Update/review: The Physics of Phaco: A Review
Update/review: The Physics of Phaco: A Review
Update/review: The Physics of Phaco: A Review
Despite its unparalleled success in the field of surgery, the precise mechanism of
ultrasonic phacoemulsification cataract extraction remains controversial. We review
the relevant peer-reviewed literature on the subject of power generation and
tip–tissue interactions to clarify the current status of our knowledge. We conclude
that phacoemulsification most likely operates by a combination of mechanisms,
including direct action of the vibrating tip against tissue and indirect cavitational
effects. Surgeons will benefit from understanding the physical principles underlying
phacoemulsification because they will be better able to evaluate the performance of
various parameters and different machine settings.
J Cataract Refract Surg 2005; 31:424–431 ª 2005 ASCRS and ESCRS
by an electric coil. The magnetic field induced by the among the multiple layers of crystals that are needed to
high-frequency electric current flowing through the coil provide adequate stroke amplitudes, and the structural
excites the oscillation. The advantages of magnetostric- brittleness of the crystal itself. These properties limit the
tive transducers include contact-free excitation, which longevity of the transducers. They are delicate and
prevents deterioration at the junction of the current and deteriorate from accidental mechanical injury and the
the transducer. These transducers, coupling elements, oscillation they produce.
and the entire handpiece are rugged, withstanding Every material has an inherent frequency at which it
mechanical injury, and have a long lifespan. Their vibrates naturally. This is called its resonant frequency. If
primary disadvantage is a relative low grade of excited to vibrate at this frequency, the transformation
efficiency. Only a small part of the energy input is into mechanical amplitude will be optimal and the
transformed into mechanical action; most becomes creation of other forms of energy, principally heat, will
heat. Heating not only carries the risk for tissue burn but be minimized. The creation of balanced crystals, their
also makes the transducer lose efficiency with rising attachment to the horn, and the weight of the titanium
temperatures. Also, in the original design, the concen- phaco needle must therefore be carefully controlled
tric aspiration line had to be brought out in front of during manufacturing.
the lamellar stack, necessitating 2 sharp bends that fre- The phaco procedure is less controlled. In the
quently clogged. course of phaco, the needle is passed through and inside
Recent improvements include increased efficiency material of inconsistent resistance. The aqueous is less
through sophisticated ferromagnetic metal alloys with resistant than a soft nucleus, and a soft nucleus less
rare earth elements and engineering modifications that resistant than a mature one. Thus, for example, as the
allow the irrigation and aspiration lines to be concen- phaco needle travels through balanced salt solution into
trically brought straight through the track to the tip. a hard nucleus, the resonant frequency must be adjusted
This not only avoids the clog-prone bends but also to prevent inefficient emulsification. The result of
provides a double stream of constantly flowing cooling inefficient emulsification is prolonged phaco time,
fluid through all elements of the vibrating system, higher power, and increased heat generation. Therefore,
obviating the need for a separate cooling system, as modern phaco systems now have a built-in feedback
found on the older handpiece. loop that constantly adjusts or tunes the oscillating
Piezoelectric transducers are based on the reversals frequency to an optimal resonance. This is a function of
of the piezoelectric phenomenon. Upon compression, the central processing unit (CPU) of the machine. It will
certain crystals produce electric current. In reverse, read the change in resistance of the phaco needle and
electric current causes the crystal to contract. Applying make minute adjustments in the stroke length or fre-
current to a crystal at high frequency will cause it to quency. The greater the frequency of the corrections,
oscillate at that frequency. the more effective the emulsification will be.
The crystal is mounted on the ultrasonic horn, Power is the product of oscillatory frequency (hertz,
a piece of tubing of narrowing diameter, eventually cycles per second, secÿ1) and the work associated with
ending with the attachment of the phaco needle. The a given stroke length. Frequency is defined as the speed
narrowing diameter tube acts as an amplifier to generate of the needle movement. It is determined by the manu-
adequate power for emulsification. facturer of the machine. Currently, most machines
The advantages of piezoelectric crystals include operate at a frequency of between 35 000 cycles per
a high grade of efficiency and therefore little inherent second (hertz) and 45 000 cycles per second. This
heat generation, with no need for extra cooling. The frequency range is the most efficient for nuclear emulsi-
crystals’ low mass allows rapid movement and precise fication. Lower frequencies appear to be less efficient,
control. Many new handpieces use multiple crystals and higher frequencies create excess heat.
(usually 2 to 4 sets) to maximize responsiveness and Frequency is held constant by tuning circuitry
provide adequate power to emulsify the mature hard designed into the machine’s CPU. Stroke length is
nucleus. Disadvantages include the connection points defined as the length of the needle movement. This
between crystal and electric current, the connections length is generally 2 to 6 mil (thousandths of an inch).
Most machines operate in the 2 to 4 mil range. Longer horn–tip impact and other mechanical forces, operating
stroke lengths are prone to generate excess heat. The in combination with hydrodynamic forces applied to
longer the stroke length, the greater the physical impact the tissue on the forward stroke in each cycle. No
on the nucleus. Stroke length is determined by foot evidence of cavitation in tissue was observed.’’ Using an
pedal excursion in position 3 during linear control of ultrasonic unit similar to the CUSA (Valleylab) set at
phaco. Although the frequency is unchanged, the ampli- 23 kHz with peak amplitude of about 330 mm, they
tude of the sine wave is increased in direct proportion to measured the transmitted waveform in water with
the depression of the foot pedal.3 calibrated hydrophones. While they observed both
acoustic streaming and cavitation in water, they did not
find evidence of cavitation in tissue interactions. They
Effects at the Phaco Tip note that ‘‘the interaction of acoustic energy with tissue
can be expected to be very different from the case of the
The action of phacoemulsification can include
interaction with water.’’5 In water, they found a power
several mechanisms including direct mechanical cut-
threshold above which a pattern of stable cavitation
ting, termed the jackhammer effect, and implosion of
bubbles developed. Using high-speed photography,
microcavitation bubbles, producing extreme yet brief
they described a model of tip–tissue interaction for
instances of heat and pressure.4 Cavitation can be
efficient fragmentation that relies on forward stroke
described simply as growth, oscillation, and collapse of
mechanical force and suction. Bond and Cimino found
micron-sized bubbles in liquids under the influence of
a ‘‘loss of contact’’ with tissue during the back stroke,
an acoustic field. Cavitational effects may be created as
‘‘which limits the fragmentation process to the forward
the phaco needle moves through the liquid medium of
(downward) stroke.’’5 ‘‘Given the absence of the
the aqueous at ultrasonic speeds, creating intense zones
negative part of the pressure cycle, it does not appear
of high and low pressure. Low pressure, created with
that it is possible that cavitation can be a significant
backward movement of the tip, may pull dissolved gas
fragmentation mechanism for the conditions of ‘good
out of solution or vaporize the aqueous solution itself,
fragementation.’’’5
giving rise to microbubbles. Forward tip movement
A more recent study investigated the specific issues
then creates an equally intense zone of high pressure.
of the mechanisms of phacoemulsification with a com-
This produces compression of the microbubbles until
mercially available unit, using straight, 45-degree
they implode.
beveled tips in both continuous and pulse modes (L.J.
However, Boukhny2 has stated that ‘‘all cutting
Bond, et al., ‘‘Physics of Phacoemulsification,’’ pre-
occurs due to mechanical cutting, much like during
sented at the 5th World Congress on Ultrasonics, Paris,
jackhammer action.. cavitation plays no useful role in
France, September 2003). Various ultrasonic measure-
phaco or other cutting ultrasound applications.’’ The
ments were made with 3 types of samples: hard and soft
jackhammer effect is the direct mechanical impact of
tissue phantoms and fresh porcine eyes. A hydrophone
the physical striking of the needle against the nucleus.3
wide-band receiver with effective bandwidth from
The efficiency of this mechanism depends on 2 main
10 kHz to 2.25 MHz was used to record the ultrasonic
prerequisites:
signals. The ultrasonic waves produced by the tip
1. Rapid forward acceleration of the phaco tip. This (horn)–sample impact (at 40 kHz) and any acoustic
overcomes the inertia of the nucleus, penetrating it emissions propagated through the test sample to the
rather than driving it away. receiver were measured in the configuration (Figure 1).
2. Close mechanical contact between the tip and the The unit was operated with all types of samples with and
nucleus. Engineers call this force coupling. It is without irrigation and suction. In all cases, material was
obtained by pressing the tip against the nucleus or fragmented and no significant cavitation was detected.
by pressing the nucleus to the tip. Both time domain and spectral measurements were
made, and no evidence of transient cavitation was
Bond and Cimino5 state that ‘‘the primary recorded. Under some conditions, very low level
mechanism for tissue fragmentation is shown to be cavitation events were recorded (Figure 2).
Bond also conducted measurements to determine cavities, or bubbles, in a liquid medium.’’ He dis-
the source of the ‘‘cavitational hiss’’ heard during tinguishes gaseous cavitation, a low intensity release of
phacoemulsification. He noted that without irrigation, dissolved gas, from vaporous cavitation, a high intensity
no hiss was audible. The unit was then operated with vaporization of the liquid medium. Vaporous cavitation
irrigation and no sleeve. The shoulder at the top of the is associated with very high pressure and temperature,
tip was noted to be the source of a fine atomized mist up to 10 000 atmospheres and 3000 C.7 ‘‘At the same
(Figure 3). Bond reported that the hiss only occurred time, free chemical radicals are produced, and even very
when the shoulder of the horn was immersed in fluid tough metals are eroded.’’7
or the sleeve, which entrains irrigation, was attached. Pacifico notes that ‘‘most surgeons view phacoe-
Further investigation showed that some low level cavi- mulsification as a single energy that emulsifies the
tation events occurred near the tip when the irrigation cataractous lens with an action similar to that of
fluid had transported microbubbles down the sleeve. a miniature jackhammer, ignoring the possibility that
Bond therefore concluded that the cavitational hiss was the procedure’s ultrasound energy may have other
produced at the shoulder of the tip and was not relevant dimensions and uses in ophthalmology.’’8 By ‘‘other
to tissue interaction. Based on these findings, it is dimensions,’’ Pacifico means cavitation. He schemati-
reasonable to conclude that ultrasonic cavitation occurs cally describes the creation of a cavity in lens material by
in fluid but not during tip–tissue interaction per se. means of energy release secondary to bubble implosion:
Ensminger,6 however, has noted that ‘‘many of the ‘‘[P]erhaps the cavitation effect is most easily visible
useful effects of ultrasonic energy are associated with when the phaco cuts clearly go deeper and beyond where
cavitation, a term used to describe the formation of mechanical cutting would have stopped.’’8 Davis echoes
Measurement in Contemporary Cataract Surgery,’’ pre- 2. Boukhny M. Phacoemulsification tips and sleeves. In:
sented at the Royal Hawaiian Eye Meeting, Kauai, Buratto L, Werner L, Zanini M, Apple D, eds, Phaco-
Hawaii, January 2004). Regardless of the specific direc- emulsification Principles and Techniques, 2nd ed.
Thorofare, NJ, Slack, 2003; 247–254
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