1 Introduction

Advancement in miniaturization has given birth to a new field known as MEMS. Micro machining technol-
ogy has made possible the construction of a variety of MEMS and NEMS devices. Utilization of developed
microfabrication methods and emerging new technologies have provided necessary fabrication facility. In-
teria forces in micro scale objects is very small and hence response is very fast. At micro-nano level energy
dissipation drastically reduces. Their compact size, feasibility of integration with IC technology and low
cost are attracting more and more applications. Silicon and its compounds have been very useful in mi-
crofabrication, but from a decade various other types of materials like semiconductors, metals, polymers
are also being used.
The components of MEMS can be classified as microelectronics, microstructures, micro sensors and
micro actuators.Microstructures are the base on which the actuation will be applied. Microelectronics
consists tiny electronic components which supplies necessary electrical energy to microactuators. Microac-
tuators and microsensors are the transducers which converts electrical energy into some physical action
or vise versa. Microactuator excites particular type of motion in microstructure like flexural vibration,
waves in bulk mode or to oscillate the whole structure. Required actuation can also be like movements of
microvalves for control of gas and liquid flows, to orient micro mirror. Microsensor collects necessary in-
formation from environment like sensing pressure, temperature, humidity or sensing motions. This sensing
happens via utilization various field coupling which will be discussed further.
MEMS resonator as sensors is the focus in present research. Microstructure is resonated deliberately
and its dynamics is exploited to extract various kind of informations from the environment. It is an
emerging field in MEMS where the scaling laws have been used advantageously. For example, very low
value of inertia and minimal damping are essential for a resonator. High to very high natural frequency in
the range of MHz is possible for a mechanical system and MEMS resonators are very good alternative of
resonant devices with bulky quartz crystals. For the research purpose, resonators are being used as highly
sensitive biological and chemical sensors. For the replacement of CMOS switches, resonator has been
investigated as low power switches. For the commercial purposes, the resonators are used as gyroscopes,
timing reference, frequency filters in cell phones and computers. In the field of metrology, resonators can
detect mass with pg resolution, a single electron spin, and quantum ground state. The working principles,
advantages and some applications of MEMS resonators are described in detail in the following section.

1.1 MEMS resonator

Resonator oscillates at resonance frequency and taking the benefits of resonance characteristic, it is use-
ful in many applications. Like in guitar, change in the length of wires tunes the sound frequency via
changing the resonant frequency. In electronic circuits, signal oscillates at resonance frequency according
to the parameter values and produce AC signal. Resonance frequency of mechanical resonator depends
on parameters like stiffness, vibrating mass. MEMS and NEMS resonators are generally simple type of
microstructures like common elements such as beam, plate, diaphragm or membrane. Sometimes they
are made as comb drives, tuning fork structures. Fabrication is done with a wide variety of additive and
subtractive methods adopted from classical IC fabrication techniques. Generally, the length scale ranges
in 100-500m for MEMS and 5-10 m for NEMS. Resonating frequency is typically in the range of 30 KHz to
several MHz. Silicon and its chemical compounds, semiconductor materials like GaAs, metal compounds
of semiconductors like AlGaAs are mainly used as structural materials. Fabrication for stationary mi-
crostructure like microelectronics is very much developed, but for MEMS it is not so standardized and it
is developing for reliable devices.
The resonator includes actuation and detection mechanism in addition to the resonating structure.
Actuating and sensing parts are the transducers. Actuation resonates the microstructure. For that, many
different excitations techniques have been applied in practice where piezoelectric and electrostatic actuation
have been widely used. Tuning of the resonance frequency is an added advantage offered from excitation
methods. Variation in DC voltages can provide the necessary shift in resonance frequency.

1
 (b) Piezoelectrically excited circular plate-membrane ul-
(a) Schematic of a cantilever beam resonator trasonic transducer, [6]

Figure 1

In figure 1a, schematic diagram of cantilever type resonator is shown. Resonance can be induced by
capacitive transduction process. Same method can be applied in reverse way for detection of resonator
movement. Simplified governing equation of motion is given below. Here, stiffness is due to structural
rigidity in bending. For small vibration amplitudes it is linear.

d2 x dx
m + ceq + kx = f cos(ω0 t) (1)
dt 2 dt
For resonance amplitude, stretching of neutral plane to be considered, which shows hardening type non-
linearity. Displacement dependent excitation like capacitive transduction also induces nonlinearity. There
are some other various factors which induce nonlinearity like residual stresses. To find out damping coef-
ficient or quality factor, energy dissipation from all the sources need to be considered differently and than
equivalent damping coefficient can be found out as described later. Quality factor is also an important
criterion for designing, which is in the range of 100-1000, but for vacuum conditions or for nano beams it
goes above 10000.
System of coupled resonators: System of coupled resonators is being used for various applications.
A review work has been found, [1] describing the mode localization technique for sensing purpose. Multi
resonators are connected to each other with weak coupling. Whole system is driven in particular mode.
On any perturbation (like detection of acceleration, mass, force), system changes and supply of energy gets
confined into some region. So, immediate change of mode shape is used in sensing. The coupling can be
mechanical(via some structure link), electrostatic(capacitive forces in between resonators), electromagnetic.
Mass sensing and signal filtering application: Mass detection via cantilever beam and filtering
application via bridge type MEMS resonator is discussed to understand the working of MEMS resonator.
In the below figure, cantilever microbeam is shown. Some respective material is deposited on the surface
to attract the target mass and when mass comes in contact, there is suddenly change in the oscillation
frequency and amplitude. That has been shown in the figure. Resonator is designed in such a way so
that addition of mass brings the mass in resonance regime or take it out of the resonance regime. Micro-
Cantilevers has been widely used in chemical and biological mass detection [2]. In the next section mass
sensing via MEMS resonators has been explained in detail.

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Figure 2: (a) Schematic of mass sensor (b) continuous absorption of Mercury vapor decreases resonance
frequency with time, [3]

MEMS resonator are also used for filtering purpose. The signal which need to be filtered is given as
inputto excite the resonator. Output of the resonator will be dominated by signal having frequency near to
resonance frequency of microstructure. Using proper amplitude cut-off at output, signal harmonics which
have frequency in resonance regime are filtered out.

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2 Excitation methods
Various Types of excitations for MEMS/NEMS resonators, their advantages and limitations
Micro and nano resonators requires very quick actuation and detection techniques with frequency, in
the range of KHz to GHz. Standard excitation methods like electrostatic, piezoelectric, electromagnetic are
well established in microfield. High to very frequency resonators have been demonstrated with integrated
sensing. The methods have been explained in brief. Parametric excitation, which will be used for research
work is also explained.

2.1 Electrostatic excitation

Electrostatic/capacitive excitation is widely used actuation-sensing method in MEMS. It contains simply
parallel plate type electrodes. Current flow like in other electrical circuit does not happen in this type
of forcing. Due to the difference in voltage, according to coloumb’s law attraction or repulsion forces
come into action between two electrodes. Nature of excitation differs via the arrangement of electrodes.
Parallel plate arrangements, interdigitated and non interdigitated comb-drive, fringing field actuation, etc.
Among them parallel plate and comb drive type actuation is widely used. Comb-drive is a special type
of example for electrostatic excitation. It has multiple fingers, which can offer a large area for voltage
difference. It offers two types of movement interdigitated (movement is parallel to the fingers surfaces) and
non-interdigitated (movement is perpendicular to the surface). This structure can be designed to generate
desired linear and nonlinear forces. As the movable part moves, the electrostatic force varies. Schematic
of a cantilever beam excited by electrostatic force is shown in figure 1a.
Advantages: Standard techniques are available for the fabrication of resonators with electrostatic
actuation. It does not require a specific type of material like as in piezoelectric or magnetic actuations.
Time constant of capacitor charging is very small so that it is a very fast actuation method The electrostatic
2
force term (Fd ∝ (d0V−x)2 ) in the governing equation of motion has square of applied voltage. That will
create a position dependent forcing term with frequency twice of applied voltage frequency. That term
will modulate effective stiffness of resonator. If applied voltage frequency is near to natural frequency than
very naturally it can create parametric resonance [4].
Disadvantages: That it is inversely proportional to the square of gap between electrodes. Main
disadvantage is the nonlinearity in actuation and detection (Fd ∝ (d0 − x)−2 ). That limits the controlled
travel range. After some particular displacement or due to large DC voltage the resonator collapse on
the other electrode or short circuit happens which is desirable for switches but not for resonators. That
is called pull-in. That puts a limit on the maximum displacement of the resonator. Electrostatic force
is directly proportional to the permittivity. Air gap decreases the electrostatic force. In such case larger
voltage is required.

2.2 Piezoelectric excitation

Piezoelectric material has coupling in between mechanical and electrical energy. This coupling is utilized
in sensors and actuators broadly. Expansion and contraction of the piezoelectric film on applying electrical
field in particular direction is used as actuation for various types of micro resonators, like cantilever beam,
clamped-clamped beam [5], plates, membranes [6]. The force developed or the displacement depends on
which dimension of the film, the electric field is applied. 31 mode is applied for the flexural vibrations. The
various directions and method to excite a cantilever beam is shown below. Here Z(3) defines the direction
of thickness [7]. Stress-strain relation for piezoelectric film is shown below. It shows electromechanical
coupling between voltage applied across thickness and induced axial stress. σ1 = cE 11 S1 − e31 E3
Here, a thin piezoelectric film is shown deposited (generally ZnO, AlN) on the cantilever beam. Due to
the bonding between the base material and piezoelectric film, the applied electrical field across thickness
applies external surface force on the cantilever beam. The surface force (being applied at an offset from
neutral axis) results in to an applied moment and also as stress in 1-1 directions. Alternating electrical
field applies alternating moment and axial stress on the beam and so, the cantilever beam vibrates.

4
 Figure 3: cantilever beam excited by piezoelectric film

Advantages: There is not any electrode pulling down as in electrostatic excitation. So, there is no
possibility of pull in. The gap in between the resonating structure and base structure can be increased.
That decreases the squeeze film damping.
Disadvantages: As the frequency of excitation increases the intrinsic energy losses increases. That
creates loss in quality factor. The interface between the piezoelectric film and beam material is also an
bigger source of damping [7].

2.3 Electromagnetic excitation

Electromagnetic and magnetic transductions have been broadly used in the macro size devices. It also
has been investigated to use in micro size devices. It requires inductive components to generate flux.
Magnetic materials need to be deposited. Any current carrying conductor in magnetic field can experience
the Lorentz force [4]. Advantage is that the excitation can produce large amount of force, moment,
displacements and it needs low value of voltage in comparison to other excitation techniques. Drawbacks
are the large power requirements, complex components to fabricate like coil and limitations of materials.

2.4 Parametric excitation

At the micro scale, damping values reduce. So, the resonant excitation becomes effective. Applying
the exciting forces in the zone of fundamental natural frequency, drives the system at high amplitudes.
Primary resonance has been fundamental to develop all types of resonators. Here the excitation appears as
an inhomogeneous term in the governing equation of motion. If a system parameter is varied harmonically
in certain frequency than energy can be induced into system via modulation. That is called parametric
excitation. In parametric resonance the stiffness is modulated in such a way, so that the energy transfer
to the system is much more in comparison to the constant parameter resonance. Here, excitation forces
appears as time varying coefficients not as inhomogeneous term as per in direct excitation. Field of
parametric resonance has been studied in various applications that can include stability of ships, the
forced motion of a swing. Parametric excitation is comparatively a new excitation technique in MEMS. It
is able to give larger displacements and it is being widely used in micro and nano resonators. At micro
scale, parametric resonance to get large amplitude resonance have been checked out [21, 22]. Later on it
has been used for applications like mass sensing [23], signal filtering [24], gyroscopes.
In the oscillating system, if any one of the parameter (like mass or stiffness in mechanical system or
capacitor, inductance in electrical circuit) is modulated than system response will get changed. As per the
harmonic variation of coefficients, the effective stiffness increases (hardness) or decreases (softness) and
the mass is get pumped parametrically. When resonance occurs, growth in amplitude of the oscillation
is proportional to current system amplitude whereas in parametric resonance, the modulation frequency
is chosen in such a way so that the amplitude growth will be proportional to the supplied energy to
the system means the growth will be proportional to the square of amplitude [25]. Loss in energy via
dissipation, restricts the growth of amplitude. Supplied energy should be higher than dissipated energy
for amplitude growth. Parametric resonance results in quick growth. After it is activated, the vibration
amplitude growth is not limited by linear damping. It gets saturated only due to the nonlinearities at

5
high amplitudes. At macroscale, damping losses are very high, so it needs very high modulation forces
for parametric resonance to get activated. At the microscales, damping values reduces and modulation
forces are not so high. Many such excitation techniques are available as discussed above to come out of
damping threshold. Many of the details and application of parametric resonance has been taken from a
review paper the dynamics of MEMS [26].

Figure 4: Effect of threshold on parametric excitation, [27]

2.4.1 Parametric excitation using various methods

At macro scale, harmonically changing the stiffness of mechanical structure requires a large mechanical
force and such technique is not readily available as like excitation techniques in micro scale. Piezoelectric
and capacitive transduction are very well established methods. Their applications have been realized in
parametric excitation at micro/nano scale. In MEMS/NEMS resonators, using the techniques, damping
threshold can be overcome very easily which is very difficult at macro scale.
Piezoelectricaly excited parametric resonance
As shown in the figure (cantilever beam with piezoelectric film), when the voltage is applied on the
piezoelectric film in addition to moment axial force also will be acting. Moment will be drive the beam in
the same frequency of voltage. The axial force will change the stiffness of the portion of beam on which
piezoelectric film is deposited in the same frequency but that will not create parametric resonance. If
the beam is in clamped-clamped condition [5, 29], than the voltage in piezoelectric film will induce axial
force throughout the beam. For such arrangement, if the voltage is applied with frequency double of the
resonance frequency than the parametric resonance can be excited. That will be explained in the further
section.
To model the dynamics of clamped-clamped beam, the change in length of the neutral fiber has also
need to be considered. It will get stretched with the deflection and that will induce axial tensile force
in proportion to the deflection. In addition to the bending stiffness, the stretching of midplane increases
beam stiffness which bounds the amplitude to go very high.
Parametric excitation using electrostatic and electromagnetic excitation Electrostatic forcing
is proportional to the square of voltage. That results into a term which modulates the stiffness term with
double of the excitation frequency which creates parametric resonance [30]. Parametric amplifications
has also been realized by providing the special arrangement for harmonically varying axial force that can
induce the unstable regime of parametric resonance [31]. Inducing fringing field, electrostatic forcing can
be produced which can excite parametric resonance. Lorentz forces can be generated throughout the
current carrying loop in the longitudinal direction which is the requirement for parametric resonance. Via
embedding such a loop on the micro/nano resonator body, maintaining the proper orientation with the
applied magnetic field parametric excitation can be generated [32]. On a clamped-clamped nano beam,
using magnetomotive forcing, parametric resonance was demonstrated at very high frequency [33].

6
2.4.2 Applications
Parametric resonance has been very attractive in the field of MEMS resonators because of large amplitude
and the sharp stability transition boundary. Resonance frequency and stability boundary are very sensi-
tive for vibrating mass. Absorption of some mass particle on the resonator surface changes the effective
mass and so the resonance behavior. Measurement of the quantitative behavioral change can give the
absorbed mass value [23]. Parametric amplification have been applied on array of micro cantilevers using
piezoelectric film at base for mass sensing [34]. In the presence of noise, the detection sensitivity decrease.
Parametric resonance provides comparatively larger signal, which improves sensitivity [35]. For gyroscopic
sensors, parametric resonance have been applied for primary excitation and then the rotation is sensed via
sensing the effect of coriolis acceleration. For filtering applications, parametric resonance has been used
via the combination of two resonators which creates a bandpass for filtering the signals of unnecessary
frequencies. Comb Drive structure has been realized, for which the nonlinearity can be tuned by varying
voltages. The summation of the two signal will give the filtered signal [24]. In energy harvesting using
parametric resonance, 6 to 8 times of energy harvesting has been recorded in comparison to the direct
excitation Large signal/noise ratio sensors, in torsional microresonators [36], optically excited microme-
chanical oscillators, micro gyroscopes, MEMS diaphragms, micromechanical mixers.

Some of the works in parametric resonance

Prakash et. al Parametric resonance was excited by supplying signal (using feed-
[27] back circuit) proportional to cantilever’s displacement. Varying
feedback gain can various regimes of parametric resonance can be
accessed. Mass sensing was demonstrated
Mahboob et al. demonstration of parametric resonance for the storing and flipping
[5] of bit using the logic of parametric resonance in micro resonator
Mahboob et al. Effect of phase difference and parametric modulation on gain (ra-
[37] tion of amplitude with parametric pump and without parametric
pump) and quality factor was investigated experimentally
Thomas et Theoretical and experimental investigation of parametric excitation
al [29] was carried out; effect of phase difference in parametric and direct
excitation was investigated
Lazarus et al. GEOM was developed using the finite element formulation and nu-
[38] merically simulated. Solution of nonlinear differential and its sta-
bility was checked via simulation
Karabalin et al Parametric excitation in vacuum and ambient pressure conditions
[39] was carried out using piezoelectrically excited clamped-clamped
beam model. 53.3 MHz resonance frequency was achieved.
[33] Using magnetomotive excitations, Lorentz forces were induced in
the resonator and very high frequency excitation, up to 130 MHz
Azizi et al [40] Mass detection was investigated theoretically using a model with
beam sandwiched between two piezoelectric layer
Caruntu et al. developed reduced order for parametric resonance and plotted fre-
[41] quency response with 5 terms reduced ordered modeling. conver-
gence was shown by increasing the terms in ROM.

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3 Energy dissipation in resonators
The actuation and sensing performance of MEMS resonators, their design is influenced by energy dissipa-
tion or damping. In resonant sensors or band pass filters, high quality factor or low damping is essential.
High quality factor results into low readout errors, lower power requirements, and higher sensitivity of the
system. To find out the quality factor, all the damping losses need to be summed over than total quality
factor can be found. So, total quality factor will be the less than the lowest individual quality factor [4].
Thats why finding out the major dominating damping source is very important. The effect of pressure on
the damping, has been studied [8]. and by many others.

Figure 5: variation of quality factor with pressure, [8]

Figure 5 explains variation of the energy dissipation varies with pressure [4,8]. Quantitatively it is not
accurate but qualitatively it can explain various regimes.

1. In the first regime, where damping is independent of the surrounding pressure, energy dissipation
depends upon the material properties. Thermodynamics coefficient of the material is important
parameter for that.

2. For the regime of molecular damping, energy dissipation is highly sensitive to the pressure. Here,
pressure is low enough for the collision of air molecules. Air molecules creates impact on the resonator.
Such dynamical impulses causes damping. Surrounding cannot be considered continuum.

3. In the third regime, surrounding can be considered continuum and damping will be decided by the
viscosity of the medium. As viscosity is independent of pressure, pressure has no effect on damping.
Here the damping is due to drag force of the medium on the resonator.

4. For particular value of beam width (depends on pressure), there is parting line in between 2nd and
3rd regimes of damping. As per shown in the figure, energy dissipation is dominated by the SQFD in
case of parallel plate capacitor, specially when the gap between the stationary and moving electrode
is of width of resonator. It very sensitive to the spacing of resonator from stationary surface.

5. pandey et al [9], In relation with pressure, quality factor follows power law Q = p−r . Here, the r
varies with different flow regimes.

6. In the case of very small characteristics flow length (comparable to the molecular mean free path),
Molecular damping takes place. Knudsen number (the ratio of the molecular mean free path and
the characteristic length of the flow h) can define the type of flow. if Kn > 10 than molecular flow
and Kn ¡ 0.01 than it is continuum flow. pandey et al [9].

Mainly damping can be classified two fields.

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 Figure 6: effect of squeeze film number on stiffness and damping due to squeeze film effect, [4]

1. Extrinsic or external damping: It contains Viscous damping (drag force, squeeze film damping(SQFD)),
anchor losses and circuit losses. These are related with the fluid medium of the resonator and op-
erating conditions like temperature, pressure. As the pressure increase the viscosity of fluid because
important. In the C regime, the resonator drags molecules with itself. That increases effective mass
which creates shift of the natural frequency. SQFD mainly depends on the geometry of the resonator.
Sometimes surrounding medium cant be avoided. Like, the resonator is used for sensing purpose.
Examples include gas sensing, mass detection, recognition of bimolecular, etc.

2. Intrinsic or internal damping: Mainly thermoelastic damping. It is related with the material property.
operating at very low pressure in the range of 10 Pa or less, its consideration becomes important.

Some prominent energy dissipation mechanism are mentioned below.

3.1 Squeeze film damping

When the medium fluid is trapped between substrate and resonating beam or plate than due to the
oscillating movement of the resonator, squeezing of the fluid happens and that applies viscous force (In
micro world air is considered viscous) on the surface of resonator. Here the damping mechanism for
structures that move perpendicular to their surfaces is mainly because of squeezing of fluid. That is
a squeeze film damping. In case of resonating microstructures like microplates and beams, to increase
the actuation efficiency and to improve detection, the gap between stationary and moving electrode is
minimized and area is maximized. This creates trapping of fluid in between two surfaces and so SQFD.
Some resonator parts move in proximity of each other like comb drive. Here, also SQFD dominates. In the
resonators with parallel plate capacitors, the SQFD is the prominent to decide resonator performance. To
drive the fluid out from the the trapped region, many times a hole is created via micromachining. That
can decrease the damping a lot.
Various modelling approaches for SQFD have been reported in the literature. These approaches are
related to second and third regime. Li et al [10] did theoretical analysis on energy dissipation for resonant
microbeam in vacuum. For the plates of larger width, perforated structures are very useful that decreases
the squeezing mechanism. Analytical and numerical simulation has been found in the literature. Taking
modified reynolds equation for the gas flow through holes, and taking effective width, Bao et al analysed
for squeeze film air damping in perforated plate structures. Via taking the effective damping area, damping
effect on rectangular perforated plate was found out. Pandey et al [11] found out effect of flexural modes
on SQUID with consideration of 2d cantilever elastic plate.
Trapping fluid can show compressible or incompressible behavior, which depends on several parameters
like surrounding pressure, gap distance, plate area, vibration frequency etc. Stiffness due to trapping of
fluid and damping due to viscous flow also varies with these parameters. Effect of all the parameters have
been included in squeeze number, σsq = 12Aωµ Pa d2
. Squeeze number resembles compressibility of gas. Low
value indicates gas compression is less. Gas is able to escape without compression between plates and
high value means squeezing with compression. Variation of stiffness and damping with squeeze number is
shown in figure 6.

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3.1.1 Squeeze film damping with effect of gas rarefaction
When the mean free path of gas particles comes in the range of feature size of the microstructure, than it
is called as rarefied gas flow. For the knudsen number Kn < 0.01, the flow is considered continuum and
Viscous fluid flow rules are applicable, but as the knudsen number increases, the intermolecular distance
increases and the interaction decreases and the damping is mainly due to the interactions of molecules
with surface. The reflection of gas molecules from the surface decreases kinetic energy of resonator.
First of all, christian [12] developed model with suggestion of some velocity distribution to calculate
damping. Considering the density of molecules very low in the region between plates, he neglected the
interaction between molecules and found the damping force only by momentum transfer. Bao et al [13],
proposed a model to estimate the squeeze film damping in low vacuum using the method of energy transfer
between resonator and molecules due to the interaction with resonating structure. Cercignani et al [14]
developed the model for rarefied gas damping for two parallel plates based on linearized Boltzmann equation
which had been used for molecular to continuous regime for a long time. Timo Veijola et al [15] modeled
gas rarefaction effect for effective viscosity with pressure dependence via equivalent circuit model. He
investigated influence of surface quality on the drag forces. Effect of surface is there because on perfectly
elastic smooth surface gas molecule cant apply any drag force. Timo Veijola et al, [16] developed damping
models for first order and higher order slip flow approximations and numerically investigated effect of
frequency and pressure on damping factor.
To tackle the problem of rarefied gas damping, basically two approaches are taken in to consideration,
considering effective viscosity coefficient and free molecular model.

1. In the first approach, solutions of squeeze film damping (for lower knudsen number) are valid but the
effective viscosity is taken into consideration which is dependent on pressure. At very low pressures,
molecules don’t create a stationary film on interacting boundaries, so the slip will be taken in to
considered at the fluid-structure interaction boundaries with velocity described below.
2−σv du
uwall = σv
λ dy
Here,σv is tangential momentum accommodation coefficient (depends on gas and resonator material
properties and surface roughness) and λ is mean free path of molecules. Many formulas and deriva-
tions have been proposed with the application of various theories for the slip velocity at interface [17].
Slip flow condition is manytimes included in effective viscosity assumption.
µ
µef f = (1+f (Kn)

where various empirical formullas have been found for f(kn).

2. If the gas pressure is very low, than the effective viscosity concept for gas rarefaction effect cannot
be considered valid. For very high knudsen number flow Kn >> 1, the mean free path of molecules
becomes higher than the gap distace between two plates. The collisons inbetween molecules become
very less. So, that free molecular model has to be considered. At atmospheric condition, the mean
free path of gas molecules is in the range of 0.0001 mm. When there is vacuum with a pressure of 1
Pa, the mean free path increases to about 1 cm, which is much larger than the typical dimension of
microstructures. In this case, the use of the free molecular model is necessary

3.2 Thermoelastic damping

Coupling of thermal field and elastic strain field is present in almost all the material with high or less value
of thermoelastic coefficient. For the resonators, in very low pressure conditions (around 10 Pa or less),
internal damping is the dominating mechanism of damping and it decides highest possible quality factor
of the resonators. The magnitude of damping depends on the thermodynamic properties of the material
which is the function of temperature. At the room temperature, in the MEMS resonators TED is very
prominent factor. Even decreasing the size of structure, going to nano beam or plate, the quality factor
can not be increased beyond the limit. Decreasing the size, internal damping increases [18]. When the

10
microstructure is vibrating, in the presence of temperature gradient, the strain field will have some phase
difference with the stress. Phase difference in stress and strain is the cause of material damping.
To understand the mechanism of TED, loading on some mechanical structure can be considered. The
applied force on the mechanical structure results stress-strain in the structure. When the loading is
removed, structure will start vibrating and due to the various external dampings, it will come to rest
where the potential energy is minimum. Even if the external damping is not there then also it can loose the
energy via the internal damping. Due to the thermodynamic-elastic coupling, the strain energy decreases
and thermal energy increases via the increase in temperature. The coefficient of thermal expansion is
the measure of coupling between temperature field and strain field. As per the value of the coefficient,
temperature gradient gets established following strain field. The stretching region of material gets cooler
and compressive region gets hotter. In the negative direction of temperature gradient, the heat flow gets
produced. To the environment medium and supports, heat flow passes and energy dissipation will happen.
Via this mechanism, whole strain energy can be dissipated and structure can come to rest. As the size of
the resonator decreases, surface/volume increases. That results in to higher temperature gradient. As a
result of that, the energy dissipation increases [suns paper]. So, the size effect on TED can be understood.
Process can be represented mathematically via the following governing equation of motion [18].
Effect of various parameters on TED: If the relaxation rate (1/τ ) is very low or high than the frequency
of vibration than the TED will be negligible, but when it is in the range of circular frequency of vibration,
TED has considerable value. If the relaxation rate is function of vibrating frequency than it is a very
complex condition. Surface condition influences the temperature field and so the TED. Adiabatic and
isothermal conditions are the two ideal conditions. Perfect vacuum condition (ignoring radiation losses),
can be considered as adiabatic surface. Here, the temperature gradient normal to the surface is taken
zero. If the resonator is in dense medium, than the temperature over the whole surface can be considered
constant.
Benardinalli et al [19] did separate and combined analysis for the effect of TED, SQFD and mechanical
drags and presented quantitative result of damping with comparison to each other types. TED is influential
in very low pressure environments, in which adiabatic surface condition is applicable. For isothermal surface
condition, sharma [20] worked on the effect of thickness on thermoelastic damping and frequency shifts.
Material length scale parameter is the property of material. Modified coupled stress theory considers length
scale parameter. It has been very widely used in modeling thermoelastic damping (MCT). It shows that
As the size decreases, the bending stiffness increases.

11
4 Mass sensing using MEMS resonator
M/NEMS resonators are being increasingly applied for detecting very low value of masses with applica-
tion in biological and chemical detection. Various fabrication techniques, reduced dimensions, different
actuation methods are being available. These sensors have ability to detect up to the level of pico gram
or detection of becteria. High resonance frequency and higher quality factor are main reason to better
performance. Resonance frequency has direct relation with minimum mass detection. ∆ff0
≈ − 12 ∆m
m
Change
in the frequency due to mass loading has been famous for detection. Absorption of analyte on the surface
of microstructure changes the surface stress. That also induces shift in frequency.

Figure 7: Vapor sensing using feedback signal, [27]

Mass sensor with piezoelectric excitation In figure 7, effect of vapor deposition on frequency
response is shown. Piezoelectric MEM resonators is the most widely used devices for mass sensing mainly
with cantilever structure. They have been applied for detecting explosives, antigens, organic gas, toxic
ions, immunosensor development and many biological applications. It has been used in liquid environ-
ments also. Special types of coatings are applied to attract analyte mass. Array of sensors on a single chip
with automated sensing has been demonstrated allowing simultaneous, sensitive measurements. Piezoelec-
tric method provides integrated sensing using which various information can be extracted like frequency,
electrical impedance.
There are four modes to resonate microstructure, [2],

• thickness extensional(TE) mode: Through d33 piezoelectric coefficient, longitudinal mode is excited
in Vertically grown cylinder. Piezoelectric film is sandwiched between top and bottom electrode.
Movement is perpendicular to the film.

• thickness shear(TS) mode: Top and bottom layer move parallel to each other but in opposite direc-
tion. Using lateral electric field shear inside piezoelectric film is generated.

• lateral extensional(LE) mode: Applying voltage across thickness, using d31 coupling, in lateral direc-
tion stress waves are produced.

• flexural mode is the focus in present work. It can be excited in plates, membranes, cantilevers,
clamped-clamped beams by the bonding of piezoelectric layer. Alternating Electric film is applied
across the thickness that creates oscillating strain in laminar direction. As the piezoelectric film is
at an offset with neutral axis. So, it creates bending of the structure.

12
Some of the mass sensing using flexural mode has been listed below. All of them are having cantilever
structure. Absorption on the coating changes stress on the surface. In addition to mass loading, change of
surface stress also affects shift of resonance frequency. In case of vapor sensing, more vapor gets deposited
on the coating with time. So, shifting of resonance frequency with time.

Mass sensing works using piezoelectric actuation

Thundat et al. Surface stresses was affected by absorption of vapor. resonance frequency was
[3] noticed decreasing with exposure time.
Lee et al. [42] As a part of Lab on a chip, PZT actuated, microcantilever bio sensor was
fabricated and tested for DNA adhesion on the gold surface
Lee et al. [43] change in resonance frequency has been noticed in nanocantilever due to com-
bination of mass loading and compression arising from protein absorption
Kwon et al. [44] Inside blood like environment, biomolecular interactions of protein was inves-
tigated using a cantilever driven by thick piezoelectric film
Lu et al. [45] Effect of pressure conditions and beam length on the quality factor was anal-
ysed for a piezoelectrically excited cantilever for mass sensing purpose
Lacour et al. [46] Biological mass detection(inside fluid medium) via bio interface on GaAs mem-
brane

parametric excitation for mass sensing

Prakash et. al Parametric resonance was excited by supplying signal (using feedback circuit)
[27] proportional to cantilever’s displacement. Varying feedback gain can various
regimes of parametric resonance can be accessed. Mass sensing was demon-
strated with a cantilever system. Parametric resonance was actuated using
feedback signal method
Azizi et al. [40] Shifting of resonance is shown as the resonator gets pushed in to Arnold tongue
regime. Considered model is c-c model, sandwiched between piezoelectric layer
Yei et al. [35] Experimental investigation of mass sensing was done in the presense of noise.
Increase in the absorption of vapor was noticed with time.
Zhang et al. [23] Parametric resonance was applied in comb-drive resonator for mass sensing

Multi analyte sensing using MEMS resonators Mass sensing has also been demonstrated with
a group of 15 coupled cantilevers, [47]. System is driven in particular mode. On detection of mass, mode
shape immediately changes. Such arrangement is also capable for sensing more than one type of masses.
Mode localization effect with applications on mass detection using coupled system of resonators has been
explained in review [1] with reference on couple of papers. System with four cantilevers connected to a
center proof mass has been developed where sites for mass sensing were located on tip [48]. Experimentally
frequency response was investigated and using lumped mass modeling of proof mass and cantilever system,
analysis was shown for N distinct frequency shift for mass sensing.
According to my knowledge, in all the works related to application of parametric excitation, mass sens-
ing has been worked up on very less times. Mass sensing using cantilever resonator have been demonstrated
a lot, but single resonator which can be used for sensing of 3 to 4 masses at a time, such a works are very
rare.

13
5 Working model and the challenges in modelling
MEMS resonator model considered for research is a clamped-clamped beam made of GaAs/AlGaAs and
piezoelctricaly excited by applying voltage across semiconductor piezoelectric film. By sacrificial etching,
flexural structure is fabricated. Semiconductor film is sandwiched between Au electrodes and 2DES (Two
dimensional electrode system). Piezoelectric excitation is induced via applying voltage between the elec-
trodes and semiconductor film. Various works on the presented model has been described in previous
section. parametric excitation can be applied in two ways as per found in some of the literatures.

1. When the modulation frequency becomes twice the fundamental resonance frequency, and the mod-
ulation amplitude crosses threshold value than without the direct resonance excitation also the beam
can be driven at very high amplitude. That is called degenerate parametric oscillation (DPO) [49].
DPO has been demonstrated by Mahboob et al [5].

2. If the modulation amplitude is less than threshold value, than spontaneous oscillations will not
be there. In such cases, initially resonance is excited by direct excitation and as the modulation
parameter value increases. This is called degenerated parametric amplification.

(a) Top view of the considered model, [5]

(b) Side view

The present model consists application of both kinds applications, DPO and DPA [5]. Initially the
beam is excited at for the fundamental resonance by gate 3. It is at very small amplitude. While the
excitation at w0 is active, parametric pumping at twice the ω0 is applied via gate 1. As it crosses the
threshold, spontaneous oscillation will be excited and then the excitation via gate 3 can be switched off.

14
 Figure 9: effect of pump and phase difference on gain, [37]

Increment in the amplitude of oscillation has been found as a function of parametric pump. When
both, direct excitation and parametric pumping are present, amplification is function of phase difference.
Results shows that for 90 degree phase difference, gain is highest. If the phase difference is 0 or 180 degree,
than actually parametric pumping results in to deamplifications, means gain¡1 [37]. The figure 9c shows
the effect of parametric pump in the device. Parametric amplification of the fundamental mechanical
mode results in both larger gain and high quality factors and both of them are highly desirable. In the
similar way, parametric resonance has been realized using piezoelectric actuation in some other couple of
literatures [29, 39].

Figure 10: Increase in output with increment in parametric pump, [50]

15
5.1 Challenges in modelling work
MEMS is revolutionary technology for sensors and actuators which has brought many opportunities but
at same time many challenges are also there as in fabrication, modelling, packaging. As the whole research
is related to modelling and simultion, some aspects of modelling part are discussed here. Due to the
interdisciplinary nature and very small feature size, MEMS has many challenges in modelling.

1. At micro scale, the excitation technique involves multi-physics, because excitation is done through
the coupling of elastic strain with electric field or thermal field. As in, piezoelectric excitation strain
energy and electrical energy are connected. For electrostatic forcing, applied forces are the function
of voltage. When the magnetic field applied, Lorentz forces are induced to drive the resonators which
is electromagnetic coupling. Sensing is also done via the coupling of fields.

2. To do the sensing and actuation effectively, one need to be aware about the dynamics of resonators
and nonlinearity is an influencing factor for the dynamics of resonators at micro-nano scale. That
affects all the factors which are associated with application of resonator, like frequency response,
stable-unstable zones.

• Most of the excitations are nonlinear in nature, because the induced forces are varying nonlin-
early with applied voltages or forces are the function of displacements [4]. Likewise, electrostatic
forces are in proportion to the square of applied voltage and inversely proportional to the square
of gap between the electrodes. Electrostatic forces creates softening type of nonlinearity In piezo-
electric excitations, as the piezo actuator gets heated due to driving for longer period, softening
nonlinearity gets induced in the driving forces.
• In macro scale mechanical systems, dissipation is considered many times linear but for micro
resonators all the damping forces are nonlinear in nature. For the structures with micrometer
size, damping is not linear viscous damping. Squeeze film damping which occurs between
two parallel plate with very close variable gap is highly nonlinear. In material damping also,
equivalent damping is found to use in the governing equation motion.

3. Nearly all of the materials, being used for MEMS are anisotropic in nature. Generally they are
considered isotropic for analysis. Anisotropic analysis can produce some beneficial insights.

4. Operating conditions is very influencing factor, as the fluid damping very sensitive for pressure
changes and TED(Thermoelastic damping) varies with temperature.

5. Molecular forces like van der waal forces becomes prominent at nano scale and pull in phenomena is
critical criterion in designing electrostatically excited devices.

16
6 Objective and scope of research

Figure 11: Considered model with sites to attract analytes

The considered model is a wide plate type structure with clamped boundary condition at two opposite
sides and other two sides are free. GaAs/AlGaAs is used as structural material. Excitations at various gate
is applied via applying the electric field across the GaAs film at the clamped ends. Main goal of research is
to investigate application of parametric excitation for mass sensing. More than one sites to attract targate
masses will be considered as per shown in figure 11. Objectives of the research work is explained below.

Anisotropy and plate model consideration : MEMS systems are in general made of semi-conductor
material which are anisotropic. Dynamic characteristics for anisotropic material will differ from
isotropic material. GaAs/AlGaAs is a semi-conductor material used. For accurate results, anisotropy
will be considered in modeling. Width of beam is very large in comparison to thickness and nearly
1/3rd of the length. So, the plate model will be considered for investigation of various dynamic
characteristics.

Modelling of piezoelectric actuation : Excitements are supplied by piezoelectrically exciting the GaAs
film sandwiched between electrodes. Piezo actuation is coupled with the flexural bending and ax-
ial force. There are various gates providing direct-parametric excitation and sensing. Piezoelectric
actuation will be modeled as a goal to find the relation of bending and axial force with the applied
voltage.

17
Damping considerations : Working model in consideration has very less gap in comparison to the
width. So, there will be squeeze film damping. It is a most dominating dissipation phenomena and
sensor performance depends a lot on damping coefficient. Theoretical investigation of air damping
will be done at a pressure range of ambient environment to vacuum condition. Gas rarefaction effect
at low pressure range will be investigated. Many times sensing is done in liquid medium, specially
for biomass detection. So, with consideration of liquid film also, sensing will be investigated.

Effect of mass loading on resonant behavior : While plate is resonating parametrically, abruptly
attached mass will change the oscillation amplitude. Frequency may also be changed. Impact of
sudden loading will be investigated as a part of sensing strategy.

Multianalyte sensing : For plate type of structure, when mass gets stuck, exerts force on top surface
of plate. Depending on the point of loading, dynamics of parametric resonance will very. Effect of
mass loading on unsymmetrical positions can be pointed out by the sensing voltage at the gates 2
and 3. Position and weight of mass attached will have effect on the sensing output at gate 2 and
3. Relating gate outputs with weight and position of mass detected is important, that gives direct
information about mass detection.

Sensing via bifurcation tracking : Response of parametric excitations is very sensitive with actuation
force and driving frequency at boundaries of unstability region. Bifurcation jumps are very notable
phenomena depending on various factors, like frequency sweep rate, driving amplitude. Mass de-
tection effect will change the points where jump occurs. Tracking of bifurcation via Up and down
sweeping of frequency, with consideration of mass loading will give information about the weight of
mass detected.

Nomenclature
ceq equivalen
cE
11 young’s modulas for longitudinal direction of laminar
piezoelectric film
e31 electromechanical coupling coefficient of piezoelectric
film
tp thickness of piezoelectric film
Kn knudsen number
N axial force
T absolute temperature
0 absolute permittivity
 relative permittivity
b beam width
 Boltzmann constant
Vdc , Vac bias voltage between the electrodes
f0 fundamental natural frequency
ρ density of beam material
ϕ modal function of beam displacement

18
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