Model-Based Micro-Cantilever Processing
Model-Based Micro-Cantilever Processing
Model-based Processing of
Micro-cantilever Sensor Arrays
This document was prepared as an account of work sponsored by an agency of the United States
Government. Neither the United States Government nor the University of California nor any of their
employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for
the accuracy, completeness, or usefulness of any information, apparatus, product, or process
disclosed, or represents that its use would not infringe privately owned rights. Reference herein to any
specific commercial product, process, or service by trade name, trademark, manufacturer, or otherwise,
does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United
States Government or the University of California. The views and opinions of authors expressed herein
do not necessarily state or reflect those of the United States Government or the University of California,
and shall not be used for advertising or product endorsement purposes.
This work was performed under the auspices of the U.S. Department of Energy by University of
California, Lawrence Livermore National Laboratory under Contract W-7405-Eng-48.
MODEL-BASED PROCESSING OF MICRO-CANTILEVER SENSOR ARRAYS
University of California
Lawrence Livermore National Laboratory
Livermore, CA 94550
Executive Summary
We develop a model-based processor (MBP) for a micro-cantilever array sensor to detect target
species in solution. After discussing the generalized framework for this problem, we develop the specific
model used in this study. We perform a proof-of-concept experiment, fit the model parameters to the
measured data and use them to develop a Gauss-Markov simulation. We then investigate two cases of
interest: (1) averaged deflection data, and (2) multi-channel data. In both cases the evaluation proceeds by
first performing a model-based parameter estimation to extract the model parameters, next performing a
Gauss-Markov simulation, designing the optimal MBP and finally applying it to measured experimental
data. The simulation is used to evaluate the performance of the MBP in the multi-channel case and compare
it to a smoother (averager) typically used in this application. It was shown that the MBP not only
provides a significant gain (~ 80dB) in signal-to-noise ratio (SNR), but also consistently outperforms the
smoother by 40-60 dB. Finally, we apply the processor to the smoothed experimental data and demonstrate
its capability for chemical detection. The MBP performs quite well, though it includes a correctable
systematic bias error.
The projects primary accomplishment was the successful application of model-based processing
to signals from micro-cantilever arrays: 40-60 dB improvement vs. the smoother algorithm was
demonstrated. This result was achieved through the development of appropriate mathematical descriptions
for the chemical and mechanical phenomena, and incorporation of these descriptions directly into the
model-based signal processor. A significant challenge was the development of the framework which would
maximize the usefulness of the signal processing algorithms while ensuring the accuracy of the
mathematical description of the chemical-mechanical signal. Experimentally, the difficulty was to identify
and characterize the non-target signals present in the measurement system. In the future, these signals will
limit the ability of the sensor to detect very small quantities of chemicals generated by nuclear processing.
In this project, it became necessary to make use of a model system, mercaptoethanol, which created a large,
reproducible signal that could be readily analyzed with the model-based processor. Further, redundant
cantilevers were examined exclusively: all levers were nominally identically functionalized, and no
control levers were used that did not react to the mercaptoethanol signal. To demonstrate the full utility
of the MBP for chemical sensing, the logical and necessary next steps are (1) verify the physical models
used in this study for a variety of solvents and target molecules (this data has already been obtained as part
of this study) (2) make use of control levers, and (3) extend the experimental library to include low
concentrations of chemical targets of practical interest for sensing nuclear processes.
Outline:
1. Introduction
2. Experimental description
3. Physical chemistry
4. Mechanical modeling
5. Signal processing
6. Summary
7. Appendix A: Derivation of adsorption and desorption parameters
1
1. Introduction: Cantilever Sensor Arrays
Lever chip
500 m
The total free energy change at the surface, G, can described as the free energy
due to four contributions: GCANT, the mechanical energy associated with bending the
cantilever, GPOLY, free energy resulting from macromolecular conformational entropy
and nonelectrostatic interactions, GOSM, free energy from osmotic pressure of
counterions near the surface of the cantilever, GELEC, the electrostatic free energy [1].
The free energy change is related to , the stress difference between top and
bottom side of the ith cantilever by:
Eq. 2 i (t ) = Gi (t ) i (t )
where G has units of J/mole and is the sum of all of the contributions to free energy
changes at the surface of the ith cantilever, i(t) is the surface concentration of the
species of interest (in numbers of species per cm2) on the surface of the ith cantilever
[2,3].
2
The surface concentration of the interacting molecules, i(t), is estimated using
Langmuir kinetics, e.g., the first-order Langmuir kinetics has the following form:
d ()
Eq. 3 = ka c(t ) (1 ) kd max
dt
(t )
Here is , c(t) is the bulk concentration of the target molecule in solution in moles
max
per liter, or [M], ka is the adsorption rate constant in [M]-1 s-1, kd is the desorption rate
constant in cm2 #species-1 s-1, and max is the maximum possible surface concentration of
the species of interest in actual numbers of species per cm2. Please see Appendix A for a
more detailed explanation of Eq. 3.
Finally, differential surface stress in the cantilever induces a deflection on the ith
cantilever, zi(t) , according to Stoneys equation:
4 l
Eq. 4 i (t ) = krect zi (t )
3(1 ) W t
where is Poissons ratio, l, W and t are the rectangular cantilever length, width and
thickness, respectively, krect is the cantilever spring constant.
3
2. Experimental description
An eight-cantilever array chip, obtained from Veeco Instruments, was used for
this experiment. Actual lever deflections were not measured; the goal was to determine
what variability exists in the Scentris optical detection system when fluids of differing
indices of refraction are used in the flow cell. To accomplish this, apparent deflections
were observed as light beams were focused on the rigid base of the chip. The Scentris
system uses super-luminescent diodes (SLD) to generate non-monochromatic light,
which is reflected by the cantilevers into a position-sensitive detector optimized for light
with an average wavelength of about 940 nm (Fig. 2).
Fig. 2: Scentris optical detection system. (Diagram from Scentris Application Notes,
Veeco Instruments.)
The lever chip had 1.5 nm Ti and 20 nm Au evaporated onto the surface.
Immediately prior to being loaded into the flow cell, the chip was cleaned in piranha (1:3,
hydrogen peroxide: sulfuric acid) for 20 minutes, then rinsed in 10 ml water for ~ 10 min.
The chip was then placed directly into the freshly-cleaned flow cell, which was flooded
with water and sealed.
Light was focused on the chip at the base of the cantilever, as shown in Figs. 3
and 4. It appears that the Au surface may have been damaged somewhat by the extended
piranha cleaning (some gold delamination appears to have occurred), but the areas used
for this experiment were smooth and reflective. The actual position of the light spot on
the cantilever is also visible as a white spot in Fig. 3. The positions all of the light spots
used during the experiments are shown by green circles in Fig. 3, and by a green line in
4
the side view of the chip shown in Fig. 4. Note from Fig. 4 that the levers are actually
525 microns thick under the light spots as they were positioned for these measurements.
Due to the fact that there is a damaged area on the surface of the third lever from the top
in Fig. 3, this lever was not used for these experiments.
Lever 1 (SW #)
Lever 2 (SW #)
Lever 1 (SW #)
Lever 3 (SW #)
LE
Lever 4 (SW #)
Lever 5 (SW #)
Lever 6 (SW #)
Lever 7 (SW #)
Lever 8 (SW #)
Fig. 3: Top view of light spot position and cantilevers; levers are numbered according to
software (SW) scheme, reverse of etched numbers on chip.
Fig. 4: Side view of lever chip showing SLD spot position in green.
5
The Scentris software requires that an effective length for the cantilever be
entered so that deflection signals may be appropriately calibrated. For typical Scentris
experiments, this effective length is measured from an etched mark on the top of the chip
to the center of the light spot, shown schematically in Fig. 3 with the light spot
represented by a yellow dot. (The etched mark is under the red line on the right.) For this
experiment, however, the effective length is not physically meaningful since the light
spot is not being positioned on the flexible part of the cantilever. However, an effective
length of 460 nm was entered into the software so that the magnitude of the calculated
deflection signals might be appropriately interpreted when comparing with actual lever
deflection experiments, where effective lever lengths of about 460 nm are common.
Fig. 5: Effect of injecting 5% mercaptoethanol in water into the flow cell which
previously contained pure water. Nanometer values in the legend are the initial vertical
position of the levers as measured by the Scentris; all subsequent deflections are
relative to this value.
6
In Fig. 6, this experiment is repeated several times; the signals are repeatable and
reversible.
7
In a second test, pure ethanol (refractive index: 1.36) was flowed into the cell.
This caused causes longer-term transients (possibly due to incomplete mixing/exchange
in the flow cell) and somewhat larger apparent deflections for some levers, as shown in
Fig. 7.
Fig. 7: Longer transients and larger apparent deflections (up to ~ 50 nm, downward) for
some levers occur when pure ethanol replaces water in the flow cell.
8
Finally, it was observed that the optical deflection system is sensitive to ambient
light, even with the opaque hood in place over the test volume. Fig. 8 shows the effects
of turning on and off the fluorescent room lights.
Fig. 8: Small apparent deflections occur when room lights are turned on and off, even
with opaque hood in place over test volume.
9
2.2 Experimental description: deflection due to mercaptoethanol
The effective length of the levers was 520 microns, as shown in Fig. 9. Lever 6
was broken during chip handling.
Lever 1 (SW #)
Lever 2 (SW #)
Lever 3 (SW #)
Lever 4 (SW #)
Lever 5 (SW #)
Lever 6 (SW #)
Lever 7 (SW #)
Lever 8 (SW #)
10
Fig. 10: Initial stages of mercaptoethanol desorption experiment.
When water is flowed through the cell, additional compressive stress is developed
in the cantilevers; this is shown in two events at ~8200 sec and 12000 sec in Fig. 10. In
Fig. 11, the water/5% mercaptoethanol exchange is repeated twice more, and behavior is
consistent: levers bend downward (decrease in compressive stress) when
11
mercaptoethanol is introduced, then relax upward (increase in compressive stress) when
pure water flows into the cell. Note that the levers never fully relax upward to their
initial positions, indicating that significant numbers of mercaptoethanol molecules remain
bound to the Au lever surfaces even after rinsing for long periods.
12
2.3 Experimental description: effects of fluid flow
750 micron long Au levers (1.5 nm Ti, 20 nm Au, by evaporation), on the same
chip used for the mercaptoethanol experiments previously described, were cleaned in
piranha (3:1 sulfuric acid: hydrogen peroxide) for 5 minutes, then rinsed in 10 ml water
for 55 minutes. They were loaded directly into freshly-cleaned flow cell, which was
flooded with water. The SLD spot positions were set to maintain the levers effective
length near 520 m. As can be seen in Fig. 12, some pitting of the Au surface may have
occurred since the previous experiment, possibly due to the piranha cleaning process.
Fig. 12: Levers used for ethanol desorption and flow rate experiments
Constant flow experiments were initially performed in the 50 microliter flow cell.
Water and 5% ethanol in water were exchanged several times. Relative to previously-
observed deflections induced by 5% mercaptoethanol in water, the magnitude of these
deflections were small, as shown in Fig. 13. The behavior of the levers following each
5% ethanol injection was consistent and reproducible. These experiments demonstrate
that the large deflections observed with the mercaptoethanol in previous experiments
were likely caused mainly by molecules adsorbing or desorbing from the surface, as
opposed to being caused by changes in water-Au surface interactions mediated by
ethanol.
13
1000
lever 3 (SW #): 498 nm
Start 5% ethanol in water, 50 ul/min lever 4 (SW #): -1335 nm
lever 5 (SW #): -322 nm
lever 7 (SW #): -787 nm
800 Water at 50 microliters/min lever 8 (SW #): 3524 nm
Avg
400
Deflection (nm)
200
-200
Water at 50 ul/min
3
0 5 10 15 20x10
Time (s)
Fig. 13: Constant flow experiments with water and 5% ethanol in water.
14
40 0
300
t=21300sec : Change flow rate to 20 microliters/min
10 0
-100
3
20 25 30 35 40x10
Time (s)
The levers drift downward, then back up after the flow rate is stabilized at 2
microliters/min for an extended period. Fig. 15 shows an expanded view of the average
lever deflection as the flow rate is changed from 20 to 2 microliters/min.
15
t=21300sec : Change flow rate to 20 ul/min from 50 ul/min
38
t=21620sec : Change flow rate to 10 microliters/min
32
30
28
3
21.5 22.0 22.5x10
Time (s)
Fig. 15: Average lever deflection as water flow rate is decreased to 2 microliters/min
from 20 microliters/min.
In Fig. 16, some deviations occur in the downward drift trend as the flow is
reduced, but these are relatively small. Fig. 16 shows the effect of increasing flow rate
from 2 to 200 microliters/min, then back to 2 microliters/min. It is difficult to generalize
about the direction of deflection induced by increased or decreased flow. Figs 14 and 15
show downward deflection as flow rate is decreased, while Fig 16 shows downward
deflection as flow rate is increased. In general, however, larger flow rates do seem to
cause larger deflections, and when the flow rate is stabilized for extended periods at low
values (<5 microliters/min), the levers tend to drift upward for this experimental set.
16
Fig. 16: Lever deflections as water flow rates are changed.
17
Fig. 17: Effect of increasing water flow rates briefly for simulated injection of a
chemical of interest into the flow cell; the initial flow rate is 2 microliters/min.
As can be seen in Fig. 17, increasing flow rates to 100 or 200 microliters/min
from 2 microliters/min causes a large, immediate upward deflection. More problematic
for detection experiments, is that the fast changes can cause extended relaxation periods
(1000s of seconds) during which the levers drift significantly.
18
2.4 Experimental description: temperature and chemical effects
Fig. 18: SEM image of cantilevers showing sensitive measurement of the cantilever
thickness.
19
1200
Deflection (nm)
Temperature Change (K) 10
1000
mercaptoethanol
600
6
water injection at 20 ul/min
400
4
200
2
0
-200 0
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Time(sec)
The results of this experiment will be discussed in detail in Sections 3-5, where
the deflections are modeled and quantitatively analyzed to extract chemical parameters,
such as the absorption constant, that are necessary for detection applications.
In order to ensure that experimental results are not being affected by uncontrolled
variables, and that modeling assumptions are realistic, a large data set was obtained with
various concentrations, target molecules and solvents. The experimental parameters of
these experiments are summarized in Table 1, and representative results of the
experimental data set are shown in Figs. 20 and 21.
20
1000
040926_Au_EthanolHex_001: 1 mM hexadecane thiol in ethanol
8
500
6
4
0 Flow pure ethanol
2
1 mM hexadecane thiol in ethanol
-500
-1000
3
60 70 80x10
Time (s)
1500
10
6
500
Delta temp (C)
Deflection (nm)
0
2
flow pure ethanol
Flow 10 mM mercaptoethanol
0
-500
-2
-1000
3
50 55 60 65 70 75 80x10
Time (s)
21
3. Physical chemistry
Fig. 22: Flow over a cantilever with polymer, green species, depositing on the surface of
a cantilever. The deposited polymer self-assembles and the assembled species induces a
lateral stress that causes a stress imbalance between the top and bottom surfaces, i.e., +
and -.
22
Eq. 5
d ()
= ka c(t ) (1 ) kd'
dt
All terms are as described above in Eq. 3 with the exception of kd' . Note that Langmuir
kinetic equations have been presented in various forms in the open literature. The above
form, Eq. 5, was chosen to enable a one to one comparison between rate constants
predicted by the MBP presented here and those reported in the literature [4,5,6]. Eq. 3
above, however, is based on the rigorous analysis presented in Appendix A.
Once the input signal, c0, is turned off we again fit the desorption process with an
nth order Langmuir desorption mode:
Eq. 6
d ()
= kd ( )
n
dt
The fit to the actual desorption data revealed a third-order dependence on the
dimensionless surface concentration, or n = 3. Desorption processes are typically
modeled with a first or second order model to extract kd; however, in our case, the best fit
was with a third order model; consequently, the third order dependence on dimensionless
surface concentration was not expected. This fact that the best fit for the desorption
behavior was with n>1 suggests that there may be a distribution of activation energies
associated with the desorption process (see Appendix A).
To account for the dynamics of the system, more specifically the transient nature
of the system owing to fluid flow rates, we developed a dynamic estimate of the bulk
species concentration based on a modified stirred tank reactor system, see Fig. 23 below.
This mathematical description of the flow cell is a useful approximation for observing
time-dependent fluidic behavior, but experimental evidence suggests that at the low flow
rates applied in the 50 ul flow cell experiments described here (50 microliters/min and
smaller), flow is in fact relatively laminar. Levers on the outside of the array, for
example, were consistently observed to react to chemical signals a few seconds before the
inner levers. If the system acted as a true stirred tank, all levers would react to chemical
stimuli simultaneously.
23
Fig. 23: Model flow cell for cantilever array. Qin and Qout are the volumetric flow rates
in and out of the cantilever array chamber. ci and c are the input concentration and the
concentration within the volume for perfect mixing.
The resulting equation we used to predict the bulk, target species concentration
was the following form:
Eq. 7
{( ) ( ) }
c(t ) = c0 1 e (t tON ) / H ( t tON ) 1 e ( t tON ) / H ( t tOFF )
Here c(t ) is the time dependent concentration of our target species, ci, is the input signal
or concentration, tON is the time at which the signal is turned on and tOFF is the time when
V
the signal is turned off and , = , is the residence time of the fluid in the cantilever
Q
array volume, V. H(t) here is the Heaviside step function; i.e. the function that is zero
when the argument is negative and one when it is positive. For the given system and
using half of the chamber volume, 75s , and the resulting response or concentration in
the chamber, for the gross approximation of perfect mixing, is shown below in Fig. 24.
24
Fig. 24: Bulk concentration in cantilever array flow chamber. Given that the cantilever
array is at the center of the chamber, predictions were made for the entire chamber volume,
blue curve, and for half of the chamber volume, brown curve. The broad black line
represents the time on and the time off of the signal.
All of these features were built into the model based signal processor (Section 5),
and the signal based processor/estimator was used to fit these coupled equations predict
the optimal values for ka, kd and max. With these parameters specified, we calculate the
k
free energy for adsorption, G = RT ln a [4,6]. For any target species, we can then
kd
fit to get the appropriate adsorption parameters. Furthermore, we also built in the
cantilever response to thermal effects, or coefficient of thermal expansion effects, as will
be described in Section 4.
4. Mechanical modeling
25
Using this model, various loading conditions can be applied, e.g., fluid interaction, heat
transfer, applied surface traction. Dynamic behavior can then be simulated using the 3D
nonlinear, implicit finite element code, NIKE3D. The model is sufficiently generalized to
account for variations in geometry, material properties, and initial stress.
Fig. 25: Finite element mesh of an IBM Zurich Research A1: Water, cantilevers, and
anchor.
A finite element model was created to focus on the behavior of a single cantilever.
As in the full array model, the cantilever, anchor, and a portion of the wafer are
represented by eight-node solid elements. The gold coating on the cantilever is
represented by four-node plate elements. In this case, only membrane behavior is
captured by using one integration point with the shell elements.
Two mechanisms which cause cantilever deflection were studied with the model.
The first is temperature-dependent thermal expansion. The cantilever deflects in the same
fashion as bi-metallic beams. As the temperature changes, the silicon and gold expand at
26
different rates (as described by the thermal expansion coefficient). This causes a stress in
the beam resulting in a deflected equilibrium shape.
The second mechanism is a chemically induced stress which also causes the
cantilever to deflect to maintain equilibrium. Chemical adsorption/desorption in the gold
layer causes a change in the free energy of the gold layer. This results in an applied
traction to the top surface of the silicon cantilever. To maintain static equilibrium the
cantilever must change its shape. Due to the beam-like geometry of the cantilever, the
deflection is predominately a displacement in the direction normal to the cantilevers
surface (z direction in Fig. 26).
2 (xx + yy )
E E
Eq. 8 xx = T
1 1+
if is very large, then xx is dominated by the second term on the right hand side. In
these equations, E and are the Youngs modulus and Poissons ratio for Si,
respectively. T is the change in temperature. xx and yy are the in-plane strains.
27
Fig. 27: Example of the deflection shape of a single cantilever under loading. Contours
are of displacement in the normal (z) direction.
Eq. 9
ztip 2 +
= 3L Au 2 Si
T Si k1
where ztip is the normal (z-direction) deflection of the free end (tip) of the cantilever, T
is the temperature difference, is the difference in thermal expansion coefficients
(Si Au), L is the cantilever length, is the thickness of the Si or Au, and k1 is
Au 2 E (1 Si ) Au 3 E Si (1 Au) Si
k1 = 4 + 6 + 4( Au ) + Au ( ) + ( )
Si Si E Si (1 Au ) Si E Au (1 Si ) Au
where E is Youngs modulus for Si or Au and is Poissons ratio for Si or Au. Note the
Poisson effect has been included in k1.
4.3.2 Deflection of a cantilever beam from a resultant surface stress. A modified version
of Stoneys equation (applies free-free beam), which accounts for the fixed end boundary
condition, comes from, Sader [8].
28
Eq. 10
1 1 2 E
= z
K 3 L 1
where
1 1 1 1 1 1 2
K = X + 2X + B + + 2 2 + 2 + B
2
1 2 12 1 2 1 2
and
[
1, 2 = 2 3 5(1 ) m 10(1 )(2 3 ) ]
In these equations, is the surface stress (J/m^2 or N/m), is the thickness of
the Si cantilever, L is the length of the cantilever, E is Youngs modulus of Si, is
Poissons ratio for Si, z is the normal (z-direction) deflection of the free end (tip) of the
cantilever, X = x/L = 1 is the normalized length, and B = w/L is the normalized width of
the cantilever. Note that , surface stress, is related to the surface stress energy per unit
area for this cantilever geometry. (For details, see W. Haiss, [9])
K is the correction factor for Stoneys equation. For the case, L = 500 microns, w = 100
microns, and t = 1 micron, K = 1.04
Ew
3
Eq. 11 k=
4 L
where E is Youngs modulus, w is the width, is the thickness, and L is the length. The
moment of inertia of the cantilever with respect to the normal direction (often seen in
literature) is
1
Eq. 12 I= w 3
12
4.3.4 Deflected shape of the cantilever. The normal displacement at any point along the
cantilever is
Eq. 13 z ( x) =
f
(
x 2 x 2 + 6 L2 4 Lx )
2 Ew 3
29
where x is the position along the cantilever (x=0 is the fixed end. x=L is the free end). It
is assumed that the cantilever is subject to a uniform loading, f (force/length).
The ratio of displacement at any point on the cantilever with respect to tip
displacement is then
This relationship can be used when the measurement point is not located at the tip of the
cantilever. For example, given a 500 micron cantilever, the displacement at a point 355
microns from the free end is 61.57% of the tip displacement.
The following section uses the material properties values: Silicon: E = 150e9 Pa,
= 0.2, = 1.0e-6 m, L = 500.e-6 m, = 4.2e-6 / C. Gold: E = 80e9 Pa, = 0.42, =
20e-9 m, L = 500.e-6 m, = 14.2e-6 / C.
30
-7
x 10
1.4
1.2
0.8
0.6
0.4
0.2
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Temperature Increase (K)
Fig. 28: Vertical displacement vs. temperature increase. Red: finite element model. Blue:
analytical relation.
-8
x 10
2.5
2
Axial Displacement (m)
1.5
0.5
0
0 1 2 3 4 5 6 7 8 9 10
Temperature Increase (K)
Fig. 29: Axial displacement vs. temperature increase from finite element model. The
axial displacement is two orders of magnitude smaller than the vertical displacement.
31
4.5 Calibration of cantilevers using temperature-deflection-determined spring constant
3000
2000
Vertical Deflection (nm)
1000
E =150 GPa: dz/dT = 96 nm/K
0
0 1 2 3 4 5 6 7 8 9 10
Temperature Difference (K)
Fig. 30: Vertical displacement vs. temperature increase from four experimental
measurements. For each dz / dT, an experimentally determined E is calculated.
32
8 lever example: hexadecane and ethanol
100
50
0
Vertical Displacement (nm)
-50
-100
-150
-200
-250
0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
Temperature Increase (C)
Fig. 31: Vertical displacement vs. temperature increase from a single temperature pulse.
Displacement response of eight cantilevers. Spring stiffnesses varied from 12.2 mN/m to
13.4 mN/m.
As an example, consider the data shown in Fig. 19. Here, we can fit to get the
appropriate adsorption parameters. Furthermore, we also built in the cantilever response
to thermal effects, or coefficient of thermal expansion effects. To estimate the
contribution of CTE, we use Eq. 9 and find that z/T approximately equals 98 nm/K.
33
processor to extract the desired information. This approach provides a mechanism to
incorporate knowledge of the underlying physics or dynamics in the form of
mathematical process models (along with measurement system models and
accompanying noise as well, as model uncertainties) directly into the resulting processor.
In this way, the model-based processor enables the interpretation of results directly in
terms of the problem physics. The model-based processor is actually a modeler's tool
enabling the incorporation of any a priori information about the problem to extract the
desired information.
The fidelity of the model incorporated into the processor determines the
complexity of the model-based processor with the ultimate goal of increasing the inherent
signal-to-noise ratio (SNR). These models can range from simple, implicit, non-physical
representations of the measurement data such as the Fourier or wavelet transforms to
parametric black-box models used for data prediction, to lumped mathematical
representations characterized by ordinary differential equations, to distributed
representations characterized by partial differential equation models to capture the
underlying physics of the process under investigation. The dominating factor of which
model is the most appropriate is usually determined by how severe the measurements are
contaminated with noise and the underlying uncertainties. If the SNR of the
measurements is high, then simple non-physical techniques can be used to extract the
desired information; however, for low SNR measurements more and more of the physics
and instrumentation must be incorporated for the extraction.
This paper is concerned with the novel development and application of model-
based signal processing to micro-machined cantilever sensor arrays. We will first
functionally describe the generic approach in terms of the cantilever system and then we
will develop the cantilever and associated mathematics more specifically eventually
developing a first-cut design based on these models. The overall approach captures all
possible models in terms of nonlinear differential equation models with the one described
specifically an embellishment of the model-based approach.
We briefly describe the generic model-based approach to the cantilever array problem as
depicted in Fig. 32. The movement of cantilevers is influenced by three major factors:
chemical binding, temperature effects and fluidic forces. We will assume in this
formulation that the temperature dynamics are relatively slow. Therefore, the changes in
temperature can simply be modeled by a time-varying polynomial. Fluidic disturbances
act more quickly, and can be described by the linear Stokes equations of motion. As a
result, one can also solve the fluids problem separately. The resulting predicted stress
can be superimposed over stresses due to temperature and chemical effects. Chemical
reactions at the cantilever surface act over tens of seconds to many minutes, and represent
the signal of interest. The entire process is contaminated with both measurement and
process noise, which decreases the overall signal-to-noise ratio (SNR) and makes this
invention so important. The poor signal levels can be enhanced by incorporating
mathematical models of the underlying physics and measurements including the noise
statistics into the processor to produce an enhanced signal (deflection) with a much
higher SNR.
34
PHYSICS
Thermodynamic,
fluidic equations
MEASUREMENT
Deflection
Eq. 15 (t ) = f [(t ),c0 , c(t ),ka ,kd , max ] + w(t ) ,
where w(t) is time-dependent process noise, assumed to be Gaussian, and all other terms
are as defined above.
The change in a cantilevers surface free energy, G(t), is related to the surface
concentration and the target molecule concentration in solution by
Eq. 17 (t ) = f [G (t ), (t )]
With this underlying physical phenomenology we can now express the deflection
at the ith cantilever as a function of both surface concentration and induced surface stress
as
Eq. 18 zi (t ) = f z [ i (t ), i (t )]
35
Here we assume that the differential surface stress and as the surface concentration are
variable. The actual measurement is somewhat more complicated due to instrumentation
noise v(t ) as well as disturbances (t ) such as systematic errors, temperature drifts and
just trends. Therefore, we define the cantilever array deflection measurement at the ith
lever as
Eq. 19 di (t ) = f di ( i , zi , i ) + vi (t )
36
5.2 Model-based processor design for cantilever arrays
In this section we develop the model-based approach first for the generic model
sets and then for the specific embellishment discussed previously. We start the section
with the development of an approximate Gauss-Markov model, which can be used to
capture the cantilever signal enhancement problem and then specifically apply it to the
micro-cantilever array sensor system.
x& (t ) = a [ x, u; ] [state]
Eq. 20
y (t ) = c [ x, u; ] [measurement]
Eq. 21
y (t ) = c [ x, u; ] +v(t) [measurement]
Here a[], c[] are the N x -dimensional vector process function and N y -dimensional
measurement functions, respectively, for the process noise given by w ~ N (0, Rww ) and
the corresponding measurement noise as v ~ N (0, Rvv ) . N (, ) is the Gaussian
distribution specified by mean and covariance. With this representation in mind, we can
now define the cantilever signal enhancement problem as:
37
The solution to this problem can be derived in a wide variety of approaches. Here, we
will use the common Bayesian approach[10]. We summarize the algorithm as:
y (t | t 1) = c [ x , u; ] [Measurement Prediction]
Eq. 22
(t ) = y (t ) y (t | t 1) [Innovation or Residual]
x (t | t ) = x (t | t 1) + K (t ) (t ) [Correction]
where K (t ) is the gain of the processor, which must be calculated from the underlying
process statistics (see Candy, Signal Processing: The Model Based Approach
(1986)[10]) for details.
For the micro-cantilever array problem, we must convert the physical relations,
that is, Eqs. 2-4 into the state-space form above. We chose to solve the differential
equation and incorporate the resulting relations into the measurement model. For the state
we modeled the free energy as a piecewise constant function, converted it to discrete-time
using the first difference approximation and excite it with zero-mean, white Gaussian
(process) noise creating a random walk model for this parameter. Therefore, we start with
defining the state vector as, x := G and the measurement, y := d , then we obtain the
following relations. From Eq. 22, the surface concentration relation becomes
Now the measurement model is tricky. We must first solve for the physical variables to
obtain the generic form of Eq. 21; therefore, we have from Eqs. 2-4 that
The dynamic surface concentration, (t) for adsorption-desorption and pure desorption
processes that were used have the following form:
38
Eq. 25
0
t < tON
(t ) =
(
1 e( kaC (t )+ kd )( t tON )
) for tON t tOFF
1 t > tOFF
2kd ( t tOFF )
c(t ) k
Here = ; K EQ = a , and tON denotes when the signal is introduced and
c(t ) + K EQ kd
tOff denotes when the signal is turned off.
As described above, the differential surface stress on the cantilever is a function of the
surface concentration and free energy
Eq. 26 (t ) = (t )G (t ) M 1 = (t ) x(t )
Therefore the deflection of the lth -lever is weighted by the Stoney equation with a
specific modulus of the individual lever, that is,
3L2
Eq. 27 d l (t ) = l (t ) for l := (1 )
El
where l is the lth Stoney equation with cantilever modulus, El , with lever length and
thickness, L, , respectively and is Poissons ratio for silicon. Thus, we obtain the
measurement equation at the lth -cantilever as
and (t ) is the known temperature profile (low-pass filtered). Finally, assuming that both
noise sources are Gaussian random processes (as before), then the result is a time-varying
Gauss-Markov (not approximate due to linearity) multi-channel cantilever model defined
by
39
x(t ) = x(t 1) + w(t 1)
Eq. 29
yl (t ) = l (t ) x(t ) + (t ) + vl (t )
for w ~ N (0, Rww ) ; v ~ N (0, Rvv ) . Then as before, we can develop the model-based
processor based on this Gauss-Markov model. First, we define the signal enhancement
problem in terms of the cantilever models as:
The model-based algorithm to solve this problem using the specified models is:
Eq. 30
y l (t | t 1) = l (t )x (t | t 1) + (t ) [Displacement Prediction]
l (t ) = y l (t ) y l (t | t 1) [Innovation or Residual]
This completes the development of the MBP algorithm for Cantilever Sensor
Arrays. Note that once this framework is developed, it is quite easy to define other
problems of high interest (e.g. detection problems [11]).
40
take for MBP performance evaluation is illustrated in Fig. 33. After obtaining the average
parameters by performing the parameter estimation, a Gauss-Markov simulation was
designed to generate synthesized cantilever deflection measurements using the model
discussed in the previous section. Once synthesized at a particular signal-to-noise ratio
(SNR), the processors were applied to the data and their performance analyzed based on
the truth deflections generated by a noise-free simulation. Performance metrics are
applied to evaluate and compare performance. We discuss the various steps in this
procedure.
Parameter Estimation
The basic approach we use is to first parameterize the cantilever array model by
performing parameter estimation on the raw deflection measurements to extract the
critical absorption, desorption and maximum concentration, that is,
l = {ka (l), kd (l), G (l)} ; l = 1,L , L . The parameter estimator we employed was a
nonlinear least-squares criterion using the Nelder-Meade polytope search algorithm [12].
This algorithm is based on minimizing
Nt
Eq. 31 min J ( ) = l2 (t ; ) for (t ; ) := yl (t ) y l (t ; ) ,
l
t =1
where the estimated or filtered cantilever measurement at the lth -lever is given by
Eq. 32 y l (t ; ) = dl (t ; ) + (t ) .
Once these parameters are extracted from the data, they are averaged to give,
{ }
= ka , kd , max . These are the parameters that are used in the Gauss-Markov simulation
model.
41
SIMULATION
Cantilever
Measurements
Parameter
Estimation
Cantilever
MODEL
Synthesized
Deflection
Measurements
Smoothing Model-Based
Processor Processor
Error
Statistics
Performance
Analysis
ANALYSIS
1000 1000
Cantilever No. 1 Cantilever No. 2
800 800
Deflection (nm)
600 600
400
400
200
200
0
0
800
600
600
400
200 400
0 200
1000 1000
Cantilever No. 6
Cantilever No. 5
800 800
600
Deflection (nm)
600
400
400
200
200
0
0 1000 2000 3000 4000 5000 0 1000 2000 3000 4000 5000
Time (sec) Time (sec)
Fig. 34: Parameter Estimator Results: Predicted response (solid line) compared to raw
deflection measurements (dotted line). Note: C0 is 1.4E-2 M, mercaptoethanol in water,
for this experiment.
42
Table 2. Cantilever Parameter Estimation
for 1.4 E-2 M Mercaptoethanol in Water
For comparison: ka is 1.3E-2 M-1 sec-1 for 1 mM CH3 (CH2)15 S/Au in ethanol [13]. G =
-RT Ln (ka/kd) = -24E3 J for this system; for 718 base pair thiolated DNA, G = -34.6E3
J [4]. max = 1.3E13 for 20-mer DNA [14].
Eq. 33 G (t ) = G (t 1) + w(t 1)
Eq. 34 yl (t ) = d l (t ) + (t ) + vl (t )
where G (t ) is the free energy at the surface, d l is the displacement of the lth -lever,
is the temperature of the fluid medium and w, vl are the additive, zero-mean, Gaussian
noise processes with covariances, Rww and Rvv R L L with diagonals,
v2 (l); l = 1,L , L . We assume that the measurement uncertainty is uncorrelated
producing the diagonal matrix. Each of the cantilevers has a different modulus associated
with its structure creating a set of Stoney equation parameters, l , one representing
each of the individual lever dynamics. A typical set of cantilever simulation data is
shown in Fig. 35 where we used a 20 dB SNR defined by
43
Dtrue
2
(l )
Eq. 35 SNRl = ; l = 1,L , L
v (l )
2
where Dtrue is the true deflection available from the Gauss-Markov simulation and
Dtrue
2
is its variance. Once the noisy deflection measurements are synthesized, then the
processors are applied to extract the true deflections. We chose to evaluate two
methods: (i) smoothing processor; and (2) model-based processor. The smoothing
processor is simply a running window average that is equivalent to a low-pass filtering
operation. This is an example of a typical approach taken by scientists in this field. The
MBP is the optimal (approximately) solution to this problem. Note that we used the
third party toolbox, SSPACK_PC, a commercial model-based signal processing
package[15].
4000 4000
Deflection (nm)
2000 2000
0 0
-2000 -2000
4000 4000
Deflection (nm)
2000 2000
0 0
-2000 -2000
4000
4000
Deflection (nm)
2000 2000
0 0
-2000 -2000
Fig. 35: Noisy Cantilever Deflection Measurement Gauss Markov Simulation (-20 dB
SNR).
The MBP was developed using the cantilever measurement model of Eq. 34 with
the average parameter estimates of Table 2. In this section we discuss the application of
the MBP to simulated cantilever array measurement data at a variety of SNRs. We first
show the results of the MBP design for the 20 dB SNR case and then summarize the
results at a variety of SNRs to evaluate its overall performance. Note that even though the
data were simulated using the recorded temperature, it was removed (subtracted) from the
final estimates in calculating the corresponding error statistics. The MBP design
discussed is based not only on the average parameter estimates (see Table 3), but also
44
using a smoothed temperature data estimate, (t ) , to be more realistic in performance
evaluation. We expect this processor to provide an outstanding performance, once tuned
[10]. In fact, the results of applying to be 20 dB data indicating an approximate optimal
performance, since the underlying prediction errors or innovations associated with each
lever are statistically zero-mean and white as shown in Fig. 36 and Table 3. Table 3 also
shows the aggregated weighted-sum squared residual (WSSR) statistic indicating optimal
performance. The results of processing the 20 dB SNR deflection data are shown in Fig.
37 for each lever. The results are shown by comparing the true (synthesized) deflection
compared to the smoothed and MBP estimates. It is clear from the figure that the MBP
performs extremely well.
1.2 1.2
Cantilever No. 1 Cantilever No. 2
Norm. Corr.
Norm. Corr.
0.8 0.8
0.4 0.4
0 0
0 2000 4000 6000 0 2000 4000 6000
1.2 1.2
Cantilever No. 3 Cantilever No. 4
Norm. Corr.
Norm. Corr.
0.8 0.8
0.4 0.4
0 0
1.2 1.2
Cantilever No. 5 Cantilever No. 6
Norm. Corr.
Norm. Corr.
0.8 0.8
0.4 0.4
0 0
0 2000 4000 6000 0 2000 4000 6000
6200
6000
Rho
5800
WSSR Statistic
5600
0 2000 4000 6000 8000 10000
Fig. 36: Optimality Tests: Cantilever Array Zero-Mean/Whiteness and WSSR Statistic.
45
Table 3. MBP Optimality Zero-Mean/Whiteness Test Results
800
Cantilever No. 1 Cantilever No. 2
1000
600 Smoother
Smoother
Deflection
Deflection
400
True
500 True
200
MBP MBP
0 0
1000 800
Cantilever No. 3 Cantilever No. 4
800
600
Smoother
600
Smoother
Deflection
Deflection
400
True True
400
200
200 MBP
MBP 0
0
600
600 Smoother Smoother
Deflection
Deflection
400 True
400 True
200 200
MBP
0 MBP 0
Fig. 37: MBP and Smoother Enhancement of the Noisy (-20 dB SNR) Synthesized
Deflection Measurements: True Deflection (with temperature data), Smoothed and MBP
Estimates.
46
Next we investigate the overall performance of both the standard
smoother/averager and the MBP on synthesized data sets. In order to quantitatively
evaluate the performance of the processors individually we calculate the residual
deflection errors defined by
where dtruel is the true (noise free) deflection at the lth -lever and dl is the filtered or
estimated deflections as shown for the 20 dB case in Fig. 37. Once the error is estimated
at each lever then its associated statistics mean and variance can be calculated and used
for further analysis. We define the processor output gain as the final metric given by
d2 (l)
Eq. 37 SNRout (l) := true
; l =1,L ,L .
d2% (l)
This ratio represents the enhancement provided by each processor. The smaller the
residual error variance ( d2% ), the higher the SNRout , providing a reasonable metric.
Averaging these statistics over the cantilever array gives a feel for overall processing
gain.
We performed a set of simulations at 0, -20, -40 dB SNRin with the typical run
outputs shown in the previous figures for the 20 dB case. The results for each run are
summarized in Table 4. Here we see that output SNR produced by both processors are
respectable with a significant gain in enhancement; however, it is clear that the MBP
consistently demonstrates superior performance with an overall average enhancement of
80 dB and enhancement gain over the Smoother of 38, 43 and 60 dB, respectively. The
MBP is insensitive at these SNRs to the measurement noise variance changes yielding
identical performance at each level. By contrast, the Smoother performance clearly
deteriorates as the input SNR decreases. The MBP performance will also deteriorate with
decreases in input SNR, but not at realistic experimental levels. This demonstrates
outstanding performance for multi-channel cantilever arrays on these simulated data sets.
Next we apply the process to the measured array data.
47
Table 4. MBP/Smoother Performance Analysis
In this section we developed MBP for two cases: (1) average deflection data and
an averaged cantilever model; and (2) multi-channel deflection data. First we averaged
the 6 cantilever deflection data to obtain the average deflection response over the entire
array and then designed the MBP obtaining the parameter estimates first and then
applying the processor with those parameters. Next we developed the multi-channel
processor using the same approach by estimating the individual cantilever parameters,
taking their average and calculating the appropriate moduli for the multi-channel model.
In both cases we performed simulations first to develop the optimal MBP.
48
3000
(a) TRUE MEASUREMENT (b) RAW MEASUREMENT (snr=0dB)
1000
1000
Amplitude
Amplitude
0
500
(Pct = 5.2
0 -2000
0 500 1000 1500 2000 2500 0 500 1000 1500 2000 2500
Time Time
1500 1
(c) (d) OPTIMALITY
MBP OUTPUT
ZERO-MEAN/WHITENESS TEST
ZMEAN: 7.13<8.78
1000 0.5
Norm. Corr.
Amplitude
500 0
0 -0.5
0 500 1000 1500 2000 2500 0 500 1000 1500
Time
Lag Time
Fig. 38: MBP Design for Simulated Average Cantilever Data (0 dB SNR): (a) True
measurement. (b) Simulated Gauss-Markov deflection measurement with bounds. (c)
Enhanced deflection (MBP output). (d) Optimality tests (zero-mean/whiteness) results.
1500 3
1000 2
Temperature (o)
Deflection (nm)
500 1
0 0
-500 -1
0 2000 4000 6000 8000 10000 0 2000 4000 6000 8000 10000
Time (sec) Time (sec)
1200
PARAMETER ESTIMATION MODEL-BASED ENHANCEMENT
1200
(c) (d)
Model-Based
Estimate
800
Deflection (nm)
800
Model-Based
Deflection (nm)
Estimate
Raw Cantilever Data
Raw Cantilever Data 400
400
Innovation
Parameter Estimates: 0
Ka = 0.38300
0 Kd = 0.00039
Gmax = 1.07100e+015
-200
0 2000 4000 6000 8000 10000 0 2000 4000 6000 8000 10000
Time (sec) Time (sec)
Fig. 39: Average Cantilever MBP Application to Measured Deflection Data. (a) Raw
deflection data. (b) Raw temperature profile data. (c) Model-based parameter estimation
fit and parameters. (d) Model-based enhancement including temperature.
49
Next we developed the MBP for the multi-channel case using the same model-
based approach: simulation and application. We used the average model parameters
developed over the entire cantilever array data set using the nonlinear least-squares
model-based parameter estimator and applied it to the raw cantilever data to investigate
its performance. We again used the MBP with the free energy as our piecewise constant
parameter (state) and the nonlinear cantilever array model with 6 elements. We used the
smoothed estimate of the temperature profile in our estimator as in the synthesized data
case. We also used the estimated moduli in the Stoney equations as well as the average
parameter estimates as before. The results are shown in Fig. 40 where we see the raw
measured cantilever data, MBP estimates and the corresponding errors or innovations.
Since the innovations are not zero-mean and white, the processor is not optimal;
however, the results are quite reasonable except for the systematic bias error (constant) in
the estimate. The dynamics appear to be captured by the model especially in cantilever 5.
The offset can be adjusted by selecting various combinations of elements in the Rvv
measurement noise covariance matrix, but this may be better suited to an adaptive
implementation of the processor which will be pursued in future work. From the figure
we note that the dynamics of the individual levers (on-set and off-sets) are quite close to
the expected. This concludes the application to the data.
Data
Deflection (nm)
Data
500 Innovation 500 MBP
MBP Innovation
0
0
0 2000 4000 6000 8000 10000 0 2000 4000 6000 8000 10000
Time (sec) Time (sec)
Deflection (nm)
Data
Data
500 500 Innovation
Innovation
MBP MBP
0 0
0 2000 4000 6000 8000 10000 0 2000 4000 6000 8000 10000
Time (sec) Time (sec)
Deflection (nm)
Data
Data
500 500
Innovation Innovation
MBP MBP
0 0
0 2000 4000 6000 8000 10000 0 2000 4000 6000 8000 10000
Time (sec) Time (sec)
Fig. 40: MBP of Experimental Cantilever Array Data: Raw, Enhanced (MBP) and
Residual (Innovation) results for each lever.
50
6. Summary
Through simulations with additive Gaussian noise at SNR of 0, -20, and 40 dB,
we demonstrated the ability of the processor to extract the cantilever deflection response
with a large improvement in signal gain (~ 80 dB). We compared the processor to that of
an averager (low-pass filter) comparing their performance. At each of these SNR the
MBP demonstrated superior performance with an overall average processing gain of ~
40-60 dB over the averager. Finally, we applied the MBP to noisy, smoothed (averaged)
cantilever data and demonstrated that the processor could perform quite well except for a
bias error, which is easily corrected.
To demonstrate the full utility of the MBP for chemical sensing of low levels of
signature chemicals associated with nuclear processing, necessary next steps are (1)
verify the physical models used in this study for a variety of solvents and target
molecules (this data has already been obtained as part of this study) (2) make use of
control levers, and (3) extend the experimental library to include low concentrations of
chemical targets of practical interest for sensing nuclear processes.
ACKNOWLEDGEMENTS
The authors gratefully acknowledge the contributions of LLNL scientists Brad Hart,
Brandon Weeks, and Steve Velsko, who provided guidance on chemical sensing and
cantilever experimental protocols, and of DHS Fellow Asher Sinensky, who performed
important measurements and analysis for this project. Funding came from the NA-22
Exploratory Research Program managed by David Dye. This work was performed under
the auspices of the Department of Energy by the University of California/Lawrence
Livermore National Laboratory under contract W-7405-ENG-48.
51
7. Appendix A: Derivation of adsorption and desorption kinetics
In this appendix, a different set of variables is used than was used in previous sections of
the report. These parameters are more traditional in the field of kinetics, and so may be
more familiar to some readers. In order to compare equations in this appendix with
equations elsewhere in the report, use the following equivalencies:
ca = max
= /max
ka c0 (1-e) = kd ca e (A1)
where
b = ka / kd ca (A3)
At which point it is obvious that b0 = Af /caAr and H = Ea Ed. The Langmuir isotherm
has the property that equilibrium fractional surface coverage is linear with concentration
at low concentration and reaches an asymptote of one at high concentration. Also note
that the fractional coverage as a function of concentration is a function of temperature.
Now consider the rate of change in surface coverage away from equilibrium. The net
change in fractional surface coverage is the difference between the forward and reverse
rates:
52
Note that the net rate approaches zero as the surface concentration approaches its
equilibrium value, when the forward and reverse rates by definition must become equal.
This implies that one can neglect desorption when deriving ka only for very low surface
coverages. One can factor the equation to get a relationship describing the rate as a
function of the distance from equilibrium:
The rate goes to zero when = e. Although Eq. A7 is factored to approach equilibrium
from the adsorption side, one can also factor Eq. A5 to approach equilibrium from the
desorption side:
Note that all adsorption terms have fallen out automatically. Now consider the case
where the concentration has been reduced (but not eliminated) so that the surface
coverage is above its equilibrium value. The resulting approach to the new equilibrium
value is given by
Note that d/dt is negative in this form because /e is greater than one. One can
eliminate bc0 in favor of e by first inverting Eq. A2 to give
and then substituting Eq. A11 into the next to last equality, giving
One observes an effective first-order desorption rate constant equal to the zero-
concentration value divided by the factor (1-e).
Now consider the case where the apparent desorption order is not unity, which we
observed for our gold-thiol system. This could be due to a difference in absorption
energies for different sites, which would cause the activation energy and desorption rate
constants to be different (Figure A1).
53
We have shown previously [16] that a distribution of activation energies yields a
deceleratory reaction that can be fitted well with an nth-order reaction having n>1.
Formally, an nth-order reaction corresponds to a gamma distribution of frequency factors,
but distributions of frequency factors and activation energies are difficult to distinguish
over narrow temperature ranges. An important feature of the model in Figure A1 is that
the non-unity reaction order would be observed only in the desorption direction, because
the adsorption direction is characterized by a single activation energy.
Ef
Er,i
reaction coordinate
Figure A1. Conceptual model giving a distribution of reaction constants for desorption,
which is reflected in an effective reaction order greater than one.
54
REFERENCES:
55