Proceedings of IMECE2002

ASME International Mechanical Engineering Congress& Exposition

November 17-22, 2002, New Orleans, Louisiana

IMECE2002-32388

THE ROLE OF MICROSTRUCTURE IN MEMS DEFORMATION AND FAILURE

T. E. Buchheit and B. L. Boyce

Tribology, Mechanics and Melting Department

G. W. Wellman
Materials Mechanics Department

Sandia National Laboratories

P.O. Box 5800, MS 0889
Albuquerque, NM 87185-0889, USA

ABSTRACT This paper discusses experimental results and

MEMS technologies create complex devices with
critical dimensions on the order of 1-100 µm from a
limited, but expanding materials base. Two standard
MEMS technologies of interest to Sandia National
Laboratories are surface micromachining (SMM) and
LIGA-based high aspect ratio microfabrication. SMM
techniques produce complex devices on the surface of a
silicon wafer with critical dimensions of about 2 µm
using a patterned multilayer film deposition process.
LIGA (Lithographie, Galvanoformung, Abformung) is a
process in which structural material is electrodeposited
into a polymethyl-methacrylate (PMMA) mold realized
by deep x-ray photolithography. The resolution of the
LIGA process can be as precise as 1 µm, but typical
component sizes range in the 100's of microns. In both
technologies, material microstructural features, e.g. grains
and defects, scale with component sizes. Consequently,
issues surrounding the mechanical response of
components fabricated from these technologies are often
caused by this microstructure-component size scale
equivalence. The objective of this paper is to present an
overview of select mechanical properties results and
associated microstructure evaluations expected to be
useful for developing damage mechanics models that
accurately predict the lifetime of MEMS devices. A
companion paper (IMECE2002-32393) discusses
experimental results and observations from
micromechanical evaluation studies of SMM-MEMS.
observations on LIGA fabricated materials and some
complementary, straightforward polycrystal elastic
deformation simulations of SMM polysilicon.
INTRODUCTION
Mechanical properties characterization of MEMS
materials at the appropriately small size scales is a
relatively new research area, about 10 years old, lacking
significant damage mechanics development. Substantial
relevant mechanical properties data on materials used to
fabricate MEMS devices has been derived from
microscale versions of the standard tensile test. [1-6] In
cases of fine microscale or even nanoscale testing,
relatively unconventional methods must be developed to
extract mechanical properties from an appropriately
dimensioned sample. Consider, for example the pull-tab
test methods used for tensile testing SMM materials
discussed in the companion paper in these proceedings by
LaVan et al. [7] Candidate LIGA fabricated devices,
range from 10's to 100's of microns, large enough for
tensile testing to be more closely aligned with
conventional testing methods using a miniature
servohydraulic loading system. [8] However, results
from tension testing alone do not provide a full
understanding of the mechanical response of LIGA
materials. A more complete understanding of the
mechanical response of LIGA materials requires slightly
more unconventional test methods. An example in this

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 current study is the test used to obtain the fatigue
response of LIGA Ni using a specimen with a very thin
ligament geometry illustrated in figure 2.
Details of the LIGA fabrication process have been
reviewed by several authors. [9] The portions of the
process that most govern resultant material properties and
properties variations within components are the mold
definition and deposition steps. In the mold definition
step, sharp and high aspect ratio features within the mold
geometry influence the local deposition conditions and 5 µm
ultimately the local microstructure and properties of the (b)
structural material deposited within these features.
Significant local variations in microstructure have already
been observed in LIGA materials, although they have not
yet been quantitatively tied to local properties variations. Anomolous
As an example, figure 1 illustrates an anomalous
microstructure
microstructure feature observed in LIGA Ni, a pocket of
grains with different crystallographic orientation,
observable through Electron Backscatter Pattern imaging
(EBSD). [10]
The LIGA process has relied on electrodeposition to
deposit material into the molds, thus microstructure and 25 µm 2 µm
properties of LIGA fabricated structural materials are
usually similar to those of electrodeposited films. The (a) (c)
paper focuses on results from LIGA Ni deposited from Figure 1 Cross-Section EBSD microstructure examples in common
two different bath chemistries, two LIGA Ni-X alloys, MEMS structural materials. (a) LIGA Ni electrodeposited with no
80Ni-20Fe and 60Ni-40Co, and a LIGA Ni composite additives in the bath chemistry, (b) LIGA 60Ni-40Co alloy, and (c)
referred to as ODS-Ni (oxide dispersion strengthened Ni). polysilicon used in SMM MEMS devices.
The LIGA Ni bath chemistries are standard Sulfamate
and Watts bath compositions. In terms of resultant
deposit microstructure, the key difference in the two bath Motion of applied
chemistries is the presence of the additives saccharin and displacement
coumarin in the Watts bath. Additives and alloying
elements invariably refine the microstructure in Fixed end
electrodepositions. A comparison of figure 1(a) and (b)
illustrates this by showing the coarser microstructure of
the "no additive" Sulfamate bath LIGA Ni relative to the
very fine microstructure of the electrodepsited LIGA
60Ni-40Co alloy sample. In turn, microstructural
refinement dramatically increases the strength of LIGA 250 µm
materials through grain boundary strengthening.
[02Buc][92Din] (a) (b)
In addition to the LIGA microstructure-properties Figure 2- LIGA mechanical test specimens. (a) A typical
results, some complementary preliminary polycrystal LIGA fabricated tensile test specimen and (b) An SEM
elasticity modeling has been performed to understand the iumage of the gage section of a LIGA fatigue testing
role of individual microstructure features, i.e. grains and specimen
grain boundaries, on the material response of a MEMS
component. The modeling methodology reflects of a patterned polysilicon deposition showing that one or
microstructure-based elastic deformation of polysilicon, a few grains bridge critical dimensions in SMM-MEMS
the common structural material in surface micromachined devices. The modeling study is intended to be a
(SMM) MEMS. Figure 1(c) illustrates the microstructure preliminary examination of the influence of a limited

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 discrete number of grains, each behaving anisotropically, 2000
on the deformation response of polysilicon used in SMM- 80Ni-20Fe
MEMS applications.
1500
60Ni-40Co

Stress (MPa)
PROCEDURE
Micromechanical tensile and fatigue testing was
1000
conducted using a servohydraulic tabletop load frame
Watts Ni
built specifically for small scale testing. [8] For tension ODS-Ni
testing, the load frame accommodates a miniaturized 500
version of a standard flat dog bone style tension test Sulfamate Ni
specimen with measurement tabs, used for gage section
displacement measurement with a laser extensometer. A 0
typical LIGA tensile test specimen is illustrated in figure 0 0.04 0.08 0.12 0.16
2(a). Fatigue testing discussed in this paper was Strain
performed on samples meant to reproduce the fatiguing Figure 3- Tensile Stress-Strain response of several
motion experienced by the ligament portion of a spring candidate LIGA materials
element within a candidate LIGA component. The typical
fatigue test specimen and method of testing is illustrated
in figure 2(b), it was designed with a taper in the ligament
so that the maximum stress during cycling occurred in a
broad region in the center of the ligament section. These
samples have a very small gage cross-section, 250 µm
thick by 25 µm wide, alluding to the size scale of micro-
components under consideration for fabrication using the
LIGA technology.
Grain scale modeling was conducted independent 500 nm 250 nm
from the LIGA micromechanical testing and was (a) (b)
primarily performed to support SMM-MEMS Figure 4 Select TEM micrographs of as-depostied LIGA
characterization. The modeling was performed using a materials: (a) Watts bath Ni and (b) 80Ni-20Fe.
anisotropic elasticity model implemented in to JAS-3D, a
nonlinear quasistatic deformation code developed at
RESULTS
Sandia National Laboratories. [12] Simulations in this
A. Microstructure and Tensile Properties of As-Deposited
study used the cubic elastic constants of single crystal
LIGA Materials
silicon, C11=166 GPa, C12=64 GPa and C44= 79.6 GPa.
Figure 3 shows tensile stress-strain curves of as-
Motivated by the 2-D nature of columnar microstructures
deposited LIGA samples fabricated from Ni using the "no
associated with SMM-MEMS, e.g. the microstructure
additives" (Sulfamate) and "additives included" (Watts)
illustrated in figure 1(c), one element thick
bath chemistries, 80Ni-20Fe, 60Ni-40Fe and Oxide
polycrystalline assemblages were generated using square
Dispersion Strengthened (ODS) Ni. The ODS Nickel
grains. A glance ahead to figure 9 shows an example of
contains a dispersion of ~10 nm Alumina particles co-
the simple model construction. Square grain
deposited with the Ni from a Sulfamate-based bath
polycrystalline assemblages are not particularly
chemistry containing 20 g/L density of the particles. The
representative of real materials microstructures. However,
stress strain curves illustrate a widely varying mechanical
the model geometry was intentionally kept simple to
response in the different candidate LIGA materials.
provide a simple unambiguous relationship between grain
Comparing stress-strain curves in figure 3 with
size and element size. Two studies were performed, a
corresponding micrographs in figures 1 and 4 show that
mesh sensitivity study and a study designed to quantify
grain boundary strengthening accounts for a great part of
the variability in elastic response of polycrystalline
the difference in tensile strength among the different
assemblages.
LIGA fabricated specimens. The microstructure-
properties comparison quantifies the degree of
strengthening and grain refinement in the pure

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 electrodeposited Nickel with the presence of the additives 2000
Sacchrin and Coumarin. The results also demonstrate the
refined microstructure and increased strength imparted by
the alloying additions of Cobalt and Iron in the LIGA 1500
electrodeposited samples. Of the two alloy depositions,

Stress (MPa)
80Ni-20Fe and 60Ni-40Co, only the 80Ni-20Fe alloy
1000 80Ni-20Fe
includes the Sacchrin and Coumarin additives. A
comparison of tensile test results and microstructures of
the two alloy depositions, given in figures 1, 3, and 4, ODS-Ni 60Ni-40Co
500
show that the 80Ni-20Fe alloy is significantly stronger
and suggest that this alloy has a more refined LIGA Ni (both)
microstructure than the 60Ni-40Co alloy. This result 0
indicates a combinatorial effect on microstructure 0 0.05 0.1 0.15 0.2 0.25 0.3
refinement and strength increase due to the presence of Strain
Figure 5 – Tensile Stress-Strain response of
additives and alloying elements in the bath chemistry and
candidate LIGA materials after heat treatment.
final deposition. The 10 nm Al2O3 particles in the ODS-
Ni bath chemistry, which is a Sulfamate based chemistry
that does not contain additives, also promote
microstructure refinement and strength enhancement, to
the same degree as the additives in the "additives
included" Watts bath Ni.

B. Microstructure and Tensile Properties of annealed 25 µm 25 µm

LIGA Materials (a) (b)
A part of the overall LIGA material characterization
study is to understand the effect of temperature
excursions on candidate LIGA component materials.
Figure 5 shows comparative tensile stress-strain curves of
the candidate LIGA materials after a 1 hour temperature
excursion at 600°C or 700°C. All of the samples were
annealed at 700°C except ODS-Ni, which was annealed at
600°C. Corresponding microstructure images obtained by 50 µm 50 µm
optical metallography, SEM or TEM are given in figure 6. (c) (d)
Considerable softening due to grain growth is readily
observed in all of the LIGA samples except the ODS-Ni.
In addition to softening, severe embrittlement occurs in
the Ni-Fe alloy. In this particular case, sulfur in the bath
chemistry additives was co-deposited with the alloy.
Previous researchers have noted the deleterious effects of
Sulfur in Ni-based electrodepositions. [ref] Annealing
sweeps the sulfur to the grain boundaries severely
embrittling them. Figure 6(d) is a SEM microprobe
Sulfur map, clearly illustrating this in the 80Ni-20Fe
alloy, light-colored regions decorating grain boundaries
indicate the sulfur concentrations. 1 µm
When compared to the other candidate LIGA
(e)
materials, the ODS-Ni shows a remarkable resistance to Figure 6 – Cross-section microstructure images of annealed
softening after this kind of high temperature excursion. A LIGA samples: (a) optical micrograph of Watts Ni, (b)
comparison of the ODS-Ni stress-strain curves before and optical micrograph of Sulfamate Ni, (c) SEM microprobe of
after annealing reveal that they are nearly identical; the 80Ni-20Fe, (d) opitical micrograph of 60Ni-40Co, and (e)
TEM of ODS-Ni.

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 strength is preserved after the 600°C/1 hr. temperature
excursion. The Al2O3 particles incorporated into the ODS-
Ni deposition are very effective at pinning grain
boundaries, retarding grain growth during heat treatment.
Figure 6(d) shows a TEM micrograph of a ODS-Ni
sample cross section. The particles show up as dark
regions in the image. As with the 80Ni-20Fe in figure
4(d), the fine microstructure in the sample was difficult to
image clearly. However, the observed microstructure
features suggest a grain size of less than a micron and
leave no question that the particles inhibit grain growth
during thermal excursions in the ODS-Ni.
C. Fatigue of LIGA Nickel
Several fatigue samples were fabricated from the "no
additives" Sulfamate Ni bath, the tensile response of this
deposition run was found to be nearly identical to the no-
additives Nickel illustrated in figure 3. A fatigue curve,
illustrated in figure 7, has been obtained by tension-
500
400
Max. Stress (MPa)
Did not fail
300
200
100
0 4 5 6
10 10 10 10
cycles to failure
Figure 7 - Maximum Stress vs. cycles to failure plot derived
from fatigue testing Sulfamate bath LIGA Ni samples.
compression cycling (σmax/σmin = R = -1) to failure. An
apparent fatigue limit of ~200 MPa, slightly less than
40% of the measured tensile strength, ~550 MPa, at 3.5
million cycles was observed. Preliminary observations
suggest a tie between microstructure and crack initiation,
specifically in grains that have soft deformation directions
oriented favorably with respect to the applied stress
direction.
D. Polycrystal Elasticity modeling of small assemblages
The model problem selected for the mesh sensitivity
study was a 5x5 array of square grains, each grain was
randomly assigned a crystallographic orientation. The
intent of the study was to vary the number of elements per
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164
164
162 X-direction
Modulus (GPa)
162 X-direction
Modulus (GPa)
160
160
Y-direction
158 Y-direction
158
156
156
0 20 40 60 80 100
0 20 (Elements
40 60 80
per Grain)
1/2 100
1/2
(Elements per Grain)
Figure 8 – Plot of Global polycrystalline modulus as a
function of mesh refinement, expressed as the square
root of elements per grain.
grain across a large enough range to quantify the
influence of mesh refinement in polycrystal elasticity
simulations. The 25 grain model was subjected to tension
in either the X or Y direction via imposed uniform
displacement boundary conditions. The one-element
thick model was free to displace out of the plane and the
transverse direction, e.g. Y if displacement is imposed
along X, was relaxed to traction free. The magnitude of
the imposed displacement was kept small, approximately
to 0.1% strain, to avoid large strains, large rotations and
non-linear geometry effects within the simulations.
Figure 8 plots the global polycrystalline modulus,
determined when the displacement boundary condition is
7 imposed in the X or Y direction, as a function mesh
refinement, expressed as the square root of elements per
grain. The difference in global modulus between the two
directions reflects the degree of elastic anisotropy in this
particular polycrystal, about 3 GPa across the two
orthogonal directions. In both cases, the global modulus
uniformly decreases very slightly as the mesh refinement
is increased, resulting from an increasing number of
degrees of freedom as the number of elements increase
within the model. This effect appears to saturate when
plotted on a linear scale at a mesh density of 20 x 20, or
400 elements per grain.
A polycrystal elasticity model predicts variations in
stress generated by grain neighbors with different
orientations. Thus, local neighborhoods of "unfavorable"
orientations whose combined deformation response to the
applied stress generates a locally high stress can be
isolated. Figure 9 illustrates the influence of mesh
refinement on local regions high and low stresses by
5 Copyright © 2002 by ASME
 comparing the x-direction stress distribution in the 5x5
Min. Stress Min. Stress
Max. Stress Max. Stress
(a) (b)
Figure 9 – Stress distribution in 1 element thick 5x5
polycrystal elasticity simulations deformed to 0.1% tensile
strain. Mesh resolution (a) 9 elements per grain and (b) 2601
elements per grain Locations of minimum and maximum
stress identified.
2.15
Mesh Resolution
2.1 51x51
2.05 19x19
Stress (MPa)
9x9
2 5x5
3x3
1.95
1.9
1.85
0 0.02 0.04 0.06 0.08 0.1
Dist. from Intersection
Figure 10- Maximum Stress vs. distance from adjacent
grain boundary intersection as predicted from a series of
mesh sensitivity simulations in a polycrystal elasticity
model.
polycrystal with a mesh resolution of (3x3) 9 elements
and (51x51) 2601 elements per grain. Mesh refinement
does not significantly alter distribution of stress and the
location of minimum and maximum stresses, but
increased refinement does provide more precise stress
predictions near grain boundaries and grain boundary
intersections in the polycrystal simulations. The grain
boundaries and grain boundary intersections represent
discontinuities in the polycrystal simulations, an
expectation is that the maximum stress occurs at or near
those locations. This is certainly the case in the result
illustrated in figure 9. As the mesh is refined, and the
integration point with the highest maximum stress
approaches the adjacent grain boundary intersection, its
value increases, as plotted in figure 10. One can readily
assume based on this result that each grain boundary
intersection in a polycrystal elasticity model behaves as a
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175
170
Modulus (GPa)
165
160
155
150
145
0 2 4 6 8 10 12 14 16
1/2
(no. of grains)
Figure 11 – Global modulus vs. no. of grains in a simulated
polycrystal, each data point represents the average of 30
simulations
singularity, whose characteristics are a function of
crystallographic orientations of the neighborhood grains.
Furthermore, the presence of the singularities implies that
the local stresses will not converge with mesh refinement.
The model study designed to quantify the variability
in elastic response of polycrystalline assemblages
composed of 200 grains or less used a similar cubic grain
polycrystal configuration. The polycrystal simulations
included square grains in the same square arrangement
and ranged from 4 grain (2x2) to 256 grain (16x16)
assemblages. Through consideration of the mesh
sensitivity study results, each grain contained 361
(19x19) quadrahedral elements. To keep the element
aspect ratio at unity, the thickness varied from 0.026316
for the smallest (2x2 grain) simulations and 0.003289 for
the largest (16x16 grain) simulations. For each
polycrystalline assemblage, thirty simulations were
performed, with randomly assigned crystallographic
orientations assigned to each grain in each simulation.
The results were treated as if they fit a gaussian
distribution. The average and standard deviation of the
global modulus as a function of the number of grains are
plotted in Figure 11. The average values are very close to
the accepted value, 160 GPa, for SMM polysilicon.
[2,3,6] The plot indicates an expected decrease in
standard deviation of the global modulus with an
increasing number of grains in a polycrystal. To place
some perspective on the magnitude of the standard
deviation, the maximum possible tensile modulus in
single crystal silicon is 187.9, along the 〈111〉 crystal axis,
6 Copyright © 2002 by ASME

0.25
Max. Local Stress (MPa)
0.2
0.15
0.1
0 5 10 15
1/2
(no. of grains)
Figure 12 – Max. local stress vs. no. of grains in a simulated
polycrystal, each data point represents the average of 30
simulations.
and the minimum possible modulus is 130.4 GPa, along
the 〈100〉 crystal axis.
As potential fracture initiation sites, the local stresses
developed due to orientation mismatches between grains
in SMM polysilicon represent potential fracture initiation
site. Thus the statistical distribution of maximum local
stress in the grain scale simulations could provide some
insight into the statistical failure of SMM polysilicon.
Figure 12 shows the average and standard deviation of the
local maximum stress, plotted against the number of
grains, for each set of polycrystal simulations. The
average maximum local stress increases and the standard
deviation decreases with an increasing number of grains
in the simulation. A possible explanation for the
increasing average maximum local stress is the increasing
likelihood of unfavorable neighborhood grains near a
grain boundary junction in larger polycrystals. The
greater variability observed for smaller polycrystalline
assemblages implies the increased statistical variability of
a small polycrystalline assemblage having an unfavorable
neighborhood of grain orientations near a boundary
junction. This is typical result for weakest link type
behavior. Thus, if the method of failure in real SMM
polysilicon is via high local stresses at unfavorable grain
boundary junctions, very small structures with just a few
grains may exhibit increased fracture strength. Methods
to predict failure probability in brittle materials have been
developed which could be implemented into this
polycrystalline framework and quantify these concepts,
such as the statistical methods based on the Weibull
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distribution implemented within the NASA CARES/LIFE
program. [15,16,17]
SUMMARY
• Structural LIGA materials fabricated through electro-
deposition are strengthened due to grain refinement
caused by additives, alloying elements or intentionally
placed particles in the electroplating bath chemistry.
The effect of these strengthening agents seems to be
cumulative.
• Electrodeposited materials used for LIGA fabrication
20 tend to anneal soften due to rapid grain growth. One
exception is ODS-Ni which contains a fine dispersion
of 10 nm Al2O3 particles that seem to pin grain
boundaries during heat treatment.
• LIGA materials electrodeposited from bath chemistries
containing sulfur bearing additives can embrittle due
to sulfur co-deposition and subsequent migration to
grain boundaries during heat treatment.
• Elastic deformation simulations of polycrystals
composed of cubic grains conducted in this study
quantitatively isolated the influence of mesh
sensitivity and number of grains in polycrystalline
structures. Maximum local stresses always occur at
grain boundary intersections which behave like
singularities.
• Simulations of small polycrystals composed of a
relatively small number of grains using the elastic
properties of silicon predicted a global elastic response
equivalent to the accepted value for polysilicon, 160
GPa. The standard deviation increases with decreasing
number of grains in a simulated polycrystal, but it not
greater than ±8 GPa for the smallest simulated
polycrystals, 4 grains.
• Increasing the number of grains in a polycrystal
apparently increases the opportunity for unfavorable
grain neighborhoods near grain boundary
intersections, therefore increasing the average
maximum local stress in a series of simulations. With
regard to actual strength measurements in SMM
polycrystalline components, if grain boundary
intersections are the weak link in these polycrystalline
microstructures, this result suggests that average
7 Copyright © 2002 by ASME
 measured failure strength should decrease with [13] Dini, J.W. "Electrodeposition: The Materials Science
increasing component size. of Coatings and Substrates", Noyes Publishing, New
York, 1993.
ACKNOWLEDGMENTS [14] Blanford, M.L. Heinstein, M.W., Key, S.W., "JAS-
Paul Kotula, Joe Michael, and Paul Hlava in Dept. 3D A Multi-Strategy Iterative Code for Solid
1822 at Sandia National Laboratories for their supporting Mechanics Analysis Users' Instructions, Release
TEM and SEM efforts in this study. Richard Janek, Todd 2.0"
Christenson and Steven Leith for supplying the LIGA [15] Nemeth, N.N., Powers, L.M., Janosik, L.A., and
specimens. Steve Goods at Sandia Livermore for Gyekenyesi, J.P. "CARES/LIFE – Ceramics
consultation during the LIGA microstructure-properties Analysis and Reliabiligty Evaluation of Structures.
Users and Programmers Manual" NASA TM-
evaluations. Sandia is a multiprogram laboratory
106316.
operated by Sandia Corporation, a Lockheed Martin [16] Wellman, G.W., "FAILPROB – A Computer
Company, for the United States Department of Energy Program to Compute the Probability of Failure of a
under Contract DE-ACO4-94AL85000. Brittle Component", SAND2002-0409.
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