Recent Progress of Development of Optogenetic Implantable Neural Probes

As a cell type-specific neuromodulation method, optogenetic technique holds remarkable potential for the realisation of advanced neuroprostheses. By genetically expressing light-sensitive proteins such as channelrhodopsin-2 (ChR2) in cell membranes, targeted neurons could be controlled by light. This new neuromodulation technique could then be applied into extensive brain networks and be utilised to provide effective therapies for neurological disorders. However, the development of novel optogenetic implants is still a key challenge in the field. The major requirements include small device dimensions, suitable spatial resolution, high safety, and strong controllability. In this paper, I present a concise review of the significant progress that has been made towards achieving a miniaturised, multifunctional, intelligent optogenetic implant. I identify the key limitations of current technologies and discuss the possible opportunities for future development

A scalable optoelectronic neural probe architecture with self-diagnostic capability

There is a growing demand for the development of new types of implantable optoelectronics to support both basic neuroscience and optogenetic treatments for neurological disorders. Target specification requirements include multi-site optical stimulation, programmable radiance profile, safe operation, and miniaturization. It is also preferable to have a simple serial interface rather than large numbers of control lines. This paper demonstrates an optrode structure comprising of a standard complementary metal-oxide-semiconductor process with 18 optical stimulation drivers. Furthermore, diagnostic sensing circuitry is incorporated to determine the long-term functionality of the photonic elements. A digital control system is incorporated to allow independent multisite control and serial communication with external control units

A CMOS-based neural implantable optrode for optogenetic stimulation and electrical recording

This paper presents a novel integrated optrode for simultaneous optical stimulation and electrical recording for closed -loop optogenetic neuro-prosthetic applications. The design has been implemented in a commercially available 0.35μm CMOS process. The system includes circuits for controlling the optical stimulations; recording local field potentials (LFPs); and onboard diagnostics. The neural interface has two clusters of stimulation and recording sites. Each stimulation site has a bonding point for connecting a micro light emitting diode (μLED) to deliver light to the targeted area of brain tissue. Each recording site is designed to be post-processed with electrode materials to provide monitoring of neural activity. On-chip diagnostic sensing has been included to provide real-time diagnostics for post-implantation and during normal operation

Self-diagnosis implantable optrode for optogenetic stimulation

PhD ThesisAs a cell type-specific neuromodulation method, optogenetic technique holds remarkable potential for the realisation of advanced neuroprostheses. By genetically expressing light-sensitive proteins such as channelrhodopsin-2 (ChR2) in cell membranes, targeted neurons could be controlled by blue light. This new neuromodulation technique could then be applied into extensive brain networks and be utilised to provide effective therapies for neurological disorders. However, the development of novel optogenetic implants is still a key challenge in the field. The major requirements include small device dimensions, suitable spatial resolution, high safety, and strong controllability. In particular, appropriate implantable electronics are expected to be built into the device, accomplishing a new-generation intelligent optogenetic implant. To date, different microfabrication techniques, such as wave-guided laser/light-emitting diode (LED) structure and μLED-on-optrode structure, have been widely explored to create and miniaturise optogenetic implants. However, although these existing devices meet the requirements to some extent, there is still considerable room for improvement. In this thesis, a Complementary Metal-Oxide-Semiconductor (CMOS)-driven μLED approach is proposed to develop an advanced implantable optrode. This design is based on the μLED-on-optrode structure, where Gallium Nitride (GaN) μLEDs can be directly bonded to provide precise local light delivery and multi-layer stimulation. Moreover, an in-built diagnostic sensing circuitry is designed to monitor optrode integrity and degradation. This self-diagnosis function greatly improves system reliability and safety. Furthermore, in-situ temperature sensors are incorporated to monitor the local thermal effects of light emitters. This ensures both circuitry stability and tissue health. More importantly, external neural recording circuitry is integrated into the implant, which could observe local neural signals in the vicinity of the stimulation sites. Therefore, a CMOS-based multi-sensor optogenetic implant is achieved, and this closed-loop neural interface is capable of performing multichannel optical neural stimulation and electrical neural recording simultaneously. This optrode is expected to represent a promising neural interface for broad neuroprosthesis applications

Fully-Implantable Self-Contained Dual-Channel Electrical Recording and Directivity-Enhanced Optical Stimulation System on a Chip

This thesis presents an integrated system-on-a-chip (SoC), designed, fabricated, and characterized for conducting simultaneous dual-channel optogenetic stimulation and electrophysiological recording. An inductive coil as well as power management circuits are also integrated on the chip, enabling wireless power reception, hence, allowing full implantation. The optical stimulation channels host a novel LED driver circuit that can generate currents up to 10mA with a minimum required headroom voltage reported in the literature, resulting in a superior power efficiency compared to the state of the art. The output current in each channel can be programmed to have an arbitrary waveform with digitally-controlled magnitude and timing. The final design is fabricated as a 34 mm2 microchip using a CMOS 130nm technology and characterized both in terms of electrical and optical performance. A pair of custom-designed inkjet-printed micro-lenses are also fabricated and placed on top of the LEDs. The lenses are optimized to enhance the light directivity of optical stimulation, resulting in significant improvements in terms of spatial resolution, power consumption (30.5x reduction), and safety aspects (temperature increase of <0.1c) of the device

Technological challenges in the development of optogenetic closed-loop therapy approaches in epilepsy and related network disorders of the brain

Epilepsy is a chronic, neurological disorder affecting millions of people every year. The current available pharmacological and surgical treatments are lacking in overall efficacy and cause side-effects like cognitive impairment, depression, tremor, abnormal liver and kidney function. In recent years, the application of optogenetic implants have shown promise to target aberrant neuronal circuits in epilepsy with the advantage of both high spatial and temporal resolution and high cell-specificity, a feature that could tackle both the efficacy and side-effect problems in epilepsy treatment. Optrodes consist of electrodes to record local field potentials and an optical component to modulate neurons via activation of opsin expressed by these neurons. The goal of optogenetics in epilepsy is to interrupt seizure activity in its earliest state, providing a so-called closed-loop therapeutic intervention. The chronic implantation in vivo poses specific demands for the engineering of therapeutic optrodes. Enzymatic degradation and glial encapsulation of implants may compromise long-term recording and sufficient illumination of the opsin-expressing neural tissue. Engineering efforts for optimal optrode design have to be directed towards limitation of the foreign body reaction by reducing the implant’s elastic modulus and overall size, while still providing stable long-term recording and large-area illumination, and guaranteeing successful intracerebral implantation. This paper presents an overview of the challenges and recent advances in the field of electrode design, neural-tissue illumination, and neural-probe implantation, with the goal of identifying a suitable candidate to be incorporated in a therapeutic approach for long-term treatment of epilepsy patients

Doctor of Philosophy

dissertationPrecise optical neural stimulation is an essential element in the use of optogenetics to elicit predictable neural action potentials within the brain, but accessing specific neocortical layers, light scattering, columniation, and ease of tissue damage pose unique challenges to the device engineer. This dissertation presents the design, simulation, microfabrication, and characterization of the Utah Optrode Array (UOA) for precise neural tissue targeting through three main objectives: 1. Maskless wafer-level microfabrication of optical penetrating neural arrays out of soda- lime glass: Utah Optrode Array. 2. Utah Optrode Array customization using stereotactic brain atlases and 3D CAD modeling for optogenetic neocortical interrogation in small rodents and nonhuman primates. 3. Single optrode characterization of the UOA for neocortical illumination. Maskless microfabrication techniques were used to create 169 individual 9 × 9 arrays 3.85 mm × 3.85 mm with 1.1 mm long optrodes from a single two inch glass wafer. The 9 × 9 UOA was too large for precise targeting of the upper layers of the cortex in smaller animals such as mice, so an array customization method was developed using Solidworks and off-the-shelf brain atlases to create 8 × 6 arrays 3.45 mm × 2.45 mm with 400 μm long optrodes. Stereotactic atlases were imported into Solidworks, splined, and lofted together to create a single 3D CAD model of a specific region of interest in the brain. Chronic and acute brain trauma showed excellent results for the 8 × 6 arrays in C57BL/6 wild-type mice (Mus musculus) and macaque monkey (Macaca fascicularis). Simulation, characterization, and radiometric testing of a single optrode of the 9 × 9 array was necessary to prove the ability to transmit light directly to specific tissue. Zemax optical design software was used to predict the light transmission capabilities, and then these results were compared to actual bench-top results. Insertion loss was both predicted and measured to be 3.7 dB. Power budgeting showed 9% of the light was lost at the interfaces of the UOA's backplane and tip in air, and 48% was lost through back-scattering, leaving 43% transmitting through the optrode with no measurable taper loss. Scanning electron microscopy showed small amounts of devitrification of the glass, and atomic force microscopy showed average surface roughness to be 13.5 nm and a root mean square roughness of 20.6 nm. The output beam was profiled in fluorescein dye with a total divergence angle of 63◦ with a cross over distance to adjacent beams at 255 μm

Interfaces neuronales CMOS haute résolution pour l'électrophysiologie et l'optogénétique en boucle fermée

L’avenir de la recherche sur les maladies du cerveau repose sur le développement de nouvelles technologies qui permettront de comprendre comment cet organe si complexe traite, intègre et transfère l’information. Parmi celles-ci, l’optogénétique est une technologie révolutionnaire qui permet d’utiliser de la lumière afin d’activer sélectivement les neurones du cortex d’animaux transgéniques pour observer leur effet dans un vaste réseau biologique. Ce cadre expérimental repose typiquement sur l’observation de l’activité neuronale de souris transgéniques, car elles peuvent exprimer une grande variété de gènes et de maladies et qu’elles sont peu couteuses. Toutefois, la plupart des appareils de mesure ou de stimulation optogénétique disponible ne sont pas appropriés, car ils sont câblés, trop lourds et/ou trop simplistes. Malheureusement, peu de systèmes sans fil existent, et ces derniers sont grandement limités par la bande passante requise pour transmettre les données neuronales, et ils ne fournissent pas de stimulation optogénétique multicanal afin de stimuler et observer plusieurs régions du cerveau. Dans les dispositifs actuels, l’interprétation des données neuronales est effectuée ex situ, alors que la recherche bénéficierait grandement de systèmes sans fil assez intelligents pour interpréter et stimuler les neurones en boucle fermée, in situ. Le but de ce projet de recherche est de concevoir des circuits analogiques-numériques d’acquisition et de traitement des signaux neuronaux, des algorithmes d’analyse et de traitement de ces signaux et des systèmes electro-optiques miniatures et sans fil pour : i) Mener des expériences combinant l’enregistrement neuronal et l’optogénétique multicanal haute résolution avec des animaux libres de leurs mouvements. ii) Mener des expériences optogénétiques synchronisées avec l’observation, c.-à-d. en boucle fermée, chez des animaux libres de leurs mouvements. iii) Réduire la taille, le poids et la consommation énergétique des systèmes optogénétiques sans fil afin de minimiser l’impact de la recherche chez de petits animaux. Ce projet est en 3 phases, et ses principales contributions ont été rapportées dans dix conférences internationales (ISSCC, ISCAS, EMBC, etc.) et quatre articles de journaux publiés ou soumis, ainsi que dans un brevet et deux divulgations. La conception d’un système optogénétique haute résolution pose plusieurs défis importants. Notamment, puisque les signaux neuronaux ont un contenu fréquentiel élevé (_10 kHz), le nombre de canaux sous observation est limité par la bande passante des transmetteurs sans fil (2-4 canaux en général). Ainsi, la première phase du projet a visé le développement d’algorithmes de compression des signaux neuronaux et leur intégration dans un système optogénétique sans fil miniature et léger (2.8 g) haute résolution possédant 32 canaux d’acquisition et 32 canaux de stimulation optique. Le système détecte, compresse et transmet les formes d’onde des potentiels d’action (PA) produits par les neurones avec un field programmable gate array (FPGA) embarqué à faible consommation énergétique. Ce processeur implémente un algorithme de détection des PAs basé sur un seuillage adaptatif, ce qui permet de compresser les signaux en transmettant seulement les formes détectées. Chaque PA est davantage compressé par une transformée en ondelette discrète (DWT) de type Symmlet-2 suivie d’une technique de discrimination et de requantification dynamique des coefficients. Les résultats obtenus démontrent que cet algorithme est plus robuste que les méthodes existantes tout en permettant de reconstruire les signaux compressés avec une meilleure qualité (SNDR moyen de 25 dB _ 5% pour un taux de compression (CR) de 4.2). Avec la détection, des CR supérieurs à 500 sont rapportés lors de la validation in vivo. L’utilisation de composantes commerciales dans des systèmes optogénétiques sans fil augmentela taille et la consommation énergétique, en plus de ne pas être optimisée pour cette application. La seconde phase du projet a permis de concevoir un système sur puce (SoC) complementary metal oxide semiconductor (CMOS) pour faire de l’enregistrement neuronal et de optogénétique multicanal, permettant de réduire significativement la taille et la consommation énergétique comparativement aux alternatives commerciales. Ceci est une contribution importante, car c’est la première puce à être doté de ces deux fonctionnalités. Le SoC possède 10 canaux d’enregistrement et 4 canaux de stimulation optogénétique. La conception du bioamplificateur inclut une bande passante programmable (0.5 Hz - 7 kHz) et un faible bruit referré à l’entré (IRN de 3.2 μVrms), ce qui permet de cibler différents types de signaux biologiques (PA, LFP, etc.). Le convertisseur analogique numérique (ADC) de type Delta- Sigma (DS) MASH 1-1-1 est conçu pour fonctionner de faibles taux de sur-échantillonnage (OSR _50) pour réduire sa consommation et possède une résolution programmable (ENOB de 9.75 Bits avec un OSR de 25). Cet ADC exploite une nouvelle technique réduisant la taille du circuit en soustrayant la sortie de chaque branche du DS dans le domaine numérique, comparativement à la méthode analogique classique. La consommation totale d’un canal d’enregistrement est de 11.2 μW. Le SoC implémente un nouveau circuit de stimulation optique basé sur une source de courant de type cascode avec rétroaction, ce qui permet d’accommoder une large gamme de LED et de tensions de batterie comparativement aux circuits existants. Le SoC est intégré dans un système optogénétique sans fil et validé in vivo. À ce jour et en excluant ce projet, aucun système sans-fil ne fait de l’optogénétique en boucle fermée simultanément au suivi temps réel de l’activité neuronale. Une contribution importante de ce travail est d’avoir développé le premier système optogénétique multicanal qui est capable de fonctionner en boucle fermée et le premier à être validé lors d’expériences in vivo impliquant des animaux libres de leurs mouvements. Pour ce faire, la troisième phase du projet a visé la conception d’un SoC CMOS numérique, appelé neural decoder integrated circuit (ND-IC). Le ND-IC et le SoC développé lors de la phase 2 ont été intégrés dans un système optogénétique sans fil. Le ND-IC possède 3 modules : 1) le détecteur de PA adaptatif, 2) le module de compression possédant un nouvel arbre de tri pour discriminer les coefficients, et 3) le module de classement automatique des PA qui réutilise les données générées par le module de détection et de compression pour réduire sa complexité. Un lien entre un canal d’enregistrement et un canal de stimulation est établi selon l’association de chaque PA à un neurone, grâce à la classification, et selon l’activité de ce neurone dans le temps. Le ND-IC consomme 56.9 μW et occupe 0.08 mm2 par canal. Le système pèse 1.05 g, occupe un volume de 1.12 cm3, possède une autonomie de 3h, et est validé in vivo.The future of brain research lies in the development of new technologies that will help understand how this complex organ processes, integrates and transfers information. Among these, optogenetics is a recent technology that allows the use of light to selectively activate neurons in the cortex of transgenic animals to observe their effect in a large biological network. This experimental setting is typically based on observing the neuronal activity of transgenic mice, as they express a wide variety of genes and diseases, while being inexpensive. However, most available neural recording or optogenetic devices are not suitable, because they are hard-wired, too heavy and/or too simplistic. Unfortunately, few wireless systems exist, and they are greatly limited by the required bandwidth to transmit neural data, while not providing simultaneous multi-channel neural recording and optogenetic, a must for stimulating and observing several areas of the brain. In current devices, the analysis of the neuronal data is performed ex situ, while the research would greatly benefit from wireless systems that are smart enough to interpret and stimulate the neurons in closed-loop, in situ. The goal of this project is to design analog-digital circuits for acquisition and processing of neural signals, algorithms for analysis and processing of these signals and miniature electrooptical wireless systems for: i) Conducting experiments combining high-resolution multi-channel neuronal recording and high-resolution multi-channel optogenetics with freely-moving animals. ii) Conduct optogenetic experiments synchronized with the neural recording, i.e. in closed loop, with freely-moving animals. iii) Increase the resolution while reducing the size, weight and energy consumption of the wireless optogenetic systems to minimize the impact of research with small animals. This project is in 3 phases, and its main contributions have been reported in ten conferences (ISSCC, ISCAS, EMBC, etc.) and four published journal papers, or submitted, as well as in a patent and two disclosures. The design of a high resolution optogenetic system poses several challenges. In particular, since the neuronal signals have a high frequency content (10 kHz), the number of chanv nels under observation is limited by the bandwidth of the wireless transmitters (2-4 channels in general). Thus, the first phase of the project focused on the development of neural signal compression algorithms and their integration into a high-resolution miniature and lightweight wireless optogenetics system (2.8g), having 32 recording channels and 32 optical stimulation channels. This system detects, compresses and transmits the waveforms of the signals produced by the neurons, i.e. action potentials (AP), in real time, via an embedded low-power field programmable gate array (FPGA). This processor implements an AP detector algorithm based on adaptive thresholding, which allows to compress the signals by transmitting only the detected waveforms. Each AP is further compressed by a Symmlet-2 discrete wavelet transform (DWT) followed dynamic discrimination and requantification of the DWT coefficients, making it possible to achieve high compression ratios with a good reconstruction quality. Results demonstrate that this algorithm is more robust than existing approach, while allowing to reconstruct the compressed signals with better quality (average SNDR of 25 dB 5% for a compression ratio (CR) of 4.2). With detection, CRs greater than 500 are reported during the in vivo validation. The use of commercial components in wireless optogenetic systems increases the size and power consumption, while not being optimized for this application. The second phase of the project consisted in designing a complementary metal oxide semiconductor (CMOS) system-on-chip (SoC) for neural recording and multi-channel optogenetics, which significantly reduces the size and energy consumption compared to commercial alternatives. This is important contribution, since it’s the first chip to integrate both features. This SoC has 10 recording channels and 4 optogenetic stimulation channels. The bioamplifier design includes a programmable bandwidth (0.5 Hz -7 kHz) and a low input-referred noise (IRN of 3.2 μVrms), which allows targeting different biological signals (AP, LFP, etc.). The Delta-Sigma (DS) MASH 1-1-1 low-power analog-to-digital converter (ADC) is designed to work with low OSR (50), as to reduce its power consumption, and has a programmable resolution (ENOB of 9.75 bits with an OSR of 25). This ADC uses a new technique to reduce its circuit size by subtracting the output of each DS branch in the digital domain, rather than in the analog domain, as done conventionally. A recording channel, including the bioamplifier, the DS and the decimation filter, consumes 11.2 μW. Optical stimulation is performed with an on-chip LED driver using a regulated cascode current source with feedback, which accommodates a wide range of LED parameters and battery voltages. The SoC is integrated into a wireless optogenetic platform and validated in vivo.To date and excluding this project, no wireless system is making closed-loop optogenetics simultaneously to real-time monitoring of neuronal activity. An important contribution of this work is to have developed the first multi-channel optogenetic system that is able to work in closed-loop, and the first to be validated during in vivo experiments involving freely-moving animals. To do so, the third phase of the project aimed to design a digital CMOS chip, called neural decoder integrated circuit (ND-IC). The ND-IC and the SoC developed in Phase 2 are integrated within a wireless optogenetic system. The ND-IC has 3 main cores: 1) the adaptive AP detector core, 2) the compression core with a new sorting tree for discriminating the DWT coefficients, and 3 ) the AP automatic classification core that reuses the data generated by the detection and compression cores to reduce its complexity. A link between a recording channel and a stimulation channel is established according to the association of each AP with a neuron, thanks to the classification, and according to the bursting activity of this neuron. The ND-IC consumes 56.9 μW and occupies 0.08 mm2 per channel. The system weighs 1.05 g, occupies a volume of 1.12 cm3, has an autonomy of 3h, and is validated in vivo