Association of Converters, Electrical Machines and Drives. He serves as an Associate Editor of the IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS.

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Marcello Colli was born in Italy, in 1980. He received the M.S. degree in mechatronic engineering from the University of Modena and Reggio Emilia, Reggio Emilia, Italy, in 2005, where he has been working toward the Ph.D. degree in engineering of industrial innovation since 2006. He is a member of the Machine Design Group, Department of Methods and Engineering, University of Modena and Reggio Emilia. He began his industrial carrier as a Designer with Magneti Marelli Powertrain Division, Italy, at the end of 2005. He works on product development of Drive-By-Wire throttle bodies for gasoline engine. Starting in 2008, he assumed the role of Project Manager. He is the author or coauthor of paper on subjects including shape memory alloy applications and project development methodology. He is the holder of ve industrial patents.

Eugenio Dragoni was born in Italy, in 1957. He received the M.S. degree in mechanical engineering from the University of Bologna, Bologna, Italy, in 1982. He began his academic career and served as Researcher and Lecturer with the Department of Mechanics, University of Bologna from 1983 to 2000. Since 2000, he has been a Full Professor with the University of Modena and Reggio Emilia, Reggio Emilia, Italy, where he has been heading the Department of Sciences and Methods for Engineering since December 2003. He leads a research group which is active mainly on engineering applications of structural adhesives and of smart materials. He has authored or coauthored about 100 papers on subjects including computational mechanics, mechanical behavior of adhesives and nonmetals, and mechanical design. Mr. Dragoni is a member of the Italian Association for Stress Analysis and of the British-based Society for Adhesion and Adhesives. He serves on a regular basis as a Reviewer for the journals published by the Institution of Mechanical Engineers.

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