Muller, R.S.

“Microdynamic Systems in the Silicon Age”

Handbook of Micro/Nanotribology.
Ed. Bharat Bhushan
Boca Raton: CRC Press LLC, 1999

© 1999 by CRC Press LLC

 13
Microdynamic Systems
in the Silicon Age
Richard S. Muller

13.1 Introduction
Origins
13.2 Micromachining
Substrate Micromachining • Surface Micromachining •
Polycrystalline Silicon Properties • Tribology in MEMS
13.3 MEMS Structures and Systems
MEMS Actuation Forces • MEMS for Microphotonics •
Coupling Efficiency
13.4 Berkeley Microphotonics Research
Acknowledgments
References

ABSTRACT
With the proven record of accomplishment in very large integrated circuits (VLSI) brought about by
batch-fabrication technology for electronic devices of ever-decreasing size, there is widespread enthu-
siasm about emerging opportunities to design mixed micromechanical and microelectronic systems.
New development, based heavily on integrated-circuit-related technologies, have led to rapid progress
in the development of microdynamic systems. These systems are based upon the science, technology,
and design of moving micromechanical devices, and are a subclass of what is known in the U.S. as
microelectromechanical systems (MEMS). The dimensions of the micromechanical devices in MEMS
are typically smaller than 100 µm. Recent rapid progress gives promise for new designs of integrated
sensors, actuators, and other devices that can be combined with on-chip microcircuits to make possible
high-performing, compact, portable, low-cost engineering systems. Mechanical materials for some of
the microdynamic systems that have thus far been demonstrated consist of deposited thin films of
polycrystalline silicon, silicon nitride, aluminum, polyimide, and tungsten among other materials. To
make mechanical elements using thin-film processing, microstructures are freed from the substrate
by etching a sacrificial layer of silicon dioxide. First demonstrated as a means to produce electrostatically
driven, doubly supported beam bridges, this sacrificial-layer technology has proved very versatile and
has been used to make, among other structures, laterally vibrating doubly folded bridges, gears, springs,
and impacting microvibromotors. Recently, micromirrors that consist of multiple hinged plates which

Updated, expanded, and revised version of article first published in Micro/Nanotribology and Its Applications (B.
Bhushan, ed.), NATO ASI Series, Kluwer Academic Publishers, Dordrecht, 1997.

© 1999 by CRC Press LLC

 fold out of the surface plane in which they are formed (reaching vertical heights of millimeter dimen-
sions) have been demonstrated. The polycrystalline silicon cross section for these mirrors is thinner
than 2 µm. The mirrors can be moved using electrostatic comb drives or microvibromotors. Continued
research on the mechanical properties of the electrical materials forming microdynamic structures
(which previously had exclusively electrical uses), on the scaling of mechanical design, on tribological
effects, on coatings, and on the effective uses of computer aids is now under way. This research promises
to provide the engineering base that will exploit this promising technology.

13.1 Introduction
Microdynamic systems, that is, systems in which micromechanical elements undergo controlled motion,
are, from one very useful perspective, a logical consequence in the continued evolution of microelectronic
systems. Microdynamics offer special opportunities for the production of extremely miniaturized, highly
complex systems. The opportunities presented by microdynamics can be compared with those that
enabled the field of electronics to be revolutionized by the achievement of large-scale electronic-device
integration. The VLSI revolution has, of course, affected all of society and its multi-billion-dollar indus-
trial component continues robust growth after three decades of development. The linkage between
micromechanical methods and typical integrated-circuit processes has been developing strongly since it
was first demonstrated in seminal work done in 1982 when R. T. Howe demonstrated means to make
microbeams from polycrystalline silicon films (Howe and Muller, 1982). Following this demonstration,
Howe built the prototype polysilicon MEMS to be used as a chemical vapor sensor (Howe and Muller,
1986); see Figure 13.1.
Through the 15 ensuing years, engineers have focused on employing the key steps of batch processing
and self-assembly that underlie modern microelectronics for the development of systems composed of
micromechanical as well as microelectronic components to make microelectromechanical systems, now
typically designated by the acronym MEMS. The impact of MEMS is very broad, potentially affecting
engineering design in areas as diverse as sensing, biological, environmental, and process instrumentation,
robotics, engine control, and guidance. MEMS techniques also make possible the introduction of new
test specimens and new testing protocols that can uncover fundamental information about material
properties. As specimen dimensions shrink toward lower and lower multiples of single-crystal and
molecular sizes, their controlled fabrication and manipulation in MEMS begin to offer exciting prospects
for proving fundamental theory. The MEMS field promises to impact a wide swath of research and
industry and affect not only material scientists, but also engineers, physicists, chemists, and biologists.

13.1.1 Origins
The modern integrated circuit (IC) is the direct descendant of the planar process which, when introduced
in the 1950s, combined the arts of photolithography and silicon chemical technology to extraordinary
advantage. The productivity of this combination was made evident very early by the rapidity with which
circuits of ever-increasing complexity appeared. It was therefore easy to justify large and repeated capital
expenditures for technology and equipment and to put new ideas into development shortly after their
conception so that ICs advanced rapidly. Today, it is commonplace to find ICs built with millions of
devices; in fact IC engineers speak of the immediate future as the Gigabit Era. There is no doubt that
integrated microelectronics are keystone elements of information processing in the engineering systems
of our modern silicon age.
For the complete design of an engineering system, however, it is not only necessary to process infor-
mation. The information itself must be exchanged between a largely nonelectrical world and the electrical
processing medium of the IC. This is the job of the sensors and actuators or, taken as one, of the transducers.
In transducers we find the formidable partnership between micromechanics and microelectronics taking
shape to make possible the new level of integration into MEMS.

© 1999 by CRC Press LLC

FIGURE 13.1 Detail from the first polysilicon MEMS. SEM of an apertured microbridge that is resonated by
electrostatic forces under the control of on-chip circuits. (From Howe. R. T. and Muller, R. S., 1982, Extended Abstracts
of the 1982 Spring Meeting of the Electrochemical Society, Montreal, Canada, 82-1, May 9–14. With permission.)

Some basic MEMS ideas had surfaced very early in the IC era. In fact, among the creative ideas tried
out within the first decade of IC history was the employment of microfabrication technologies to produce
a microdynamic element by a group of researchers at the Pittsburgh Westinghouse Research Laboratories.
This group employed the silicon planar process to fabricate a resonant-gate, field-effect transistor (FET)
(Nathanson et al., 1967) which consisted of a conventional silicon FET having a metal gate that was
cantilevered over a surface channel covered only by silicon dioxide. An electrostatic field pumped the
cantilever and its mechanical resonant frequency had applications as a timing source. The Westinghouse
team also designed a large-screen optical projector based upon electrostatically driven cantilever reflec-
tors. This work was very early in the development cycle of silicon microfabrication which was then (in
the 1960s) revolutionizing all aspects of circuit design. The technology for the Westinghouse micrody-
namic elements was not refined sufficiently for widespread commercial adoption and the research can
now be seen as an early harbinger rather than as a catalyst for new directions in microfabrication.
In the early 1980s, with two decades of IC development completed, the sophistication of electronics
had advanced markedly. Circuit performance that would have been astonishing in the 1960s had become
commonplace. The interfaces of these circuits with the largely nonelectrical world had become the logical
point of focus for engineering design. The advantages of silicon micromechanics had begun to show
themselves in its applications to ink-jet printing at companies like IBM, Hewlett-Packard, Canon, and
Texas Instruments and in miniature pressure sensors such as those made at Honeywell Corporation. The
impressive review of applications of silicon as a mechanical material published by Kurt Petersen (1982)
focused the interest of many engineers on this area. Petersen’s review paper established itself almost
immediately as a prime reference for the practice of silicon micromechanics.

© 1999 by CRC Press LLC

13.2 Micromachining
The earliest methods used to build structures from silicon making use of lithography and etch technology
that was mastered as a part of solid-state device research was via substrate micromachining.

13.2.1 Substrate Micromachining

The technology for substrate micromachining is based upon orientation-dependent chemical etching of
the silicon substrate. When used inventively together with etch-stopping techniques and masking films,
this directed-etch technique can produce surprisingly complex structures. Some significant applications
have been to a number of different sensing mechanics, such as silicon diaphragms (for pressure sensors)
and cantilever beams (for accelerometers). Details about surface micromachining are not included in
this chapter.

13.2.2 Surface Micromachining

In the early 1980s, research being carried out at Berkeley showed that polycrystalline silicon had use as
a mechanical material with very good characteristics for compatible IC processing. The design and
fabrication by Howe of polysilicon resonant beams together with on-chip MOS circuitry demonstrated
the practicality of what has become known as surface micromachining (Howe, 1985). Howe designed his
beams to be driven by electrostatic forces like those at Westinghouse, mentioned earlier. The polysilicon
beams were fabricated from patterned thin films by etching an underlying sacrificial silicon dioxide layer.
The sacrificial layer was heavily doped with phosphorus to enhance its etch rate in hydrofluoric acid. To
carry out surface micromachining with polysilicon, it is necessary that the sacrificial silicon dioxide be
etched considerably faster than is the polysilicon mechanical material, itself. Laboratory studies have
shown that polysilicon is etched in hydrofluoric acid (HF) at a negligible rate while silicon dioxide is
etched at rates of 100 nm/min to 1 µm/min, depending on composition. This high ratio of etch rates is
the key to successful surface micromachining. In contrast to substrate micromachining in which mechan-
ical parts are sculpted from the wafer itself, surface micromachining makes mechanical elements out of
materials deposited on the wafer surface.

13.2.3 Polycrystalline Silicon Properties

For surface micromachining with polycrystalline silicon (polysilicon) deposited by low-pressure chemical
vapor deposition (LPCVD) techniques, the polysilicon is often also used as a mechanoelectric transducer
through its piezoresistivity. The use of CVD polysilicon strain gauges has advantages because the trans-
ducing layer is dielectrically isolated from the substrate by a silicon nitride layer. Gauges made of
polysilicon layers typically exhibit higher coupling factors and superior temperature characteristics to
those made of single-crystal silicon.
Electrical Properties. The electrical properties of polysilicon have been thoroughly studied and can be
reviewed in several reference works (Kamins, 1988). Piezoresistance in polysilicon is a consequence of
strain effects on the passage of carriers across the barriers between the crystalline grain boundaries, as
well as the contributions of the bulk piezoresistivity of the silicon crystallites (Seto, 1976; French and
Evans, 1985).
Mechanical Properties. To use polysilicon effectively as a mechanical material, it is necessary to know
well its mechanical properties. For most applications, the most important of these are the Young’s
modulus, Poisson’s ratio, residual strain, and ultimate strength. In work over the past 10 years, consid-
erable dependence has been found in these properties dependent on the details of the polysilicon fabri-
cation process.
At typical IC-LPCVD conditions, polysilicon films are in a residual compressive state after cool
down to room temperature. This is generally undesirable and can cause multiply constrained
structures, such as diaphragms, plates, or doubly fixed bridges to buckle. The compressive strain

© 1999 by CRC Press LLC

can have several possible sources including crystallites impinging during growth (Guckel and Burns,
1986) or entrapped gases such as oxygen (Muraka and Retajczyk, 1983). Studies of residual strain
have been carried out using measurements of substrate curvature. The strain can be reduced signif-
icantly by annealing (typically, at 850°C) (Choi and Hearn, 1984). Residual strain can be reduced
significantly and even brought to a tensile state if LPCVD polysilicon is grown at temperatures very
near the amorphous boundary (580°C). By annealing for 3 h at 1150°C, very low residual strains
can be achieved (a typical value is –1.4 × 10–4) (Guckel et al., 1987).
Young’s modulus E and Poisson’s ratio ν for polysilicon have been measured using the curvature of
different substrates coated with a given thin film over a range of temperatures. From these measurements,
the ratio E/(1 – ν) and the thermal expansion coefficient α are found. Some reported results from
polysilicon heavily doped with phosphorus are E/(1 – ν) ≈140 Gpa, about 70% as large as is found in
single-crystal silicon.

13.2.4 Tribology in MEMS

Tribology takes center stage when one considers the motions of very small bodies in which micrograms
are proper units of mass. At this scale, as we know from observing the insect world, inertial effects play
far smaller (in many cases negligible) roles in the relationships between driving force and motion. The
nature of friction on this tiny scale is in need of fundamental study as systems for a multitude of
applications are explored.
A major challenge for MEMS designers employing surface micromachining is to understand and
overcome the effects of stiction. The term stiction is used to describe two circumstances: (1) sticking of
a “freed” member together with the newly exposed surface underneath the sacrificial layer after the final
“freeing” etch step of the micromachining process, and (2) adherence of two mechanical microparts that
approach or touch one another when the microsystem is in operation.
MEMS engineers employing surface micromachining frequently encounter fatal stiction effects when
they attempt to release structures in the final etch step. Research into this problem has identified the
major role of surface tension during the drying stage after a final liquid-etch release step (Mulhern et al.,
1993). As MEMS designs have incorporated larger-area, very thin, low-stiffness members (lateral surfaces
tens to hundreds of a micrometer on a side and 1 or 2 µm thick), the release-stiction problem becomes
of first order. When sacrificial layers are dissolved by the etch, adjacent surfaces within micrometer
dimensions result in menisci that lead to attractive forces. These forces can, in turn, buckle the “freed”
member, and possibly cement it to the underlying surface. Mechanical analysis of release-stiction effects
has been performed (Mastrangelo, 1997). By using mechanisms to sublimate the final etch, release stiction
can be avoided, and large surface-micromachined structures processed successfully (Guckel et al., 1990;
Lebouitz et al., 1995).
Already with the first microdynamic devices in which surfaces slide past one another (Fan et al., 1998),
stiction was observed to account for the major retarding forces, and techniques, such as the production
of “dimples” in moving polycrystalline silicon elements, were demonstrated. Recently, methods that
enable quantitative study of stiction effects have been described. Mastrangelo and co-workers have shown
a method for quantifying the post-release stiction of structures using an array of released cantilever beams
having graduated lengths (Mastrangelo, 1997). By applying electrostatic forces, the beams are attracted
to a surface. When the force is removed, beams longer than a critical “detachment” length remain adhered
to the surface while shorter beams are freed because of their internal stiffness (Mastrangelo and Hsu,
1992). The detachment length can be related to an adhesion energy. By observing the influences of
different surface coatings on adhesion-energy values, one can form comparative evaluations about the
coatings (Houston et al., 1995, 1996).
The MEMS field has developed sufficiently to produce micromechanisms as complex as gear boxes
capable of two-and-three levels of speed reduction (Sniegowski, 1997). For such structures to enter
commercial applications, surface-lubricating films are a necessity. At Texas Instruments, Inc., surface

© 1999 by CRC Press LLC

micromachining has been used to produce a micromirror array composed of movable aluminum struc-
tures. Results with lubricants used on this digital micromirror array are reported by Henck (1997).
Research results on films for polysilicon MEMS mechanisms are discussed by Maboudian and Howe
(1997).

13.3 MEMS Structures and Systems

Both surface and bulk micromachining have been employed to make devices and systems having very
surprising complexity. Some of these are now incorporated into commercial products, while others are
still the subject of research. Because of the particular interests of the author and the need to limit the
length of this discussion, the following examples will be drawn exclusively from surface-micromachined
MEMS.
An impressive example of a commercial MEMS that makes use of surface micromachining to build a
fully integrated accelerometer is the AD-XL50 produced by Analog Devices, Inc., for use in automobile
airbag-deployment systems. This accelerometer integrates a tiny seismic mass in the midst of formidable
bipolar-CMOS circuitry. The system employs force feedback using coulombic force to hold the seismic
mass fixed and it senses position making use of a differential capacitance measurement. The AD-XL50
has been widely described in the popular literature (Goodenough, 1991) and it now accounts for a large
and growing share in a very competitive marketplace. Figure 13.2 lists some of the surprising properties
of this monolithic MEMS.

FIGURE 13.2 Facts about the Analog Devices AD-XL50 accelerometer. (Courtesy of Richard Payne, Analog Devices,
Inc.)

A coulombic actuating force (as employed in the AD-XL50) is used frequently in the MEMS field,
especially for surface-micromachined embodiments because coulombic force (alternatively, electrostatic
force) is easily incorporated into the system and employs only an imposed voltage between two elements.
The force increases linearly with the capacitance between the electrodes and quadratically with the applied
voltage. For typical surface-micromachined parts and spacings, the force is quite small (of the order of
micronewtons) but still adequate for many applications. To increase the range of achievable forces in
MEMS, a number of alternative actuation mechanisms have been used or are under study at this time.
Most of these alternatives to coulombic force introduce complication into the fabrication technology for
the MEMS. Nonetheless, to obtain millinewton forces and higher, it is likely that these other forcing

© 1999 by CRC Press LLC

 FIGURE 13.3 Comb-drive resonator. (Courtesy of William Tang, Jet Propulsion Laboratory.)

techniques will be necessary. A listing of other actuation means that have already been applied is given
below.

13.3.1 MEMS Actuation Forces

13.3.1.1 Electrostatic Comb Drive
As already discussed, actuation in MEMS using coulombic force has distinct advantages for compatibly
processed MEMS. Howe, for example, made use of coulombic force to power his resonating beam in the
first polysilicon micromechanical structure (Howe and Muller, 1982). In further work with electrostatic
forcing, Howe and student W. Tang first constructed a polysilicon comb-drive resonant actuator which
employs coulombic force in a flexure structure to cause it to move parallel to the substrate surface (Tang
et al., 1989). The layout of this comb drive, which is supported by only two pedestals attached to the
substrate, is shown in Figure 13.3.
The comb drive has become a very frequently used microactuator both for resonant and nonresonant
systems. Because the actuated part is a flexing structure, there is no surface friction in its motion, and
it can be driven in resonance with a very high mechanical Q value (100,000 in vacuum). Much work is
continuing on comb-drive resonators and their applications and they have been made by substrate as
well as by surface micromachining. Figure 13.4 compares aspects of the behavior of the comb-drive to
that of a parallel-plate actuator. A photograph of one of the original moving comb structures undergoing
oscillation is shown in Figure 13.5.
13.3.1.2 Vertical vs. Lateral Oscillation
Vibrating micromechanical structures are useful for a variety of sensors and actuators. For sensing, one
can make use of the dependence of the frequency of a mechanical resonator to physical or chemical
parameters which affect the vibrational energy. Microfabricated resonant structures for sensing pressure,
acceleration, and vapor concentration have been demonstrated. An elegant example of resonant drive
for actuators is provided by the successful Bulova accutron wristwatch movement in which an electronic
tuning fork is coupled mechanically to a rotating mechanism. Pisano has pointed out the possible
applications of this design to microdynamics (Pisano, 1989). Recently, some very spectacular mechanisms
have been made using polysilicon surface micromachining at the Sandia Laboratories in New Mexico.
The Sandia process makes use of chemical-mechanical polishing in order to planarize wafers after the

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FIGURE 13.4 Comparative behavior of a vertical resonator with a comb-driven substrate-parallel resonator. (Cour-
tesy of William Tang, Jet Propulsion Laboratory.)

FIGURE 13.5 Resonating comb drive. (Courtesy of William Tang, Jet Propulusion Laboratory.)

micromechanisms have been made in a recessed area of the chip. Then, in a subsequent CMOS process,
very high quality electronic circuits can be fabricated in a continuous-batch process.
Figure 13.6 shows a gear assemblage driven by resonant comb drives that was made at Sandia. The
tiny rotor is 55 µm in diameter and it has achieved rotation rates as high as 300,000 rpm. It can be
rotated either counterclockwise or clockwise. To gain a measure of the size of these structures, Figure 13.7

© 1999 by CRC Press LLC

FIGURE 13.6 Batch-fabricated polysilicon assemblage made at Sandia Laboratories. (Courtesy of P. McWhorter.)

FIGURE 13.7 Rotor driver on the wheel assemblage of Figure 13.6 made at Sandia Laboratories. (Courtesy of P.
McWhorter.)

shows a photograph of the tiny driven rotor of Figure 13.6. Next to the rotor in Figure 13.7 are clumps
of red blood cells and, adjacent to the side arms, a grain of sand.
The MEMS field has begun to expand in several directions where full miniature “systems on a chip”
are being realized. Important commercial MEMS applications to accelerometry, to environmental sensing,
and to display have received fairly wide coverage in the technical and industrial product literature. An
area in which the author has worked that is just now developing into fully engineered systems is the area
of miniature integrated optical systems for communications, instrumentation, and sensing applications.
The remainder of this chapter will focus on developments in this area called microphotonics.

13.3.2 MEMS for Microphotonics

The incorporation of micromechanical structures into fiber-optic systems holds promise of reducing
costs and providing new opportunities for systems applications. Research groups around the world are

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FIGURE 13.8 Micromirror made from polysilicon folded into an upright position. An attached comb-driven
actuator makes the structure useful in a Fabrey–Perot interferometer. (Courtesy of M.-H. Kiang, UC Berkeley.)

instituting programs to meet these opportunities using a range of technologies. Silicon-based microma-
chining, both surface and bulk, has been exploited. Work at the Berkeley Sensor & Actuator Center
(BSAC) at UC Berkeley and at UCLA has concentrated on surface micromachining with polysilicon and
has developed actuation techniques appropriate both for beam switching and for scanning using micro-
mirrors made by folding micromachined polysilicon structures out of the surface plane and covering
them with a gold reflecting surface. Figure 13.8 shows such a folded mirror suitable for use in an
interferometer.
The electrostatic comb drive has been used to move the micromirror at frequencies ranging from DC
to more than 1 kHz. Impact-actuated linear vibromotors allow mirrors to travel over large (>100 µm)
ranges with smaller than 1 µm positioning precision. These actuated mirrors have been built and operated
as components on a laser-to-fiber coupling chip and in a bar-code reader. As an alternative to electrostatic
actuation, a magnetically actuated mirror responsive to an off-chip field has also been demonstrated at
Berkeley. The mirror can be conveniently deactivated even in the presence of the field by clamping it
with an on-chip electrostatic clamp. By this means one can address individual mirrors among an array
of them (Judy and Muller, 1996).
The use of MEMS technologies has the potential of adding very significant impetus to the already
strong market for fiber-optic systems. With their proven high performance for communications and
sensing, fiber-optic systems are in high demand despite typical high costs and relatively large size. The
positive impact of MEMS on both cost and size reduction will open new opportunities that are now
unreachable because of economical or portability limitations. Researchers around the world have sensed
the opportunities in this area and have launched a research field that can broadly be labeled micropho-
tonics. By using silicon substrates and well-known IC technologies, such as anisotropic etching, “silicon-
optical bench” assembly is already an important commercial activity. Until now, however, the term silicon-
optical bench has referred to a passive assemblage of optical components that remains fixed as configured
in the final step of manufacture. Recent advances in MEMS technologies make possible a major advance
toward the design of dynamic microphotonic systems.
To build a dynamic “optical bench on chip,” high-aspect-ratio structures are required to interact with
laser beams that typically travel in free space on paths that are parallel to the surface of the silicon
substrate. To make high-aspect-ratio structures from the typically planar elements produced in surface-

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 FIGURE 13.9 Processing steps to form micromirrors. (Courtesy of M. Daneman, UC Berkeley.)

micromachining technology, we use hinges (Pister et al., 1992) that permit the rotation of optical elements
out of the plane of the substrate (Tien et al., 1995; Kiang et al., 1996). Figure 13.9 shows the important
steps in the fabrication process for the hinged mirrors.
To fabricate the structures as shown in Figure 13.9, three layers of structural polysilicon above a
polysilicon ground plane are used. A layer of sacrificial LPCVD phosphosilicate glass (PSG) separates the
polysilicon layers. After deposition of sequential passivation layers of silicon oxide and silicon nitride, a
0.5 µm n+ polysilicon ground plane is deposited and patterned. The first sacrificial layer of PSG is then
deposited and patterned. Depressions are wet etched into the PSG using 5:1 hydrofluoric acid to create
dimples under the mirror (for reduced surface-to-surface contact). The dimples lessen stiction between
these structures and the substrate. Openings are also etched (usually in a fluorine-based, CF4 plasma)
for anchors between the next structural polysilicon and the substrate. Next, the first structural polysilicon
layer is deposited by LPCVD and patterned using a chlorine-based plasma etch. This layer forms the
comb-drive actuator. A second sacrificial layer is then deposited and patterned. After deposition, the
second structural polysilicon layer is etched to form the pins of the hinges. The third sacrificial layer and
the third structural layer are then deposited and patterned to complete the hinge structures and form
the mirror. The polysilicon structural layers are 2 to 5 µm thick, and the sacrificial silicon dioxide layers
range from 1 to 2 µm in thickness. The sacrificial layers are removed through wet etching in hydrofluoric
acid to release the movable structures. The last step is the evaporation of 50 nm of gold to increase mirror
reflectivity—resulting in measured reflectivities of 85% at 1.35 µm. The reduction from the theoretical
96% reflectivity of a perfect gold mirror is due to scattering caused by polysilicon surface roughness and
by etch holes and dimples in the mirror.
Movable Micromirror. Applications of these folded mirrors are for beam steering, optical alignment,
scanning, and switching functions. Figure 13.10 illustrates the concept of the optical bench on a chip.

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FIGURE 13.10 Concept and uses for a silicon optical bench on a chip using folded micromirrors. (Courtesy of M.
Daneman, N. Tien, O. Solgaard, and K. Lau, UC Berkeley.)

Typical micromirror sizes are 0.5 × 0.5 mm2. If they are driven directly using comb drives as shown in
Figure 13.8, maximum movement is in the order of 10 µm. This drive is useful for harmonic cavities as,
for example, in an external-cavity laser or to scan a light source in a bar-code reader.
Precision. The positioning precision of the micromirrors by the integrated actuators has been measured
using visual observation of the micromirror displacement as the voltage applied to the comb drive is
varied. The measurements were made for two identical mirrors having differing lengths of restoring
springs in their actuators. The standard deviation of the mirror displacement with respect to applied DC
bias was lower than 0.2 µm (limited by the resolution of the measuring equipment) for the longer (and,
therefore, more flexible) spring. In either case, this mirror system is capable of submicron positioning
precision. Figure 13.11 shows results obtained with the mirrors used as scanners. Tests run at Berkeley
have exhibited 13 cycles of constructive and destructive interference in a Fabry–Perot interferometer at
a 1.3-µm wavelength. The corresponding displacement of the mirror is 8.45 µm.
The frequency response of these comb-driven mirrors in air extends to about 1 kHz. Although studies
are yet to be completed, it is expected that this upper frequency will increase markedly for mirrors
encapsulated in a low-pressure ambient. By using several comb drives to move mirrors at more than one
support point, it is possible to scan beams at angles situated in planes parallel to the substrate as well as
perpendicular to it. An example of a mirror with these capabilities is shown in Figure 13.12.
Larger movements are required for some of the other applications shown in Figure 13.10. For a laser-
to-fiber coupler or for switching applications, typical requirements are total displacements in the order
of 100 µm or greater with submicron precision. The program at Berkeley has addressed this need by
building microvibromotors — motors in which resonant energy is delivered to the load in the form of
collisions. Earlier research at BSAC had shown that polysilicon could withstand multiple collisions
without fracture and that elements could be made to slide on a silicon surface when actuated by a
microvibromotor (Houston et al., 1996). The driving energy for the vibromotors is derived from comb
drives which are built in a similar process to that described earlier. The motor and mirror carriage are
built using only two layers of polysilicon.

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FIGURE 13.11 Measured performance of folded micromirrors used as scanners. (Courtesy of M. Daneman, O.
Solgaard, and M. H. Kiang, UC Berkeley.)

FIGURE 13.12 Scanning micromirror with comb drives for scanning around three axes. (Courtesy of M. H. Kiang,
and O. Solgaard, UC Berkeley.)

The impact force in a vibromotor turns out to be a useful way to overcome the sticking forces between
two polysilicon layers. These forces dominate over any inertial effects and lead to results that can be
surprising to the MEMS neophyte. Tests conducted at Hewlett-Packard Company facilities by Berkeley
researchers showed, for example, that the tiny carriages holding the folded micromirrors would not move
even under 500g loading in shock tests. Direct hammering on the carriage, however, is able to move it

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FIGURE 13.13 Microvibromotors design using four drivers to move a slider 100 m. (Courtesy of M. Daneman, O.
Solgaard, and N. Tien, UC Berkeley.)

FIGURE 13.14 Folded micromirror driven by four microvibromotor drivers. (Courtesy of M. Daneman, O. Solgaard,
and N. Tien, UC Berkeley.)

in steps that are only a fraction of a micrometer per blow. In the BSAC design, pairs of vibromotors
strike the carriage at 45° relative to its guiding keyway slot.
Figure 13.13, shows the concept for a microvibromotor system to drive a slider (ultimately the mount
for a micromirror) over about 100 µm displacement. Pairs of these vibromotors are used to position the
support vane of a folded mirror in the structure shown in Figure 13.14. Some details of the microvibro-
motor-driven micromirror system are indicated in Figure 13.15.

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 FIGURE 13.15 Features of an actuated microreflector system. (Courtesy of M. Daneman, UC Berkeley.)

13.3.3 Coupling Efficiency

Coupling to single-mode optical fiber using the actuated for microreflector fine alignment should provide
coupling efficiencies as high as 70% according to theory.
The research on microphotonics at BSAC has been reported in a series of papers that are listed
separately in the following bibliography.

13.4 Berkeley Microphotonics Research

1. O. Solgaard, M. Daneman, N.C. Tien, A. Friedberger, R.S. Muller, and K.Y. Lau, “Optoelectronic
Packaging Using Silicon Surface-Micromachined Alignment Motors,” IEEE Photonics Technol. Lett.,
7, 41–43, January 1995.
2. M.-H. Kiang, O. Solgaard, R.S. Muller, and K.Y. Lau, “Surface Micromachined Micromirrors with
Integrated High-Precision Actuators for External-Cavity Semiconductor Lasers,” IEEE Photonics
Technol. Lett., 8, 95–100, January 1996.
3. M. Daneman, O. Solgaard, N.C. Tien, K.Y. Lau, and R.S. Muller, “Laser-to-Fiber Coupling Module
Using A Micromachined Alignment Mirror,” IEEE Photonics Technol. Lett., 8, 396–398, March 1996.
4. O. Solgaard, M. Daneman, N.C. Tien, A. Friedberger, R.S. Muller, and K.Y. Lau, “Micromachined
Alignment Mirrors for Active Optoelectronic Packaging,” in Late News Paper, 1994 Conference on
Lasers and Electro-Optics (CLEO), 9–13 May, Anaheim, CA, 1994.

© 1999 by CRC Press LLC

 5. N.C. Tien, O. Solgaard, M. Daneman, A. Friedberger, K. Lau, and R.S. Muller, “Movable, High-
Aspect Ratio Micromirror for Optoelectronic Applications,” 1994 Sensor and Actuator Workshop,
Late News Poster Paper, Transducer Research Foundation, Hilton Head Island, SC, 13–16 June, 1994.
6. N.C. Tien, M. Daneman, O. Solgaard, K.Y. Lau, and R.S. Muller, “Impact-Actuated Linear Microvi-
bromotor for Micro-Optical Systems on Silicon,” 1994 IEEE Int. Electr. Dev. Mtg., San Francisco,
CA, Tech Digest 924–926, 12–14 December, 1994.
7. M.J. Daneman, N.C. Tien, O. Solgaard, A.P. Pisano, K.Y. Lau, and R.S. Muller, “Linear Microvi-
bromotor for Positioning Optical Components,” MEMS ‘95, 1995 Int. Conference on Microelec-
tromechanical Systems, Amsterdam, The Netherlands, January, 1995.
8. O. Solgaard, M. Daneman, N.C. Tien, A. Friedberger, R.S. Muller, and K.Y. Lau, “Precision and
Performance of Polysilicon Micromirrors for Hybrid Integrated Optics,” 1995 International Sym-
posium on Optoelectronic, Microphotonics, and Laser Technologies, Conference 2383A, SPIE,
The International Society for Optical Engineering, San Jose, CA, 4–10 February, 1995.
9. M. Daneman, O. Solgaard, N.C. Tien, R.S. Muller, and K.Y. Lau, “Integrated Laser to Fiber
Coupling Module using a Micromachined Alignment Mirror,” Conf. on Lasers and Electro-Optics
(CLEO), Baltimore, MD, May, 1995.
10. M.-H. Kiang, O. Solgaard, M. Daneman, N.C. Tien, R.S. Muller, and K.Y. Lau, “High-Precision
Silicon-Micromachined Micromirrors with On-Chip Actuation for External-Cavity Semiconductor
Lasers,” Conf. on Lasers and Electro-Optics (CLEO), pp. 248–249, Vol. 15, May 1995, Baltimore, MD.
11. N.C. Tien, O. Solgaard, M.-H. Kiang, M. Daneman, K.Y. Lau, and R.S. Muller, “Surface-Micro-
machined Mirrors for Laser-Beam Positioning,” 1995 IEEE Int. Conf. on Solid-State Sensors and
Actuators, TRANSDUCERS ‘95, Tech. Digest. 352–355, 25–29 June, 1995, Stockholm, Sweden.
12. N.C. Tien, M.-H. Kiang, M.J. Daneman, O. Solgaard, K.Y. Lau, and R.S. Muller, “Actuation of
Polysilicon Surface-Micromachined Mirrors,” SPIE Proc., 2687, SPIE Conf., 27 Jan.–2 Feb. 1996,
San Jose, CA.
13. M.-H. Kiang, O. Solgaard, R.S. Muller, and K.Y. Lau, “Surface Micromachined Electrostatic-Comb-
Driven Scanning Micromirrors for Barcode Scanners,” IEEE MEMS ‘96 Workshop, 11–15 February,
1996, San Diego, CA.
14. M.-H. Kiang, O. Solgaard, R.S. Muller, and K.Y. Lau, “Design and Fabrication of High-Performance
Silicon Micromachined Resonant Microscanners for Optical Scanning Applications,” Integrated
Photonics Research, 1996 Technical Digest Series, Vol. 6, pp. 545–548, April 29–May 2, 1996, Boston,
MA.
15. M.J. Daneman, N.C. Tien, O. Solgaard, K.Y. Lau, and R.S. Muller, “Actuated Micromachined
Microreflector with Two Degrees of Freedom for Integrated Optical Systems,” Integrated Photonics
Research Conference, Boston, MA, May, 1996.
16. M.J. Daneman, N.C. Tien, O. Solgaard, K.Y. Lau, and R.S. Muller, “Linear Vibromotor-Actuated
Micromachined Microreflector for Integrated Optical Systems,” 1996 Sensor and Actuator Work-
shop, 109–112, Transducer Research Foundation, Hilton Head Island, SC, 2–6 June 1996.
17. M.-H. Kiang, O. Solgaard, R.S. Muller, and K.Y. Lau, “High-Precision Silicon Micromachined
Micromirrors for Laser-Beam Scanning and Positioning,” 1996 Sensor and Actuator Workshop, (late
news) Transducer Research Foundation, Hilton Head Island, SC, 2–6 June 1996.

Acknowledgments
Many colleagues have contributed their thoughts, suggestions, and work to this brief review of the MEMS
field. The author especially thanks R.T. Howe, W. Tang, N. Tien, K. Lau, K. Pister, P. McWhorter, R.
Payne, O. Solgaard, M. Daneman, M.-H. Kiang, J. Judy, A. Friedberger, C. Keller, and the staff of the
Berkeley Micro Laboratory. The author’s work and time has been partially supported by the National
Science Foundation through A. Schwartzkopf, D. Crawford and M. White, by the Defense Advanced
Research Projects Agency through K. Gabriel, and by the Hewlett-Packard Company through W. Ishak,
K. Carey, and G. Trott.

© 1999 by CRC Press LLC

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© 1999 by CRC Press LLC