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P I E R P A O L O E S P O S I T O
N A S S I F G H O U S S O U B
Y U J I N G U O
Mathematical Analysis of Partial Differential Equations Modeling Electrostatic MEMS
American Mathematical SocietyCourant Institute of Mathematical Sciences
C O U R A N T 20LECTURE
NOTES
Mathematical Analysis of Partial Differential
Equations Modeling Electrostatic MEMS
Courant Lecture Notes in Mathematics
Executive EditorJalal Shatah
Managing EditorPaul D. Monsour
Assistant Editor Reeva Goldsmith
Copy Editor Will Klump
Pierpaolo EspositoUniversità degli Studi Roma Tre
Nassif Ghoussoub University of British Columbia
Yujin Guo University of Minnesota
20 Mathematical Analysis of Partial Differential Equations Modeling Electrostatic MEMS
Courant Institute of Mathematical SciencesNew York University New York, New York
American Mathematical SocietyProvidence, Rhode Island
http://dx.doi.org/10.1090/cln/020
2000 Mathematics Subject Classification. Primary 35J60, 35B45, 35B35, 35B40, 35P30,74K15, 74F15, 35J20, 58E07, 74M05.
For additional information and updates on this book, visitwww.ams.org/bookpages/cln-20
Library of Congress Cataloging-in-Publication Data
Mathematical analysis of partial differential equations modeling electrostatic MEMS / PierpaoloEsposito, Nassif Ghoussoub, Yujin Guo.
p. cm. — (Courant lecture notes ; 20)Includes bibliographical references and index.ISBN 978-0-8218-4957-6 (alk. paper)1. Microelectromechanical systems—Mathematical models. 2. Mathematical analysis.
I. Ghoussoub, Nassif. II. Guo, Yujin.
TK7875.M385 2010621—dc22
2009045518
Copying and reprinting. Individual readers of this publication, and nonprofit librariesacting for them, are permitted to make fair use of the material, such as to copy a chapter for usein teaching or research. Permission is granted to quote brief passages from this publication inreviews, provided the customary acknowledgment of the source is given.
Republication, systematic copying, or multiple reproduction of any material in this publicationis permitted only under license from the American Mathematical Society. Requests for suchpermission should be addressed to the Acquisitions Department, American Mathematical Society,201 Charles Street, Providence, Rhode Island 02904-2294 USA. Requests can also be made bye-mail to [email protected].
c© 2010 by the authors. All rights reserved.Printed in the United States of America.
©∞ The paper used in this book is acid-free and falls within the guidelinesestablished to ensure permanence and durability.
Visit the AMS home page at http://www.ams.org/
10 9 8 7 6 5 4 3 2 1 15 14 13 12 11 10
Dedication
To Valerio Esposito
To Michelle Ghoussoub
To Chenghui Guo
Contents
Preface xi
Chapter 1. Introduction 11.1. Electrostatic Actuations and Nonlinear PDEs 11.2. Derivation of the Model for Homogeneous Systems 41.3. MEMS Models with Variable Permittivity Profiles 61.4. Bifurcation Diagrams and Numerical Evidence 111.5. Brief Outline 24
Part 1. Second-Order Equations Modeling Stationary MEMS 31
Chapter 2. Estimates for the Pull-In Voltage 332.1. Existence of the Pull-In Voltage 332.2. Lower Estimates for the Pull-In Voltage 392.3. Upper Bounds for the Pull-In Voltage 432.4. Numerics for the Pull-In Voltage 46Further Comments 50
Chapter 3. The Branch of Stable Solutions 513.1. Spectral Properties of Minimal Solutions 513.2. Energy Estimates and Regularity of Solutions 553.3. Linear Instability and Compactness 623.4. Effect of an Advection on the Minimal Branch 69Further Comments 74
Chapter 4. Estimates for the Pull-In Distance 774.1. Lower Estimates on the Pull-In Distance in General Domains 774.2. Upper Estimate for the Pull-In Distance in General Domains 804.3. Upper Bounds for the Pull-In Distance in the Radial Case 824.4. Effect of Power-Law Profiles on Pull-In Distances 854.5. Asymptotic Behavior of Stable Solutions near the Pull-In Voltage 90Further Comments 92
Chapter 5. The First Branch of Unstable Solutions 935.1. Existence of Nonminimal Solutions 945.2. Blowup Analysis for Noncompact Sequences of Solutions 985.3. Compactness along the First Branch of Unstable Solutions 1035.4. Second Bifurcation Point 110Further Comments 112
vii
viii CONTENTS
Chapter 6. Description of the Global Set of Solutions 1156.1. Compactness along the Unstable Branches 1166.2. Quenching Branch of Solutions in General Domains 1256.3. Uniqueness of Solutions for Small Voltage in Star-Shaped Domains 1296.4. One-Dimensional Problem 137Further Comments 139
Chapter 7. Power-Law Profiles on Symmetric Domains 1417.1. A One-Dimensional Sobolev Inequality 1417.2. Monotonicity Formula and Applications 1457.3. Compactness of Higher Branches of Radial Solutions 1527.4. Two-Dimensional MEMS on Symmetric Domains 162Further Comments 172
Part 2. Parabolic Equations Modeling MEMS Dynamic Deflections 175
Chapter 8. Different Modes of Dynamic Deflection 1778.1. Global Convergence versus Quenching 1788.2. Quenching Points and the Zero Set of the Profile 1878.3. The Quenching Set on Convex Domains 192Further Comments 198
Chapter 9. Estimates on Quenching Times 1999.1. Comparison Results for Quenching Times 1999.2. General Asymptotic Estimates for Quenching Time 2019.3. Upper Estimates for Quenching Times for all � > �� 2039.4. Quenching Time Estimates in Low Dimension 210Further Comments 215
Chapter 10. Refined Profile of Solutions at Quenching Time 21710.1. Integral and Gradient Estimates for Quenching Solutions 21710.2. Refined Quenching Profile 22110.3. Refined Quenching Profiles in Dimension N D 1 22910.4. Refined Quenching Profiles in the Radially Symmetric Case 23310.5. More on the Location of Quenching Points 240Further Comments 242
Part 3. Fourth-Order Equations Modeling Nonelastic MEMS 243
Chapter 11. A Fourth-Order Model with a Clamped Boundaryon a Ball 245
11.1. Boggio’s Principle 24511.2. Pull-In Voltage 24911.3. Stability of the Minimal Branch of Solutions 25511.4. Regularity of the Extremal Solution for 1 � N � 8 26011.5. The Extremal Solution Is Singular for N � 9 263Further Comments 268
CONTENTS ix
Chapter 12. A Fourth-Order Model with a Pinned Boundaryon Convex Domains 269
12.1. The Minimal Solutions up to the Pull-In Voltage 26912.2. Stability of Minimal Solutions 27412.3. Regularity of the Extremal Solution on General Domain for N � 4 27912.4. Uniform Energy Bounds for Solutions in Convex Domains 28012.5. The Solution Set on Convex Domains in R2 28312.6. Regularity of the Extremal Solution on Balls for N � 8 28912.7. Singularity of the Extremal Solution on Balls for N � 9 291Further Comments 296
Appendix A. Hardy-Rellich Inequalities 299A.1. Improved Hardy-Rellich Inequalities in H 2
0 .B/ 299A.2. Improved Hardy-Rellich Inequalities in H 2.B/\H 1
0 .B/ 302
Bibliography 309
Index 317
Preface
Microelectromechanical systems (MEMS) and nanoelectromechanical systems(NEMS), which combine electronics with miniature-size mechanical devices, areessential components of the modern technology that is currently driving telecom-munications, commercial systems, biomedical engineering, and space exploration.These are only a few of the vast number of applications that lie at the roots of mi-crosystem technology. Over the years, and in order to provide accurate, controlled,and stable locomotion for such microdevices, researchers have proposed a varietyof modes, based upon thermal, biological, or electrostatic forces. It is the math-ematical model describing the method of “electrostatic actuation” that we shalladdress in this monograph. The process is based on an electrostatically controlledtunable capacitor that is widely used in microresonators, optical microswitches,chemical sensors, micromirrors, accelerometers for airbag development of auto-mobiles, micropumps for inkjet printer heads, microvalves, shuffle motors, micro-and nanotweezers, among many other devices.
There now exist many variations in electrostatic actuation technology. Theyare all, however, based on a simple physical principle relating
� the elastic deformation which—by elementary plate theory—depends onthe Laplacian of the deformation variable (to account for stretching), andon its bi-Laplacian (for bending),� the electrostatic force which—by the classical Coulomb law—is propor-
tional to the inverse square of the distance between the two charged plates,itself a function of the deformation variable.
Unfortunately, models for electrostatically actuated microplates that accountfor moderately large deflections and which do not assume that each material pointmoves vertically over its reference position are quite complicated and not yet amen-able to rigorous mathematical analysis. In this book we deal with much simplifiedmodels that still lead to very interesting second- and fourth-order nonlinear ellipticequations (in the stationary case) and to nonlinear parabolic equations (in the dy-namic case). The nonlinearity is of an inverse square type, which until recently hasnot received much attention as a mathematical problem. It was therefore rewardingto see, besides the above practical considerations, that the model is actually a veryrich source of interesting mathematical phenomena. Numerics and formal asymp-totic analysis give lots of information and point to many conjectures, but even inthe simplest idealized versions of electrostatic MEMS, one essentially needs thefull available arsenal of modern nonlinear analysis and PDE techniques “to do” therequired mathematics. Indeed, while nonlinear eigenvalue problems—where the
xi
xii PREFACE
simplified MEMS models seem to fit—are a well-developed field of PDEs, the typeof nonlinearity that appears here helps to shed a new light on the class of singularsupercritical problems and their specific challenges. Furthermore, these fourth-order models for MEMS are also amplifying the need for a better and deeper un-derstanding of equations involving the biharmonic Laplacian, which remain quiteelusive in spite of recent advances. The dynamic case presents its own challenges,which have only been tackled in the parabolic setting so far, while its second-orderwavelike counterpart is still completely open to mathematical inquiry.
It is therefore our objective to present in this text a rigorous mathematicalanalysis for various phenomena related to some of the simplest proposed mod-els, many of which were observed either numerically or via ODE methods in theradially symmetric case. Our goal is to try to contribute to the practical needs ofengineers and manufacturers, while satisfying at the same time the intellectual cu-riosity and the quest for rigor of research mathematicians. A case in point are theestimates on “pull-in voltages” and “pull-in distances” that depend on the size andgeometry of the domain and on the permittivity profile of the membrane, whichhave obvious practical considerations. On the other hand, pull-in voltage estimatesthat also depend on the dimension of the ambient space may only be of interestto mathematicians whenever one goes beyond two-dimensional space. A similardependence occurs for the refined properties of steady states—such as regularity,stability, uniqueness, multiplicity, energy estimates, and comparison results. Thesame complexity carries to the dynamic case where issues related to the “quench-ing profile”—in finite or infinite time—or to global convergence towards a stablesteady state, present many interesting mathematical challenges.
From the pedagogical point of view, this monograph is definitely meant forthose already familiar with the modern theory of partial differential equations. Itmay, however, offer an unusual opportunity as an advanced graduate text: a moti-vational introduction to the most recent methods of nonlinear analysis and PDEsthrough the analysis of a set of equations that have enormous practical signifi-cance. Indeed, as mentioned above, the analysis of this most simple idealizedversion of electrostatic MEMS seems to require the “kitchen sink” of modern toolsin PDEs: the notions of weak, sub- and supersolutions, bifurcation diagrams andtheir connection to Morse theory, energy estimates via Sobolev spaces and Moser’siteration, compactness via blowup phenomena and nonlinear Liouville theorems,uniqueness via monotonicity formulae and Pohozaev identities, as well as profileanalysis via maximum principles and moving plane methods. None of these re-quired tools is detailed here (an impossible task), but our hope is that their efficacyis displayed enough so that this book can serve as a motivational reference forlearning and practicing these powerful tools of mathematical analysis.
Most of the results in this volume have been obtained in close collaborationbetween Nassif Ghoussoub, his graduate students Yujin Guo, Craig Cowan, andAmir Moradifam, and his former postdoctoral fellow Pierpaolo Esposito. We areindebted to Xavier Cabré, Daniele Castorina, Daniele Cassani, Joao Marcos Do O,
PREFACE xiii
Changfeng Gui, Zongming Guo, Stephen Gustafson, Abbas Moameni, Peter Po-lacik, Berardino Sciunzi, and Tai-Peng Tsai for their tremendous help in numerousdiscussions on the subject over the last five years.
We are particularly thankful to Michael J. Ward, who introduced us to thisimportant model and for sharing with us his computations and simulations, to LouisNirenberg who led us (as usual) in the right direction by pointing out the pioneeringwork of Joseph and Lundgren, and to Juncheng Wei for his extreme generosityin sharing with us his ideas and his files. We are also grateful to Jalal Shatah,Paul Monsour, and the Courant Institute for the support and for facilitating thepublication of this volume.
Last but not least, we are enormously grateful to our respective spouses Clau-dia, Louise, and Pengxia for their constant support, but also to our children Valerio,Mireille, Michelle, Joseph, and Chenghui for being so forgiving during the devel-opment of this project.
P. EspositoN. Ghoussoub
Y. GuoJune 2009
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Index
Admissible pair, 271Ambient space, 24, 51Applied voltage, 24Aspect ratio, 3, 7, 9Asymptotic behavior, 13, 28, 90, 235, 269
Backward heat equation, 182Badly singular, 26Bending energy, 3, 5Bessel function, 47Bifurcation
diagram, 11–13, 17, 24, 296point, 25, 93, 110, 139, 161theory, 92
Biharmonic operator, 2, 253, 256, 275Blowup analysis, 98, 113, 115Boggio’s principle, 246, 257
Calculus of variations, 270Capacitance, 3, 4Cauchy-Schwarz inequality, 205Characteristic function, 247Charged liquid drops, 10Chemical catalyst kinetics, 173Clamped boundary, 10, 23, 28, 245Classical iterative scheme, 251, 273COLSYS, 47, 49Comparison principle, 209Concavity method, 204Conducting film, 1Coulomb law, 4Crank-Nicholson scheme, 87, 187, 196Critical
dimension, 23, 24, 51, 74, 75, 92point, 95, 236threshold, 15
Damping intensity, 3Dielectric permittivity, 6, 240Dimensionless analysis, 8Dirichlet boundary, 28
Eigenfunction expansion, 179Electrostatic
actuation, 1force, 1, 4, 5MEMS, 1potential, 8
Elliptic regularity theory, 37, 68, 251, 273Energy quenching rate, 27Equilibrium
point, 14state, 10
Euler equation, 160Euler-Lagrange equation, 5Evolution equation, 2Exponential nonlinearity, 75External viscous damping, 3Extremal function, 54Extremal solution, 13, 24
Fatou’s lemma, 37Formal analysis, 22Fourth-order equation, 10Fredholm operator, 128Free space, 3, 7
Gelfand problem, 74, 92Global convergence, 177, 181Governing equation, 9Green’s function, 38, 39, 246Green’s theorem, 207
Hardy inequality, 70Harnack inequality, 68, 189Heat equation, 193Heat semigroup, 183Hodge decomposition, 70Hopf’s lemma, 101, 103, 247
Implicit function theorem, 34, 62, 112, 272,279
Improved Hardy-Rellich inequality, 299
317
318 INDEX
Initialcondition, 3, 20data, 178, 198time, 9
Initial value problem, 13, 201, 236Isoperimetric inequality, 39, 200
Kernel, 53Krein-Rutman theory, 70
Laplace-Beltrami operator, 303Laplacian, 8, 35Laplacian resolvent, 127Lebesgue’s theorem, 144Leray-Schauder degree, 127Lyapunov functional, 180Lyapunov-Schmidt reduction, 128
Maple, 82, 84Mass density, 3, 5MEMS, 1Method of dominant balance, 19, 22Microplate, 1, 2Microresonator, 3Microsystem, 1Microvalve, 27, 199Minimal solution, 17, 23, 24, 51Moreau decomposition, 248, 256, 277Morse index, 25, 115, 126, 127Moser-Trudinger inequality, 57Moser-type iteration scheme, 63Mountain pass theorem, 95, 97, 284Moving plane method, 192, 198, 281
Navier boundary, 28, 269Negative exponent, 10NEMS, 1Newton’s second law, 5Newtonian potential, 81Non-self-adjoint eigenvalue problem, 75Nonlocal equation, 4Nonoscillatory criterion, 239Numerical quadrature, 47
One-dimensional Sobolev inequality, 141
Parabolic equation, 10, 26, 177, 198, 204Pinned boundary, 10, 28, 269, 296Pohozaev identity, 45, 130Poisson ratio, 3Poisson ratio, 5Power series solution, 23Power-law profiles, 48Power-law permittivity, 11, 43
Principal eigenpair, 70, 71Pull-in
distance, 3, 13, 25instability, 1voltage, 12, 23, 33, 51, 78, 252
Quenchingfinite time, 218set, 191, 192, 194, 198
Quenching point, 177Quenching time, 177
Recursive scheme, 38, 85Refined quenching profile, 221, 229, 233RF switches, 27, 199Rotational inertia, 24Rotational inertial, 10
Saddle-node point, 47, 50Schauder’s estimate, 220Schwarz symmetrization, 40, 200Semistable, 52Singular minimal hypersurfaces, 11, 172Slab domain, 47, 187Small-aspect ratio limit, 8, 9Snap-through, 1Sobolev inequality, 26, 172Stretching energy, 5Sub/supersolutions, 33Suitably symmetric domain, 135Super level set, 40Superstable, 90
Temporal mesh size, 20Tension constant, 3, 5Truncation, 246Turning points, 12
Weak iterative scheme, 250, 272Weierstrass’s approximation theorem, 247
Young modulus, 3, 5Young’s inequality, 278
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Mathematical Analysis of Partial Differential Equations Modeling Electrostatic MEMS
PIERPAOLO ESPOSITO, NASSIF GHOUSSOUB, YUJIN GUO
CLN/20
New York UniversityAMS on the Webwww.ams.org
For additional informationand updates on this book, visit
www.ams.org/bookpages/cln-20
Micro- and nanoelectromechanical systems (MEMS and NEMS), which combine electronics with miniature-size mechanical devices, are essen-tial components of modern technology. It is the mathematical model describing “electrostatically actuated” MEMS that is addressed in this monograph. Even the simplified models that the authors deal with still lead to very interesting second- and fourth-order nonlinear elliptic equations (in the stationary case) and to nonlinear parabolic equations (in the dynamic case). While nonlinear eigenvalue problems—where the stationary MEMS models fit—are a well-developed field of PDEs, the type of inverse square nonlinearity that appears here helps shed a new light on the class of singular supercritical problems and their specific challenges.
Besides the practical considerations, the model is a rich source of inter-esting mathematical phenomena. Numerics, formal asymptotic analysis, and ODE methods give lots of information and point to many conjectures. However, even in the simplest idealized versions of electrostatic MEMS, one essentially needs the full available arsenal of modern PDE techniques to do the required rigorous mathematical analysis, which is the main objective of this volume. This monograph could therefore be used as an advanced graduate text for a motivational introduction to many recent methods of nonlinear analysis and PDEs through the analysis of a set of equations that have enormous practical significance.