322

IEEE TRANSACTIONS ON COMPONENTS AND PACKAGING TECHNOLOGIES, VOL. 31, NO. 2, JUNE 2008

Shape Optimization of Micro-Channel Heat

Sink for Micro-Electronic Cooling
Afzal Husain and Kwang-Yong Kim

AbstractA numerical investigation of 3-D fluid flow and heat

transfer in a rectangular micro-channel has been carried out using
water as a cooling fluid in a silicon substrate. NavierStokes and
energy equations for laminar flow and conjugate heat transfer are
solved using a finite volume solver. Solutions are first carefully
validated with available analytical and experimental results; the
shape of the micro-channel is then optimized using surrogate
methods. Ratios of the width of the micro-channel to the depth
and the width of the fin to the depth are selected as design variables. Design points are selected through a four-level full factorial
design. A single objective function thermal resistance, formulated
using pumping power as a constraint, is optimized. Mass flow rate
is adjusted by the constant pumping power constraint. Response
surface approximation, Kriging, and radial basis neural network
methods are applied to construct surrogates and the optimum
point is searched by sequential quadratic programming.
Index TermsElectronic cooling, micro-channel, numerical simulation, optimization, surrogate methods.

Re

Micro-channel width.
Fin width.
Orthogonal coordinate system.
Greek Symbols
Normalized design variables,
respectively.
Micro-channel aspect ratio.
Density.
Dynamic viscosity.
Kinematic viscosity.

NOMENCLATURE
Cross section area of micro-channel.
Surface area of substrate base.
Specific heat.
Hydraulic diameter.
Friction factor.
Convective heat transfer coefficient.
Height of heat sink.
Micro-channel depth.
Thermal conductivity.
Entry length.
Length of heat sink.
Width of heat sink.
Height of heat sink.
Number of micro-channels.
Number of dimensions in design space.
Pressure.

Coolant flow rate.

Reynolds number.
Thermal resistance.
Convective resistance.
Adjusted value of R square.
Temperature.
Liquid velocity in micro-channel.
Velocity vector.

and

Subscripts

max

Liquid.
Inlet.
Outlet.
Substrate.
Maximum value.

avg

Average value.
I. INTRODUCTION

Perimeter.
Pumping power.
Heat flux.

Manuscript received December 21, 2006; revised August 15, 2007. This work
was recommended for publication by Associate Editor S. Bhavnani upon evaluation of the reviewers comments.
The authors are with the Department of Mechanical Engineering, Inha University, Incheon 402-751, Korea (e-mail: kykim@inha.ac.kr).
Digital Object Identifier 10.1109/TCAPT.2008.916791

ECENT developments in micro electromechanical systems (MEMS) and advanced very large-scale integration
(VLSI) technologies and devices associated with micro miniaturization have led to significant improvement in packing
densities. These developments have helped satisfy growing
demand for higher dissipation of heat flux from electronic
devices. However, it has been observed that operation of most
electronic devices is strongly influenced by their temperature
and their surrounding thermal environment. Micro-channel
heat sink, as an integrated part of silicon based electronic
device, is a potential solution to this problem. Sophisticated
fabrication processes have yielded economically competitive
micro-channels having a high surface area to volume ratio.
The potential of micro-channel heat sinks as heat transfer devices has motivated many researchers to analyze micro-cooling

1521-3331/$25.00 2008 IEEE

HUSAIN AND KIM: SHAPE OPTIMIZATION OF MICRO-CHANNEL HEAT SINK

phenomena and conduct parametric studies. Tuckerman and

Pease [1] first realized the potential of this technology and
laid a foundation for silicon based micro-channel heat sink
experimentation. They experimented on a 56 m wide, 320 m
deep micro-channel fabricated by a chemical etching process.
Samalam [2] reported correlations for thermal resistance based
on a theoretical study of experiments of Tuckerman [3]. Fedorov and Viskanta [4] carried out a numerical simulation
based on the experiments of Kawano et al. [5]. While numerous
investigations have been conducted using various techniques
[6][10], there are significant disparities between the existing
experimental data and the values predicted using classical
macro techniques [11].
The results of the aforementioned studies indicate that the
cross section parameters and fin width of the micro-channel can
greatly influence the behavior of the fluid flow and resulting
heat transfer capabilities of rectangular micro-channels [9],
[10], [12]. In addition, experimental investigations [1], [7], [9],
[10] reported a pressure drop in the convective heat transfer for
water flowing in rectangular micro-channels of various aspect
ratios. These results suggest that the aspect ratio is an important
parameter in the determination of flow friction and convective
heat transfer.
Some analytical studies [13][15] have focused on modeling
of the heat transfer and optimization of the micro-channel geometry. Weisberg et al. [16] presented a design algorithm for the
selection of a rectangular micro-channel heat exchanger using a
2-D conjugate heat transfer model. Qu and Mudawar [17] computed the 3-D fluid flow and heat transfer for a micro-channel
with a rectangular cross section. Li et al. [18] numerically investigated 3-D conjugate heat transfer in a silicon based micro-heat
sink. Toh et al. [19] carried out a detailed numerical study of
variation of local thermal resistance and friction factor along the
flow direction in micro-channels by solving 3-D NavierStokes
equations. They extended the length of the micro-channel to ensure realistic boundary conditions at the exit. As an attempt to
optimize the shape of the micro-channel, Li and Peterson [20]
carried out a parametric study on the geometry of the microchannel. An exhaustive review of the literature, however, shows
that systematic optimization techniques have not yet been applied to this problem.
With the aid of high performance computers, the last decade
has witnessed rapid development of design optimization techniques. Numerical optimization methods [21] are regarded as
general design tools and offer a number of advantages, including
automated design capability, varieties of constraints, and multidisciplinary applications. However, due to large computing
time, coupling with NavierStokes analyses has recently proven
practical. Surrogate models are widely used in multidisciplinary
optimizations. Queipo et al. [22] reviewed various surrogate
based models used in aerospace applications.
The current investigation explores the application of surrogate based optimization techniques for the shape optimization
of a rectangular micro-channel cross-section to minimize
thermal resistance. Response Surface Approximation (RSA),
Kriging (KRG), and radial basis neural network (RBNN)
methods are used to construct surrogates, and the minimum

323

Fig. 1. Schematic diagram of micro-channel heat sink and design variables.

thermal resistance of the micro-channel is then searched by

sequential quadratic programming.
II. PROBLEM DESCRIPTION AND GEOMETRIC CONSTRAINTS
A schematic of the rectangular micro-channel heat
sink optimized in the current study is shown in Fig. 1.
The dimensions of the heat sink under consideration are
10 mm 10 mm 0.5 mm. The thickness of the base of the
micro-channel is 100 m while the depth of the micro-channel
is kept constant at
400 m. Simulations are performed
for varying fin width and channel width. A uniform heat flux
(
100 W/cm ) is applied at the bottom of the heat sink to
elucidate the effect of micro-channel geometry on the thermal
resistance and friction factor. The flow is assumed to be laminar and fully developed and is maintained by low flow rates
and low Reynolds numbers. Since the focus of the study is to
optimize the microchannel geometry with surrogate analysis,
thermodynamic and hydrodynamic properties of the substance
are assumed to be constant with a reference temperature of
27 C in all simulations.
One of the major challenges in micro-channel optimization is
manufacturing feasibility. The optimal design should not be impractical from manufacturing and design points of view. A silicon based micro-channel can be fabricated with an aspect ratio
of up to 20:1 using DRIE [23], [24] and 6:1 using
KOH wet etching [1], [5], [24]. On the basis of strength, the
constraint thickness of the base of the micro-channel is kept as
100 m, which is well above the minimum required thickness,
as suggested by Li and Peterson [20]. Li and Peterson [20] found
that thermal resistance decreases with an increase in the aspect
ratio, and therefore
is kept constant for all optimization cases
in order to assess the effect of the micro-channel width and fin
width on the thermal resistance and friction factor. A constant
pumping power is applied to the micro-channel heat sink, and
is defined as
(1)
where is the volumetric flow rate across the heat sink and
is the pressure drop. indicates the number of channels,
is the average velocity, and
is the cross-sectional area of the
micro-channel.

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Water flows into the micro-channel at the inlet of the heat

sink and leaves at the outlet; the remainder of the heat sink is
occupied by the silicon substrate. The silicon part of the heat
sink at the inlet and outlet of the channel is maintained as an
adiabatic boundary. No-slip condition is applied at the interior
walls of the channel, i.e.,
0. Average velocity obtained by
the method described later in this section is used at the inlet
of the microchannel, and velocity gradients are neglected at the
exit. The thermal conditions in the z-direction are

Fig. 2. Computational domain.

III. NUMERICAL ANALYSIS

In the present study, steady, incompressible, laminar flow
and conjugate heat transfer are considered with constant
997 kg/m , spefluid (water) properties (density
cific heat capacity
4.179 J/kg K, dynamic viscosity
8.55
10 kg/ms, and thermal conductivity
0.613 W/mK at a reference temperature of 27 C). Continuum
equations for conservation of mass, momentum, and energy for
the convective heat transfer in the micro-channel can be written
in vector form as
Mass
(2)

The left and right surfaces in Fig. 2 are assigned as symmetric

boundary conditions.
Formulation of the average velocity in terms of pumping
power is described as follows. Fanning friction is defined as
(6)
is the hydraulic diameter. The Reynolds number in
where
terms of average velocity can be defined as
(7)
where

Momentum
(3)

For a fully developed flow, Knight et al. [13] determined that

(8)

Energy
(4)

where

(5)
is the fluid temperwhere represents the velocity vector,
ature, and
and
are the substrate temperature and thermal
conductivity, respectively.
A numerical model is formulated to solve the 3-D conjugate
heat transfer in micro-channels using commercial code CFX
5.7 [25]. The code uses finite volume discretization of governing differential equations and the solution is based on the
SIMPLE algorithm [26]. In the numerical solution, the convective terms are discretized using a first-order upwind scheme
for all equations. Due to symmetry of the problem, half of the
single micro-channel is selected for computation, as shown in
Fig. 2. A hexahedral mesh is generated in the specified domain
through ICEM 5.7 [25] and a 401 61 16 grid is used for
the current simulation cases. Grid independency is checked by
taking different grids: it was found that for a 501 71 21 grid
the change in the highest temperature in the substrate was only
0.03% while for a 301 41 11 grid the difference in highest
temperature attained was roughly 2%. A finite volume solver is
used under the following boundary conditions.

The average velocity can be obtained from (6), (7), and (8) as
follows:
(9)
Substituting (1) into (9) we obtain
(10)
where the pumping power should be realistic and can be taken
as being in a range of 0.01 to 0.8 considering the capacity of
state-of-the-art micro pumps [14]. For comparison of the results
with experimental data, the thermal resistance is calculated as
(11)

HUSAIN AND KIM: SHAPE OPTIMIZATION OF MICRO-CHANNEL HEAT SINK

325

where

is the area of the substrate subjected to heat flux and

is the maximum temperature rise in the heat sink and is
defined as
(12)
where
is the substrate temperature near the outlet and
is the fluid inlet temperature. Thermal resistance at the inlet is
defined as

and at the outlet, thermal resistance is defined as

where
and
are the chip surface temperatures at the inlet
and outlet, respectively.
IV. OPTIMIZATION TECHNIQUES
Fig. 3 represents the various steps involved in the optimization algorithm. Design points are selected using a four-level full
factorial design. Two design variables, and , are chosen for
the optimization methodology, where is defined as
and is defined as
. Hence, 16 design points chosen
from four-level full factorial design assisted with 4 more design points are used to construct the surrogates. These levels
are equally spaced within the design range for all variables. Design space is specified performing some preliminary calculations within the geometric constraints discussed in Section II
to obtain minimum of thermal resistance. The design space is
given in Table I. Design variables are normalized from 0 to 1
to construct surrogate models. Objective functions are calculated by solving NavierStokes and heat conduction equations
at specified design points and optimized using surrogate models.
In the current study, thermal resistance
is the foremost consideration for optimization and is the objective function for the
surrogate based optimization i.e.,
.
Three surrogate models, response surface approximation
(RSA), Kriging (KRG), and radial basis neural network
(RBNN), are applied to predict the optimal design point. In
RSA [27], a least square curve fitting by regression analysis
is performed on the data obtained by computational fluid dynamic (CFD) calculations using NavierStokes equations. The
following polynomial function is fitted to obtain the response
surface function. If the regression coefficients are s, the
polynomial function becomes

Fig. 3. Optimization procedure.

TABLE I
DESIGN VARIABLES AND DESIGN SPACE

The KRG model, also known as Kriging metamodelling [28],

is a deterministic technique for optimization. A linear polynomial function with a Gauss correlation function is used for the
model construction. The Kriging postulation is a combination
of a global model and departures of the following form:
(14)
represents the unknown function,
is the known
where
function of , and
is the realization of a stochastic process
with mean zero and non-zero covariance. A linear function,
, is fitted first, and real points are interpolated on it to obtain the mean zero. Here,
is the global design space while
is the localized deviations. The covariance matrix can be
written as

(13)
where is the number of design variables, and s are the design variables. For a second order polynomial model, used in
the current study, the number of regression constants is
.

(15)
where
ables

is the number of dimensions in the set of design variis the standard deviation of the population, and is

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IEEE TRANSACTIONS ON COMPONENTS AND PACKAGING TECHNOLOGIES, VOL. 31, NO. 2, JUNE 2008

the measure of degree of correlation among the data along the

direction .
A radial basis neural network (RBNN) [29] uses a linear combination of n radially symmetric functions,
, for the response function as

(16)
where is the coefficients of the linear combination, g is the set
of radial basis functions (typically Gaussian), and is the set of
errors with equal variance, . Due to its linear nature, RBNN
has simpler mathematics and lower computational cost as compared to back-propagation neural network (BPNN) [29]. RBNN
is a two layer network that consists of a hidden layer of the radial
basis function and a linear output layer. The design parameters
for this function are spread constant (SC) and a user defined
error goal (EG). The SC value is selected such that it should
not be so large that each neuron does not respond in the same
manner for the all inputs, and that it should not be so small that
the network becomes highly sensitive for every input within the
design space. EG or mean square error goal selection is also important. A very small error goal will produce over-training of the
network while a large error goal will affect the accuracy of the
model. The allowable error goal is decided from the allowable
error from the mean input responses. Cross-validation [22] is
performed to check the quality of constructed surrogates. These
surrogate methods are implemented using MATLAB [30].
Fig. 4. Comparison of numerically predicted fully developed velocity profiles
with analytical results: (a) on z middle plane and (b) on y middle plane.

V. RESULTS AND DISCUSSION

The flow is assumed to be steady, incompressible, and fully
developed laminar flow. The velocity obtained from (10) is applied at the inlet of the micro-channel. In order to ensure a
fully developed flow, lower pumping power,
0.05 W, to
a 10 mm 10 mm chip has been chosen for the optimization
cases. To validate the assumption of fully developed flow, the
entrance length is calculated for the micro-channel flow. For
a typical case of
0.15 and
0.1, the entrance length
is found to be 6% of the total channel length which is in good
agreement with the relation developed by Langhaar [31] for flow
in a circular tube.
0.057

(17)

It is found that except the extreme case the entrance length is

less than one fifth of the length of micro-channel heat sink,
therefore assumption of fully developed flow is acceptable at
low pumping power [20]. The numerical model is validated in
a number of ways to ensure the accuracy of the numerical solutions and the design optimization. Fig. 4 presents a comparison
of the numerical model with available analytical results [32] at
two different planes perpendicular to each other. Non-dimensional velocity
profiles are plotted along the y and
z directions, respectively. This comparison reveals good agreement between the numerical and analytical results for the velocity distribution in different directions. Experimental validation of the numerical results is done with the experiment of

Kawano et al. [5]. Fig. 5 shows a comparison of the numerically calculated inlet thermal resistance and outlet thermal resistance with available experimental results [5] for a wide range of
Reynolds number. The present results show appreciable agreement with the experimental results, with most of the predictions
lying within the experimental uncertainties (indicated by error
bars in the figure). The present model underpredicts the inlet
thermal resistance only for a low Reynolds number. One of the
possible reasons for this underprediction may be heat loss to
the ambient by the solid substrate, as discussed by Qu and Mudawar [17]. Moreover, the low Reynolds number conditions are
unreliable because of the larger temperature-induced viscosity
gradients near the inlet portion [5]. Further validation of the numerical model is done with experimental results of Tuckerman
and Pease [1] for three different cases of different channel depth
and heat flux, as given in Table II. In light of the numerical reproduction of these experimental results by Toh et al. [19] and
Liu et al. [8], the present model shows good agreement with the
experimental results, even for higher heat flux.
Before carrying out the actual optimization, the effect of
the design variables on the thermal resistance and friction
constant is assessed. Figs. 6 and 7 show the variations of the
thermal resistance and friction constant with changes in the
design variables. Convective thermal resistance is defined
as
1
, where
is the convective heat

HUSAIN AND KIM: SHAPE OPTIMIZATION OF MICRO-CHANNEL HEAT SINK

327

Fig. 5. Comparison of numerical model predictions with experimental data: (a)

inlet thermal resistance and (b) outlet thermal resistance.

TABLE II
COMPARISON OF THERMAL RESISTANCES BETWEEN
COMPUTATIONAL AND EXPERIMENTAL RESULTS

transfer coefficient. With an increase of , the average velocity

increases. Furthermore, the area subjected to convective heat
transfer reduces as the number of micro-channels decreases
in a specified heat sink width for a constant under constant
pumping power. Therefore, the thermal resistance decreases as
is increased. This trend continues until the velocity dominates
the convective heat transfer and then the thermal resistance
increases when the area subjected to convective heat transfer
is significantly reduced. The increased velocity and reduced

Fig. 6. Variation of (a) thermal resistance and (b) friction constant with design
variable  .

pressure drop result in a decreased friction constant with an

increase of . For lower values of , where the flow resistance
is significant, an increase in further increases the flow resistance, resulting in increased thermal resistance. For higher
values of , an increase in reduces pressure drop but increases
the velocity, which results in lower thermal resistance. For
intermediate values of , a decrease in the thermal resistance is
observed with an increase in up to a certain value, because
an increase in the fin thickness results in higher velocity, which
in turn results in higher convective heat transfer. A reduced
area subjected to convective heat transfer results from a further
increase in , and decreases convective heat transfer through
the micro-channel. A higher velocity reduces the friction factor
but results in a higher effective friction constant. It is natural
that the friction constant appears to be unaffected by any change
in the value of over the entire range of . An increase in
pressure drop is countered by an increase in average velocity.
The RSA, KRG, and RBNN surrogates are constructed using
the training data from a four-level full factorial design. Some
additional CFD data is added to enhance the performance of the
surrogate models. The results of optimization of the thermal resistance using the surrogate models are shown in Table III. In the
RSA method, analysis of variance (ANOVA) and a regression
analysis, provided by t-statistics in [7], are implemented to measure the uncertainty in the set of coefficients in the polynomial.

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Fig. 8. Sensitivity analysis of objective function F (thermal resistance) near the

optimal point.

Fig. 7. Variation of (a) thermal resistance and (b) friction constant with design
variable .

TABLE III
OPTIMAL POINTS (NORMALIZED) PREDICTED BY DIFFERENT SURROGATES
AND CORRESPONDING CFD CALCULATED VALUES

In the present study,

was maintained at 0.967, which can be
1.0
considered reliable in reference to the value of 0.91
suggested by Guinta [33] for accurate prediction of the response
surface model. The functional relationship between objective
function and design variables is established by RSA as

(18)
The KRG model is prepared with the help of toolbox (DACE)
[34] in MATLAB. Correlation function parameters are adjusted
carefully to ensure consistent performance of the model. The
acceptable variance of the method was kept at 3.93 10 .

The accuracy of the RBNN is checked by varying the error

goal and the spread constant in order to obtain the minimum
PRESS (Prediction Error Sum of Squares) for training data.
Prediction errors are calculated by cross-validation of the
constructed model predictions at the design points. In the
RBNN model, spread constant and error goals a set at 0.51
and 1 10 , respectively, to train the network. Consistent
performance of the network is checked with variation of the
spread constant. Objective function values are calculated at the
surrogate predicted optimal points, as shown in Table III. The
optimum values obtained by a NavierStokes analysis at the
design points predicted by all methods are almost identical.
RSA gives the optimum design as
0.671
0.430.
In contrast, the optimum design from the KRG and RBNN
models was
0.492
0.226 and
0.490
0.306,
respectively. The optimum design can help the designer find
the design variables the geometry of his/her choice. For a
micro-channel heat sink of channel depth
360 m, the
adjusted number of channels for the optimum design calculated
from the RBF model is 120, which is in line with the findings
of Li and Peterson [20].
All the surrogate models under study predict almost same objective function value, although their predicted values of the design variables are different. Moreover, the CFD predicted objective function values are also very close. This characteristic of the
design space shows the relatively less sensitivity of the objective
function near the optimum point. Surrogate predictions depend
upon the nature and suitability of the problem, therefore each
surrogate predicts different optimum point. The use of multiple
surrogates helps to understand the insight of the design space
and suitability of the surrogate for the kind of problem under
study.
A sensitivity analysis of the objective function is performed
by varying the design variables around the optimum design.
Each design variable is varied from the optimum point in both
directions while keeping the other variables fixed. The objective
function values at these sets of design variables are calculated
using a surrogate model (typically RSA). The objective function
(thermal resistance) increases sharply with a change in while
keeping fixed. On the other hand, change of has a smaller
effect on the objective function for a fixed , as shown in Fig. 8.

HUSAIN AND KIM: SHAPE OPTIMIZATION OF MICRO-CHANNEL HEAT SINK

329

Fig. 10. Temperature contours on the middle yz plane: (a) for [1] case and (b)
for optimum case.

thermal resistance of a micro-channel heat sink fabricated on

a silicon wafer is minimized for a constant heat source and
constant pumping power. Three different surrogate models, i.e.,
RSA, KRG, and RBNN, are employed for the optimization. Design variables related to micro-channel depth and fin width are
selected to construct the surrogates, which are used to predict
the minimum of the objective function (thermal resistance of
the heat sink). The three surrogate models yielded somewhat
different optimum geometries, but predicted almost the same
objective function values. The objective function is found to be
more sensitive to channel width to depth ratio than fin width to
depth ratio around the optimal point.
Fig. 9. Temperature contours on the middle xz plane: (a) for [1] case and (b)
for optimum case.

It can be seen that the optimal design is highly sensitive to

as compared to in the specified range. Therefore, the design
variable can be suitably adjusted for the optimum number of
channels in order to obtain minimum thermal resistance for the
specified channel depth of the heat sink.
Figs. 9 and 10 present a comparison of the temperature distributions between [1] and optimum shapes on xz and yz
planes, respectively. These temperature distributions for the geometry of case 1 in [1] and for the optimum shape predicted by
response surface approximation are calculated under constant
pumping power and heat source. By minimizing the thermal resistance, the optimum shape shows lower maximum temperature, which occurs at the bottom of the substrate near the exit of
the micro-channel, in comparison with the reference shape.
VI. CONCLUSION
A 3-D rectangular micro-channel heat sink has been geometrically optimized for minimum thermal resistance using surrogate models. Fluid flow and heat transfer analyses are conducted by solving 3-D NavierStokes and heat conduction equations to find the overall thermal resistance of the heat sink. The

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Afzal Husain received the B.E. and M.Tech. degrees

in mechanical engineering with specialization in
thermal sciences from Aligarh Muslim University,
Aligarh, India, in 2003 and 2005, respectively, and
is currently pursuing the Ph.D. degree in thermodynamics and fluid mechanics in Inha University,
Incheon, Korea.
His research interests are thermal analysis of microsystems (MEMS), electronic cooling, and surrogate based analysis and optimization.

Kwang-Yong Kim received the Ph.D. degree from

the Korea Advanced Institute of Science and Technology (KAIST), Daejon, Korea, in 1987.
Presently, he is a Professor in School of Mechanical Engineering, Inha University, Incheon,
Korea. He published more than 120 research papers in professional journals, and presented 76
papers at international conferences and 156 papers at domestic conferences. He also published
60 technical reports which were supported by a
variety of research grants from government and
industries, and has four domestic patents. He is presently the Editor-in-Chief
of the Transactions of Korean Society of Mechanical Engineers (KSME). His
recent research works have been concentrated on applications of numerical
optimization techniques using computational fluid dynamics (especially the
three-dimensional Reynolds-averaged NavierStokes analysis techniques) to
designs of engineering systems or devices, such as heat transfer augmentation
devices, components of thermal-hydraulics system in various nuclear reactors,
turbomachinery blades, micro-mixers, micro heat sinks, etc., where the use of
numerical optimization techniques was not popular.
Dr. Kim is Chief Vice President of the Korean Fluid Machinery Association
(KFMA).