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Abstract: Problem statement: Metal nanoparticles confine the motion of conduction electrons and
exhibit a strong optical absorption of electromagnetic radiation in the UV-vis-NIR region. The absorption
is classically derived from the collective oscillations of free electrons in a metallic nanostructure as a
consequence of incident electromagnetic radiation polarizing the particle optically embedded in a
dielectric matrix. These oscillations, known as the localized surface Plasmon resonance has been
modelled by Gustav Mie in 1908 using the Maxwell’s equations. Nevertheless, the electrodynamics
approach cannot account for the electronic transitions often displayed in experiment as a broad UV-vis
optical absorption spectrum originated from the conduction electrons of metal nanoparticles. A quantum
mechanical approach is required to address the optical absorption spectra of metal nanoparticles
systemically. Approach: In this study, an attempt was made to calculate the optical absorption spectra of
conduction electrons of metal nanoparticle quantum mechanically using the density functional theory.
The particle was an isolated spherical metal nanoparticle containing N atoms confined in a face-centered
cubic lattice structure. When light strikes the particle, the occupied ground-state conduction electrons
absorbed the energy and excite to the unoccupied higher energy-state of the conduction band. In this
development, we used time-independent Schrodinger equation for the ground-state energy of Thomas-
Fermi-Dirac-Weizsacker atomic model for the total energy functional and the density function in the
Euler-Lagrange equation is algebraically substituted with the absorption function. The total energy
functional was computed numerically for silver and gold nanoparticles at various diameters. Results: The
results showed broad absorption spectra derived from the occupied ground-state conduction electrons at
the orbital {n = 5 and l = 0 or 5s} for silver and {n = 6 and l = 0 or 6s} for gold, which excite to the
unoccupied higher energy of conduction band at the orbital {n≥6 and l = 0 or 1} for silver and {n≥7 and l
= 0 or 1} for gold. A nonlinear red-shift of the absorption peak λmax, appearing at 404.79, 408.36, 412.55,
415.73, 418.42 and 420.96 nm for silver and at 510.28, 520.91, 533.11, 542.35, 549.74 and 556.04 nm for
gold when the particle diameter varies at 4, 5, 7, 10, 15 and 25 nm respectively. The quantum
confinement effect of the conduction bands is stronger for silver and gold nanoparticles of less than about
20 nm in diameter. Conclusion: The optical absorption spectra of silver and gold nanoparticles have been
successfully calculated using a quantum treatment and this calculation could be extended to other
transition metal nanoparticles of interest in nanoscience and nanotechnology.
Key words: Metal nanoparticles, optical absorption theory, quantum mechanical, density functional
theory, numerical calculation
According to the classical electrodynamics theory, the states. In metal nanoparticles, the electron-hole
absorption is derived from the collective oscillations of interaction is screened off and the conduction electrons
free electrons in metallic nanostructures as a behave as nearly free.
consequence of incident electromagnetic radiation The present study describes a fully quantum
polarizing the particles. These oscillations, known as mechanical calculation of the optical absorption spectra
the Localized Surface Plasmon Resonance (LSPR), are of Ag and Au nanoparticles based on time-independent
unique to metallic nanostructures and their resonance DFT. The particle is an isolated single solid metal
frequency is dependent on the particle characteristics nanosphere containing N atoms arranged in a face-
such as the size, shape and chemical composition and cantered cubic lattice structure. The total energy
the surrounding medium’s dielectric properties. functional is the ground-state energy functional of the
Light extinction in a single spherical nanoparticle Thomas-Fermi-Dirac-Weizsacker atomic model to
of arbitrary size embedded in an optically dielectric allow for the ground-state conduction electron density
matrix has been modelled by Mie (1908) using the to be finite at the lowest energy state of the conduction
Maxwell’s equations. The theory provides excellent band. The optical absorption of conduction electrons
results for very small nanoparticles of few nanometres may be calculated by DFT because there is a
in diameter. Several methods have been developed to relationship between the electron density function and
determine the optical properties of non-spherical the absorption function. In this development, the
particles based on the electromagnetic theory electronic density function in the final Euler-
(Bruzzone et al., 2003; Okamoto and Yamaguchi, 2003; Lagrangian equation is algebraically substituted with
Noguez, 2005; Renteria and Garcia-Macedo, 2006). the absorption function. Our study includes the
Nevertheless, the electrodynamics-based theories calculation of Lagrange multipliers, lattice constants,
cannot account for the energy discretization of nuclear and electronic potentials, ground-state wave
conduction electrons, which is the fundamental vectors, number of atoms and conduction electrons in a
electronic property of metal nanoparticles. given particle size and optical absorption spectrum.
A more satisfying treatment of light interaction
with conduction electrons of metal nanoparticles MATERIALS AND METHODS
requires a quantum theory consideration. Considerable
efforts have been made to calculate the optical Theoretical and numerical simulation: The schematic
absorption and excitation of the valence electrons in version of the band structure of metal nanoparticle is
metal nanoparticles based on the Time-Dependent shown in Fig. 1. When light strikes the particle, the
Density Functional Theory (TD-DFT) (Hakkinen and occupied ground-state conduction electrons absorbed
Moseler, 2004; Sarasola et al., 2004; Negrut et al., photon energy and excite to the unoccupied higher
2006; Samal and Harbola, 2006; Aikens et al., 2008; energy-state of the conduction band. These events are
Gonzalez and Noguez, 2007; Huang and Carter, seen in UV-visible absorption spectra measurements
2008; Chen and Zhou, 2008; Zheng et al., 2009). The and can be used to study the conduction band electronic
optical absorption spectra of metal nanoparticles can be structures of the metallic nanoparticles.
determined from the ground-state density through the In quantum mechanical calculation, Hohenberg-
Hamiltonian operator because it characterizes all of the Kohn-Sham DFT (Thomas, 1927) has been most widely
energy states of a system. However, quantum used to study the electronic structures of many-electron
mechanical approach to quantify the optical absorption systems such as nanostructures. The early foundations
of conduction electrons of metal nanoparticles has not of DFT are due to the Hohenberg and Kohn theorem
been addressed systemically. The discrete absorption and Kohn-Sham equations, where the ground state
spectra of conduction electron transitions have not been electron density ρ(r) is the basic variable, from which
seen in optical measurements. Instead, UV-visible all ground state properties could be derived. For optical
absorption spectra of metal nanoparticles are often absorption of metal nanoparticles, the ground-state
displayed as a broad spectrum originated from the energy functional E[ρ(r)] may be taken from the
conduction electron transitions with exceptionally Thomas-Fermi-Dirac-Weizsacker atomic model
degenerate states. This is in marked contrast with (Thomas, 1927; Kohn and Sham, 1965; Fermi, 1927;
absorption properties of the valence electrons of metal Dirac, 1930; Von Weizsacker, 1935), written as:
nanoparticles such as luminescence (Drachev et al.,
2004) and fluorescence (Roque et al., 2006), where the E ρ ( r ) = TTF ρ ( r ) + λTW ρ ( r )
quantized states are readily observed due to well- (1)
+ ∫ ρ ( r ) v ( r ) dr + Vee ρ ( r )
defined energy gap between two occupied energy
58
Phy. Intl. 1 (1): 57-64, 2010
E ρ = C k ∫ ρ ( r ) dr + ∫ ρ ( r )v ( r ) dr
5/3
of homogenous free electron gas systems at a given dr + ∫
coordinate r, given by: 8 ρ(r)
(6)
1 ρ ( r ) ρ ( r' )
dr dr' - Ce ∫ ρ ( r ) dr
4/ 3
+ ∫∫
TTF ρ ( r ) = C ∫ ρ(r)
5/3
k
dr (2) 2 r - r'
Ñρ ( r )
2
1 h2
TW ρ ( r ) = ∫ dr (3) The ground-state electron density must satisfy the
8m ρ(r) variational principle:
where, µ is the Lagrange multiplier associated with the ∆l = 0, 1 for angular quantum number, conduction
normalized density functional. For completely electrons receive a plane electromagnetic wave x from
degenerate conduction electrons at absolute zero photons and must overcome the ground-state
temperature, µ is the Fermi energy. This yields the electromagnetic wave vector kn to promote to the higher
Euler-Lagrangian equation and is written as: energy states of the conduction band. The lattice
constants a calculated for Ag and Au nanoparticles are
δE ρ ( r ) δTTF δTW δVee
0.408 and 0.407 nm, respectively. The ground-state
µ= = v(r) + +λ + energy of the conduction electrons has the principle
δρ ( r ) δρ ( r ) δρ ( r ) δρ ( r ) (9)
quantum number n = 5 and 6 for Ag and Au
nanoparticles respectively. The Fermi levels µ
The Euler-Lagrangian Eq. 6 may be presented in calculated for Ag and Au atoms to be 5.49 and 5.53 eV
terms of functional derivatives: respectively. By using Bloch’s theorem and the Born-
von Karman conditions, we reach the boundary
5 λ Ñρ ( r )
2
Ñ 2ρ ( r ) conditions at the end points of the nanocrystal of σ0 = 0
Ck ∫ ρ ( r ) dr +
2 /3
3 8 ρ2 ( r )
- 2
ρ(r)
and σN = 0, where the two end points overlap to form a
(10) lattice loop. For numerical calculation, the absorption
ρ (r ) 4 and wavelength in the Euler-Lagrangian equation are
+v ( r ) + e 2 ∫ dr - Ce ∫ ρ ( r ) dr = µ
1/ 3
∂ 2σ ( x ) / ∂x 2 = ( σi +1 + σi −1 − 2σi ) / ∆ 2
where, r, the displacement coordinate of the conduction
electrons from the centre of nanosphere and is
dependent on the Bohr radius a0, atomic number Z, the and
principle quantum number n and the angular quantum
number l. For ground-state conduction electrons at ∂σ ( x ) / ∂x = ( σi +1 − σi −1 ) / 2∆
absolute zero temperature, µ is the Fermi energy. We
found that the density of conduction electrons ρ(r) of an where, i = 0, 1, 2,……N are integers representing the
atom is a function of atomic number Z and absorption number of atoms that made up the spherical volume of
σ(r) or ρ(r) = ρ{Z, σ(r)}. Since both ρ(r) and σ(r) are a given diameter. The multivariate equations may be
continuous functions, the transformation of the density solved numerically by a trapezoid integration method
functional energy E[ρ(r)] to the absorption functional using the Newton iterative program with a mesh size, ∆
energy E[ρ(r)] can be made by algebraically = 0.01. Numerical simulations are carried out on single
substituting the electron density function in the Euler- particle of different sizes.
Lagrangian Eq. 10 with the absorption function:
RESULTS AND DISCUSSION
∂ 2σ ( r ) c1 ∂σ ( r )
2
Figure 2 depicts the calculated optical absorption
+ + c2 ( v − µ ) σ ( r )
∂r 2 σ ( r ) ∂r spectra as a function of wavelength of the incident
(11) photons for a 4 nm Ag nanoparticle containing 50 atoms.
+ c 3σ ( r )
1/ 2
+ c4 = 0 The absorption spectra are derived from the occupied
ground-state conduction electrons at the orbital 5s,
where, c1, c2, c3 and c4 are constants. The final Euler- which excite to the unoccupied higher-energy states of
Lagrangian Eq. 11 is the second order differential conduction band at the orbital ns or np or both with
equation in terms of the absorption function. many possible transitions at n≥6 and l = 0 or 1. Here
The absorption functional energy E[σ(r)] of the shown only for ten transitions from 5-10s, 13, 15, 20
conduction electrons is dependent on the particle type and 25s (n≥6, ∆l = 0) and from 5s to10p, 13, 15, 20 and
described by the atomic number, Fermi energy, 25p (n≥6, ∆l = 1). Each spectrum represents transitions
potential energy and electron density, on the particle made by 50 conduction electrons to produce an
size described by the number of atoms that made up the absorption peak of λmax. It is interesting to note that
spherical volume, lattice constant and ground-state despite many possible transitions, the discreteness of
wave vector and on the quantum number selection rules the conduction band does not clearly manifests itself
for the principle and angular quantum numbers. The because the absorption peak λmax of each transition
transition ∆n≥1 for the principle quantum number and spectrum is very close to the other transitions.
60
Phy. Intl. 1 (1): 57-64, 2010
very significant for the smaller particle sizes than the Anno, E. and M. Tanimoto, 2006. Size-dependent
larger particle sizes. This means strong quantum change in energy bands of nanoparticles of white
confinement conduction band effects of the Ag and Au tin. Phys. Rev., 73: 155430-155436.
nanoparticles occurred for smaller particle sizes below Banfi, G.P., V. Degiorgi and D. Ricard, 1998.
about 20 nm. This effect is less significant with the Nonlinear optical properties of semiconductor
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In summary, we successfully used a quantum
Cannone, F., M. Collini, L. D’Alfonso, G. Baldini and
mechanical approach to simulate numerically the optical
G. Chirico et al., 2007. Voltage regulation of
absorption spectra of the Ag and Au nanoparticles based
fluorescence emission of single dyes bound to gold
upon time-independent DFT. The optical absorption is
nanoparticles. Nano Lett., 7: 1070-1075.
derived from light impinging on the metal nanoparticle
Chattaraj, P.K. and S. Sengupta, 1997. Dynamics of
causing the occupied ground-state conduction electrons
chemical reactivity indices for a many-electron
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are sensitive to the particle type, which characterizes by
Chen, H. and A. Zhou, 2008. Orbital-free density
the atomic number, Fermi energy, absorption function,
functional theory for molecular structure
potential energy of the system and absorption and
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by the number of atoms and lattice constant. The
Chen, Y., K. Munechika and D.S. Ginger, 2007.
absorption peaks λmax red-shift to the higher wavelengths Dependence of fluorescence intensity on the
by increasing the particle diameter and appear at 404.79, spectral overlap between fluorophores and Plasmon
408.36, 412.55, 415.73, 418.42 and 420.96 nm for Ag resonant single silver nanoparticles. Nano Lett.,
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ACKNOWLEDGEMENT Fermi, E., 1927. Un metodo statistico per la
determinazione di alcune priorieta dell’atome.
This study was supported by the Ministry of Higher Rend. Accad. Naz. Lincei, 6: 602-607.
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