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Abstract — This work aims to establish a theoretical cavitation changed from an unwanted side effect to a central
framework for the modeling of bubble nucleation in his- mechanism in a range of therapeutic ultrasound applications.
totripsy. A phenomenological version of the classical nucle- As a leading example, ultrasound contrast agents (UCAs)
ation theory was parametrized with histotripsy experimental
data, fitting a temperature-dependent activity factor that demonstrated wide applicability in imaging enhancement and
harmonizes theoretical predictions and experimental data drug and gene delivery applications [5] as well as in opening
for bubble nucleation at both high and low temperatures. the blood–brain barrier [6] and increasing ultrasound heating
Simulations of histotripsy pressure and temperature fields rates for thermal ablation [7]. The application considered here,
are then used in order to understand spatial and temporal namely histotripsy, harnesses the bioeffects of bubble activity
properties of bubble nucleation at varying sonication con-
ditions. This modeling framework offers a thermodynamic most effectively.
understanding on the role of the ultrasound frequency, Histotripsy refers to a family of techniques where focused
waveforms, peak focal pressures, and duty cycle on patterns ultrasound is used to noninvasively nucleate and drive the
of ultrasound-induced bubble nucleation. It was found that oscillations of bubbles within a volume of soft tissue, leading
at temperatures lower than 50 ◦ C, nucleation rates are to the mechanical injury of surrounding areas [8]. Histotripsy
more appreciable at very large negative pressures such
as −30 MPa. For focal peak-negative pressures of −15 MPa, has been recently shown to be well-tolerated and effective
characteristic of boiling histotripsy, nucleation rates grow in the mechanical ablation of liver tumors in a phase I trial,
by 20 orders of magnitude in the temperature interval the THERESA Study [9].
60 ◦ C–100 ◦ C. There are two broad categories of histotripsy, which relate
Index Terms — Bubble nucleation, classical nucleation to the mechanism by which bubbles are nucleated [10]: boiling
theory, histotripsy. histotripsy [11]–[13] occurs when millisecond-long pulses
heat focal tissue to temperatures that are favorable for vapor
I. I NTRODUCTION bubble nucleation and growth [14]. Alternatively, intrinsic-
threshold histotripsy [15], [16] occurs when the focal peak-
E ARLY investigation of ultrasound-induced bubble activity
in biological media aimed to understand and erase the
risks of acoustic cavitation in diagnostic ultrasound applica-
negative ultrasound pressures [17], or nonlinear ultrasound
waves reflected from a pre-existing bubble [18], surpass the
tions [1]. This amounted to a rich body of work address- local tensile strength of the medium, nucleating small, virtually
ing fundamental questions such as the effects of pressure empty, gas pockets [19].
and frequency on the likelihood of acoustic cavitation [2], The differing nomenclature might suggest that both are
the mechanisms of growth and stabilization of bubbles in separate phenomena, but there is evidence that they are,
biological media [3], and, most importantly, the apparent in fact, the same phenomena in distinct regimes. Despite the
unpredictability of bubble nucleation in soft tissue [4]. apparent unpredictability of acoustic nucleation in water-like
Over the years, an important shift in perspective took media [4], [20], HIFU was shown to repeatably induce bubble
place on the role of bubble activity in biomedical ultrasound: nucleation in water, with a strong temperature dependence
up to 200 ◦ C and qualitative agreement to classical nucle-
Manuscript received December 31, 2020; accepted July 8, 2021. Date ation theory (CNT) [21], [22]. These experiments were later
of publication July 14, 2021; date of current version August 27, 2021.
The work of Matheus O. de Andrade was supported by the Brazilian repeated with an emphasis on histotripsy applications, report-
National Council for Scientific and Technological Development (CNPq) ing decreasing pressure threshold magnitudes for increasing
for his Ph.D. degree at University College London (UCL). (Corresponding medium temperatures [15], [23].
author: Matheus O. de Andrade.)
Matheus O. de Andrade is with UCL Mechanical Engineering and the Drawing from these results, we build a continuous model
UCL Faculty of Engineering Sciences, University College London (UCL), of bubble nucleation in histotripsy that can simultaneously
London WC1E 7JE, U.K. (e-mail: m.deandrade@ucl.ac.uk).. .
1525-8955 © 2021 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See https://www.ieee.org/publications/rights/index.html for more information.
. .
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2872 IEEE TRANSACTIONS ON ULTRASONICS, FERROELECTRICS, AND FREQUENCY CONTROL, VOL. 68, NO. 9, SEPTEMBER 2021
such as the ultrasound frequency, sonication time, and targeted where T denotes temperature, S represents entropy, and μ is
volume [1]. the chemical potential. The free energy at the final state is
Herein, we give an extended theoretical account of the sur-
G = U − T0 S + P0 (Vl + Vv )
face tension, analyzing how its temperature dependence affects
the energetic requirements of nucleation for thermodynamic = P0 (Vl +Vv )− Pl Vl − Pv Vv + σ A +μl Nl +μv Nv +μs Ns .
conditions typical of histotripsy. We build a general model that (2)
accounts for the presence of a surface phase between bubble
The subscripts l, v, and s denote liquid, vapor, and surface
nuclei and the liquid, as well as the possibility of impurities
phases, respectively. In this equation, A denotes the surface
in the medium.
area of bubble nuclei and σ is their surface tension. μ is the
The present model draws a relationship between histotripsy
chemical potential of the species in question, in either liquid
focal temperatures and pressure waveforms to the rate at which
or vapor phases. The chemical potential is a measure of the
bubbles nucleate in a steady-state regime. We then integrate
likelihood of mass transfer or chemical reaction between two
this model into simulations of HIFU pressure and temperature
chemical species.
fields obtained by solving a Westervelt-type equation and
By assuming that the chemical composition of the liquid
Penne’s bioheat equation. This modeling framework offers a
remains constant (μl0 = μl ), the free energy of bubble
thermodynamic understanding of the role of the ultrasound
formation G = G − G 0 is given by
frequency, waveforms, peak focal pressures, and duty cycle
on patterns of bubble nucleation. G = (Pl − Pv )Vv + σ A − (μl − μv )Nv − (μl − μs )Ns .(3)
It is then possible to calculate nucleation pressure thresholds
as a function of temperature and to map bubble nucleation This expression is derived under the assumption that the
spatially within the HIFU focus, as well as predicting the initial homogeneous liquid system is much larger than the
timescales of bubble nucleation for individual histotripsy pro- bubble embryo. The local maximum in the Gibbs free energy
tocols at varying sonication parameters. We limit ourselves separating metastable and stable phases is then given by
(∂G/∂ V )T,P,N = 0. This maximum defines the critical point
to nucleation in the absence of pre-existing bubbles, as there
are more appropriate ways to model a bubble’s response to of nucleation [28].
sonication than the thermodynamic approach developed herein. In the timescales at which histotripsy bubble nucleation
takes place, it is possible to assume isothermal and isobaric
nucleation. This is discussed in more detail in Section II-A,
II. T HERMODYNAMIC M ODEL
where the experimental time t N is introduced. Applying the
Phase change, such as the nucleation of bubbles, can only condition of criticality to (3) yields
take place in liquids that are either unstable or metastable.
∂G dA dσ
Considering an isolated system, thermodynamic equilibrium = (Pl − Pv ) + σ + A = (Pl − Pv )
requires a maximum in entropy d S|U,V,N ≤ 0 at constant inter- ∂ V T,P,N dV dV
nal energy U , volume V , and number of molecules N [24]. dA 1 dσ 1
In unstable systems, phase change happens via spinodal +σ d V
+ d V
A. (4)
dr dr
dr dr
decomposition [25]. In metastable systems, the system relaxes
toward stability via bubble nucleation. The entropy maximum If the embryos of the new phase are assumed to be spherical,
condition takes place at equilibrium, such that the vapor–liquid (4) becomes the generalized Laplace equation
equilibrium (VLE) boundary is the lower limit of the stability 2σ dσ
region in a fluid. Pv − Pl = + (5)
r dr
Metastable liquid phases are those where the fluid is
where r is the radius of the bubble embryo. A similar
stretched below its VLE pressure or superheated above the
differential analysis of (3) for (∂G/∂ Nv )T,P,Ns and
VLE temperature [26]. Under HIFU sonication, metastability
(∂G/∂ Ns )T,P,Nv will yield conditions of chemical equilib-
might be induced in a liquid momentarily during the tensile
rium μl = μv = μs .
part of the ultrasound wave like intrinsic-threshold histotripsy,
Equation (5) states that the free energy of bubble formation
or through nonlinear heat deposition from shock-wave forma-
is size-dependent via the surface energy term. The value of
tion as in boiling histotripsy [27]. A metastable state is only
(dσ /dr) in (5) depends on the placement of the dividing
viable because liquid–vapor phase transitions are delayed by
surface (DS), i.e., the theoretical boundary between liquid
the energetic costs of creating a vapor interface in the bulk
and vapor phases that is set when modeling the system. The
of the liquid. This is manifested as a barrier in the system’s
choice of DS is one that establishes a connection between
Gibbs free energy that needs to be overcome before nucleation
the mathematical model and experimentally measurable quan-
takes place [28]. Assuming an isolated system, the process of
tities, as well as providing meaningful simplification of the
bubble nucleation can be seen as the transition between an
problem [29].
initial state consisting of a homogeneous liquid, and a final
In this work, we choose the surface of tension (SoT) as
stage consisting of a bubble embryo surrounded by the liquid.
the DS. This choice assumes that liquid and vapor phases
The Gibbs free energy G 0 in the initial state, denoted by a
are separated by a spherical membrane with no rigidity and
subscript 0, is
uniform tension across the surface. It is the only case where
G 0 = U0 − T0 S0 + P0 V0 = μl0 Nl0 (1) the surface tension is the same as the specific surface energy
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DE ANDRADE et al.: MODELING PHYSICS OF BUBBLE NUCLEATION IN HISTOTRIPSY 2873
of a spherical embryo [29]. By making this choice, we are in a focal volume V0 during a time interval t N can be
assuming that the thermodynamic and mechanical definitions approximated by
of the SoT are the same. The most important feature of the t N
SoT is that it is defined such that (dσ /dr ) = 0 and (5) is = V0 Jss (Pl , T )dt ≈ Jss∗ V 0 t N (9)
simplified to the Laplace equation of mechanical equilibrium 0
Pv − Pl = (2σ /r ) [28]. where JSS is the nucleation rate in a liquid at a pressure Pl and
The size-dependent energy barrier for the creation of a temperature T [34]. The quantity t N can be referred to as the
stable phase in a metastable fluid is then given by the work of “experiment/observation time” at the steady state [26]. This is
nucleation. Replacing the conditions of unstable equilibrium a quantity that refers to the length of time where the medium is
into (4) yields in a metastable state and does not relate to material properties.
Given that intrinsic histotripsy is a threshold phenomenon,
1
W ∗ = G ∗ = σ 4πr ∗2 (6) this quantity defines a fraction of the tensile wave where the
3 medium is exposed to thermodynamic conditions that induce
where r ∗ is the radius of the critical nucleus and an asterisk bubble nucleation. Equation (9) then relates intrinsic material
denotes critical values. In terms of the pressure in the liquid properties in the calculation of Jss to experimentally verifiable
and vapor phases quantities such as t N , V0 , and .
The choice of t N is one that guarantees that the control
16π σ3 volume’s pressure and temperature are kept fairly constant at
W∗ = (7)
3 (P − Pl )2 the threshold of nucleation within the rarefactional part of the
wave. As an approximation of this time window, t N is set
where P is the internal pressure in a critical nucleus.
as a tenth of the wave period as t N = (1/10 f ). The choice
This form of the critical work of nucleation has been
of t N has the nucleation time lag, which is of the order of
extensively used in recent works on bubble nucleation in
nanoseconds for vapor bubble nucleation, as a lower bound.
liquids [21], [26], [30].
The upper bound of t N is the period of the tensile part of
The critical work for nucleation is then used to predict the
the ultrasound wave.
nucleation rate. This is the net rate at which bubbles reach
Considering the formation of the first nuclei, we can
a critical size. The critical size defines a maximum in W ∗
define
where nuclei have equal chances of growing or collapsing.
The nucleation rate is proportional to the difference between Jss∗ = (10)
the forward rates of vaporization and the backward rates of V0 t N
condensation when the effects of viscosity and inertia are where Jss∗ is the detectable nucleation rate for the appearance
neglected [28], [31]. of nuclei in a volume V0 after t N seconds. In this equation,
Assuming that the timescales of nucleation are much shorter V0 is a control volume where bubbles nucleate after t N
than the tensile period of the ultrasound wave, the nucleation seconds, and its value is approximated as the volume within
rate can be approximated as a stationary quantity [21]. At the the 3-dB drop in intensity around the transducer focus [21].
critical size, the steady-state nucleation rate is usually repre- Having the nucleation rate Jss that forms the first
sented as [21], [26], [28], [32], [33] nuclei in a time–volume setup V0 t N , a phenomenological
approximation to the nucleation pressure threshold of a liquid
W∗
Jss = J0 exp − . (8) can be obtained by solving (8) and (10) in terms of the
kB T
pressure in the liquid Pl . This approach for obtaining the
In this equation, the pre-exponential term J0 accounts for temperature-dependent nucleation pressure threshold PlN (T )
the average kinetic and spatial properties of nucleation in was first employed in [34] and has also been used in more
that particular liquid. It also mathematically defines the upper recent work in bubble nucleation [26], [35]. Equating (8)
bound for the nucleation rate since Jss = J0 . By neglecting and (10), replacing the critical work of nucleation given by (7),
the effects of viscosity and inertia
√ in the liquid [31], J0 can be and solving for Pl give
defined in the form J0 = N0 (2σ /πm), having N0 = ρ L /m, 12
where ρ L is the liquid density and m is the molecular mass 1 16πσ 3
Pl = Pv −
N
. (11)
of the liquid. J0 has units of nuclei per unit volume and per ζ 3k B T ln J0 V0 τs
unit time.
PlN is the nucleation pressure Pl in the liquid at which an
average of nuclei appears during a time interval t N in a
A. Nucleation Pressure Thresholds for Histotripsy focal volume V0 at a temperature T . The Poynting correction ζ
When the peak-negative ultrasound pressure generates suf- allows the temperature-dependent VLE pressure of the liquid
ficiently high nucleation rates, the focal volume cannot be Pv to be used instead of the nucleus internal pressure P . This
considered as a single-phase control volume anymore. The is such that ζ = 1 − (ρv /ρl ) + (1/2)(ρv /ρl )2 , where ρv and
pressure and temperature pair at the ultrasound focus are ρl denote the saturated densities of vapor and liquid water,
then defined as the nucleation threshold of this liquid. For respectively. In the calculation of ζ , the IAPWS [36] equations
steady-state nucleation, the number of critical nuclei formed for the densities of the saturated liquid ρl and vapor phases of
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2874 IEEE TRANSACTIONS ON ULTRASONICS, FERROELECTRICS, AND FREQUENCY CONTROL, VOL. 68, NO. 9, SEPTEMBER 2021
water ρv were employed as X-ray pulses [40]. The transient tensions used in these experi-
ρl 1 2 5 16 43 110 ments were of about 30–40 fs, which are five to six orders
= 1 + b1 x 3 + b2 x 3 + b3 x 3 + b4 x 3 + b5 x 3 + b6 x 3 of magnitude shorter in duration than those produced by
ρc
(12) ultrasound in the megahertz range. The difference in negative
pressures achieved in both sets of experiments is probably
and caused by the significant difference in experiment duration
ρv 2 4 8 18 37 71 and volume targeted.
ln = c1 x 6 + c2 x 6 + c3 x 6 + c4 x 6 + c5 x 6 + c6 x 6 . ∗
ρc For experiments in the low MHz range, the value of JSS is
(13) of about 1.16 × 10 . Contrastingly, the abovementioned water
16
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DE ANDRADE et al.: MODELING PHYSICS OF BUBBLE NUCLEATION IN HISTOTRIPSY 2875
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DE ANDRADE et al.: MODELING PHYSICS OF BUBBLE NUCLEATION IN HISTOTRIPSY 2879
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2880 IEEE TRANSACTIONS ON ULTRASONICS, FERROELECTRICS, AND FREQUENCY CONTROL, VOL. 68, NO. 9, SEPTEMBER 2021
Fig. 9. Focal temperature profile at the moment of nucleation. Top Fig. 10. Temperature-dependent nucleation pressure thresholds at the
figure shows temperature distribution after 4.8 ms of sonication at 2 MHz time of nucleation. Top figure shows contours of nucleation pressure
and 150-W input electrical power. The bottom figure shows temperature threshold distribution after 4.8 ms of sonication at 2 MHz and 150-W input
profiles after 240 ms of sonication at 1.1 MHz with 300-W input electrical electrical power. The bottom figure shows values of PlN after 240 ms of
power. sonication at 1.1 MHz with 300-W input electrical power.
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DE ANDRADE et al.: MODELING PHYSICS OF BUBBLE NUCLEATION IN HISTOTRIPSY 2881
IV. C ONCLUSION
A thermodynamic model for bubble nucleation in HIFU was
developed using classical nucleation theory. This model yields
an estimate for the temperature dependence of the nucleation
pressure threshold in water-like media, taking into account
the ultrasound frequency and focal volume. Experimental data
on HIFU nucleation were used in order to parametrize a
temperature-dependent activity factor for the surface tension
of water which is capable of harmonizing CNT predictions
Fig. 13. Size of critical nuclei at the moment of nucleation.
and pressure thresholds obtained in ultrasound experiments.
Results show that heat deposition in boiling histotripsy
insufficient to generate appreciable nucleation rates due to facilitates nucleation by decreasing focal nucleation pressure
lower temperature. thresholds. With the present approach, it is possible to cal-
A similar trend was observed for both transducers simulated, culate the minimum pulselength required to achieve vapor
having the preferential nucleation site within the regions of bubble nucleation, as well as estimating nucleation prefer-
highest temperature. Since the nucleation pressure threshold ential sites and the size distribution of early bubble nuclei.
is temperature-dependent, nucleation is spatially restricted to The size of critical bubble nuclei was found to increase in
regions where the peak-negative acoustic pressure overcomes regions of higher temperature within the HIFU focus, ranging
the nucleation pressure threshold; however, these regions are from 6 to 10 nm. Furthermore, these results suggest that the
not necessarily the regions of lowest acoustic pressure. pressure requirements of intrinsic-threshold histotripsy might
The size distribution of critical bubble nuclei at the HIFU be reduced by pre-heating the treatment zone up to 50 ◦ C.
focus, calculated with Laplace’s equation for mechanical equi- Overall, results indicate that it is not possible to detach the
librium, is shown in Fig. 13. These range from 6 to 10 mm effects of focal pressure and temperatures in the nucleation of
in both sets of results, where the size of critical nuclei bubbles.
increases toward the regions of highest heat deposition. These
results agree with those found HIFU nucleation experiments
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DE ANDRADE et al.: MODELING PHYSICS OF BUBBLE NUCLEATION IN HISTOTRIPSY 2883
[51] V. G. Baidakov, “Surface tension of cavitation pockets according to data Seyyed Reza Haqshenas received a
of computer simulation of nucleation in a stretched fluid,” Colloid J., B.Sc. degree in mechanical engineering
vol. 77, no. 2, pp. 119–124, Mar. 2015. from Ferdowsi University of Mashhad, Mashhad,
[52] A. D. Maxwell, C. A. Cain, J. B. Fowlkes, and Z. Xu, “Inception of Iran, in 2006, a M.Sc. degree in technical
cavitation clouds by scattered shockwaves,” in Proc. IEEE Int. Ultrason. acoustics from the Chalmers University of
Symp., Oct. 2010, pp. 11–108. Technology, Gothenburg, Sweden, in 2010,
[53] K. J. Pahk, S. Lee, P. Gélat, M. O. de Andrade, and N. Saffari, “The the M.Sc. degree in mechanical engineering
interaction of shockwaves with a vapour bubble in boiling histotripsy: and mechatronics from McMaster University,
The shock scattering effect,” Ultrason. Sonochem., vol. 70, Jan. 2021, Hamilton, Canada, in 2012, and his Ph.D.
Art. no. 105312. degree from the Department of Mechanical
[54] N. Bruot and F. Caupin, “Curvature-dependence of the liquid-vapor Engineering, University College London (UCL),
surface tension beyond the Tolman approximation,” Phys. Rev. Lett., London, U.K., in 2017.
vol. 116, no. 5, Jan. 2016, Art. no. 56102. [Online]. Available: He was appointed as a Lecturer at UCL in 2021, working with
http://arxiv.org/abs/1601.00468
.
Ultrasonics Group. His research interests lie at the interface between
[55] O. A. Sapozhnikov, “High-intensity ultrasonic waves in fluids: Nonlinear physical acoustics and biological physics, with applications in biomedical
propagation and effects,” in Power Ultrasonics, Applications of High- and pharmaceutical problems. He is particularly interested in developing
Intensity Ultrasound. Amsterdam, The Netherlands: Elsevier, 2014. a theoretical understanding of the nucleation of phase transition in fluids
[56] T. D. Khokhlova, Y. A. Haider, A. D. Maxwell, W. Kreider, M. R. Bailey, and tissues mediated by acoustic waves, such as formation of crystals
and V. A. Khokhlova, “Dependence of boiling histotripsy treatment and bubbles in an acoustic field and modeling the wave propagation in
efficiency on HIFU frequency and focal pressure levels,” Ultrasound tissues for the therapeutic applications of ultrasound.
Med. Biol., vol. 43, no. 9, pp. 1975–1985, Sep. 2017.
[57] M. R. Bailey, V. A. Khokhlova, O. A. Sapozhnikov, S. G. Kargl, Ki Joo Pahk received the B.Eng. and M.Sc.
and L. A. Crum, “Physical mechanisms of the therapeutic effect of degrees (Hons.) in mechanical engineering from
ultrasound (a review),” Acoust. Phys., vol. 49, no. 4, pp. 369–388, University College London (UCL), London, U.K.,
Jul. 2003. in 2011 and 2012, respectively, and the Ph.D.
[58] E. Wilhelm, R. Battino, and R. J. Wilcock, “Low-pressure solubility degree in mechanical engineering from UCL,
of gases in liquid water,” Chem. Rev., vol. 77, no. 2, pp. 219–262, working with the Ultrasonics Group, in 2016.
Apr. 1977. From September 2016 to August 2019, he has
[59] J. W. Gibbs, The Collected Works of J. W. Gibbs: Thermodynamics. worked as a Postdoctoral Researcher (alterna-
London, U.K.: Longmans, Green, & Co. 1928. tive military service) with the Korea Institute of
[60] K. B. Bader and C. K. Holland, “Predicting the growth of nanoscale Science and Technology (KIST), Seoul, Repub-
nuclei by histotripsy pulses,” Phys. Med. Biol., vol. 61, no. 7, lic of Korea, where he is currently the Senior
pp. 2947–2966, Apr. 2016. Research Scientist and leads the Advanced Biomedical Ultrasonics
[61] W. Kreider et al., “Rectified growth of histotripsy bubbles,” in Proc. Laboratory. His research interests include therapeutic ultrasound, high-
Meetings Acoust., Jun. 2013, Art. no. 075035. intensity focused ultrasound (HIFU), HIFU-induced mechanical tissue
[62] K. J. Pahk, P. Gélat, H. Kim, and N. Saffari, “Bubble dynamics in boiling fractionation/histotripsy, ultrasonic tissue decellularization, ultrasonic cell
histotripsy,” Ultrasound Med. Biol., vol. 44, no. 12, pp. 2673–2696, stimulation, and mathematical modeling of acoustic cavitation in soft
Dec. 2018. tissue.
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