Smart Nanoparticles Technology PDF

SMART NANOPARTICLES
TECHNOLOGY
Edited by Abbass A. Hashim
Smart Nanoparticles Technology
Edited by Abbass A. Hashim
Published by InTech
Janeza Trdine 9, 51000 Rijeka, Croatia
Copyright © 2012 InTech

All chapters are Open Access distributed under the Creative Commons Attribution 3.0
license, which allows users to download, copy and build upon published articles even for
commercial purposes, as long as the author and publisher are properly credited, which
ensures maximum dissemination and a wider impact of our publications. After this work
has been published by InTech, authors have the right to republish it, in whole or part, in
any publication of which they are the author, and to make other personal use of the
work. Any republication, referencing or personal use of the work must explicitly identify
the original source.
As for readers, this license allows users to download, copy and build upon published
chapters even for commercial purposes, as long as the author and publisher are properly
credited, which ensures maximum dissemination and a wider impact of our publications.
Notice
Statements and opinions expressed in the chapters are these of the individual contributors
and not necessarily those of the editors or publisher. No responsibility is accepted for the
accuracy of information contained in the published chapters. The publisher assumes no
responsibility for any damage or injury to persons or property arising out of the use of any
materials, instructions, methods or ideas contained in the book.
Publishing Process Manager Sandra Bakic

Technical Editor Teodora Smiljanic
Cover Designer InTech Design Team
First published April, 2012

Printed in Croatia
A free online edition of this book is available at www.intechopen.com

Additional hard copies can be obtained from [email protected]
Smart Nanoparticles Technology, Edited by Abbass A. Hashim

p. cm.
ISBN 978-953-51-0500-8
Contents
Preface IX
Part 1 Metallic Nanoparticles 1
Chapter 1 Metallic Nanoparticles Coupled

with Photosynthetic Complexes 3
Sebastian Mackowski
Chapter 2 Hollow Nano Silica: Synthesis,

Characterization and Applications 29
N. Venkatathri
Chapter 3 Synthesis of Titanate and Titanium Dioxide Nanotube

Thin Films and Their Applications to Biomaterials 41
Mitsunori Yada and Yuko Inoue
Chapter 4 Self-Organization of Silver-Core Bimetallic Nanoparticles

and Their Application for Catalytic Reaction 67
Kazutaka Hirakawa
Chapter 5 Utilization of Nanoparticles Produced by Aqueous-Solution

Methods – Formation of Acid Sites on CeO2-TiO2
Composite and 1-D TiO2 for Dye-Sensitized Solar Cells 93
Motonari Adachi, Keizo Nakagawa, Yusuke Murata,
Masahiro Kishida, Masahiko Hiro, Kenzo Susa,
Jun Adachi, Jinting Jiu and Fumio Uchida
Chapter 6 Experimental and Theoretical Study of

Low-Dimensional Iron Oxide Nanostructures 119
Jeffrey Yue, Xuchuan Jiang, Yusuf Valentino Kaneti and Aibing Yu
Part 2 Testing Technology 147
Chapter 7 Iron Oxide Nanoparticles Imaging Tracking by MR

Advanced Techniques: Dual-Contrast Approaches 149
Shengyong Wu
VI Contents
Chapter 8 Nanoscale Electrodeposition of Copper

on an AFM Tip and Its Morphological Investigations 173
Udit Surya Mohanty, S. Y. Chen and Kwang-Lung Lin
Chapter 9 New Trends on the Synthesis of Inorganic Nanoparticles

Using Microemulsions as Confined Reaction Media 195
Margarita Sanchez-Dominguez, Carolina Aubery
and Conxita Solans
Chapter 10 Polymeric Nanoparticles Stabilized by Surfactants:

Controlled Phase Separation Approach 221
Sergey K. Filippov, Jiri Panek and Petr Stepanek
Chapter 11 Phase Separations in Mixtures

of a Nanoparticle and a Liquid Crystal 241
Akihiko Matsuyama
Chapter 12 Laser-Combined STM and Related Techniques

for the Analysis of Nanoparticles/Clusters 269
Hidemi Shigekawa, Shoji Yoshida,
Masamichi Yoshimura and Yutaka Mera
Chapter 13 On the Optical Response of Nanoparticles:

Directionality Effects and Optical Forces 287
Braulio García-Cámara, Francisco González,
Fernando Moreno, Raquel Gómez-Medina,
Juan José Sáenz and Manuel Nieto-Vesperinas
Chapter 14 Deexcitation Dynamics of a Degenerate

Two-Level Atom near (Inside) a Body 309
Gennady Nikolaev
Part 3 Properties and Applications 333
Chapter 15 Thermal Property Measurement

of Al2O3-Water Nanofluids 335
Fei Duan
Chapter 16 Magnetic Nanoparticles:

Its Effect on Cellular Behaviour
and Potential Applications 357
Hon-Man Liu and Jong-Kai Hsiao
Chapter 17 Thermal Effects on the Ferromagnetic

Resonance in Polymer Composites
with Magnetic Nanoparticles Fillers 373
Mirosław R. Dudek, Nikos Guskos and Marcin Kośmider
Contents VII
Chapter 18 Nanoparticle Dynamics in Polymer Melts 387

Giovanni Filippone and Domenico Acierno
Chapter 19 Dielectric and Transport Properties

of Thin Films Deposited from Sols
with Silicon Nanoparticles 407
Nickolay N. Kononov and Sergey G. Dorofeev
Chapter 20 Self-Assembly of Nanoparticles

at Solid and Liquid Surfaces 441
Peter Siffalovic, Eva Majkova, Matej Jergel,
Karol Vegso, Martin Weis and Stefan Luby
Chapter 21 View on the Magnetic Properties of Nanoparticles

Com (m=6,8,10,12,14) and Co6On (n=1-9) 467
Jelena Tamulienė, Rimas Vaišnoras,
Goncal Badenes and Mindaugas L. Balevičius
Chapter 22 Nanofluids 497

Wei Yu, Huaqing Xie and Lifei Chen
Chapter 23 Thermal Conductivity of Nanoparticles Filled Polymers 519

Hassan Ebadi-Dehaghani and Monireh Nazempour
Chapter 24 Magnetic Properties and Size Effects

of Spin-1/2 and Spin-1 Models of Core-
Surface Nanoparticles in Different Type Lattices 541
Orhan Yalçın, Rıza Erdem and Zafer Demir
Chapter 25 Organic Semiconductor Nanoparticle Film:

Preparation and Application 561
Xinjun Xu and Lidong Li
Preface
In the last few years, Nanoparticles and their applications dramatically diverted
science in the direction of brand new philosophy.
The properties of many conventional materials changed when formed from

nanoparticles. because nanoparticles have a greater surface area per weight than larger
particles which causes them to be more reactive and effective than other molecules.
Currently, Nanoparticle research is a very promising scientific research due to the

wide range of potential and promising applications especially in biomedical, optical
and electronic fields. Nanoparticles are building the bridge of the scientific knowledge
connecting bulk materials to atomic or molecular structures.
This new field of science converts the previous science theories and principles to prove
that the properties of materials change as their size approaches the nanoscale and, as a
result, the percentage of atoms at the surface of a material becomes significantly
smaller. This new concept changes the use of such material in microscale size to be
used in absolutely new and advanced applications by using a nanoscale size of the
same material.
For instance, the mechanical properties of bulk Copper are in advantage of this
material for its use in manufacturing. Copper nanoparticles smaller than 50 nm show a
super hard mechanical property that does not exhibit the same malleability and
ductility as bulk copper. On the other hand, Ferroelectric materials which are widely
used in memory storage applications smaller than 10 nm can switch their
magnetisation direction using room temperature thermal energy, thus making them
useless for memory storage.
In this book, we (InTech publisher, editor and authors) have invested a lot of effort to
include 25 most advanced technology chapters. The book is organised into three well-
heeled parts. Part one contains 6 chapters discussing the metallic Nanoparticle and
reviewing some of the advantages, synthesisation, organization and functioning of a
selective metallic Nanoparticle as well as the development of preparation technology.
The second part focuses on the Nanoparticle testing technology. Testing techniques
are extremely important for the particle within the size of few nm. Experts presented
their own experience in this field to be shared, considered and improved by other
X Preface
ambitious scientists. Eight chapters describe different techniques with emphasis on the
updating knowledge. Preparation and application are also described in part three
which contains eleven chapters.
We would like to invite all Nanotechnology scientists to read and share the knowledge
and contents of this book.
Dr. Abbass A. Hashim

Head Director of ES4TD
Education Scheme for Training and Developments
UK
Part 1
Metallic Nanoparticles
1
Metallic Nanoparticles Coupled with

Photosynthetic Complexes
Sebastian Mackowski
Optics of Hybrid Nanostructures Group
Institute of Physics, Nicolaus Copernicus University, Torun
Poland
1. Introduction
Plasmon excitations in metallic nanoparticles provide an efficient way to manipulate
electromagnetic fields at the nanoscale (Maier, 2004). While the interactions between
plasmons and simple nanostructures such as organic dyes or semiconductor nanocrystals is
relatively well described and understood, application of metallic nanoparticles to multi-
pigment structures has started just recently (Carmeli, 2010; Govorov, 2008; Kim, 2011;
Mackowski, 2008; Nieder, 2010). Light-harvesting complexes, or more generally,
photosynthetic complexes, are quite appealing in this regard as they not only provide an
interesting biomolecular system for studying plasmon effect on both the optical properties
of pigments and the energy transfer between them, but also they could offer attractive
potential application route in photovoltaics (Atwater & Polman, 2010; Mackowski, 2010).
Extending concepts and methods that have been developed for describing the coupling of
single organic chromophores with plasmon excitations in metallic nanoparticles (Anger,
2006; Chettiar, 2010; Govorov, 2006) to multi-chromophoric biological systems has not been
completely straightforward from both theoretical and experimental points of view. On the
one hand, organic molecules or semiconductor quantum dots are much more robust
nanostructures than pigment-protein complexes, therefore, the sample preparation in the
latter case should be more gentle, so that the protein itself maintains its structure. Preserving
protein structure implies that the function of the complex as a whole also remains intact.
This assures conservation of the energy transfer pathways between various chromophores
comprising the complex as well as identical optical properties, including absorption and
fluorescence, to that of the isolated (decoupled from a metallic nanoparticle) biomolecule.
On the other hand, from the theory standpoint, biomolecules, and in particular light-
harvesting complexes, render themselves a real challenging system to model due to
multitude of interactions between chromophores such as chlorophylls and carotenoids
(Blankenship 2002), which results in many energy transfer pathways and formation of
strongly coupled excitonic systems, as well as conformational changes of the protein itself.
Nevertheless, driven by the continuous development of optical spectroscopy and
microscopy techniques (Polivka & Sundstom 2004) as well as more efficient modeling tools,
significant progress has been achieved in understanding interactions and functions of light-
harvesting complexes. It has also been helped by high-resolution crystal structures of the
4 Smart Nanoparticles Technology
complexes (Hofmann 1996; McDermott, 1995), enabling thus direct association of the
pigments as well as their interactions both with themselves and the protein with the actual
structure and spatial arrangement of the pigments in these systems.
The purpose of this chapter is to review recent research carried out on hybrid
nanostructures composed of metallic nanostructures and light-harvesting complexes. In
general, the research is focused on improving the light absorption of the light-harvesting
complexes through properly designed plasmonic nanostructures. However, before we start
discussing particular hybrid nanostructures fabricated in the context of plasmonically
enhanced absorption of light-harvesting complexes, we describe two basic concepts of
metal-enhanced fluorescence: distance dependence of the fluorescence intensity and the
influence of spectral properties of metallic nanoparticles and placed nearby molecules
(Anger, 2006). This brief introductory discussion is essential for understanding the rationale
behind designing hybrid nanostructures that involve biological fluorescing complexes.
Fig. 1. Dependence of the quantum yield and non-radiative fluorescence quenching upon
the distance. Fluorescence intensity of a chromophore displayed as a function of the distance
between the chromophore and spherical metallic nanoparticle with 40 nm diameter.
The optical properties of a fluorophore placed in the vicinity of a metallic nanoparticle are
strongly affected by plasmon excitations induced in the latter by a laser light. Without a
metallic nanoparticle, a fluorophore is characterized with three rates: absorption rate,
radiative rate, and non-radiative rate. Since the oscillation of electrons in the metallic
nanoparticle results in creation of local electromagnetic field, in principle all three rates can
be changed (Lakowicz, 2006). In addition, another process related to non-radiative energy
transfer from the fluorophore to the metallic nanoparticle could also take place in such a
hybrid nanostructure. The influence of plasmon excitations upon the quantum yield of a
fluorophore and non-radiative energy transfer between the fluorophore and metallic
nanoparticle has been recently studied theoretically. In particular, the dependence on the
separation distance between the two nanostructures has been analyzed in detail. It turns out
that the distance between the fluorophore and metallic nanoparticle is of critical importance
in regard to the process that plays dominant role in such a system. In Fig. 1 we show the
dependence of the excitation rate and quantum efficiency of a fluorophore upon the distance
to the metallic nanoparticle. In this example we consider a metallic nanoparticle with
diameter of 40 nm. The excitation efficiency increases exponentially with reducing the
distance, which is a clear manifestation of stronger electromagnetic field felt by the
Metallic Nanoparticles Coupled with Photosynthetic Complexes 5
fluorophore due to plasmon excitation in the metallic nanoparticle. On the other hand, the
quantum efficiency, when approaching the range of distances shorter than 20 nm, starts to
drop significantly, due to the non-radiative energy transfer from the fluorophore to the
nanoparticle. The net result of these two processes in displayed in Fig. 1, where a clear non-
monotonic dependence of the intensity of fluorescence emitted by the fluorophore upon the
distance to the metallic nanoparticle can be seen. Importantly, the strongest plasmon
induced enhancement of the fluorescence occurs for distances between 10 and 30 nm; for
smaller distances non-radiative fluorescence quenching dominates, while for longer
distances the fluorophore barely feels the presence of the metallic nanoparticle.
Fig. 2. Comparison between absorption spectra of spherical end elongated gold

nanoparticles with the fluorescence and absorption of the LH2 complex. In the first case
plasmon excitations should influence mainly the absorption in the visible range, in the
second case the effect should be visible for absorption and emission in the infrared.
Another critical parameter that influences the interaction between metallic nanoparticle and
fluorophore is the relation of their spectral properties. This is shown schematically in Fig. 2. In
the first case scenario the absorption of metallic nanoparticles overlaps significantly with
absorption of a biomolecule (in this case this is the LH2 complex from purple bacteria) in the
spectral range of about 530-550 nm, while featuring virtually no overlap with the fluorescence.
One may expect that for such a combination the major influence of metallic nanoparticles is
due to absorption enhancement. In contrast, for a hybrid nanostructures built of components
characterized with spectral properties as those displayed in Fig. 2b, there should be absorption
enhancement both around 560 nm as well as in the infrared spectral region, around 800 nm. In
addition, since there is a spectral overlap between plasmon band and fluorescence emission,
the radiative rate should also increase as a result of plasmon excitation.
Optical spectroscopy provides variety of techniques that allows for distinguishing between
various processes that determine the net effect of plasmonic excitations in metallic
nanoparticles on a fluorophore. Indeed, in an ideal situation, where only absorption rate is
affected by the plasmon excitation, there should be no change in the fluorescence decay
time, while an additional band should appear in the fluorescence excitation spectrum. In
contrast, when only radiative rate increases as a result of plasmon coupling, the fluorescence
excitation spectrum for a hybrid nanostructure should be identical to the reference structure,
with much shorter fluorescence decay time. Several experimental configurations exhibiting
these various aspects of plasmon coupling with pigment – protein complexes are discussed
in this contribution.
2. Materials and methods

In this section we introduce the structure and the optical properties of light-harvesting
complexes used in our studies as well as present basic characteristics of metallic
nanostructures, including their morphology and plasmon characteristics. Next we present
experimental techniques employed for investigating the interactions between plasmon
excitations and chromophores embedded in the proteins. These include standard absorption
and fluorescence/fluorescence excitation spectroscopy, both in solution and in a layered
geometry, as well as confocal fluorescence microscopy coupled with time-resolved
capability and spectrally-resolved detection. Combination of all these experimental
techniques allows for comprehensive description of plasmon-induced effects on the complex
biomolecular systems.
2.1 Light-harvesting complexes

Pigment-protein complexes that take part in photosynthesis can be generally divided into
two groups: complexes containing reaction centers, which carry out charge separation, and
complexes responsible solely for harvesting the sunlight and transferring it to the reaction
centers. Large proteins of Photosystem I and Photosystem II fall into the first category, while
light harvesting complex 2 (LH2) from purple bacteria and peridinin – chlorophyll – protein
(PCP) complex from algae belong to the second group. As the structure and function of all
these biomolecules has been described in detail previously, we focus here only on the
aspects that are relevant for understanding the influence of plasmon excitations on the
optical properties of light-harvesting systems, PCP and LH2.
2.1.1 Peridinin-chlorophyll-protein
Light-harvesting complexes were developed in the course of evolution in order to enhance
and broaden the absorption of photosystems for the efficient use of sunlight in
photosynthesis. Their major function of these pigment-protein complexes is to harvest the
sunlight and transfer the energy to the Photosystems. Peridinin-chlorophyll-protein (PCP)
found in Dinoflagellates Amphidinium carterae is one of many such complexes. It is a water-
soluble protein employed as an antenna external to the membrane. The structure of the PCP
complex, shown in Fig. 3, has been determined with 1.3 Å resolution using X-ray
crystallography (Hofmann, 1996). The native form of PCP consists of two chlorophyll a (Chl)
and eight peridinin (Per) molecules embedded in a protein matrix. All the pigments are
arranged in two almost similar clusters and embedded in the hydrophilic protein capsule.
The conjugated portion of each Per is close to the chlorophyll tetrapyrrole ring at a van der
Waals distance (3.3 to 3.8 Å), the distance between Mg atoms of the two Chl a in one
monomer is 17.4 Å and intercluster edge-to-edge distances between Per are in the range of
4-11 Å. The ratio of Per to Chl a of 4:1 indicates that PCP utilizes the carotenoids as its main
light-harvesting pigments. It has been shown that the PCP complex can be reconstituted
with other Chl derivatives which exhibit different optical properties (Brotosudarmo, 2006).
Importantly, the folding of the protein used in the reconstitution procedure takes place over
almost identical pathway as in the native system, which results in very similar structures of
the reconstituted systems. Since each of these chlorophyll molecules features specific
absorption and emission characteristics, it became possible to construct and study the
energy transfer dynamics as well as inter-pigment interactions in a well-defined geometry

given by the protein (Mackowski, 2007, Polivka, 2005).
Fig. 3. Pigment structure of the PCP complex reconstituted with Chl a together with
absorption (black line) and fluorescence (red line) measured in water solution at room
temperature.
The absorption spectrum of the Chl-PCP displayed in Fig. 3 has an intense, broad band
between 400 to 550 nm that is mainly due to Per absorption, and two Chl – related bands at
440 nm (Soret) and 660 nm (QY). One example of chlorophylls used for reconstituting PCP
complexes is [3-acetyl]-chlorophyll a (acChl). Chemically, it differs from Chl only by the C-3
substituent, but the absorption and fluorescence spectra of acChl-PCP, the PCP complex
reconstituted with acChl, are red shifted as compared to the PCP complex containing Chl.
At the same time the Per absorption in the blue-green spectral range is affected very slightly.
For the PCP complexes reconstituted with acChla the absorption of the Qy band of the
chlorophyll molecules is shifted by approximately 20 nm to the red. The fluorescence
emission of the PCP complex originates from weakly coupled Chl molecules and it appears
at 670 nm for Chl-PCP and 690 nm for acChl-PCP. Upon absorption of light, peridinins in
PCP transfer their electronic excitation to Chl a. The efficiency of this excitation energy
transfer is higher than 90% [20]. Subsequently, Chl a passes the energy on to membrane-
bound light-harvesting complexes and the Photosystem II. Clearly, the absorption spectrum
of PCP enables the photosynthetic apparatus to harness the sunlight not only in the red
spectral range, but it extends it into the blue-green spectral region.
Optical spectroscopy studies of both native and reconstituted PCP complexes have been
carried out on the ensemble (Akimoto, 1996; Kleima, 2000; Krueger, 2001) and single-
molecule levels (Mackowski, 2007; Wormke, 2007a; Wormke, 2008). Using transient
absorption in femtosecond timescale main energy transfer pathways have been described, it
has also been demonstrated that the two Chl a molecules interact relatively weakly with
characteristic transfer time between them to be of the order to 12 ps (Kleima, 2000). These
observations were also corroborated with fluorescence studies of individual PCP complexes:
it has been shown that it is possible to distinguish emission originating from each of the two
Chl a molecules and using the property of sequential photobleaching of the Chl the energy
splitting between the two molecules in the monomer were determined (Wormke, 2007a).
Recent work on PCP complexes reconstituted with both Chl a and Chl b provided coherent
description of the energy transfer pathways and dynamics in this unique antenna
(Mackowski, 2007).
2.1.2 Light-harvesting complex 2

Another example of a pigment-protein complex employed to harness sunlight energy and
transfer it efficiently to reaction centers is a light-harvesting complex 2 (LH2) from purple
bacteria Rhodopseudomonas palustris. This protein is placed in the thylakoid membrane,
where many of LH2 complexes surround relatively widely spaced LH1 complexes, to which
they transfer excitation energy. The BChl a molecules in LH1 have a single strong near-
infrared absorption band of 875 nm, while LH2 has two strong BChl a absorption bands at
800 nm and 850 nm (Fig. 2). In this way the energy gradient is formed, which facilitates
efficient energy transfer from LH2 to LH1 complex, and then further to the reaction center.
Both the structure and the optical properties of the LH2 have been a subject of intense
studies in recent years (van Oijen, 1999; Hofmann, 2003; Bopp, 1997). It has been shown
using atomic force microscopy technique, that LH2 complexes arrange around a LH1 light-
harvesting complex, in the middle of which is a reaction center (Scheuring, 2004). The
spatial arrangement of Bacteriochlorophylls (BChls) and carotenoids in this complex is
displayed in Fig. 4. The X-ray crystallography studies of the LH2 complex have shown that
out of the 27 BChl molecules 18 form a strongly coupled ring with average distances
between the molecules less than 1 nm (McDermott, 1995). This excitonically coupled ring is
responsible for the absorption band at 850 nm. The remaining 9 molecules form a ring of
weakly coupled BChls as they are spaced by more than 2 nm. All pigments, BChls and
carotenoids, are embedded in a hydrophobic protein (not shown). Single molecule
investigations (van Oijen, 1999) proved that the B 850 ring are in fact not fully symmetric,
and the exciton levels feature significant splitting.
Fig. 4. Pigment structure of the LH2 complex together with absorption (black line) and
fluorescence (red line) measured in buffer solution at room temperature.
The absorption spectrum of the LH2 complex is shown in Fig. 4. It consists of two prominent
bands at 800 nm and 850 nm which correspond to absorption of the two rings of BChl
molecules. The carotenoids are in close contact with both BChl rings, and are mainly
responsible for a broad absorption between 390 nm and 550 nm. Importantly, the
fluorescence of LH2, which originates exclusively from the strongly coupled ring (named
B850) has therefore an excitonic character. The presence of strong absorption bands and
fluorescence emission in the infrared spectral range requires – in order to influence the
optical properties of the LH2 complex - application of metallic nanoparticles that feature
plasmon resonances in the near infrared.
2.2 Metallic nanostructures

Metallic structures with nanometric sizes have been the subject of intense research in recent
years due to mainly unique optical properties of these systems that can be used for
manipulating light at the nanoscale, designing biosensors and artificial chiral
nanostructures, enhancing the optical properties of semiconductor nanocrystals and organic
fluorescent dyes, enabling detection of emitters characterized with low fluorescence
quantum yields, such as carbon nanotubes or DNA. In addition to efforts aimed at
exploiting plasmon effect in metallic nanoparticles, significant research have been carried
out to achieve almost perfect control of the morphology of metallic nanoparticles, and thus
the plasmon properties thereof. Among many techniques of fabrication of metallic
nanostructures are evaporation of metallic film on a corrugated substrate (Chettiar, 2010;
Mackowski 2008), nanosphere lithography (Hulteen, 1995), electron beam lithography,
electrochemical deposition, direct formation of silver island film (Ray, 2006), and chemical
synthesis (Link, 1999). Each of these methods requires particular technical capabilities,
frequently the experimental setups for nanostructure fabrication is expensive making them
hardly accessible. Chemical synthesis of nanoparticles however, is quite simple, at least on
the basic level, and, when mastered, provides a way to obtain highly monodisperse
nanoparticles with tailored morphology and surface functionalization. This results in well-
defined optical properties such as energies of plasmon resonances, and conjugation
capabilities to other nanostructures or surfaces. In this contribution we describe the
interactions present in hybrid nanostructures composed of light-harvesting complexes PCP
and LH2 and metallic nanostructures fabricated using chemical deposition of silver island
film on a glass substrate, electron beam assisted deposition of silver island film on a glass
substrate, as well as chemically synthesized gold spherical nanoparticles and nanorods. We
show that by careful design of a hybrid nanostructure we can control the impact of plasmon
excitations in metallic nanoparticles upon the absorption and emission of the chlorophyll-
containing light-harvesting complexes.
2.2.1 Silver island film

One of the simplest to fabricate metallic nanostructures is a corrugated metallic film. The
method to obtain such a film with islands characterized with sizes of tens of nanometers has
been previously applied to study the impact of plasmon interactions upon the fluorescence
of various organic dyes, semiconductor quantum dots, and a few proteins, including the
green fluorescent protein (Lakowicz, 2006; Ray, 2006). Silver island films used in our
experiment were prepared by reducing an aqueous silver nitrate solution. All chemicals
were purchased from Sigma-Aldrich and used as received. First, freshly prepared aqueous
NaOH (1.25 M) was added to a silver nitrate solution. The precipitate was re-dissolved by
adding NH4OH, and the solution was cooled to ~5°C under stirring. After adding D-
glucose, clean microscope cover slips were dipped in the solution, which was then heated
up to 30°C. The resulting Ag-covered glass coverslips were examined using absorption
spectroscopy and atomic force microscopy (AFM). In order to change the morphology and
thus the properties of the silver island film, we fabricated several samples with varied
dipping time in the reaction solution: the coverslips were kept in solution for 1 and 3
minutes. In Fig. 5 we show AFM image of the SIF obtained by dipping the coverslip for 1
minute in the reaction solution. The islands are characterized with average sizes of about 40-
50 nm laterally and the surface density is very high. In addition we also include in Fig. 5 the
absorption spectrum measured for the SIF structure which features plasmon resonance with
a maximum at 450 nm and the linewidth of about 150 nm, and thus matches the absorption
of Per in the PCP complexes.
Fig. 5. Atomic force microscopy image of a silver island film fabricated by chemical
synthesis together with absorption spectrum of the sample obtained for 1 minute-long
dipping time of the glass substrate in the reaction solution. The lateral size of the AFM
image is 5 microns.
2.2.2 Semicontinuous metallic layer

The semicontinuous silver film has been fabricated using electron beam-assisted
evaporation of silver on glass substrate (Chettiar, 2010). While this nanostructure may look
similar to the SIF discussed above, the substrates obtained with the e-bam technique are
typically more homogeneous, the sizes and shapes of the silver islands is controlled to
higher degree. Proper adjustment of the parameters during the evaporation process leads to
corrugated metallic films with designed optical properties. For instance, it has been shown
that by changing evaporation time it is possible to obtain morphologies ranging from
roughly isolated islands to the strongly coalescing ones. Such differences in morphology
resulted in strong shift of plasmon energies towards the red and near infrared spectral
ranges, opening thus completely new possibilities for applying these structures for
controlling the optical properties of infrared – emitting systems. Yet another important
advantage of semicontinuous metallic films fabricated using e-beam assisted evaporation is
the capability of uniform coating of such films with dielectric layers with thicknesses
ranging from a few nanometers up to tens of nanometers. As plasmon induced effects
depend crucially upon the separation between metallic nanoparticles and optically active
molecules, such structures render themselves a highly suitable system for investigating
processes that occur in plasmonic hybrid nanostructures. In particular, the results included
in this contribution have been obtained for a semicontinuous silver film covered with a 25-
nm-thick SiO2 layer evaporated in the same process without exposing the structure to
ambient conditions.
2.2.3 Colloidal metallic nanoparticles

Among metallic nanostructures, ones of the most studied are colloidal metallic
nanoparticles. It is triggered mainly by enormous variety of metallic nanoparticles that can
be synthesized, even with little resources: sizes of the nanoparticles range from a few to a
few hundreds of nanometers. They can also be of essentially any shape: spherical, elongated,
triangular, cube or star-like. Furthermore, since the nanoparticles are synthesized in the
colloidal form, it is possible to functionalize their surface with functional group suitable for
specific attachment to surfaces or conjugation with other nanostructures. Lastly, there have
been many examples for self assembly of metallic nanoparticles in complex structures with
new properties and functions (Link, 1995).
Fig. 6. Scanning electron microscopy images of gold spheres and nanorods. The structural
data is accompanied with absorption spectra measured for these two samples at room
temperature.
In this contribution we report on synthesis of spherical gold nanoparticles and gold

nanorods with the purpose to match absorption bands of light-harvesting complexes. While
spherical gold nanoparticles, which feature plasmon resonances around 500-500 nm
correspond to carotenoid absorption both in the PCP and LH2 complexes, the nanorods
have their resonance also in the infrared, as shown in Fig. 6. By controlling the reaction we
tune the energy of the plasmon resonance exactly to 800 nm, thus matching perfectly the
B800 absorption of the LH2 complex.
Gold nanoparticles were synthesized using a reduction reaction and dispersed in toluene.
The average diameter of the nanocrystals was 5 nm, which results in a plasmon resonance
maximum at 530 nm. The synthesis of Au nanorods was based on seed-mediated growth
in water solution. All chemicals (HAuCl4×3H2O (99.9%), NaBH4 (99%), L-Ascorbic Acid
(99+%), hexadecyltrimethylammoniumbromide (CTAB) (99%), and AgNO3 (99+ %)) were
purchased from Aldrich and used without further purification. Deionized water (Fluka)
was used in all experiments. In order to prepare Au seeds CTAB solution (4.7 ml, 0.1M)
was mixed with 25 μl of 0.05 M HAuCl4. To the stirred solution, 0.3 ml of 0.01 M NaBH4
was added, which resulted in the formation of brownish yellow solution. Seeds solution
was kept at room temperature until further used. For the synthesis we use Au seeds
prepared beforehand. The “seed-mediated” method was developed previously; it is
carried out in aqueous solution at atmospheric pressure and near room temperature.
Appropriate quantities and molarities of CTAB (150 ml, 0.1 M), HAuCl4 (1.5 ml, 0.05 M),
L-Ascorbic acid (1.2 ml, 0.1 M), 0.01 M AgNO3 (1.6 ml, 1.8 ml, 2 ml) and seed (360 μl)
water solutions were added one by one in a flask, followed by a gentle mixing. Addition
of ascorbic acid, as a mild reduction agent, triggered a mixture color change from dark
yellow to colorless. After addition of the seed solution, the mixtures was put into water
bath and kept at constant temperature of 28 ºC for 2 hours. Obtained products were
separated from unreacted substrate and spherical particles by centrifugation at 9.000 rpm
for 60 minutes. The supernatant was removed using a pipette and the precipitate was
redissolved in pure water.
2.3 Sample preparation

In the research described in this work, we have used several sample architectures, from a
very simple ones, where light-harvesting complexes were deposited directly on the surface
of the metallic layer being either in the form of silver island film or colloidal gold
nanoparticles spin-coated on a glass coverslide, to more advanced, where metallic
nanoparticles were separated from the light-harvesting complexes by a thin dielectric layer.
For that purpose we used SiO2 deposited using e-beam assisted evaporation, the thickness
of the SiO2 layer was changed from 5 nm to 40 nm. The light-harvesting complexes were
dispersed in a PVA and then spin-coated on the substrate.
2.4 Experimental techniques

The optical properties of hybrid nanostructures comprising light-harvesting complexes and
metallic nanostructures have been studied using absorption and fluorescence spectroscopy
in the visible and infrared regions. spectral region. Absorption spectra were obtained using
a Cary 50 spectrophotometer. Fluorescence and fluorescence excitation spectra of both
structures were measured using the FluoroLog 3 spectrofluorimeter equipped with specially
designed mount suitable for holding planar samples. A Xenon lamp source with a double
grating monochromator was used for excitation and the signal was detected with a
thermoelectrically cooled photomultiplier tube characterized by a dark current of less than
100 cps.
Fluorescence spectra of samples comprising light-harvesting complexes and Au
nanoparticles were measured in a standard optical setup with a back-scattering geometry.
The laser excitation beam (=485 nm, 640 nm, or 405 nm) was focused, using a lens with a
focal length of 30 mm, on the sample surface and the excitation power was controlled using
notch filters. Typical excitation powers used were in the range of 200 W. The emission was
guided through a 150 m pinhole and focused on a slit of a 0.5 monochromator (Shamrock
500, Andor) coupled with a charge coupled device detector (iDus 420BV, Andor).
Fluorescence decays were studied using time-correlated single photon counting. For
excitation, a diode-pumped solid state laser emitting at 405 nm, 640 nm, or 485 nm and
generating 30 ps pulses at 80 MHz repetition rate was used. Detection was carried out with
an ultrafast avalanche photodiode detector (idQuantique). The experiment was controlled
using a time-correlated single photon counting card (SPC 150 Becker & Hickl). Emission
spectra as well as fluorescence decays were collected for ten different spots across the
sample in order to check for the reproducibility and homogeneity of the sample.
Fluorescence of light-harvesting complexes was extracted using appropriate long-pass and
band-pass optical filters.
2.4.1 Fluorescence imaging

In order to image fluorescence of light-harvesting complexes coupled to metallic
nanoparticles we constructed a confocal fluorescence microscope based on Olympus
infinity-corrected microscope objective LMPlan 50x, characterized with a numerical aperture
of 0.5 and working distance of 6 mm (Krajnik, 2011). The resulting laser spot size is about 1
μm for the excitation laser of 485 nm. The sample is placed on a XYZ piezoelectric stage
(Physik Instrumente) with 1 nm nominal resolution of a single step, which enables us to
raster-scan the sample surface in order to collect fluorescence maps. They are formed by
combining fluorescence intensity measurements with the motion of the XY translation stage.
For excitation of fluorescence, we use one of four diode-pumped solid-state lasers with
wavelengths of 405, 485, 532 and 640 nm. Typical optical power of the laser sources is about
5 mW, but in the case of actual measurements it needs to be strongly reduced in order to
prevent photobleaching of the molecules. We used the excitation powers in the range of
0.004 to 0.04 mW. Gaussian beams of the lasers are achieved by using a spatial filter. The
fluorescence is detected in a back-scattering geometry and focused on a confocal pinhole
(150 μm) in order to reduce stray light coming out of the focal plane. The emission of PCP
complexes is extracted with HQ 650LP (Chroma) dichroic mirror and HQ 670/10 (Chroma)
bandpass filter. In order to extract fluorescence of LH2 complexes we used a longpass filter
HQ850LP (Chroma) and a bandpass filter D880/40m (Chroma).
Our experimental configuration, described in detail in (Krajnik, 2011), allows for measuring
fluorescence intensity, spectra and lifetimes. The spectrum, dispersed using the Amici prism
is measured with a CCD camera (Andor iDus DV 420A-BV). The spectral resolution of the
system is about 2 nm. Fluorescence intensity maps are collected with an avalanche
photodiode (PerkinElmer SPCM-AQRH-14) with dark count rate of about 80 cps.
Fluorescence lifetimes are measured using time-correlated single photon counting module
(Becker & Hickl) equipped with fast avalanche photodiode (idQuantique id100-50) triggered
by a laser pulse. Time resolution of the TCSPC setup is about 30 ps.
3. Experimental results
In this section we describe experimental results obtained for five architectures of hybrid
nanostructures comprising metallic nanoparticles and light-harvesting systems. As for
metallic nanostructures we used silver island film, semicontinuous silver film, spherical
gold nanoparticles and elongated gold nanoparticles (nanorods). We coupled them with
chlorophyll and carotenoid molecules embedded in the PCP complex from Amphidinium
carterae and in the LH2 complex from Rhodopseudomonas palustris. The results of optical
spectroscopy and microscopy show that the optical properties of light-harvesting systems
are affected by the plasmon excitations in metallic nanoparticles both in th visible and
infrared spectral ranges. Depending on the actual design of a nanostructure, either
absorption or fluorescence radiative rate enhancement is obtained.
Generally, the effect of plasmon excitations in metallic nanoparticles on the optical
properties of nearby emitters is monitored by measuring the fluorescence intensity. When
the geometry of a hybrid nanostructure leads to plasmon-induced enhancement, the
fluorescence intensity of such a hybrid structure is increased. When, on the other hand, non-
radiative energy transfer from the emitter to the metallic nanoparticles plays the dominant
role, the emission is efficiently quenched. However, fluorescence spectrum alone gives only
limited information about the actual processes responsible for the enhancement of the
emission intensity. In order to elucidate the mechanisms in detail, it is important to combine
standard fluorescence spectroscopy with fluorescence excitation spectroscopy and time-
resolved fluorescence spectroscopy; these two experimental techniques provide a way to
separate the plasmon-induced increase of the radiative rate from an induced increase of the
absorption.
3.1 Peridinin-chlorophyll-protein on silver island film

Initial experiments on hybrid nanostructures composed of light-harvesting complexes and
metallic nanoparticles have been carried out on PCP complexes deposited directly onto the
silver island film layer (Mackowski, 2008). In order to change the spectral properties of the
metallic film, we fabricated SIF substrates with 1 and 3 second long dipping time in the
reaction solution. Next, PCP complexes diluted in PVA were spin coated in ensemble
concentration on the SIF layer. Since the thickness of the PVA layer is approximately 100
nm, the structure formed in this way spans over all relevant ranges of plasmon-pigment
interaction. For PCP complexes located very close to the SIF the non-radiative energy
transfer to the metallic nanostructure should play a dominant role and thus fluorescence
quenching is expected. In contrast, when the distance between light-harvesting complexes
and the SIF is larger than 40-50 nm, there is virtually no interaction between the two
components of the hybrid nanostructure. Yet, the optical properties of all in-between
molecules should be affected by the plasmon excitations in metallic nanostructure.
In Fig. 7 we display fluorescence images obtained with our confocal fluorescence
microscope for the PCP complexes spin-coated onto two SIF substrates characterized with
different time of deposition. Bright areas correspond to the higher fluorescence intensity. In
the case of the SIF substrate that was kept in the reaction solution for 1 minute only the
image is relatively homogeneous, the variation of fluorescence intensity is moderate. On the
other hand, for the second structure, which was kept in solution two minutes longer, the
areas of high and low fluorescence intensity are clearly separated from each other. We
attribute the areas characterized with high fluorescence intensity to regions where the SIF
layer was formed during the reaction, while the low fluorescence intensity suggests that the
metallic layer detached from the glass substrate during the reaction.
The structure where both SIF and glass surfaces are present at once provide an easy and
straightforward means to compare the fluorescence properties of PCP complexes coupled to
plasmon excitation to the uncoupled ones. In Fig. 8 we show fluorescence spectra as well as
fluorescence decay curves measured with the laser focused on either one of the two areas.
As expected, for the PCP complexes placed on the SIF substrate the intensity of the emission
is substantially higher that for the reference structure. The enhancement factor estimated
from these two spectra is about fourfold. It correspond well to the average enhancement
factor obtained for this structure. Importantly, as demonstrated in previous report
(Mackowski, 2008), the maximum emission of the PCP complexes as well as the shape of the
fluorescence spectrum remain unchanged upon coupling the light-harvesting complexes to
the metallic nanoparticles. Also, since we use a 485 nm laser wavelength for the excitation,
the observation of the intact fluorescence emission for both substrates indicates that the
efficiency of the energy transfer from carotenoids to Chl molecules is comparable. This
indicates that the PCP complexes that interact with metallic nanoparticles preserve their
overall functionality. We can also see that the change in the fluorescence intensity is
accompanied with sharp reduction of the fluorescence lifetime. In fact, the emission of PCP
complexes on the glass substrate features a monoexponential decay while upon coupling to
the SIF substrate the fluorescence decay curve is more complex. First a rapid decay takes
place, which is probably due to efficient quenching of the PCP complexes that are very close
to the metallic layer. After a first nanosecond the decay time of fluorescence gets longer,
thus becoming similar to the decay observed for the reference structure.
Fig. 7. Images of PCP fluorescence measured for the complexes deposited on the SIF
substrate with 1 minute-long dipping time and 3 minute-long dipping time in the reaction
solution. The maps were obtained at room temperature for the laser excitation wavelength
of 485 nm, the laser power was 40 W. The size of the images is 100x100 microns.
Fig. 8. Comparison between fluorescence spectra and fluorescence decay curves measured
for PCP complexes on the glass and SIF substrates. For all measurements the excitation
wavelength was 485 nm.
Overall, the results obtained for PCP complexes embedded in PVA matrix on the SIF layer
demonstrate that high inhomogeneity of the structure leads to quite complicated behavior.
Indeed the enhancement of absorption rate is entangled with enhancement of fluorescence
rate, and in addition, signatures of non-radiative energy transfer from the chlorophylls to
metallic structure are present. In the case of the hybrid nanostructure studied here, there is
no control over the morphology of the SIF itself as well as over the separation between light-
harvesting complexes and metallic surface. Therefore, other approaches need to be devised,
aimed at better control of sizes or shapes of metallic nanoparticles and the distance between
the proteins and metallic structures.
3.2 Peridinin-chlorophyll-protein on semicontinuous silver film

In previous sections we pointed out the important role of the separation between light-
harvesting complexes and the metallic nanoparticles. In the case of sample geometry
involving inhomogeneous silver island film and PCP complexes spin-coated directly on top
of it in a relatively thick PVA layer, we have observed that the increase of the fluorescence
emission is a combined product of absorption and fluorescence rate enhancement. In
addition, the signatures of non-radiative energy transfer from the PCP complexes to the SIF
layer have been observed in the time-resolved spectra.
In order to minimize the influence of the processes that lead to fluorescence quenching and
at the same time to achieve uniform distance from the metallic layer to light-harvesting
complexes, we have fabricated a hybrid nanostructure based on semicontinuous silver film
(Czechowski, 2011). Such a corrugated metallic surface can be made using e-beam assisted
evaporation under high-vacuum conditions. Scanning electron microscopy studies of
similarly prepared samples have indicated improved uniformity of the islands, that resulted
in narrowing of the plasmon resonance measured in the absorption experiment (Chettiar
2010). Furthermore, on top of the silver film we deposited a 25-nm-thick silica layer. The
layer serves two purposes: on the one hand it protects the silver surface against oxidation,
on the other hand it provides a uniform spacer between metallic nanoparticles and light-
harvesting complexes. The final change compared to the structure where PCP complexes
were spin-coated in a PVA matrix on top of the SIF, concerned direct deposition of the PCP
water solution on the SiO2 surface of the spacer. In this way we can assume that all the
complexes are at approximately identical distances from the silver islands. Here we used
PCP complexes reconstituted with acChl a as they offer the largest energy separation
between their fluorescence and plasmon resonance of silver islands. In addition, the
concentration of PCP complexes is much higher than for samples prepared with spin-
coating, which makes it possible to study the plasmon induced effects using standard
fluorescence excitation spectroscopy.
The fluorescence excitation spectrum measured for the detection wavelength of 690 nm for
acChl-PCP on glass substrate is shown in Fig. 9. It is compared with with the result obtained
for acChl-PCP complexes placed on the semicontinuous silver film. The excitation spectrum
for the reference structure is similar to previously published (Brotosudarmo, 2008) it
features strong absorption due to Per in the spectral range from 400 nm to 550 nm, and
corresponds roughly to the absorption spectrum. This suggests that the sample preparation
leaves no effect on either the protein or the pigments. In contrast, the maximum of
fluorescence excitation spectrum is blue-shifted by ~40 nm for the PCP complexes deposited
on the silver island film and separated from the metallic nanostructures by a 25-nm thick
SiO2 layer. The difference between the two cases is seen after subtracting both curves and
evaluating the enhancement of the emission. We find that the enhancement curve is a well-
defined band with a maximum at 407 nm and linewidth of about 35 nm. We attribute this
enhancement to plasmon excitations in the metallic layer that impact the absorption of the
PCP complexes.
Fig. 9. Comparison between fluorescence excitation spectra measured for acChl-PCP on

glass substrate and semicontinuous silver film. The detection energy was 690 nm. An
enhancement dependence on the wavelength obtained by subtracting both fluorescence
excitation curves is also shown.
It is important to note that the fluorescence excitation spectra measured for the reference
structure and for the PCP complexes deposited on the silver film are not in any way
adjusted or normalized. Yet, they are very comparable for wavelengths longer than 475 nm,
in particular in the absorption range of low energy Per molecules. This suggests that the
number of PCP complexes probed in both experiments is almost identical, which makes the
estimation of the enhancement factor remarkably straightforward. Also the fluorescence
spectrum measured for the hybrid nanostructure is is identical, for all excitation
wavelengths, to that of the reference structure, which supports our previous observation
that the preparation of the hybrid nanostructure has no measurable effect on the protein or
pigment properties.
The fluorescence excitation data point towards increase of the absorption rate of the light-
harvesting complex as being the dominant mechanism responsible for the enhancement of
the fluorescence intensity. This suggestion is also helped with analysis of the spectral
properties of both the PCP complexes and the semicontinuous silver film: they overlap
mainly in the blue-green spectral range. In order to verify this we carry out time-resolved
fluorescence experiment with the excitation wavelength of 405 nm, which corresponds to
the maximum of the enhancement curve displayed in Fig. 9. The result if this experiment in
shown in Fig. 10. The decay time of the control sample on glass is equal to 3.2 ns, while for
the hybrid nanostructure a shortening of the lifetime to 2.3 ns when plasmons in the silver
island film are excited. This less than 30 percent reduction of the lifetime, while measurable,
is relatively small compared to previous results on fluorescent dyes (Dulkeith, 2002) and
light-harvesting complexes (Mackowski, 2008), where order-of-magnitude changes have
been measured. The small change of the fluorescence lifetimes in the case of the acChl-PCP
complexes coupled to the semicontinuous silver film supports our conclusion that the
enhancement measured in the fluorescence excitation is predominantly due to the
enhancement of the excitation rate in the light-harvesting complexes. We also note that the
fluorescence decay curve measured for the hybrid nanostructure features a
monoexponential behavior, in contrast to the results obtained for PCP complexes deposited
on the SIF. Such a uniform characteristics suggests improved homogeneity of the distance
between the light-harvesting complexes and the metallic layer, as indeed expected for our
preparation procedure. We have also carried out time-resolved experiments with other
excitation energies, in particular with 640 nm. This wavelength corresponds to direct
excitation of Chl molecules and excites no plasmons. In this case the fluorescence decay
shows no dependence upon either glass or metallic substrate.
Fig. 10. Comparison of fluorescence decay curves measured for acChl-PCP on glass
substrate and semicontinuous silver film. The excitation wavelength was 405 nm.
Finally we comment on another aspect of fluorescence decay time reduction observed for
the 405 nm laser excitation. Since this reduction is attributed to the increase of the radiative
rate of emission, it implies that there are plasmons excited in the semicontinuous silver film
with wavelengths around 690 nm, where acChl-PCP emits. As 405 nm laser excites no such
plasmons directly, this observation could be indicative of plasmon propagation in terms of
energy relaxation. This hypothesis requires further experimental evidence but when proven
correct, it could open another pathway in te field of plasmon engineering.
The results of fluorescence spectroscopy on acChl-PCP complexes deposited on
semicontinuous silver film spaced by 25 nm SiO2 layer confirm that by careful design of
plasmonic hybrid nanostructure it is possible to selectively enhance the absorption of the
light-harvesting complexes. The next step is to devise and fabricate a hybrid nanostructure,
which would allow for systematic studies of plasmon induced effects as a function of the
separation layer thickness.
3.3 Peridinin-chlorophyll-protein on spherical gold nanoparticles

The influence of the distance upon the interaction between PCP complexes and metallic
nanoparticles requires fabrication of structures with precisely controlled thickness of the
SiO2 spacer. Such structures were fabricated in an analogous way as described previously,
with the thickness of SiO2 layer equal to 4, 12, and 40 nm. In this case however the metallic
nanostructure used was a monolayer of uniform gold nanoparticles characterized with
plasmon resonance at 530 nm.
While at the distances of 40 nm the influence of plasmon excitations on the optical
properties of light-harvesting complexes is expected to be minimal, for thinner spacers the
effect should be much stronger. In order to evaluate that we carried out fluorescence
imaging experiment on PCP complexes deposited on the three Au nanoparticle samples
with varied thickness of the SiO2 spacer. In the first step a fluorescence map was acquired of
100x100 micron sample area. The fluorescence maps were in all cases very uniform,
variations of fluorescence intensity were below 15 percent. Next, approximately 50
fluorescence spectra we collected, each off a different spot on the sample surface. Finally, the
same procedure was applied for measuring fluorescence decay curves. In this way
statistically significant information about fluorescence intensity as well as fluorescence
decay time is obtained.
Fig. 11. Typical fluorescence spectra and fluorescence decay curves of Chl-PCP complexes
deposited on Au nanoparticle substrates with different thickness of the SiO2 spacer: 40 nm
(blue), 12 nm (red), and 4 nm (black). The laser excitation wavelength was 485 nm.
In Fig. 11 we compare representative fluorescence spectra of Chl-PCP deposited on

plasmonic substrates with Au spherical nanoparticles. The continuous-wave results are
accompanied with time – resolved data. The intensity of fluorescence emission for 12 nm
spacer is dramatically (fivefold) enhanced as compared to the reference structure with 40
nm thick SiO2 spacer. For the smallest spacer (4 nm) the fluorescence decreases rapidly due
to non-radiative energy transfer from chlorophylls embedded in the PCP complexes to
metallic nanoparticles. Importantly, in analogy to all previously described experiments, the
fluorescence spectrum of the light-harvesting complexes remains unchanged, indicating that
the biomolecules are intact upon interacting with metallic nanoparticles.
Fluorescence decay curves that accompany the spectra provide means for understanding the
mechanism of fluorescence enhancement. The decay time measured for the reference
structure (40 nm) is equal to 3.3 ns, a typical value for PCP complexes reconstituted with Chl
a (Mackowski, 2007). As the SiO2 spacer gets thinner, the fluorescence lifetime gets shorter,
and for 12 nm thick spacer is equal to 2.5 ns. Further reduction of the fluorescence lifetime is
seen for the thinner, 4 nm, spacer. In this case the decay time is approximately 50 percent of
the reference value. However, the mechanism of lifetime reduction is in both cases (4 nm
and 12 nm) completely different. In the first case the shortening of the fluorescence decay
time indicates enhancement of radiative rate of PCP complexes. This effects contributes to
the observed increase of the emission intensity seen in the fluorescence spectra. On the other
hand, for the 4 nm thick SiO2 spacer, the lifetime reduction is due to excitation quenching.
Thee results obtained for PCP complexes coupled to Au nanoparticles demonstrate clear
dependence of the fluorescence enhancement upon the distance between chlorophyll-

containing proteins and metallic nanoparticles. While most of the effect is due to increase of
absorption, there is also significant contribution associated with increase of the radiative
rate. This approach can be then used for optimizing the geometry of plasmonic hybrid
nanostructure for the most efficient performance.
3.4 Light-harvesting complex 2 on spherical gold nanoparticles

Light-harvesting complex LH2 from the purple bacteria is characterized by relatively
weak absorption in the visible spectral range with its main absorption bands appearing in
the near infrared, at 800 and 850 nm. By coupling LH2 to spherical gold nanoparticles we
attempt to enhance the absorption between 400 and 550 nm. The geometry of the hybrid
nanostructure was identical to discussed previously: monolayers of Au nanoparticles
were covered with SiO2 dielectric layers with thickness of 4, 12, and 40 nm. During the
experiment the fluorescence spectra excited into carotenoid absorption (Wormke, 2007b)
were measured at ten different locations across the sample. In this way it was possible to
account for any inhomogeneities due to the preparation of the hybrid nanostructures. The
fluorescence spectra measured with SiO2 spacers between 4 and 40 nm and are shown in
Fig. 12.
Fig. 12. Fluorescence spectra measured for LH2 complexes deposited on Au spherical
nanoparticles on SiO2 spacers with thicknesses as indicated. The spectra were obtained for
ten different locations on each sample.
There are several interesting observations worth pointing out. First of all, for the reference
sample with 40-nm-thick SiO2 spacer the scattering of the measured intensities can be
attributed to local fluctuations in the LH2 concentration due to spin-coating approach. In
contrast, for the sample with the 12-nm-thick SiO2 spacer the spread of fluorescence
intensities is significantly greater and the observed variation cannot be due to fluctuations
of the LH2 concentration. Since plasmon interactions are expected to be significant for
such a separation between the metallic nanoparticles and light-harvesting complexes, we
attribute the distribution of fluorescence intensity to variation in plasmon coupling
between the LH2 complexes and Au nanoparticles. Such variations can be caused for
instance by interface roughness of the SiO2 layer, even small variations of the spacer
thickness would result in measurable changes of the fluorescence intensity. Finally, for the
thinnest SiO2 layer of 4 nm the fluorescence intensities are all very similar. In fact, the
measured distribution is even less pronounced than in the case of the reference sample.
Such behavior may well be due to the dominant role of the fluorescence quenching caused
by metallic nanoparticles, which takes over below a certain thickness of the spacer
between the metallic nanoparticles and light-harvesting complexes. In such a case any
fluctuations of either LH2 concentration or SiO2 spacer thickness may be of lesser
significance.
Fig. 13. Fluorescence decay curves measured for LH2 complexes on Au nanoparticles
separated by SiO2 spacer. Excitation wavelengths of 405 nm and 485 nm were used.
In order to determine the possible origin of the observed fluorescence enhancement,

time-resolved fluorescence was measured on identically prepared samples. The
fluorescence decay curves obtained for the structure with 4 and 12 nm thick SiO2 layer is
compared in Fig. 13 with the one measured for LH2 complexes deposited directly in
glass substrate (Bujak, 2011). Apparently, upon coupling to the plasmons localized in the
Au nanoparticles the fluorescence decays show virtually no change. Therefore, we
assume that the fluorescence enhancement is predominantly due to an increase in the
absorption in the carotenoid region of the LH2. The observation of exclusive increase of
the absorption efficiency in the LH2 complexes coupled to Au nanoparticles was
rendered by two factors. On the one hand, the difference in energy between plasmon
resonance and the fluorescence emission is almost 400 nm, thus the overlap between
low-energy tail of the plasmon resonance with the emission spectrum of the LH2 is
minimal. This is much larger energy difference than for PCP complexes deposited on the
semicontinuous silver film or Au nanoparticles. On the other hand, spherical gold
nanoparticles are very uniform in size. This inhibits any possibility of energy relaxation
in plasmonic structure, as it was observed for PCP complexes on the highly
inhomogeneous SIF substrate.
The results described so far point clearly towards strong dependence of the plasmon
induced effects upon the excitation energy. In most cases achieving strong coupling requires
direct excitation of plasmons in metallic nanoparticles. In order to illustrate this, the
fluorescence lifetimes were measured for LH2 complexes on Au nanoparticles with the
excitation energy of 405 nm. In contrast to the 485 nm excitation, this energy excites
plasmons very inefficiently while still populating excited states of carotenoids. The results
included in Fig. 13 show that the fluorescence lifetime shows no dependence upon the
thickness of the SiO2 spacer. However, the actual enhancement factor measured for 405 nm
laser is substantially reduced compared to 485 nm laser, which very efficiently excites
plasmons in metallic nanoparticles. The comparison is displayed in Fig. 14. For both
excitation wavelengths the dependence of the enhancement factor on the distance between
light-harvesting complexes and metallic nanoparticles is qualitatively the same. Yet, under
the condition of efficient excitation of plasmons the maximum enhancement observed for
the spacer with 12 nm thickness is 2.5 times greater.
Fig. 14. Comparison of distance dependence of the fluorescence intensity enhancement for
PH2 complexes deposited on Au spherical nanoparticles with different spacer thickness. The
data was obtained for 485 nm and 405 nm laser excitations.
In conclusion, results of fluorescence spectroscopy carried out on hybrid nanostructures

composed of light-harvesting complex LH2 and gold nanoparticles demonstrate the strong
impact of plasmon excitations upon the optical properties of the biomolecule. For a spacer
with a thickness of 12 nm substantial increase of the fluorescence intensity is observed,
which is due to an enhancement of absorption of the carotenoids in this light-harvesting
complex. Furthermore, we observe strong dependence of the fluorescence enhancement on
the laser wavelength: for efficient excitation of plasmons in metallic nanoparticles (=485
nm) the enhancement is approximately 2.5 times stronger than for the out-of-plasmon-
resonance excitation wavelength (=405 nm).
3.5 Light-harvesting complex 2 on gold nanorods

The final example of a hybrid nanostructure composed of light-harvesting complexes and
metallic nanoparticles is a system where we combine Au nanorods with LH2 complexes
from purple bacteria. From the previous discussion we know that by using Au nanorods we
gain a tunability of plasmon resonances that reach near infrared spectral region (Bryant,
2008). In this way then we can affect the spectral properties of 800 and B850 absorption
bands of the LH2 complex as well as its fluorescence emission.
In Fig. 15 we show the result of fluorescence imaging experiment carried out on LH2
complexes deposited directly on gold nanorods with plasmon resonances at 550 nm and 800
nm. The maxima of the resonances match ideally with absorption bands of the LH2 complex,
attributed to carotenoids and bacteriochlorophylls, respectively. In the experiment we probe
the fluorescence enhancement for these two excitation wavelengths, importantly for these
two excitations the same sample area was monitored. It can be seen in particular for the
maps shown in the upper row of Fig. 15, areas with low fluorescence intensity are clearly
correlated. In the case of LH2 complexes on glass substrate fluorescence maps acquired for
both excitation wavelengths are very uniform, as shown below the maps with intensity
histograms. In both cases the histograms oare of Gaussian shape with maxima at 7500
and 21000 cps for 556 and 808 nm excitation, respectively. The picture changes
Fig. 15. Fluorescence images of LH2 complexes deposited on glass substrate (upper row)
and Au nanorods (lower row). For exciting carotenoid absorption a 556 nm laser was used,
whereas for exciting B800 BChl ring – a 808 nm laser was used. The maps for a given
structure were obtained from the same sample area. The size of the images is 50 x 50
microns.
qualitatively for the LH2 complexes deposited on gold nanorods. The most pronouncing
effect is much larger inhomogeneity of the fluorescence maps. There are regions of a few
micron size that feature much stronger emission intensity. We can attribute them to either
favorable separation between LH2 and Au nanorods or orientation/geometry of gold
nanorods that would lead to formation of hot-spots of strongly localized electromagnetic
field.
In addition to highly homogeneous fluorescence images, there are also significant
differences of the distribution of fluorescence intensity, in spite of using the same excitation
powers for a given laser wavelength. Indeed, the maximum of fluorescence intensity
measured for 556 nm appears roughly at the same value as for the reference sample, but the
histogram features substantial high-intensity tail of intensities, which is due to plasmon-
induced enhancement in the hybrid nanostructure. Conversely, for the excitaiton of 808 nm
the we also observe a broad tail towards higher intensities, but in this case the average
intensity is also twice the average intensity measured for the reference sample. These
preliminary results demonstrate that by using gold nanorods we are able to modulate the
optical properties of multi-chromophoric systems such as light-harvesting complexes, which
absorb in the infrared spectral range. Further work is required to coherently describe the
complexity of plasmon interactions in this system.
4. Summary and conclusions

We have described various geometries of hybrid nanostructures composed of light-
harvesting complexes from algae or purple bacteria and metallic nanostructures in the form
of silver island films or monolayers of metallic nanoparticles synthesized chemically. The
samples were studied with numerous optical spectroscopy and microscopy techniques
including fluorescence excitation, time-resolved fluorescence, and fluorescence imaging
with high spatial resolution. In all fabricated structures we observe strong effects
attributable to plasmon induced effects on the optical properties of the light-harvesting
complexes. Depending on the actual geometry we are able to increase fluorescence or
absorption rate, in most cases however both effects are entangled. The results demonstrate
that plasmon excitations in metallic nanostructures can be efficiently applied for controlling
the light-harvesting capability of photosynthetic complexes, possibly paving the road
towards novel photovoltaic architectures based – at least in some degree - on natural
photosynthesis.
5. Acknowledgment
Research in Poland has been supported by the WELCOME project “Hybrid Nanostructures
as a Stepping Stone towards Efficient Artificial Photosynthesis” funded by the Foundation
for Polish Science and EUROCORES project “BOLDCATS” funded by the European Science
Foundation. I am indebted to my friends and colleauges, with whom I have a great pleasure
to collaborate on this project: I thank Wolfgang Heiss (Linz University), Eckhard Hofmann
(University of Bochum), Richard J. Cogdell (University of Glasgow), Nicholas A. Kotov
(University of Michigan), Hugo Scheer (LMU Munich) and the members of their research
groups involved in parts of this research. Last but not least, I also acknowledge members of
my research group at the Institute of Physics, Nicolaus Copernicus Unviersity in Torun, in
particular Dr. Dawid Piatkowski, Dr. Radek Litvin, Lukasz Bujak, Nikodem Czechowski,
Bartosz Krajnik, Maria Olejnik, Kamil Ciszak, and Mikolaj Schmidt for their excellent work
and vital contribution.
6. References
Akimoto, S.; Takaichi, S.; Ogata, T.; Nishimura, Y.; Yamazaki, I. & Mimuro, M. (1996),
Excitation energy transfer in carotenoid chlorophyll protein complexes probed by
femtosecond fluorescence decays, Chemical Physics Letters, Vol.260, No.1-2,
(September 1996), pp.147-152, ISSN 009-2614
Anger, P; Bharadwaj, P. & Novotny, L. (2006), Enhancement and quenching of single-
molecule fluorescence, Physical Review Letters, Vol.96, No. 11, (March 2006), pp.
113002, ISSN 0556-2813
Atwater, H & Polman, A.(2010), Plasmonics for improved photovoltaic devices, Nature
Materials, Vol.9, (February 2010) pp. 205–213, ISSN 1476-1122
Blankenship, R. (2002), Molecular Mechanisms of Photosynthesis, Wiley-Blackwell, ISBN 978-
0632-04321-7, Oxford, United Kingdom
Bopp, M.; Jia, Y.; Li, L.; Cogdell, R. & Hochstrasser R. (1997), Fluorescence and
photobleaching dynamics of single light-harvesting complexes, Proceedings of the
National Academy of Sciences of the United States of America, Vol.94, No.20, (September
1997), pp.10630-10635, ISSN 0027-8424
Brotosudarmo, T.; Hofmann, E.; Hiller, R.; Wörmke, S.; Mackowski, S.; Zumbusch, A.;
Bräuchle, C. & Scheer, H.(2006), Peridinin-chlorophyll-protein reconstituted with
chlorophyll mixtures: preparation, bulk and single molecule spectroscopy, FEBS
Letters, Vol.580, No.22, (October 2006), pp.5257–5262, ISSN 0014-5793
Brotosudarmo, T.; Mackowski, S.; Hofmann, E.; Hiller, R.; Bräuchle, C. & Scheer, H. (2008),
Relative Binding Affinities of Chlorophylls in Peridinin - Chlorophyll - Protein
Reconstituted with Heterochlorophyllous Mixtures, Photosynthesis Research, Vol.95,
No.2-3, (February 2008), pp.247-252, ISSN 0166-8595
Bryant, G.; García de Abajo, F. & Aizpurua, J. (2008), Mapping the plasmon resonances of
metallic nanoantennas, Nano letters, Vol.8, No.2, (January 2008), pp.631-636, ISSN
1530-6984
Bujak, L.; Czechowski, N.; Piatkowski, D.; Litvin, R.; Mackowski, S.; Brotosudarmo, T.;
Cogdell, R.; Pichler, S. & Heiß, W. (2011), Absorption Enhancement of LH2 Light-
Harvesting Complexes Coupled to Spherical Gold Nanoparticles, Applied Physics
Letters, Vol.99, No.17, (October 2011), pp. 173701, ISSN 0003-6951.
Carmeli, I; Liberman, I.; Kraverski, L.; Fan, Z.; Govorov, A.; Markovich, G. & Richter, S.
(2010), Broad band enhancement of light absorption in photosystem I by metal
nanoparticle antennas, Nano letters, Vol.10, No.6, (May 2010), pp. 2069-2074, ISSN
1530-6984
Chettiar, U.; Nyga, P.; Thoreson, M.; Kildishev, A.; Drachev, V. & Shalaev, V. (2010), FDTD
modeling of realistic semicontinuous metal films, Applied Physics B: Lasers and
Optics, Vol.100, No.1, (March 2010), pp. 159-168, ISSN 1432-0649
Czechowski, N.; Nyga, P.; Schmidt, M.; Brotosudarmo, T.; Scheer, H.; Piatkowski D. &
Mackowski, S. (2011), Absorption Enhancement in Peridinin-Chlorophyll-Protein
Light-Harvesting Complexes Coupled to Semicontinuous Silver Film, Plasmonics,

Vol., (2011), pp.1-7, ISSN 1557-1955
Dulkeith, E.; Morteani, A.; Niedereichholz, T.; Klar, T.; Feldmann, J.; Levi, S.; van
Veggel, F.; Reinhoudt, D.; Möller, M. & Gittins, D. (2002), Fluorescence
quenching of dye molecules near gold nanoparticles: radiative and
nonradiative effects, Physical Review Letters, Vol.89, No.20, (October 2002),
pp.203002, ISSN 0556-2813
Govorov, A.; Bryant, G.; Zhang, W.; Skeini, T.; Lee, J.; Kotov, N.; Slocik, J. & Naik, R. (2006),
Exciton−plasmon interaction and hybrid excitons in semiconductor−metal
nanoparticle assemblies, Nano letters, Vol.6, No.5, (April 2006), pp. 984-994, ISSN
1530-6984
Govorov, A. (2008), Enhanced optical properties of a photosynthetic system conjugated with
semiconductor nanoparticles: the role of Förster transfer. Advanced Materials,
Vol.20, No.22, (April 2008), pp.4330-4335, ISSN 1521-4095
Hofmann, C.; Aartsma, T.; Michel, H. & Köhler, J. (2003), Direct observation of tiers in the
energy landscape of a chromoprotein: a single-molecule study, Proceedings of the
National Academy of Sciences of the United States of America, Vol.100, No.26,
(December 2003), pp.15534-15538, ISSN 0027-8424
Hofmann, E.; Wrench, P.; Sharples, F.; Hiller, R.; Welte, W. & Diederichs, K. (1996),
Structural basis of light harvesting by carotenoids: peridinin-chlorophyll-protein
from Amphidinium carterae, Science, Vol.272, No.5269, (June 1996), pp.1788–1791,
ISSN 0036-8075
Hulteen, J. and van Duyne, R. (1995), Nanosphere Lithography: A Materials General
Fabrication Process for Periodic Particle Array Surfaces, Journal of Vacuum Science
and Technology A, Vol.13, No.3, (1995), pp.1553-1558, ISSN 0022-5355
Kim, I.; Bender, S.; Hranisavljevic, J.; Utschig, L.; Huang, L.; Wiederrecht, G. & Tiede, D.
(2011), Metal nanoparticle plasmon-enhanced light-harvesting in a Photosystem
I thin film, Nano letters, Vol.11, No.8, (August 2011), pp.3091-3098, ISSN 1530-
6984
Kleima, F.; Hofmann, E.; Gobets, B.; van Stokkum, I.; van Grondelle, R.; Diederich, K. & van
Amerongen, H. (2000), Förster excitation energy transfer in peridinin-chlorophyll a-
protein, Biophysical Journal, Vol.78, No.1, (January 2000), pp.344–353, ISSN 0006-
3495
Krajnik, B.; Schulte, T.; Piatkowski, D.; Czechowski, N.; Hofmann, E. & Mackowski, S.
(2011), SIL-based Confocal Fluorescence Microscope for Investigating Individual
Nanostructures, Central European Journal of Physics, Vol.9, No.2, (2011), 293-299,
ISSN 1895-1082
Krueger, B.; Lampoura, S.; van Stokkum, I.; Papagiannakis, E.; Salverda, J.; Gradinaru, C.;
Rutkauskas, D.; Hiller, R. & van Grondelle, R. (2001), Energy transfer in the
peridinin chlorophyll-a protein of Amphidinium carterae studied by polarized
transient absorption and target analysis, Biophysical Journal, Vol.80, No.6, (June
2001), pp.2843-2855, ISSN 0006-3495
Lakowicz, J. (2006), Plasmonics in biology and plasmon-controlled fluorescence, Plasmonics,
Vol.1, No1., (2006), pp. 5-33, ISSN 1557-1955
Link, S. and El-Sayed, M. (1999), Size and Temperature Dependence of the Plasmon
Absorption of Colloidal Gold Nanoparticles, Journal of Physical Chemistry B, Vol.103,
No.21, (May 1999), pp.4212-4217, ISSN 1520-6106
Mackowski, S.; Wörmke, S.; Brotosudarmo, T.; Jung, C.; Hiller, R.; Scheer, H. & Bräuchle, C.,
Biophysical Journal, Vol. 93, No.9, (August 2007), pp. 3249-3258, ISSN 0006-3495
Mackowski, S.; Wörmke, S.; Maier, A.; Brotosudarmo, T.; Harutyunyan, H.; Hartschuh, A.;
Govorov, A.; Scheer, H. & Bräuchle, C. (2008), Metal-enhanced fluorescence of
chlorophylls in single light - harvesting complexes, Nano letters, Vol.8, No.2,
(February 2008), pp. 558-564, ISSN 1530-6984
Mackowski, S. (2010), Hybrid Nanostructures for Efficient Light Harvesting, Journal of
Physics: Condensed Matter, Vol.22, No.19, (April 2010), pp.193102/1-17, ISSN 0953-
8984
Maier, S. (2004). Plasmonics: fundamentals and applications, Springer Science + Business Media
LLC, ISBN 978-0387-37825-1, New York, USA
McDermott, G.; Prince, S.; Freer, A.; Hawthornthwaite-Lawless, A.; Papiz, M.; Cogdell, R. &
Isaacs, N. (1995), Crystal structure of an integral membrane light-harvesting
complex from photosynthetic bacteria, Nature, Vol.374, (April 1994), pp. 517-521,
ISSN 0028-0836
Nieder, J.; Bittl, R. & Brecht, M. (2010), Fluorescence studies into the effect of plasmonic
interactions on protein function, Angewandte Chemie International Edition,Vol.49,
No.52, (November 2010), pp. 10217–10220, ISSN 1521-3773
Polivka, T. & Sundström, V. (2004), Ultrafast dynamics of carotenoid excited states-from
solution to natural and artificial system, Chemical Reviews, Vol.104, No.4, (February
2004), pp.2021–2071, ISSN 0009-2665
Polívka, T.; Pascher, T.; Sundström, V. & Hiller, R. (2005), Tuning energy transfer in the
peridinin-chlorophyll complex by reconstitution with different chlorophylls,
Photosynthesis Research, Vol.86, No.1-2, (2005), pp.217-227, ISSN 0166-8595
Ray, K.; Badugu, R. & Lakowicz, J. (2006), Metal-Enhanced Fluorescence from CdTe
Nanocrystals: A Single-Molecule Fluorescence Study, Journal of American Chemical
Society, Vol.128, No.28, (June 2006), pp.8998-8999, ISSN 0163-3864
Scheuring, S.; Sturgis, J.; Prima, V.; Bernadac, A.; Lévy, D. and Rigaud. J. (2004), Watching
the photosynthetic apparatus in native membranes, Proceedings of the National
Academy of Sciences of the United States of America, Vol.101, No.31, (August 2004),
pp.11293-11297, ISSN 0027-8424
van Oijen, A.; Ketelaars, M.; Köhler, J.; Aartsma T. & Schmidt, J. (1999), Unraveling the
electronic structure of individual photosynthetic pigment-protein complexes,
Science, Vol.285, No.5426, (July 1999), pp.400-402, ISSN 0036-8075
Wörmke, S.; Mackowski, S.; Jung, C.; Ehrl, M.; Zumbusch, A.; Brotosudarmo, T.; Scheer, H.;
Hofmann, E.; Hiller R. & Bräuchle, C. (2007a), Monitoring Fluorescence of
Individual Chromophores in Peridinin-Chlorophyll-Protein Complex Using Single
Molecule Spectroscopy, Biochimica et Biophysica Acta – Bioenergetics, Vol.1767, No.7,
(July 2007), pp.956-964, ISSN 0006-3002
Wörmke, S.; Mackowski, S.; Brotosudarmo, T.; Garcia, T.; Braun, P.; Scheer, H.; Hofmann, E.
& Bräuchle, C. (2007b), Detection of single biomolecule fluorescence excited
through energy transfer: Application to light-harvesting complexes, Applied Physics

Letters, Vol.90, No.19, (May 2007), pp.193901, ISSN 0003-6951
Wörmke, S.; Mackowski, S.; Schaller, A.; Brotosudarmo, T.; Johanning, S.; Scheer, H. &
Bräuchle C. (2008), Single Molecule Fluorescence of Native and Refolded Peridinin-
Chlorophyll-Protein Complexes, Journal of Fluorescence, Vol.18, No. 3-4, (2008), pp.
611-617, ISSN 1053-0509
2
Hollow Nano Silica: Synthesis,

Characterization and Applications
N. Venkatathri
Department of Chemistry, National Institute of Technology, Andhra Pradesh,
India
1. Introduction
Since the discovery of mesoporous silica molecular sieves by Beck et al. (Beck et al., 1992;
Kresge et al., 1992), mesoporous materials have opened many new possibilities for
application in the fields of catalysis (Tanev et al., 1994), separation, and nanoscience (Wu &
Bein, 1994; Agger et al., 1998; Li et al., 2003; Yu et al., 2005]. In recent years, fabrication of
silica materials with designed structure (e.g. thin films, monoliths, hexagonal prisms,
toroids, discoids, spirals, dodecahedron and hollow sphere shapes) is an important research
in modern materials chemistry. Among them the fabrication of monodispersed hollow
spheres with control size and shape is fastest developing area (Schacht et al., 1996; Bruinsma
et al., 1997; Fowler et al., 2001). It is generally accepted that hollow sphere with mesopores
will exhibit more advantages in mass diffusion and transportation as compared with
conventional hollow spheres with solid shell. They can serve as a small container for
application in catalysis and control release studies (Mathlowitz et al., 1997; Huang &
Remsen, 1999). The methods currently used to fabricate a wide range of stable hollow
spheres include nozzle reactor processes, emulsion/phase separation, sol-gel processing,
and sacrificial core techniques. The fabrication of hollow spheres has been greatly impacted
by the layer-by-layer (LbL) self-assembly technique (Decher, 1997). This method allows the
construction of composite multilayer assemblies based on the electrostatic attraction
between nanoparticles and oppositely charged polyions. By varying the synthetic
methodology and reactants, it is highly probable to achieve the materials with interesting
morphology and properties.
The presence of pores of uniform size lined with silanol groups confers these mesoporous
materials as a potential candidate for hosting a variety of guest chemical species, such as
organic molecules, semiconductor clusters, and polymers (Moller & Bein, 1998). For
example, MCM-41 was reported as a drug delivery system (Vallet-Regi et al., 2001).
Ibuprofen has been shown to readily adsorb from an n-hexane solution into the porous
matrix of MCM-41, and to slowly release into a solution simulating physiological fluid.
Furthermore, it has been found that in this host/guest system there is a strong interaction
between the silanol groups and the carboxylic acid of the ibuprofen molecule. Having
proven the feasibility of this system for drug retention and delivery, further effort should be
made in gaining control of the amount of drug delivered, and its release rate. It can be
thought that this delivery rate could be modulated by modifying the interaction between the
confined molecule and the mesoporous matrix with different morphology. Here, one of the
advantages of nanocuboids compared to conventional mesoporous materials is reflected in
their much higher storage capacity. Ibuprofen with the molecules size of 1.0 x 0.6 nm was
used to examine the storage capacity.
Nanomaterials are the talk of today’s Materials researchers. Mesoporous hollow silica
spheres were recently invented. It is important due to the drug storage property.
Synthesis of mesoporous silica nano hollow cuboids is the very recent advancement
(Venkatathri et al., 2008) in this category. In the present invention, the physicochemical
property of mesoporous silica’s, Nanocrystalline MCM-41 and Nanohollow cuboids were
compared. It is found that Nanohollow cuboids store much more drug molecules say
Ibuprofen.
2. Experimental
Silica Nanohollow cuboids are synthesized as follows. 3.57 ml of triethanolamine (TEtA,
98%, Aldrich, USA) was added to a solution containing 74 ml of ethanol (99%, Aldrich,
USA) and 10 ml of deionized water. 6 ml of tetraethoxyorthosilicates (TEOS, 98%, Aldrich,
USA) was added to the above prepared mixture at 298 K with vigorous stirring. The reaction
mixture was stirred for another 1 h. A solution containing 5 ml of TEOS and 2 ml of
octadecyltrimethoxy silane (C18TMS, 90 %, Aldrich, USA) was added to the above solution
(11.4 SiO2: 6 TEtA: 1 C18TMS: 149 H2O: 297.5 EtOH) and further reacted for 24 h. The
resulting octadecyl group incorporated silica nanocomposite was retrieved by
centrifugation. The sample was washed several times with distilled water, dried and
calcined at 823 K for 8 h in air to obtain hollow cuboids silica material.
Nanocrystalline Silica MCM-41 is synthesized as follows. Cetyltrimethylammonium
bromide was dissolved in 120 g of deionized water to yield a 0.055 mol l-1 solution, and 9.5 g
of aqueous ammonia (25 wt%, 0.14 mol) was added to the solution. While stirring, 10 g of
tetraethoxy silane (0.05 mol) was added slowly to the surfactant solution over a period of 15
min resulting in a gel with the following molar composition: 1 TEOS: 0.152
cetyltrimethylammonium bromide; 2.8 NH3: 141.2 H2O. The mixture was stirred for one
hour then the white precipitate was filtered and washed with 100 ml of deionized water.
After drying at 363 K for 12 h, the sample was heated to 823 K (rate 1 K min-1) in air and
kept at this temperature for 5 h to remove the template.
X-ray diffractograms (XRD) were recorded on Rigaku Multiplex diffractometer using Cu
K radiation and a proportional counter as detector. A divergence slit of 1/328 on the
primary optics and an anti-scatter slit of 1/168 on the secondary optics were employed to
measure data in the low angle region. The particle size and shape were analyzed by a
Scanning electron microscope (SEM), Topcon, SM-300. Transmission electron micrographs
(TEM) of the samples were scanned on a on a JEOL JSM-2000 EX electron microscope
operated at 200 kV. The samples for TEM were dispersed in isopropyl alcohol, deposited
on a Cu-grid and dried. Thermogravimetry (TG) analysis of the crystalline phase was
performed on an automatic derivatograph (Setaram TG 92). The specific surface area
(BET) of the samples was determined using a Micromeritics ASAP 2010 volumetric
adsorption analyzer. Before N2 adsorption samples was evacuated in vacuum at 573 K.
The data points of p/p0 in the range of about 0.05–0.3 were used in the calculations. The
Hollow Nano Silica: Synthesis, Characterization and Applications 31
Fourier transform Infrared (FT-IR) spectra in the framework region were recorded in the
diffuse reflectance mode (Nicolet 60SXB) using 1:300 ratio of sample with KBr, pellet.
Ultraviolet – visible (UV-Vis.) spectroscopic analysis were carried out using Shimadzu,
UV-2450 spectrometer.
Ibuprofen (IBU) drug (Ranbaxy Chem. LTD., 99%) was dissolved in hexane solution at a
concentration of 30 mg/ml. 1.0 g nanocuboids or MCM-41 was added into 50 ml IBU hexane
solution at room temperature. Sealing the vials to prevent the evaporation of hexane, then
the mixture was stirred for 24 h. The nanocuboids or MCM-41 adsorbed with IBU was
separated from this solution by centrifugation and dried under vacuum at 60 0C. Filtrates
(1.0 ml) was extracted from the vial and diluted to 10 ml, and then was analyzed by UV/vis
spectroscopy at a wavelength of 235-320 nm.
3. Results and discussion

The X-ray diffraction pattern calcined MCM-41 and hollow cuboids are given in Fig. 1a,b.
The pattern shows their identity. The pattern from as-synthesized sample did not change
much on calcinations. Both the as-synthesized and calcined patterns of hollow cuboid shows
three Bragg diffraction peaks, which can be assigned to the (1 0 0), (1 1 0) and (2 0 0)
reflections of a hexagonal symmetry structure (P6mm) typical for MCM-41. d spacing and
unit cell parameter (a0) calculated from the XRD data are 12.6 nm and 14.54 nm respectively
(Grun et al., 1999).
a b
Fig. 1. X-ray diffraction pattern of calcined mesoporous silicas a) Nanohollow cuboids and
b) Nanocrystalline MCM-41
Fig.2a,b shows the scanning electron micrograph of MCM-41 and hollow cuboids. MCM-41
particle size is 200 – 500 nm with spherical shape. Hollow cuboids are aggregate of cuboids
with 500 nm particle size.
a b
Fig. 2. Scanning electron micrograph of calcined mesoporous silicas
a) NanocrystallineMCM-41 and b) Nanohollow cuboids
Transmission electron micrograph of MCM-41 and hollow cuboids are given in Fig. 3a,b.
MCM-41 shows hexagonal array of channels characteristic of Mesoporous structure. By Fast
Fourier Transform (FFT) of the TEM images, we estimate a unit cell dimension of 3.3 nm. TEM
of cuboids shows core and shell structure. It can be seen from the images that the average
inner diameter of the cuboids are nearly 100 nm, with outer shell thickness 50 nm. The particle
sizes are uniform similar to SEM results. This distinguished pore channel arrangement with
most of them running through the shell, are favorable for the access of guest molecules.
a b
Fig. 3. Transmission electron micrograph of calcined mesoporous silicas
a) NanocrystallineMCM-41 and b) Nanohollow cuboids
100
90
% Weight loss
80
70
60
50
40
200 400 600 800
Temperature (0C)
b
Fig. 4. Thermogravimetric profile of as-synthesized mesoporous silicas,
a) Nanocrystalline MCM-41 and b) Nanohollow cuboids.
The Thermogravimetry of MCM-41 and hollow cuboids were given in Fig. 3a,b. MCM-41
shows the 30 % loss at 25 - 625 oC due to the loss of template. The initial endothermic loss is
due to loss of physisorbed water. Later the exothermic loss is due to oxidative
decomposition of template. According to the curve the cuboids began to lose its weight at
the beginning of heating, likely because of desorption of the physisorbed water and ethanol.
It eliminates almost 25 % of its weight in the temperature range 25-200oC and losses almost
30 % weight in the temperature range of 200-500 oC. The later weight loss is due to the
oxidative decomposition of the template.
Typical nitrogen sorption isotherms for MCM-41 and hollow cuboids are shown in Fig. 5a,b.
In case of MCM-41, the nitrogen isotherms indicate a linear increase of the amount of
adsorbed nitrogen at low pressures (P/Po = 0.35). The resulting isotherm can be classified as
a type IV isotherm with a type H2 hysteresis, according to the IUPAC nomenclature
(Fujiwara et al., 2004; Brunauer et al., 1940; de Boer, 1958; IUPAC, 1957). The steep increase
in nitrogen uptake at relative pressures in the range between P/Po = 0.40 and 0.60 is
reflected in a narrow pore size distribution. Thus, the variation of the catalyst in the solution
during the growth process enables one to adjust and to control pore structural parameters
such as the specific surface area (900 m2/g), the specific pore volume (1.29 cm3/g), and the
average pore diameter (239 Ao) and medium pore width (302 Ao). The nitrogen
adsorption/desorption isotherms of nanocuboid is of type IV nature (Fig. 5b) and exhibited
a H1 hysteresis loop, which is typical of mesoporous solids (Wu et al., 2002). Furthermore,
the adsorption branch of the isotherm showed a sharp inflection at a relative pressure value
of about 0.68. This is characteristic of capillary condensation within uniform pores. The
position of the inflection point indicates mesoporous structure, and the sharpness of these
steps indicates the uniformity of the mesoporous size distribution. Correspondingly, the
pore size distribution of the calcined sample shows a narrow pore distribution with a mean
value of 1.90 nm. The sample with a specific surface area of 792 m2/g and pore volume of
0.51 cm3/g was obtained using the Brunauer–Emmett–Teller (BET) and Barrett– Joyner–
Halenda (BJH) methods, respectively.
The Fourier transform Infrared spectra of as-synthesized MCM-41 and hollow cuboids are
shown in Fig. 6a,b. Peaks around 1700 and 3430 cm-1 corresponding to the carboxyl and
hydroxyl groups (Li et al., 2002) respectively. The adsorption peak belonging to the Si-O
stretching vibration of Si-OH bond appears at 960 cm-1(Shan et al., 2004). The weak peaks at
2855 and 2920 cm-1 belong to the stretching vibrations of C-H bonds, which show a few
organic groups are adsorbed on the spheres. The peaks for carboxyl, hydroxyl and C-H
vibrations are weak in MCM-41, shows the lesser organics, resulting of organic template.
The strong peaks near 1100, 802 and 467 cm-1 agree to the Si-O-Si bond which implies the
condensation of silicon source (Agger et al., 1998).
Fig. 7 shows the UV ray absorbance spectra of 30 mg/ml ibuprofen hexane solutions (Zhu et
al., 2005) before (a) and after (b) the interaction with nanocuboid and (c) MCM-41. The drug
put in contact with nanocuboid and MCM-41 does not show any sign of degradation, since
the positions of the absorbance maxima remain unchanged after the interaction and no new
bands appear. The Ultraviolet ray absorbance intensity of filtrate decreases after Ibuprofen
solution interaction with nanocuboids and MCM-41. This shows the remaining Ibuprofen is
adsorbed over the molecular sieves. It was calculated that 561.8 mg and 270.5 mg ibuprofen
b
Fig. 5. Nitrogen adsorption/desorption isotherms of calcined mesoporous silicas, a)
Nanocrystalline MCM-41 and b) Nanohollow cuboids.
30
25
20
Transmittance (%)
15
(%)Absorbance
10
0
400 900 1400 1900 2400 2900 3400 3900 4400 4900
Wavenumber, cm-1 (1/cm)
a
b
Fig. 6. Fourier transform Infrared spectroscopic analysis of as-synthesized mesoporous
silicas, a) Nanohollow cuboids and b) a) Nanocrystalline MCM-41.
1.6
1.4
1.2
Absorbance
1.0
0.8
0.6
0.4 a
b
0.2 c
0.0
240 260 280 300 320
Wavelength (nm)
Fig. 7. The Ultraviolet – visible absorbance spectra of 30 mg/ml ibuprofen hexane solutions
before (a) and after (b) the interaction with calcined mesoporous silica Nanohollow cuboids
and (c) mesoporous Silica Nanocrystalline MCM-41.
molecules can be stored in per gram nanocuboid and MCM-41, respectively from Ultraviolet
ray absorbance according to Beer–Lambert Law (Jeffery et al., 1997). The surface area and
pore volume of MCM-41 and nanocuboid are very close to each other, but much more
ibuprofen molecules can be stored into nanocuboid than into MCM-41. This illustrates that
the hollow cores could hold more than half drug molecules of total storage amount.
Tetraethylorthosilicate (TEOS) was hydrolyzed in the presence of basic triethanolamine.
However the hydrolysis rate of TEOS using triethanolamine is very slow as compared to
hydrolysis with NH3. For example, using the molar ratio described above, TEOS can be
hydrolyzed in 2h using NH3 whereas triethanolamine took 24 h to hydrolyze the TEOS. In
the present synthetic recipe, triethanolamine not only act as a catalyst for the hydrolysis but
also it acts as a reactant. The hydrolyzed silica monomers react with triethanolamine to give
respective oxide. Such silicate-triethanolamine adduct are held together with hydrogen
bonding. The triethanolamine sandwiched silica layer condensed and form nanocuboids.
MCM-41 is reported to crystallize by self assembly of surfactant/template (Grun et al., 1999)
in similar to nanocuboids.
4. Conclusion
A novel procedure was invented to synthesize mesoporous Silica Nano hollow cuboids with
uniform size and morphology. It is characterized by various physicochemical techniques.
The results are compared with Nanocrystalline silica MCM-41. Transmission electron
micrographs shows, 150 nm hollow diameter and 50 nm shell thickness in hollow cuboids.
Further, the mesoporous silica Nanohollow cuboids were found to store much more guest
molecules than conventional mesoporous silica Nanocrystalline MCM-41.
5. Acknowledgement
The author thanks Director, National Institute of Technology, Warangal, India for constant
encouragement throughout the course of work.
6. References
Agger J.R., Anderson M.W., & Pemble M.E., 1998, Growth of Quantum – confined Indium
Phosphide inside MCM-41. J. Phys. Chem. B, vol. 102, 1998, pp. 3345-3353.
Beck J.S., Vartuli J.C., . Roth W.J., Leonawicz M.E., & Kresge C.T., 1992, A new family of
mesoporous molecular sieves prepared with liquid crystal templates. J. Am. Chem.
Soc., vol. 114, 1992, pp. 10834-10843.
Bruinsma P.J., Kim A.Y., & Liu J., 1997, Mesoporous silica synthesized by solvent
Evaporation: spun Fibers and spray-Dried Hollow spheres. Chem. Mater., vol. 9,
1997, pp. 2507-2512.
Brunauer S., Deming L.S., Deming W.S., & Teller E., 1940, On a Theory of the vander waals
Adsorption of Gases. J. Am. Chem. Soc., vol. 62, 1940, pp. 1723-1732.
de Boer J.H., 1958, The Structure and Properties of Porous Materials, Butterworths, London,
1958.
Decher G., 1997, Fuzzy Nano assemblies : Toward Layered polymeric Multicomposites.
Science, vol. 277, 1997, pp. 1232-1237,.
Fowler C.E., Khushalani D., & Mann S., 2001, Interfacial synthesis of hollow microsphere of
meso structured silica. Chem. Comm., 2001, pp. 2028-2029.
Fujiwara M., Shiokawa K., Tanaka Y., & Nakahara Y., 2004, Preparation and formation
Mechanism of Silica Microcapsules (Hollow sphere) by water/oil/water Interfacial
Reaction. Chem. Mater., vol. 16, 2004, pp. 5420-5426.
Grun M., Unger K.K., Matsumoto A., & Tsutsumi K., 1999, Novel pathways for the
preparation of mesoporous MCM-41 materials : Control of porosity and
morphology. Micropor. Mesopor. Mat., vol. 27, 1999, pp. 207-216.
Huang H., & Remsen E.E., 1999, Nanocages Derived from shell cross-linked Micelle
Templates. J. Am. Chem. Soc., vol. 121, 1999, pp. 3805-3806.
IUPAC, Reporting Physisorption Data for Gas/Solid Systems, 1957, Pure Appl. Chem., vol.
87, 1957, pp. 603-608.
Jeffery G.H., Bassett J., Mendham J., & Denney R.C., 1997, Vogel’s Textbook of Quantitative
Chemical Analysis, Addition Wesley Longman Limited, Edinburgh Gate, Harlow,
Essex CM20 2JE, England, 1997, pp. 649-655.
Kresge C.T., Leonowicz M.E., Roth W.J., Vartuli J.C., & Beck J.S., 1992, Ordered mesoporous
molecular sieves synthesized by a liquid – crystal template mechanism. Nature, vol.
359, 1992, pp. 710-712.
Li Y., Shi J., Hua Z., Chen H., Ruan M., & Yan D., 2003, Hollow spheres of Mesoporous
Aluminosilicate with a three- dimensional pore Network and Extraordinarily High
Hydrothermal stability. Nano Lett., vol. 3, 2003, pp. 609-612.
Li Y., Xu C., Wei B., Zhang X., Zheng M., Wu D., & Ajayan P.M., 2002, Self – organized
Ribbons of Aligned carbon Nanotubes. Chem. Mater., vol. 14, 2002, pp. 483-485.
Mathlowitz E., Jacob J.S., Jong Y.S., Carino G.P., Chickering D.E., Chaturvedl P., Santos C.A.,
Vijayaraghavan K., Montgomery S., Bassett M., & Morrell C., 1997, Biologically
erodable microspheres as potential oral drug delivery systems. Nature, vol. 386,
1997, pp. 410-414.
Moller K., & Bein T., 1998, Inclusion chemistry in Periodic Mesoporous Hosts, Chem. Mater.,
vol. 10, 1998, pp. 2950-2963.
Schacht S., Huo Q., Voigt-Martin I.G., Stucky G.D., & Schuth F., 1996, Oil-Water Interface
Templating of Mesoporous Macroscale Structures. Science, vol. 273, 1996, pp. 768-
771.
Shan Y., Gao L., & Zheng S., 2004, A facile approach to load CdSe nanocrystallites into
mesoporous SBA-15. Mater. Chem. Phys., vol. 88, 2004, pp. 192-196.
Tanev P.T., Chibwe M., & Pinnavaia P.J., 1994, Titanium – containing mesoporous molecular
sieves for catalytic oxidation of aromatic compounds. Nature, vol. 368, 1994, pp.
321-323,.
Vallet-Regi M., Ra´mila A., del Real R.P., & Pe´rez-Pariente J., 2001, A New Property of
MCM-41 : Drug Delivery System. Chem. Mater., vol. 13, 2001, pp. 308-311.
Venkatathri N., Srivastava R., Yun D.S., & Yoo J.W., 2008, Synthesis of a novel class of
mesoporous hollow silica from organic templates. Micropor. Mesopor. Mat., vol. 112,
2008, pp. 147-152.
Wu C.G., & Bein T., 1994, Polyaniline wires in oxidant-containing Mesoporous channel
hosts. Chem. Mater., vol. 6, 1994, pp. 1109-1112.
Wu P., Tatsumi T., Komatsu T., & Yashima T., 2002, Postsynthesis, Characterization and
Catalytic Properties in Alkene Epoxidation of Hydrothermally stable Mesoporous
Ti-SBA-15. Chem. Mater., vol. 14, 2002, pp. 1657-1664.
Yu K., Guo Y., Ding X., Zhao J., & Wang Z., 2005, Synthesis of silica nanocubes by sol-gel
method. Mat. Lett., vol. 59, 2005, pp. 4013-4015.
Zhu Y., Shi J., Chen H., Shen W., & Dong X., 2005, A facile method to synthesize novel
hollow mesoporous silica spheres and advanced storage property. Micropor.
Mesopor. Mat., vol. 84, 2005, pp. 218-222.
3
Synthesis of Titanate and Titanium

Dioxide Nanotube Thin Films and
Their Applications to Biomaterials
Mitsunori Yada and Yuko Inoue
Saga University
Japan
1. Introduction
Recently, titanium compounds with one-dimensional nanostructures, such as nanotubes
and nanofibers, have recently attracted much attention. Among these 1-D compounds,
nanotubes composed of titanium dioxide and titanate are now being studied actively.
Titanium dioxide nanotubes can be synthesized using porous anodic alumina membranes
(Imai et al., 1999; Yamanaka et al., 2004), organic molecules (Jung et al., 2002), or
polycarbonate membranes (Shin et al., 2004) as templates, or methods involving anodization
of titanium metals (Macak et al., 2005). Since the interesting reports by Kasuga et al. (Kasuga
et al., 1998; Kasuga et al., 1999) and Chen et al. (Chen et al., 2002), titanate and titanium
dioxide nanotubes synthesized using the hydrothermal method have found a wide range of
potential uses in photocatalysis (Tokudome et al., 2004; Jiang et al., 2008), dye sensitizing
solar batteries (Uchida et al., 2002), hydrogen storage (Bavykin et al., 2005), electrochromism
(Tokudome et al., 2005), bonelike apatite formation (Kubota et al., 2004), proton conductors
(Thorne et al., 2005), electron field emission characteristic (Miyauchi et al., 2006),
photoinduced hydrophilicity (Tokudome et al., 2004), etc.
In order to maximize the characteristics of the nanotube and to use them efficiently,
preventing their excessive aggregation and arrangement at larger than micrometer or
centimeter size are considered important. Especially, it is important to fabricate thin films
composed of nanotubes. Kasuga et al. (Kasuga et al., 2003) reported the fabrication of
titanate nanotube thin films by coating a titanate nanotube dispersion liquid to a substrate,
and then calcinating the substrate. Tokudome et al. (Tokudome et al., 2004) and Ma et al.
(Ma et al., 2004) also reported the fabrication of titanate nanotube thin films using a layer-
by-layer method. However, neither study had transformed titanate nanotube thin films into
titanium dioxide thin films. Kim et al. (Kim et al., 2007) used electrophoretic deposition
(EPD) to fabricate 2-μm-thick titanate nanotube thin films, and they transformed the titanate
nanotube thin films into titanium dioxide nanotube thin films by calcination. However,
these methods involve complicated processes, including (1) synthesis of nanotubes, (2)
preparation of a liquid in which the synthesized nanotubes are dispersed, (3) coating of the
nanotubes onto a substrate using the prepared liquid, and (4) fixation of the coated
nanotubes onto the substrate surface by calcination. Since it is generally difficult to prepare
a liquid in which nanotubes are uniformly dispersed and that partial aggregation is
inevitable, the homogeneity of thin films thus formed is questionable. Moreover, permanent
fixation of the thin films onto the substrates is also doubtful. On the other hand, titanate and
titanium dioxide nanotube thin films can also be formed on titanium metal by immersing
titanium metal as a raw material into NaOH aqueous solution and then performing
hydrothermal treatment (Miyauchi et al., 2006; Tian et al., 2003; Chi et al., 2007; Yada et al.,
2007; Guo et al., 2007). The fabrication of titanate nanotube thin films using titanium metal
plates was first reported by Tian et al. (Tian et al., 2003). The thin (~10 μm) films were
detached from the titanium metal plates by hydrothermal reaction for 20 h. In contrast, thin
films obtained by a short (6 h) hydrothermal reaction strongly adhered to the titanium metal
plate. Miyauchi et al. (Miyauchi et al. 2006) obtained a titanium dioxide nanotube thin film
by hydrothermal treatment on titanium metal, followed by acid treatment and calcination.
Although this thin film was fixed onto the substrate, its thickness was only a few hundred
nanometers. Therefore, it is clear that titanate and titanium dioxide nanotube thin films tend
to detach from the substrates when they become too thick. Chi et al. also reported the
fabrication of a sodium titanate nanotube thin film (Chi et al., 2007). However, the thickness
of the film was not mentioned in their report, and the sodium titanate nanotubes were not
transformed into titanium dioxide nanotubes.
In this chapter, first, we will report the synthesis and organization of sodium titanate
nanotube (hereafter referred to as Na-TNT) of size larger than a micrometer, using various
titanium metals with controlled shapes of a micrometer size including plate, wire with a
diameter of a micrometer, mesh woven from the titanium wire, microspheres, and
microtube (Yada et al., 2007). The titanium metal acts as a template for the organization as
well as a titanium source. Therefore, the originality of our study is to use titanium metal as a
morphology-directing material. In addition, we will report a novel procedure for fixation of
Na-TNT thin film on titanium metal (Yada et al., 2007). As a result, the thickness of the
sodium titanate nanotube thin film can be adjusted by changing the duration of the
hydrothermal reaction and the obtained films are thicker than those reported in previous
studies (Miyauchi et al., 2006; Tian et al., 2003). Furthermore, we will also introduce a novel
“hydrothermal transcription method” for forming Na-TNT films on various substrates such
as Co-Cr alloy and SUS316L (Yada et al., 2008). Transformation of Na-TNT thin films into
thin films consisting of anatase nanotube, anatase nanowires, anatase nanoparticles, and
rhomboid-shaped anatase nanoparticles are also introduced (Inoue et al. 2010). To obtain an
anatase nanotube thin film, it is necessary to slightly modify previously reported methods
for synthesizing titanium dioxide nanotube particles.
Next, in this chapter, obtained titanate and titanium dioxide nanotube thin films will be
applied to antibacterial biomaterials (Inoue et al., 2010). The nanotube thin film has several
advantages: it can be formed on titanium, titanium alloy, Co–Cr alloy, and SUS316L, which
are useful for manufacturing surgical instruments and implants such as artificial joints; its
thickness can be controlled up to 20 μm or more, in contrast to only 1 μm for the thickness of
the previously reported sodium titanate thin film with a porous network structure; and
medicines can be incorporated into the nanotube. It is well known that bacterial infection
may occur during surgery because of several factors. For example, during hip-replacement
arthroplasty, bacterial infections occur in 1% to 2% of operations and usually cause physical
and economic burdens for patients, such as re-implantation. As a conventional method for
Synthesis of Titanate and Titanium Dioxide
Nanotube Thin Films and Their Applications to Biomaterials 43
preventing infections, antibiotics are administered even in operation rooms with few
pathogens. However, this does not prevent every infection. Therefore, imparting
antibacterial properties to implants is currently under investigation. There have been reports
of the use of apatite coating containing silver on implants by sputtering (Chen et al., 2006),
silver-plated implants (Hardes et al., 2007), and gentamicin–hydroxyapatite coating for
cementless joints (Alt et al., 2006), all of which have shown antibacterial properties.
However, these methods have drawbacks such as the need for expensive instruments and
the use of antibiotics that may cause the emergence of resistant bacteria. Therefore, further
research is required. In this study, in order to develop more convenient and inexpensive
antibacterial implants, silver ions are studied as an antibacterial component along with
titanate nanotube formed on the surface of titanium. Silver is one of the most common
antibacterial elements and is considered highly safe with high antibacterial activity. Sodium
titanates are composed of a titanate framework with a negative electric charge and Na+ ions
with a positive electric charge. Since they have a cation exchange property, Na+ ions can be
exchanged with several cations (Kim et al., 1997; Chen et al., 2002; Sun et al., 2003; Bavykin
et al., 20006). Therefore, it is considered that sodium titanate can be transformed into silver
titanate by exchange of Na+ in sodium titanate with Ag+, and the in vivo elution of silver
ions from the titanates would be promising for application to antibacterial implants. In
addition, it is suggested that the titanate nanotube thin film would be able to possess a
larger amount of silver and allow the amount of silver to be controlled more widely as
compared with the titanate thin film previously reported (Kim et al., 1996). In this chapter,
we will describe the synthesis and characterization of titanate nanotube thin films with
silver and the behavior of silver ion elution of the thin films in vitro. We will also describe
the antibacterial properties against methicillin-resistant Staphylococcus aureus (MRSA) with
a biofilm-forming gene, which is a major concern in actual infections, to investigate the
possibility of using synthesized thin films as antibacterial implants.
Finally, we will describe the apatite-forming abilities of titanium compound nanotube thin
films by comparing the apatite deposition behaviors of a sodium titanate nanotube thin film
(Yada et al., 2007), a titanium dioxide nanotube thin film (Inoue et al., 2010), and a silver
nanoparticle/silver titanate nanotube nanocomposite thin film (Inoue et al., 2010), in
simulated body fluid (SBF) (Yada et al., 2010). In evaluating the in vivo apatite-forming
ability or the osteoconductive property of a material, researchers commonly perform
experiments in SBF (Kokubo et al., 2006)). Kim et al. (Kim et al., 1996) first reported the
formation of a sodium titanate thin film with a porous network structure on a titanium
metal plate by alkali and heat treatment and demonstrated the osteoconductive property of
the obtained sodium titanate thin film. Since then, researchers have actively performed
many studies on the applications of sodium titanate thin films in implants (Kokubo et al.,
1996; Kim et al., 1997; Kim et al., 1997; Nishiguchi et al., 1999; Jonášová et al., 2003; Kim et
al., 2003; Muramatsu et al., 2003; Wang et al., 2007; Wang et al., 2008). Similar studies have
also been performed on calcium titanate thin films (Hanawa et al., 1997; Hamada et al., 2002;
Nakagawa et al., 2005; Kon et al., 2007; Ohtsu et al., 2008), titanium dioxide thin films
(Ohtsuki et al., 1997; Wang et al., 2001; Wang et al., 2003; Byon et al., 2007), and a
nanohydroxyapatite thin film (Xiong et al., 2010), and the excellent biocompatibilities of
these films have been reported. Therefore, titanium compound thin films show tremendous
promise for use as implant materials.
2. Synthesis and characterization of titanate and titanium dioxide nanotube

thin films
2.1 Sodium titanate nanotube thin films formed on various shaped titanium metal
templates
2.1.1 Sodium titanate nanotube thin film formed a titanium plate
First, the growth and fixation of Na-TNT on titanium plate were investigated. A titanium
plate (20 mm  20 mm  2 mm) was immersed in 20 ml of 10 mol/l aqueous NaOH solution
in a Teflon container and reactions were carried out at 160°C. After hydrothermal treatment
for 20 h, the surface of the plate changed to pale, indicating the formation of a thin film on
the titanium plate. In order to wash out NaOH and the particles that adhered to the surface
of the thin film, the plate was washed with water after the reaction. The thin film
immediately exfoliated as shown in Fig. 1a, and then a surface with a metallic luster similar
to that of titanium metal appeared on the surface of the plate. The greater part of the film
was posited to consist of nanotubes with an outer diameter of approximately 8 nm (Fig. 1b).
Through EDX analysis, the mol fraction of Na/Ti/O for the obtained film was determined
to be 1:1.947:4.943. The film was thus assumed to be Na2Ti4O9·H2O, though some titanate
structures, such as A2Ti2O5·H2O (Yang et al., 2003), A2Ti3O7 (Chen et al., 2002), H2Ti4O9·H2O
(Nakahira et al., 2004), and lepidocrocite titanates (Ma et al., 2003), have been assigned as
nanotube constituents (A=Na and /or H) as summarized by Tasi et al (Tasi et al., 2006).
Moreover, by detailed SEM observation of the cross-section of this film, the film thickness
was determined to be approximately 20.2 μm, as shown in Fig. 1c. The thickness of the Na-
TNT phase was determined to be approximately 19.2 μm, and the thickness of the dense
sodium titanate phase without Na-TNT was determined to be approximately 1.0 μm.
Although fibrous morphologies were observed on the surface of the film, the back of the
film was flat with no visible fibers. Therefore, the film exfoliation was considered to occur at
the interface between the titanium metal phase and the sodium titanate phase without Na-
TNT. Based on the above results, the formation of the Na-TNT thin film can be explained as
follows: (1) titanium dissolves into titanium ions (Ti4+) by oxidizers, H+ and/or O2; (2)
dissolved Ti4+ ions immediately form titanium species (Wu et al., 2006) such as TiO32−,
TiO2(OH)22−, and TinO2n+m2m− and the concentration of titanium species in the reaction
solution increases as the dissolution of titanium is accelerated; (2) titanium species are
reprecipitated as sodium titanate with an increase in the concentration of titanium species in
the reaction solution; (3) since the concentration of the titanium species in the reaction
solution is expected to increase with time, the sodium titanate phase without Na-TNT is
formed when the concentration of titanium species is low and the Na-TNT phase is formed
after the concentration becomes sufficiently high. The Na-TNT-free sodium titanate phase
formed at low concentrations of titanium species may be amorphous sodium titanate. Since
the concentration of titanium species in the reaction solution is considered to affect the type
of sodium titanate cluster and the formation rate of the sodium titanate phase, the
concentration of titanium species, together with temperature and other concentrations, are
also considered to be factors in determining the type of phase formed.
Moreover, in order to prevent detachment of the thin Na-TNT film, the as-synthesized plate
was slowly dried at room temperature after the hydrothermal treatment without washing it
with water. Although NaOH crystals were observed on the plate, the thin film still adhered
a b c
d e f
Fig. 1. Photograph (a, d), TEM (b), and SEM (c, e, f) images for the as-grown (a-c) and the
300 ºC calcined (d-f) products obtained after the 20 h reaction.
to the plate. When the plate was washed with water after heat treatment at 300°C for 1 h
in air, although the NaOH crystals dissolved, the thin Na-TNT film still adhered to the
plate firmly and no detachment was observed as shown in Fig. 1d. Na-TNT formation was
confirmed by the fibrous morphologies observed on the surface of the thin film in an
enlarged SEM image (Figs. 1e, f) and nanotubes observed in a TEM image of the thin film.
Moreover, in an XRD pattern of the thin film (Fig. 2), only diffraction peaks characteristic
of Na-TNT (Chen et al., 2002) were observed along with peaks assigned to titanium metal.
The reason for this stable coating is probably because polycondensation of hydroxyl
groups in the interface area between the titanium plate and the Na-TNT-free sodium
titanate phase occurred by the heat treatment at 300°C, and Na-TNT being firmly fixed on
the plate. The slow drying process is also considered to be important for the fixation of
Na-TNT onto the titanium plate, since the thin film detached from the titanium plate by
drying at 60°C. The formation and fixation of the Na-TNT thin film were also observed in
the reaction after 3 h. Nanotubular structures similar to those of the 20 h product were
also observed. The thickness of approximately 5 μm for the film obtained after the 3 h
reaction was smaller than that of 20.2 μm for the film obtained after the 20 h reaction.
The thickness of the film is thus controllable by the reaction time. On the other hand,
when an as-synthesized Na-TNT thin film obtained by hydrothermal reaction in 10 mol/L
NaOH solution at 160 °C for 1 h was washed with large amounts of water, the Na-TNT
thin film do not detach from the substrates and remains as thin as approximately 1 μm.
Therefore, it is clear that sodium titanate nanotube thin films tend to detach from the
substrates when they become too thick, but remain firmly fixed on substrates when the
obtained samples are dried (without washing with water) and subsequently calcined at
300 °C.
Fig. 2. XRD pattern for the plate obtained after the 20 h reaction. Peak assignment: ○
titanium metal, ● sodium titanate nanotube.
2.1.2 Sodium titanate nanotube thin films formed on titanium wire, titanium mesh,
titanium sphere, and titanium microtube
Titanium wire (lengths: 5 cm, 24 cm, and diameters: 53.4 μm, 104.4 μm, 203.7 μm), titanium
mesh (woven from the titanium wire with a diameter of 104.4 μm, 20 mm  20 mm),
titanium tube (inner diameter: 800 μm, outer diameter: 1 mm, length: 1 cm), and titanium
spheres (diameter: 850–1180 μm, weight: 0.21-0.24 g) were used as metal titanium sources
instead of a titanium plate.
After the hydrothermal treatments for 3 h and 20 h, the surfaces of titanium mesh and
titanium sphere were completely covered with Na-TNT thin film. Both outer and inner
surfaces of the microtube were also covered with uniform nanotubes with an average
diameter of 8 nm. Typical digital camera and SEM images are shown in Figs. 3a-c.
On the other hand, the formation of Na-TNT thin film on a titanium wire requires special
procedures which are different from those for plate, mesh, sphere, and microtube. First, the
synthesis and fixation of Na-TNT were investigated using titanium metal wires of diameters
53.4 and 104.4 μm and length 5 cm as titanium sources. As a result, after the hydrothermal
treatment for 3 h, sodium titanate with an irregular morphology was formed on the surface
of the titanium wires, and only small amount of nanotubes was observed in the product
synthesized using the titanium wire of diameter 104.4 μm. The diameters decreased from
53.4 and 104.4 μm for the original wires to 36.3 and 93.8 μm for the wires after a reaction
time of 3 h, respectively. Moreover, after the hydrothermal treatment for 20 h, both wires
completely dissolved. In addition, in the experiment using a wire of diameter 53.4 μm and
length 24 cm, no nanotubes were observed on the surface of the obtained wire at a reaction
time of 3 h and the wire completely dissolved at a reaction time of 20 h. On the other hand,
in the experiment using a wire of diameter 104.4 μm and length 24 cm, the amount of Na-
TNT formed increased at 3 h reaction time, and the surface of the wire was completely
covered with Na-TNT thin film at the 20 h reaction. The reason for the complete dissolution
of the original wires is because the dissolution rates of titanium species from the wires were
faster than the redeposition rate of sodium titanate on the surface of the wires. On the other
hand, the reason for the complete coverage of Na-TNT on the wire without dissolution is
that the redeposition rate of sodium titanate nanotubes on the wire’s surface became faster
than the dissolution rate of titanium species from the wire with an increase in its diameter
and length. These differences depending on the diameters of the original wires are
a b c
d e f
Fig. 3. SEM (a, b, d, e), Photograph (c), and TEM (f) images for the mesh (a), micro-sphere
(b), microtube (c), and wire (d-f) obtained after the 3 h reaction.
explained as follows. Surface area and surface texture strongly affect the concentration of
titanium species in the reaction solution. The amount of titanium species in the reaction
solution increases with an increase in the diameter of the wire, since the surface area of the
wire increases with an increase in the diameter. Additionally, the difference in the surface
texture of the wires also affects the concentration of titanium species near their surfaces.
Detailed SEM observations of the original titanium wires confirmed that the surfaces of the
wire of diameter 104.4 μm were porous, but the surface of the wire of diameter 53.4 μm was
relatively smooth. The concentration of titanium species would be higher near the wire and
lower as the distance from the wire increases. In particular, the concentration of titanium
species near the porous surface would be higher than that near the smooth surface.
Therefore, in the experiments using the 104.4 μm diameter wire, the amount of titanium
species formed per unit of time and the concentration of the titanium species would be large
due to their larger diameters and porous surfaces, and consequently the concentration of
titanium species would be sufficiently high for the formation of Na-TNT as the dissolution
of titanium proceeded. On the other hand, since the surface area of the 53.4 μm diameter
wire was predicted to be smaller than the 104.4 μm diameter wire due to its diameter and
smooth surface, the concentration of titanium species formed per unit of time would also be
small. Therefore, the concentration of titanium species would be too low for the formation of
Na-TNT. Consequently, sodium titanate with irregular morphology was formed without
Na-TNT at a reaction time of 3 h and the original wire completely dissolved at a reaction
time of 20 h. Taking into consideration the above discussion, a similar hydrothermal and
fixing treatment was performed using a wire of diameter 53.4 μm and length 24 cm wound
onto the above mentioned titanium plate, which could act as a source of titanium species.
Wired morphologies remained for 3 h (Fig. 3d) and 20 h reactions, respectively, and the
surfaces of both wires were completely covered with uniform Na-TNT thin films (Figs. 3e,
f). It is considered that since the amount of titanium species reprecipitated on the wire,
supplied by the dissolution from the titanium plate, was larger than the amount of titanium
species dissolved from the wire, the surface of the wire was covered with Na-TNT. These
results also indicate that dense concentration of titanium species near the titanium surface is
required for the formation of Na-TNT on the titanium wire. Based on the above results, Na-
TNT applications can be largely extended by the hydrothermal treatment of a cloth woven
with titanium wires and by weaving a cloth with Na-TNT/Ti wires.
2.2 Sodium titanate nanotube thin films formed on Co–Cr alloy and SUS316L plates
We devised a “hydrothermal transcription method” for forming Na-TNT films on various
substrates, as shown in Fig. 4. In this method, Na-TNT would be produced by re-depositing
or transcribing the titanium species such as TiO32−, TiO2(OH)22−, and TinO2n+m2m− formed
near the surface of the titanium plate by hydrothermal treatment in aqueous NaOH solution
on other substrate as Na-TNT, and grown to form dense films on several substrates as well
as on the titanium plate. As shown in Fig. 4, under the conditions where a titanium metal
plate and a substrate were adjacently placed, the titanium metal plate and substrate were
spaced uniformly (about 200 µm) and fixed using titanium wires or SUS316 wires. For the
substrate, Co–Cr alloy disk, SUS316L plate, SUS430 plate, tantalum plate, and silicon plate
were used. These were immersed in 10 mol/l NaOH aqueous solution and reacted
hydrothermally for 20 h at 160 °C. After the reaction, the samples were removed from the
container and dried. Then, by washing in water following heat treatment at 300 °C,
excessive NaOH adhered on the substrate was removed.
Hydrothermal Reaction in
200 μm NaOH Aqueous Solution
Substrate
Substrate
Substrate
Substrate
Ti Plate
Ti Plate
Ti Plate
Ti Plate
Formation Deposition of TNT Formation of TNT

of Ti Species Film Reflecting
Form of Ti Plate
Fig. 4. Schematic representation of a reaction process by the hydrothermal transcription

method.
Firstly, the Co–Cr alloy disk was used as a substrate. As shown in Fig. 5a, after the reaction,
the formation of a white film whose base is the color of Co–Cr alloy along the square form of
counter titanium plate on only the face countered to the titanium plate was observed. This
white film strongly adhered to the Co–Cr alloy plate. By SEM images (Figs. 5b, c), the
uniform and dense formation of fibrous substances was identified. Also by TEM observation
of fibrous substances, nanotubes with an outer diameter of about 8 mm were identified (Fig.
5d). The thickness of this film is about 5 µm. This thickness was less than the 20 µm
thickness of the Na-TNT film formed on the titanium plate when reacted singly (Yada et al.,
2007). As the XRD pattern of the Co–Cr alloy surface countered to the titanium plate, a
diffraction peak characteristic to titanate nanotube near 2θ = 10° as well as the peaks
attributed to the Co–Cr alloy of the raw material were observed. From a EDX analysis, it
was found that the film contains Na, Ti, O, Co, Cr, and Si, and the molar ratio for the film
was Na:Ti:O:Co:Cr:Si=0.322:1:2.401:0.112:0.052:0.045. Sodium titanate nanotube film is thus
thought to be formed on the Co–Cr alloy disk. The elements of Co, Cr, and Si would
dissolve from the Co–Cr alloy disk and would be incorporated into the titanate framework
and/or the interlayer spacing of the titanate. Furthermore, as observed above, the white Na-
TNT film reflecting the square form of the titanium plate was observed on the Co–Cr alloy
disk countered to the titanium plate (Fig. 5a). Thus, the titanium species capable of forming
Na-TNT were present near the surface of titanium, and it can be considered that Na-TNT
patterning reflecting the form of the titanium plate was made on the surface of the Co–Cr
alloy disk countered to the titanium plate. The above results suggest that by using several
forms of the titanium plate as the titanium source, several forms of Na-TNT patterning can
be made on heterogeneous substrates.
2.2 cm
a b c d
Fig. 5. Digital camera (a), SEM (b, c), and TEM (d) images for the obtained thin film formed
on the surface of Co-Cr alloy countered to titanium metal.
When the same experiment was conducted with SUS316L plate instead of the Co–Cr alloy
disk, it was found that as in the case of Co–Cr alloy, diluted white Na-TNT thin film was
formed on the surface of SUS316L plate countered to the titanium plate. On the other hand,
when the same reaction was performed using the SUS430 plate instead of Co–Cr alloy disk,
brown and black iron compounds were formed on the SUS430 plate, although white Na-
TNT film was formed in part. SUS430 is an industrial grade stainless alloy, whereas
SUS316L is a stainless alloy used in implants and has exceptionally high corrosion
resistance, and the results reflecting this corrosion resistance were obtained. When the same
reaction was performed with the tantalum plate instead of the Co–Cr alloy plate, copious
amounts of white products were produced on the tantalum plate, and particles other than
nanotubes were observed. In addition, when the same experiment was performed using a
silicon plate instead of the Co–Cr alloy disk, the silicon plate was completely dissolved by
the hydrothermal reaction. On considering the differences in the responsiveness of
substrates, it is thought that the dissolution rate of the titanium plate and substrates and
redeposition rate of chemical species that arose from the dissolved titanium plate and
substrates should be considered. Particularly, in this experiment system, it is considered that
the dissolution rate of substrates has a large effect on the results of the experiments. The
dissolution rate of using metals as substrates, as in this study, can be explained by the
ionization tendency, i.e., oxidation–reduction potential. It is considered that titanium

dissolves into titanium ions (Ti4+) by oxidizers, H+ and/or O2, and these dissolved ions
immediately form chemical species (Wu et al., 2006) such as TiO32−, TiO2(OH)22−, and
TinO2n+m2m− which are re-deposited as Na-TNT. When a substrate whose ionization
tendency is smaller than titanium, especially materials such as SUS316L and Co–Cr alloy, is
hydrothermally reacted with titanium simultaneously, the dissolution rate of titanium is
higher than that of the substrate. In this reaction, titanium species are immediately
produced following the dissolution of titanium and spread and re-deposited on the
substrate as Na-TNT film, which predominates the dissolving reaction of the substrates. As
a result, the surface of the substrate is covered by Na-TNT film, and the dissolution of the
substrate was further minimally suppressed. On the other hand, it is considered that when
the substrates with ionization tendencies larger than titanium, i.e., substrates such as silicon
and tantalum, and titanium were hydrothermally reacted at the same time, the dissolution
reaction of substrates predominate the dissolution reaction of titanium. Na-TNT film was
not thus obtained on the substrates.
2.3 Hydrogen titanate and anatase-type titanium dioxide nanotube thin films
H+ ion-exchange treatment for the sodium titanate nanotube thin film and the subsequent
calcination can produce an anatase-type titanium dioxide nanotube thin film.
2.3.1 H+ ion-exchange treatment for sodium titanate nanotube thin films

We performed H+ ion-exchange treatment for Na-TNT thin film obtained after the 3 h reaction
using 0.01 mol/l hydrochloric acid solution at 90 and 140 °C for 3 h. The thin films resulting
from treatment at these two temperatures remain attached over the entire surface of each
sample. EDX analysis reveal that because the molar ratio of Na/Ti decrease from 0.48 before
treatment to 0 after treatment at 90 and 140 °C, Na+ ions between titanate layers are confirmed
to be completely exchanged for H+ ions. We observe nanotubes with an average outer
diameter of 8.3 nm and inner diameter of 3.3 nm in the ion-exchange-treated sample at 90 °C
using 0.01 mol/l hydrochloric acid solution (Fig. 6a). No change is observed in the porous
structure of the thin film before or after treatment. The XRD pattern for the H+ ion-exchanged
sample at 90 °C shows four diffraction peaks (near 2θ = 9, 24, 29, and 48°) attributed to titanate
together with peaks attributed to α-titanium, similar to those for the as-grown sample, as
shown in Fig. 7. We therefore believe that the H+ ion-exchange treatment at 90 °C transforms
sodium titanate nanotubes into hydrogen titanate nanotubes while maintaining the crystal
structure of titanate, nanotubular morphology, and porous thin-film structure. In contrast, the
H+ ion-exchange treatment at 140 °C replaces the fibrous morphology with rhomboid-shaped
particles (average diameter 21 nm) (Fig. 6b) and pores (~ 45 nm diameter) in the interstitial
gaps. The XRD pattern of this sample (Fig. 7) shows peaks attributed to anatase. Therefore, a
porous thin film consisting of rhomboid-shaped anatase is confirmed to be formed on the
titanium metal plate. Change in the crystal structure of sodium titanate nanotubes to anatase
nanotubes by acid treatment have been described previously by Tsai et al. (Tsai et al., 2006).
They reported that although a nanotube form is maintained by acid treatment at pH 1.6, only
irregular-shaped anatase particles are formed by acid treatment at pH 0.38. Zhu et al. (Zhu et
al., 2005) reported that hydrogen titanate nanofiber transforms into anatase nanocrystals in
dilute (0.05 mol/L) HNO3 at 80–120 °C. They stated that monodispersed anatase nanocrystals
are obtained at 80 °C and aggregates of nanocrystals are obtained at 120 °C. Our results also
suggest that the change in the crystal structure change of titanate compounds to anatase is
determined not only by pH but also by the temperature of the ion-exchange treatment. We
suggest that the high temperature (140 °C) of the ion-exchange treatment is responsible for the
change in the crystal structure of hydrogen titanate to the anatase structure, with a high degree
of crystallization, and that this change occurs due to polycondensation and dissolution–
redeposition reactions.
a b
Fig. 6. TEM images of the ion-exchange-treated thin films at 90 °C (a) and 140 °C (b).
d
Intensity (a.u.)
a
0 10 20 30 40 50 60 70
2θ / deg.
Fig. 7. XRD patterns of the as-grown (a) and the ion-exchange-treated thin films at 40 °C (b),
90 °C (c), and 140 °C (d). Peak assignment: ■, α-titanium; ○, anatase; ▲, titanate.
The temperature required for the complete H+ ion-exchange reaction would be higher than
that previously reported (Kasuga et al., 1998; Kasuga et al., 1999; Tokudome et al., 2004;
Uchida et al., 2002; Tokudome et al., 2005; Thorne et al., 2005; Miyauchi et al., 2006;
Tokudome et al., 2004; Kasuga et al., 2003), because the H+ ion-exchange treatments at 40 °C
using 0.01, 0.1, and 1 mol/l hydrochloric acid solutions were unsuccessful. H+ ion-exchange
treatment at 40 °C for 3 h using 0.01 and 0.1 mol/l hydrochloric acid solutions resulted in
nanotube films respectively. However, substantial amounts of Na+ ions remained in the
samples after treatment. It is considered that elevated temperature assists the diffusion of
ions, allowing ion-exchange to occur within the deepest regions of the film. After H+ ion-
exchange treatment at 40 °C using 1.0 mol/l hydrochloric acid solution, the nanotube thin
films detached from the titanium metal plate.
2.3.2 Calcination of hydrogen titanate nanotube thin film

The hydrogen titanate nanotube thin films obtained by H+ ion-exchange treatment at 90 °C
using a 0.01 mol/L solution of hydrochloric acid were calcined at 300–900 °C for 3 h in air to
transform them into titanium dioxide nanotube thin films. A uniform thin film formed on
each sample surface, similar to the sample before calcination.
TEM images (Fig. 8) and XRD patterns (Fig. 9) show that calcination at 300 and 450 °C yields
anatase nanotubes. Although the average inner diameter of 3.3 nm for nanotubes
synthesized by calcination at 450 °C is similar to that of the as-grown sodium titanate
nanotubes, the average outer diameter of the nanotubes decreased from 8.3 nm for the as-
grown thin film to 8.1 nm for the anatase nanotubes synthesized by calcination at 450 °C.
This slight decrease in the average outer diameter may be due to a phase transition from
titanate into anatase. An cross-section image of the thin film calcined at 450 °C is similar to
that of the as-grown sodium titanate nanotube thin film. Although a dense phase is
observed at the bottom of the thin film (i.e., at the interface between the nanotube phase and
the titanium metal), the porous structure composed of fibrous particles is observed in the
film itself. Calcination at 600 °C yields anatase nanofibers approximately 11 nm thick, but
not nanotubes (Figs. 8c and 9d). The porous structure consisting of fibrous particles are
maintained until calcination at 600 °C. Calcination at 750 °C changes the thin film into a
porous thin film consisting of particles (with 50-nm average diameter) and interstitial pores
(with 79-nm average size) as shown in Fig. 8d. We attribute these changes in morphology to
a progressive sintering reaction caused by the high calcination temperature. Furthermore,
a b c d
Fig. 8. TEM images of the 90 °C ion-exchange-treated thin films calcined at 300 °C (a), 450 °C
(b), 600 °C (c), and 750 °C (d).
calcination at 900 °C yields a dense rutile thin film because of the densification and phase
transition caused by the sintering of anatase nanoparticles (Fig. 9f).
e
Intensity (a.u.)
a
0 10 20 30 40 50 60
2θ / deg.
Fig. 9. XRD patterns of the 90 °C ion-exchange-treated (a) and the 90 °C ion-exchange-

treated thin films calcined at 300 °C (b), 450 °C (c), 600 °C (d), 750 °C (e), and 900 °C (f). Peak
assignment: ■, α-titanium; ○, anatase; ●, rutile; △, hydrogen titanate; *, distorted
titanium.
2.4 Silver nanoparticle / silver titanate nanotube nanocomposite thin film

Na-TNT thin film obtained after the 3 h reaction with dimensions of 20 mm × 20 mm × 2
mm (hereafter referred to as Na-TNT-TF) was immersed in 12 mL of 0.05 M silver acetate
solution at 40 °C for 3 h, then repeatedly washed with distilled water and dried in a cool
dark place, to exchange the Na+ in the sodium titanate with Ag+. Hereafter, the sample
obtained by the silver ion-exchange treatment of Na-TNT-TF was called Ag-TNT-TF.
The EDX spectra of the samples before and after the silver ion-exchange treatment were then
compared. Since the peaks attributed to Na, observed in the samples before the silver ion-
exchange treatment (Na-TNT-TF), disappeared in the samples after the silver ion-exchange
treatment (Ag-TNT-TF), and the peaks attributed to Ag appeared after the silver ion-exchange
treatment, Na+ in the sodium titanate seemed to be exchanged with Ag+ during the silver ion-
exchange treatment. However, for the composition calculated from these spectra, the molar
ratio of Ag/Ti was 0.67 for Ag-TNT-TF, while the molar ratio of Na/Ti was 0.50 for Na-TNT-
TF. This confirmed presence of Ag in an excess compared with the exchangeable cations in the
sample. SEM observation at the micrometer scale did not show changes in the morphologies
before and after the silver ion-exchange treatment. However, the TEM observations of Ag-
TNT-TF (Fig. 10) show particles with sizes ranging from several nanometers to a few dozen
nanometers, which were not observable before the ion-exchange treatment. These are
considered to be silver nanoparticles, since the color of Ag-TNT-TF was slightly yellow,
indicating the formation of silver nanoparticles. The silver nanoparticles were deposited on
titanates by the photoreduction of silver ions that were adsorbed on the titanate surface. The
excess silver determined through the exchangeable mass of ions observed via EDX analysis is
thus attributed to these silver nanoparticles. In other word, in the silver ion-exchange
treatment, Ag+ ion was not only incorporated into the titanate by ion exchange with Na+ ion,
but also deposited on the outer surface of titanate as silver nanoparticles.
Fig. 10. TEM image of silver nanoparticle/silver titanate nanotube nanocomposite thin film.
Furthermore, TF-XRD patterns of Na-TNT-TF and Ag-TNT-TF shown in Fig. 11 also indicate
the transformation of sodium titanate thin film into silver titanate thin film. When silver ion-
exchange treatment was performed for Na-TNT-TF, a diffraction peak expressing the
interlayer distance of 10 Å that was observed in Na-TNT-TF, disappeared in Ag-TNT-TF.
The disappearance of the diffraction peak expressing the interlayer distance of 10 Å is
considered to be due to the insertion of Ag+ ions into an interlayer of titanate and
disappearance of the layered structure of titanate. A further reason is a strong and peculiar
interaction between the inserted Ag+ ions and the titanate layer, which would cause a
structural change of the layered structure into a three-dimensional structure. This structural
change can also be confirmed, as the diffraction peaks in Na-TNT-TF due to the crystal
structure of titanate, observed at 2θ = 24.2° and 28.3°, disappeared in Ag-TNT-TF,
concomitant with the appearance of a new diffraction peak at 2θ = 29.3° in Ag-TNT-TF.
These results indicate the formation of silver titanate nanotube.
Fig. 11. TF-XRD patterns of sodium titanate nanotube thin film (a) and silver nanoparticle/
silver titanate nanotube nanocomposite thin film (b). Peak assignment: □, titanium; ○,
sodium titanate; ●, silver titanate.
3. Antibacterial activities of titanate nanotube thin films

3.1 Elution properties of silver ions from the silver nanoparticle / silver titanate
nanotube nanocomposite thin film
The elution properties of silver ions from the samples were examined in various solutions to
determine the behavior of silver in MRSA environment or in the body. Ag-TNT-TF with
dimensions of 20 mm × 20 mm × 2 mm was immersed in 15 mL physiological saline,
phosphate buffered saline (+) (PBS(+)), phosphate buffered saline (−) (PBS(−)), and fetal
bovine serum solution, maintained at 37 °C for 24 h. Then, the eluates were collected,
centrifuged, and filtrated through a 0.22-µm filter. After filtration, Ag concentration in the
eluates was determined by inductively coupled plasma mass spectrometry (ICP-MS). In
physiological saline, PBS(+), and PBS(−), almost the same average concentration of eluted
silver was measured—300, 320, and 440 ppb, respectively. The eluted silver ions may
originate from metallic silver and silver titanate. Since the solubility of metallic silver is
known to be very small, the large portion of eluted silver was eluted by exchanging silver
ions in titanates with Na+, K+, and H+ in the solutions. On the other hand, in fetal bovine
serum, the average eluted silver concentration was measured in large amounts—82000 ppb
for Ag-TNT-TF. This was because a large quantity of a compound composed of silver and a
protein was formed together with AgCl, since the protein that exists in fetal bovine serum
has very high affinity with Ag+ through the –SH group or –NH group in the protein, and the
amount of exchangeable cations in fetal bovine serum was larger than that in physiological
saline and PBS. Moreover, when the silver elution test in fetal bovine serum was performed
for a silver metal plate under similar conditions as that for Ag-TNT-TF, silver of 7900 ppb
was eluted. This amount was also significantly smaller than that for of Ag-TNT-TF. In the
silver elution test of Ag-TNT-TF, although silver is eluted from silver nanoparticles
deposited on the surface of titanate, its elution amount is thus considered small.
Consequently, in the XRD and TF-XRD patterns of the sample obtained by the silver elution
test of Ag-TNT-TF, diffraction peaks appeared near 2θ = 10°, 24° and 28°, which were not
observed in Ag-TNT-TF. These diffraction peaks of the sample obtained by the silver elution
test of Ag-TNT-TF appeared at the same locations as the diffraction peaks observed in Na-
TNT-TF. This indicates that the crystal structure of the sample obtained by the silver elution
test of Ag-TNT-TF is similar to that of Na-TNT-TF. The likely reasons are as follows: (1) the
layered structure of titanate of Na-TNT-TF transformed into a three-dimensional structure
because Ag+ ions were inserted into the interlayer of titanate by the silver ion-exchange
treatment to form silver titanate, (2) Ag+ ions were eluted from the silver titanate and Na+
ions were reinserted into the titanate during the silver elution test; and (3) the three-
dimensional structure of titanate returned to the original condition as in Na-TNT-TF. Thus,
it is clearly demonstrated that insertion (intercalation) and elimination (deintercalation) of
Ag+ ions occurs during the silver ion-exchange treatment and the silver elution test,
respectively. Therefore, this experiment indicated that Ag+ ions in silver titanate greatly
contributed to the elution of Ag+. Diffraction peaks attributable to AgCl were also observed
in the sample obtained by the silver elution test of Ag-TNT-TF, because AgCl particles were
formed by the reaction between eluted Ag+ and Cl- in fetal bovine serum. Since fetal bovine
serum solution is considered as the system most similar to MRSA environment, silver
elution tests in fetal bovine serum solution were repeated (Fig. 12). In Ag-TNT-TF, the
elution concentration slowly decreased from 94000 ppb for the first test to 11000 ppb for the
tenth, indicating that a large amount of eluted silver was measured in the tenth test for Ag-
TNT-TF. The 2-step elution curve was obtained from Ag-TNT-TF. A rapid elution of a large
amount of silver at the initial stage of the repeated elution test (between the first and third
time) was considered to be mainly due to Ag+ ion elution from the silver titanate based on
the ion-exchange reaction. Since the elution reaction (ion-exchange reaction) of Ag+ from
silver titanate is rapid, the elution of Ag+ is considered to be almost completed at the initial
stage of the repeated elution test. These discussions are also supported by the above
described TF-XRD data, indicating that crystal structure of the sample obtained by the silver
elution test of Ag-TNT-TF is similar to that of Na-TNT-TF. Therefore, a slow elution of a
small amount of silver after the forth repetition of the elution test was considered to be
mainly because of silver elution from the silver nanoparticles. This two-step elution curve is
difficult to explain if it is considered that only silver nanoparticles are formed in the thin
film, but it is reasonably explained if two types of Ag (silver nanoparticles and silver
titanate) exhibiting different elution behaviors are present in Ag-TNT-TF. The silver
titanates loading silver nanoparticles would be promising as a novel antibacterial material,
because they have two silver sources. The silver-ion elution property of silver titanate would
be different from that of the silver nanoparticles, i.e., the elution speed of silver ions from
silver titanate would be greater than that from silver nanoparticles. Therefore, silver titanate
would be effective for short-term bacterial killing, and silver nanoparticles would be
effective for long-term antibacterial action. Since we have already found that a thicker (i.e.,
20 µm thick) titanate nanotube film can be formed after a longer reaction time or 20 h in
NaOH solution, it would be possible to prolong the elution period of silver ions and to
increase the amount of eluted silver ions or the duration.
Fig. 12. Repeated silver ion elution test of silver nanoparticle/silver titanate nanotube
nanocomposite thin film.
3.2 Antibacterial property of silver nanoparticle / silver titanate nanotube

nanocomposite thin film
The modified Japanese Industrial Standard test (JIS Z 2801) was performed as an
antibacterial test as follows. To approximate an infection environment within an actual
organism, an inactivated bovine serum (0.4 mL) was used as a solvent of bacterial
suspension to create a eutrophic condition, and the antibacterial test was conducted using
MRSA with a biofilm-forming gene. A bacterial suspension (0.4 mL) was dropped on a 50
mm × 50 mm × 2 mm test piece, covered with a 40 mm × 40 mm polyethylene film (Elmex
Corp.), and cultured at 37 °C for 24 h. The test piece was washed, and the viable MRSA
count was determined. The antibacterial test was performed thrice for each of the samples of
Na-TNT-TF and Ag-TNT-TF, to obtain averaged values of viable MRSA counts. The
antibacterial activity value (R) for the sample was calculated as follows.
R = {log(B/A) − log(C/A)} = log(B/C)

Here, A, B, and C are the average viable MRSA counts just after inoculation, after 24 h for a
blank and after 24 h for a sample, respectively. The viable MRSA count just after the
inoculation was 2.1 × 105 CFU/sample, and for a blank, the average viable MRSA count
after 24 h increased to 5.9 × 108 CFU/sample. In Na-TNT-TF, the average viable MRSA
count after 24 h was slightly less than that of the blank: 1.1 × 107 CFU/sample. On the other
hand, in Ag-TNT-TF, the average viable MRSA count after 24 h was markedly small: 3.3 ×
102 CFU/sample. R increased from 1.7 for Na-TNT-TF to 6.3 for Ag-TNT-TF through the
silver ion-exchange treatment. These results indicate that the silver ion-exchanged titanate
thin films display high antibacterial activity against MRSA. It was also revealed that
although the crystal structure of titanate itself does not have a large antibacterial effect,
higher antibacterial activity arises in the silver in the titanate. The conversion of sodium
titanates into antibacterial materials through the silver ion-exchange treatment can apply to
other nanostructured sodium titanates. For example, by the same silver ion-exchange
treatment, porous sodium titanate film calcined at 600 °C reported by Kim et al. (Kim et al.,
1997) can also be converted into silver nanoparticle / silver titanate nanocomposite thin film
with high antibacterial activity for MRSA of R=6.7.
4. Apatite-forming ability of titanate and titanium dioxide nanotube thin films

The three thin films (Na-TNT-TF, TiO2-NT-FT (anatase type titanium dioxide nanotube thin
film formed by the H+ ion-exchange treatment and calcination at 450 °C of Na-TNT-TF), Ag-
TNT-TF) formed on a titanium metal were immersed in simulated body fluid (SBF) and
monitored the development of apatite formation on their surfaces. In accordance with ISO
23317, “Implants for surgery-In vitro evaluation for apatite-forming ability of implant
materials,” we evaluated the apatite-forming ability on the surface of the coating in SBF. A
plate was placed in 96.0 mL SBF at 36.5°C. After 2, 4, and 14 days, the plate was removed
and gently rinsed with water. The surface of the plate was dried in air.
For Na-TNT-TF, after immersing the film for 4 days, the SEM images showed only
nanotubes and no substances with foliaceous morphology peculiar to apatite; the XRD
patterns remained unchanged. However, when the SBF immersion was extended to 14 days,
the SEM images showed the surface of the film to be completely covered with a dome-
shaped form consisting of foliaceous particles peculiar to apatite (Figs. 13a, b); the XRD
pattern showed diffraction peaks attributable to apatite. Thus, apatite is confirmed to be
formed on the sodium titanate thin films. In addition, after immersing the hydrogen titanate
nanotube thin film formed by exchanging Na+ ions between the layers of the layered
sodium titanate for H+ ions in SBF for 4 days, no apatite was evident. This lack of apatite
indicates that ions (Na+ and H+) between the titanate layers do not particularly contribute to
the acceleration of the apatite formation. In contrast, for TiO2-NT-FT formed by the 450°C
calcination of the hydrogen titanate nanotube thin film and Ag-TNT-TF, after immersing the
a c e
b d f
Fig. 13. Low magnification (a, c, e) and high magnification (b, d, f) SEM images of Na-TNT-
TF (a, b), TiO2-NT-FT (c, d), and Ag-TNT-TF (e, f) after immersions in SBF.
films for 4 days, the SEM images showed a stretch of the dome-shaped form consisting of
foliaceous particles peculiar to apatite (Figs. 13c, d). XRD patterns of the two films showed
diffraction peaks attributable to apatite, respectively. These results indicate that the surfaces
of these two thin films are completely covered with apatite and that the apatite-forming
ability of the two films is greater than that of Na-TNT-TF having layered structure. In
contrast, for TiO2-NT-FT after immersing the film in SBF for 2 days, the surface is thinly
covered with apatite. However immersing Ag-TNT-TF for 2 days, the surface is almost
covered with a dome-shaped form consisting of foliaceous particles peculiar to the apatite
(Figs. 13e, f). The apatite-forming ability of Ag-TNT-TF is, thus, slightly higher than that of
TiO2-NT-FT.
We then investigated the newly observed high apatite-forming ability of silver
nanoparticle/silver titanate nanocomposite thin film (Ag-TNT-TF). After immersing the film
in SBF for 4 days, we observed bulky particles of a few micrometers in diameter together
with apatite. XRD pattern shows diffraction peaks attributable to silver chloride. EDX
element mapping analysis shows the bulky particles to be composed of Ag and Cl (Fig. 14)
and, therefore, to be silver chloride particles. Therefore, Ag+ ions are eluted from silver
titanate mainly by ion-exchange reaction with cations, resulting in deposition of silver
chloride particles. After immersing the film in SBF for 1 day, SEM images reveal only bulky
AgCl particles on the film surface, however immersing the film for 2 days, the surface is
almost covered with a dome-shaped form consisting of foliaceous particles peculiar to the
apatite (Figs. 13e, f), as mentioned above. We clarified whether silver nanoparticle or silver
titanate contributes more to the apatite formation by investigating the apatite-forming
ability of a silver metal plate. After immersing the plate in SBF for 4 days, no apatite
formation was evident; thus, the silver titanate nanotubes are responsible for the high
apatite-forming ability. Researchers have reported that the effects of crystal structure
(Uchida et al., 2003) and surface hydroxyl groups such as Ti-OH (Kasuga et al., 2002)
influence the apatite formation on the titanium compounds immersed in SBF. Kokubo et al.
reported that the apatite-forming ability is improved by the crystal structure transformation
of sodium titanate into titanium dioxide (Fujibayashi et al., 2001; Uchida et al., 2002;
Takemoto et al., 2006). Although the detailed crystal structure of silver titanate is not yet
known, we speculate that the surface atomic arrangement and surface functional groups of
silver titanate might be suitable for rapid apatite formation. We further investigated the high
apatite forming ability by considering –OH groups that influence apatite formation using
the FT-IR measurements. As shown in Fig. 15, Na-TNT-TF and TiO2-NT-FT exhibited
similar absorption spectra in a wide range of 3000−3700 cm−1. These absorption spectra are
considered to be mainly due to water molecules adsorbed on the inner and outer surfaces of
nanotubes and partially due to –OH groups on the surface. Unlike Na-TNT-TF and TiO2-
NT-FT, strong absorption was observed at 3000−3400 cm−1 in addition to 3400−3700 cm−1 in
Ag-TNT-TF. This absorption at 3000−3400 cm−1 is considered to indicate the existence of
surface –OH groups due to silver titanate. A surface atomic arrangement peculiar to silver
titanate would arise and a large number of –OH groups would be generated on the
nanotube surfaces, which would stimulate apatite formation.
Oh et al. (Oh et al., 2005) and Tsuchiya et al. (Tsuchiya et al., 2006) reported anatase-type
titanium dioxide nanotube thin films synthesized by anodization and heat treatment of the
titanium metal. We compared the apatite-forming ability of these nanotube thin films with
SEM im age Ca
0.5 μm
P O
Ag Cl
Fig. 14. Elemental mapping performed on Ag-TNT-TF after immersion in SBF for 4 days
using EDX analysis.
Fig. 15. FT-IR spectra of Na-TNT-TF (a), TiO2-NT-FT (b), and Ag-TNT-TF (c).
that of TiO2-NT-FT obtained in this study by immersing the film in SBF for 2 days. SEM
images show not only a small amount of the dome-shaped form consisting of foliaceous
particles peculiar to apatite, but also several slightly swelled and whitish areas. EDX
element mapping on this thin film revealed that titanium dioxide nanotubes exist in the
blackish areas and apatite exists in the whitish areas. At this point, after 2 days of
immersion, the apatite phase has grown slightly but not yet achieved its dome-shaped form.
Therefore, the apatite-forming ability of TiO2-NT-FT is slightly superior though still similar
to that of the thin film with 2-μm long nanotube synthesized by Tsuchiya et al. (Tsuchiya et
al., 2006) and clearly superior to that of the nanotube thin film synthesized by Oh et al. (Oh
et al., 2005) and the thin film with 500-nm long nanotube synthesized by Tsuchiya et al.
(Tsuchiya et al., 2006). While comparing the ratio of the void parts to the anatase-type
titanium dioxide part on the surface using SEM images, we found the proportion consisting
anatase-type titanium dioxide to be larger in the surface of our synthesized thin film as
compared to that in the surfaces of the thin films reported by Oh et al. and Tsuchiya et al.
Hence, the apatite-forming ability of our film is also correspondingly higher.
5. Conclusion
In this study, novel procedure of synthesis and fixation of Na-TNT onto titanium metals
with various morphologies such as plate, wire, mesh, tube, and sphere was reported.
Especially, since the Na-TNT/Ti composite wires have softness and flexibility peculiar to
metal titanium because of the existence of titanium metal in its core part, this wire can be
fabricated into various shapes of cloth, fiber, etc. with centimeter or meter size by using
conventional spinning techniques. The Na-TNT thin films can be transformed into anatase-
type titanium dioxide nanotube thin films. Another advantage of the proposed procedure is
that the thickness of the thin films produced is greater than that of the thin films reported by
other researchers. Therefore, Na-TNT’s applications mentioned in the introduction would be
remarkably expanded. In addition, the novel growth of the Na-TNT film on substrates such
as Co–Cr alloy and SUS316L and simple patterning of the Na-TNT phase by the
hydrothermal transcription method were also reported. As these substrates including
titanium metal, Co-Cr alloy, and SUS316L have superior mechanical properties and
corrosion resistance, they are frequently used as implants such as artificial joints. Generally,
the coating of films to implants with complex shapes requires thin films with uniform and
controlled thickness, and a high fixing strength to the implants. Because of the direct growth
of the nanotubes from the substrate, our proposed method is very simple and the fixing
strength to the substrate is expected to be higher. Therefore, the method proposed in the
present study has excellent potential for these biomedical applications.
Next, through a silver ion-exchange treatment, Na+ ions in sodium titanate nanotube were
exchanged with Ag+ ions in silver acetate solution, along with the loading of silver
nanoparticles on the titanate surfaces, and the layered structure of titanate transformed into
a new three-dimensional crystal structure. Results of silver ion elution tests of the obtained
thin films in fetal bovine serum solution indicate that the release period and the number of
silver ions released from the silver titanate thin films can be controlled. The silver ion-
exchanged titanate thin films showed high antibacterial activity against MRSA. It was also
revealed that although the crystal structure of titanate itself has no large antibacterial effect,
higher antibacterial activity mainly arises from the silver ions held in the titanate. The
samples coated with apatite containing silver and silver plate have already been reported as
possessing antibacterial properties through metallic silver with low solubility. In contrast, in
this study, the antibacterial properties were mainly caused by the elution of silver ions from
a titanate with an ion-exchange property. Since the thin film obtained by this study has a
higher silver-ion elution speed, greater and more rapid antibacterial effects than in metallic
silver can be expected. Since we have also revealed that the morphology, thickness, and
crystal structure of the titanate phase can be controlled, we think that this can also promise
control of the antibacterial properties, i.e., the duration and amount of antibacterial activity,
for the future. The obtained results should aid the development of more convenient and
inexpensive antibacterial implants.
Furthermore, the present study compares the apatite-forming ability of a sodium titanate
nanotube thin film, an anatase-type titanium dioxide nanotube thin film, and a silver
nanoparticle/silver titanate nanotube nanocomposite thin film. Of these, the apatite-forming
ability of the silver titanate nanotube was higher than that of the titanium dioxide nanotubes
or the sodium titanate nanotubes, in that order. This superior apatite-forming ability of the
silver nanoparticle/silver titanate nanotube nanocomposite thin film is a novel phenomenon
and is presumably due to the surface atomic arrangement of silver titanate, the large amount
of Ti-OH formed on the nanotube surface, or both. In conclusion, the silver
nanoparticle/silver titanate nanotube nanocomposite thin film, which have the antibacterial
property and the ability to form bone-like apatite, i.e., the osteoconductive property, may
have bright prospects for future use in implant materials such as artificial joints.
6. Acknowledgment
This research was partially supported by KAKENHI (16685021, 19750172) and Saga
University Dean‘s Grant 2010 For Promising Young Researchers. Figures are reproduced
with permission from American Chemical Society, Elsevier, and John Wiley & Sons.
7. References
Alt, V.; Bitschnau, A.; Österling, J.; Sewing, A.; Meyer, C.; Kraus, R.; Meissner, S. A.;
Wenisch, S.; Domann, E. & Schnettler, R. (2006). The effects of combined
gentamicin–hydroxyapatite coating for cementless joint prostheses on the reduction
of infection rates in a rabbit infection prophylaxis model. Biomaterials, Vol. 27, pp.
4627-4634.
Bavykin, D. V.; Lapkin, A. A.; Plucinski, P. K.; Friedrich, J. M. & Walsh, F. C. (2005).
Reversible storage of molecular hydrogen by sorption into multilayered TiO2
nanotubes. The Journal of Physical Chemistry B, Vol. 109, pp. 19422-19427.
Bavykin, D. V.; Friedrich, J. M. & Walsh, F. C. (2006). Protonated Titanates and TiO2
Nanostructured Materials: Synthesis, Properties, and Applications. Advanced
Materials, Vol. 18, pp. 2807-2824.
Byon, E.; Jeong, Y.; Takeuchi, A.; Kamitakahara, M. & Ohtsuki, C. (2007). Apatite-forming
ability of micro-arc plasma oxidized layer of titanium in simulated body fluids.
Surface and Coat Technology, Vol. 201. pp. 5651-5654.
Chen, Q.; Zhou, W.; Du, G. & Peng, L.-M. (2002). Trititanate nanotubes made via a single
alkali treatment. Advanced Materials, Vol. 14, pp. 1208-1211.
Chen, W.; Liu, Y.; Courtney, H. S.; Bettenga, M.; Agrawal, C. M.; Bumgardner, J. D. & Ong, J.
L. (2006). In vitro anti-bacterial and biological properties of magnetron co-sputtered
silver-containing hydroxyapatite coating. Biomaterials, Vol. 27, pp. 5512-5517.
Chi, B.; Victorio, E. S. & Jin, T. (2007). Synthesis of TiO2-Based Nanotube on Ti Substrate by
Hydrothermal Treatment. Journal of Nanoscience and Nanotechnology, Vol. 7, pp. 668-
672.
Fujibayahsi, S.; Nakamura, T.; Nishiguchi, S.; Tamura, J.; Uchida, M.; Kim, H. M. & Kokubo,
T. (2001). Bioactive titanium : effect of sodium removal on the bone-bonding ability
of bioactive titanium prepared by alkali and heat treatment. Journal of Biomedical
Materials Research, Vol. 56, pp. 562-570.
Guo, Y.; Lee, N.-H.; Oh, H.-G.; Yoon, C.-R.; Park, K.-S.; Lee, H.-G.; Lee, K.-S. & Kim, S.-J.
(2007). Structure-tunable synthesis of titanate nanotube thin films via a simple
hydrothermal process. Nanotechnology, Vol. 18, pp. 295608-295616.
Hanawa, T.; Kon, M.; Ukai, H.; Murakami, K.; Miyamoto, Y. & Asaoka, K. (1997). Surface
Modification of Titanium in Calcium-Ion-Containing Solutions. Journal of Biomedical
Hamada, K.; Kon, M.; Hanawa, T.; Yokoyama, K.; Miyamoto, Y. & Asaoka, K. (2002).
Hydrothermal modification of titanium surface in calcium solutions. Biomaterials,
Vol. 23, pp. 2265-2272.
Hardes, J.; Ahrens, H.; Gebert, C.; Streitbuerger, A.; Buerger, H.; Erren, M.; Gunsel, A.;
Wedemeyer, C.; Saxler, G & Winkelmann, W. (2007). Lack of toxicological side-
effects in silver-coated megaprostheses in humans. Biomaterials, Vol. 28, pp. 2869-
2875.
Imai, H.; Takei, Y.; Shimizu, K.; Matsuda, M. & Hirashima, H. (1999). Direct preparation of
anatase TiO2 nanotubes in porous alumina membranes. Journal of Materials
Chemistry, Vol. 9, pp. 2971-2972.
Inoue, Y.; Noda, I.; Torikai, T.; Watari, T.; Hotokebuchi, T. & Yada, M. (2010). TiO2 nanotube,
nanowire, and rhomboid-shaped particle thin films fixed on a titanium metal plate.
Journal of Solid State Chemistry, Vol. 183, pp. 57-64.
Inoue, Y.; Uota, M.; Torikai, T.; Watari, T.; Noda, I.; Hotokebuchi, T. & Yada, M. (2010).
Antibacterial properties of nanostructured silver titanate thin films formed on a
titanium plate, Journal of Biomedical Materials Research Part A, Vol. 92A, pp. 1171-
1180.
Jiang, Z.; Yang, F.; Luo, N.; Chu, B. T. T.; Sun, D.; Shi, H.; Xiao, T. & Edwards, P. P. (2008).
Solvothermal synthesis of N-doped TiO2nanotubes for visible-light-responsive
photocatalysis. Chemical Communication, pp. 6372-6374.
Jung, J. H.; Kobayashi, H.; van Bommel, K. J. C.; Shinkai, S. & Shimizu, T. (2002). Creation of
Novel Helical Ribbon and Double-Layered Nanotube TiO2 Structures Using an
Organogel Template. Chemistry of Materials, Vol. 14, pp. 1445-1447.
Jonášová, L.; Müller, F. A.; Helebrant, A.; Strnad, J. & Greil, P. (2003). Biomimetic apatite
formation on chemically treated titanium. Biomaterials, Vol. 25, pp. 1187-1194.
Kasuga, T.; Hiramatsu, M.; Hoson, A.; Sekino, T. & Niihara, K. (1998). Formation of titanium
oxide nanotube. Langmuir, Vol. 14, pp. 3160-3163.
Kasuga, T.; Hiramatsu, M.; Hoson, A.; Sekino, T. & Niihara, K. (1999). Titania nanotubes
prepared by chemical processing. Advanced Materials, Vol. 11, pp. 1307-1311.
Kasuga, T.; Kondo, H. & Nogami, M. (2002). Apatite formation on TiO2 in simulated body
fluid. Journal of Crystal Growth, Vol. 235, pp. 235-240.
Kasuga, T. (2003). Jpn. Kokai Tokkyo Koho, P2003-220127A.
Kim, G.-S.; Ansari, S. G.; Seo, H.-K.; Kim, Y.-S. & Shin, H.-S. (2007). Effect of annealing
temperature on structural and bonded states of titanate nanotube films. Journal of
Applied Physics, Vol. 101, pp. 024314-024320.
Kim, H. M.; Miyaji, F.; Kokubo, T. & Nakamura, T. (1996). Preparation of bioactive Ti and its
alloys via simple chemical surface treatment. Journal of Biomedical Materials Research,
Vol. 32, pp. 409-417.
Kim, H. M.; Miyaji, F.; Kokubo, T. & Nakamura, T. (1997). Effect of heat treatment on
apatite-forming ability of Ti metal induced by alkali treatment. Journal of Materials
Science: Materials in Medicine, Vol. 8, pp. 341-347.
Kim, H. M.; Miyaji, F.; Kokubo, T.; Nishiguchi, S. & Nakamura, T. (1997). Graded surface
structure of bioactive titanium prepared by chemical treatment. Journal of Biomedical
Kim, H. M.; Himeno, T.; Kawashita, M.; Lee, J. H. & Kokubo, T. (2003). Surface Potential
Change in Bioactive Titanium Metal during the Process of Apatite Formation in
Simulated Body Fluid. Journal of Biomedical Materials Research Part A, Vol. 67A, pp.
1305-1309.
Kokubo, T.; Miyaji, F.; Kim, H. M. & Nakamura, T. (1996). Spontaneous Formation of
Bonelike Apatite Layer on Chemically Treated Titanium Metals. Journal of the
American Ceramic Society, Vol. 79, pp. 1127-1129.
Kokubo, T. & Takadama, H. (2006). How useful is SBF inpredicting in vivo bone bioactivity
? Biomaterials, Vol. 27, pp. 2907-2915.
Kon, M.; Sultana, R.; Fujihara, E.; Asaoka, K. & Ichikawa, T. (2007). Hydroxyapaite
Morphology Control by Hydrothermal Treatment. Key Engineering Materials, Vol.
330-332, pp. 737-740.
Kubota, S.; Johkura, K.; Asanuma, K.; Okouchi, Y.; Ogiwara, N.; Sasaki, K. & Kasuga, T.
(2004). Titanium oxide nanotubes for bone regeneration. Journal of Materials Science:
Materials in Medicine, Vol. 15, pp. 1031-1035.
Ma, R.; Bando, Y. & Sasaki, T. (2003). Nanotubes of lepidocrocite titanates. Chemical Physics
Letters, Vol. 380, pp.577-582.
Ma, R.; Sasaki, T. & Bando, Y. (2004). Layer-by-Layer Assembled Multilayer Films of
Titanate Nanotubes, Ag- or Au-Loaded Nanotubes, and Nanotubes/Nanosheets
with Polycations. Journal of the American Chemical Society, Vol. 126, pp. 10382-10388.
Macak, J. M.; Tsuchiya, H. & Schmuki, P. (2005). High-Aspect-Ratio TiO2 Nanotubes by
Anodization of Titania. Angewandte Chemie International Edition, Vol. 44, pp. 2100-
2102.
Miyauchi, M.; Tokudome, H. Toda, Y.; Kamiya, T. & Hosono, H. (2006). Electron Field
Emission from TiO2 Nanotube Arrays Synthesized by Hydrothermal Reaction.
Applied Physics Letters, Vol. 89, pp.043114-043116.
Muramatsu, K.; Uchida, M.; Kim, H. M.; Fujisawa, A. & Kokubo, T. (2003).
Thromboresistance of alkali- and heat-treated titanium metal formed with apatite.
Journal of Biomedical Materials Research Part A, Vol. 65A, pp. 409-416.
Nakagawa, M.; Zhang, L.; Udou, K.; Matsuya, S. & Ishikawa, K. (2005). Effects of
hydrothermal treatment with CaCl2 solution on surface property and cell response
of titanium implants. Journal of Materials Science: Materials in Medicine, Vol. 16, pp.
985-991.
Nakahira, A.; Kato, W.; Tamai, M.; Isshiki, T.; Nishio, K. & Aritani, H. (2004). Synthesis of
nanotube from a layered H2Ti4O9H2O in a hydrothermal treatment using various
titania sources. Journal of Materials Science, Vol. 39, pp. 4239-4245.
Nishiguchi, S.; Nakamura, T.; Kobayashi, M.; Kim, H. M.; Miyaji, F. & Kokubo, T. (1999).
The effect of heat treatment on bone-bonding ability of alkali-treated titanium.
Biomaterials, Vol. 20, pp. 491-500.
Oh, S. H.; Finõnes, R. R.; Daraio, C.; Chen, L. H. & Jin, S. (2005). Growth of nano-scale
hydroxyapatite using chemically treated titanium oxide nanotubes. Biomaterials,
Vol. 26, pp. 4938-4943.
Ohtsu, N.; Abe, C.; Ashino, T.; Semboshi, S. & Wagatsuma, K. (2008). Calcium-hydroxide
slurry processing for bioactive calcium-titanate coating on titanium. Surface and
Coat Technology, Vol. 202, pp. 5110-5115.
Ohtsuki, C.; Iida, H.; Hayakawa, S. & Osaka, A. (1997). Bioactivity of titanium treated with
hydrogen peroxide solutions containing metal chlorides. Journal of Biomedical
Shin, H.; Jeong, D.-K.; Lee, K.; Sung, M. M. & Kim, J. (2004). Formation of TiO2 and ZrO2
Nanotubes Using Atomic Layer Deposition with Ultra-Precise Wall Thickness
Control, Advanced Materials, Vol. 16, pp. 1197-1200.
Sun, X. & Li, Y. (2003). Synthesis and Characterization of Ion-Exchangeable Titanate
Nanotubes. Chemistry - A European Journal, Vol. 9, pp. 2229-2238.
Tsai, C.-C. & Teng, H. (2006). Structural features of nanotubes synthesized from NaOH
treatment on TiO2 with different post-treatments. Chemistry of Materials, Vol. 18, pp.
367-373.
Takemoto, M.; Fujibayashi, S.; Neo, M.; Suzuki, J.; Matsushita, T.; Kokubo, T. & Nakamura,
T. (2006). Effect of sodium removal by dilute HCl treatment. Biomaterials, Vol. 27,
pp. 2682-2691.
Thorne, A.; Kruth, A.; Tunstall, D.; Irvine, J. T. S. & Zhou, W. (2005). Formation, Structure,
and Stability of Titanate Nanotubes and their Proton Conductivity. The Journal of
Physical Chemistry B, Vol. 109, pp. 5439-5444.
Tian, Z. R.; Voigt, J. A.; Liu, J.; Mckenzie, B. & Xu, H. (2003). Large oriented arrays and
continuous films of TiO2-based nanotubes. Journal of the American Chemical Society,
Vol. 125, pp. 12384-12385.
Tokudome, H. & Miyauchi, M. (2004). N-doped TiO2 Nanotube with Visible Light Activity.
Chemistry Letter, Vol. 33, pp. 1108-1109.
Tokudome, H. & Miyauchi, M. (2004). Titanate nanotube thin films via alternate layer
deposition. Chemical Communication, pp. 958-959.
Tokudome, H. & Miyauchi, M. (2005). Electrochromism of titanate-based nanotubes.
Angewandte Chemie International Edition, Vol. 44, pp. 1974-1977.
Tsuchiya, H.; Macak, J. M.; Müller, L.; Kunze, J.; Müller, F.; Greil, P.; Virtanen, S. & Schmuki,
P. (2006). Hydroxyapatite growth on anodic TiO2 nanotubes. Journal of Biomedical
Materials Research Part A, Vol. 77A, pp. 534-541.
Uchida, S.; Chiba, R.; Tomiha, M.; Masaki, N. & Shirai, M. (2002). Application of Titania
Nanotubes to a Dye-Sensitized Solar Cell. Electrochemistry, Vol. 70, pp. 418-420.
Uchida, M.; Kim, H. M.; Kokubo, T.; Fujibayashi, S. & Nakamura, T. (2002). Effect of water
treatment on the apatite-forming ability of NaOH-treated titanium metal. Journal of
Biomedical Materials Research, Vol. 63, pp. 522-530.
Uchida, M.; Kim, H. M.; Kokubo, T.; Fujibayashi, S. & Nakamura, T. (2003). Structural
dependence of apatite formation on titania gels in a simulated body fluid. Journal of
Biomedical Materials Research Part A, Vol. 64A, pp. 164-70.
Wang, F.; Liao, Y.; Wang, M.; Gong, P.; Li, X.; Tang, H.; Man, Y.; Yuan, Q.; Wei, N.; Tan, Z. &
Ban, Y. (2007). Evaluation of Sodium Titanate Coating on Titanium by Sol-Gel
Method In Vitro. Key Engineering Materials, Vol. 330-332, pp. 777-780.
Wang, X. J.; Li, Y. C.; Lin, J. G.; Yamada, Y.; Hodgson, P. D. & Wen, C. E. (2008). In vitro
bioactivity evaluation of titanium and niobium metals with different surface
morphologies. Acta Biomaterialia, Vol. 4, pp. 1530-1535.
Wang, X. X.; Hayakawa, S.; Tsuru, K. & Osaka, A. (2001). A comparative study of in vitro
apatite deposition on heat-, H2O2-, and NaOH- treated titanium surfaces. Journal of
Biomedical Materials Research, Vol. 54, pp. 172-178.
Wang, X. X.; Yan, W.; Hayakawa, S.; Tsuru, K. & Osaka, A. (2003). Apatite deposition on
thermally and anodically oxidized titanium surfaces in a simulated body fluid.
Biomaterials, Vol. 24, pp. 4631-4637.
Wu, D.; Liu, J.; Zhao, X.; Li, A.; Chen, Y. & Ming, N. (2006). Sequence of events for the
formation of titanate nanotubes, nanofibers, nanowires, and nanobelts. Chemistry of
Materials, Vol. 18, pp. 547-553.
Xiong, J.; Li, Y.; Hodgson, P. D. & Wen, V. (2010). Nanohydroxyapatite coating on a
titanium–niobium alloy by a hydrothermal process. Acta Biomaterialia, Vol. 6, pp.
1584-1590.
Yada, M.; Inoue, Y.; Uota, M.; Torikai, T.; Watari, T.; Noda, I. & Hotokebuchi, T. (2007).
Plate, Wire, Mesh, Microsphere, and Microtube Composed of Sodium Titanate
Nanotubes on a Titanium Metal Template. Langmuir, Vol. 23, pp. 2815-2823.
Yada, M.; Inoue, Y.; Uota, M.; Torikai, T.; Watari, T.; Noda, I. & Hotokebuchi, T. (2008).
Formation of Sodium Titanate Nanotube Films by Hydrothermal Transcription.
Chemistry of Materials, Vol. 20, pp. 364-366.
Yada, M.; Inoue, Y.; Gyoutoku, A.; Noda, I.; Torikai, T.; Watari, T. & Hotokebuchi, T. (2010).
Apatite-forming ability of titanium compound nanotube thin films formed on a
titanium metal plate in a simulated body fluid. Colloids and Surfaces B: Biointerfaces,
Vol. 80, pp. 116-124.
Yamanaka, S.; Hamaguchi, T.; Muta, H.; Kurosaki, K. & Uno, M. (2004). Fabrication of Oxide
Nanohole Arrays by a Liquid Phase Deposition Method. Journal of Alloys and
Compounds, Vol. 373, pp. 312-315.
Yang, J.; Jin, Z.; Wang, X.; Li, W.; Zhang, S.; Guo, X. & Zhang, Z. (2003). Study on
composition, structure and formation process of nanotube Na2Ti2O4(OH)2. Journal
of the Chemical Society Dalton Transactions, Vol. 3, pp. 3898-3901.
Zhu, H. Y.; Lan, Y.; Gao, X. P.; Ringer, S., P.; Zheng, Z. F.; Song, D. Y. & Zhao, J. C. (2005).
Phase Transition between Nanostructures of Titanate and Titanium Dioxides via
Simple Wet-Chemical Reactions. Journal of the American Ceramic Society, Vol. 127,
pp. 6730-6736.
4
Self-Organization of Silver-Core Bimetallic

Nanoparticles and Their Application
for Catalytic Reaction
Kazutaka Hirakawa
Faculty of Engineering, Shizuoka University
Japan
1. Introduction
Metal nanoparticles have received much attentions as a building block of advanced
materials for nanoscience and nanotechnology (Bönnemann & Richards, 2001). Their optical,
(Fukumi et al., 1994; Lu et al., 1999; Link et al., 1999; Shipway et al., 2000), magnetic (Sun et
al., 1999; Teranishi & Miyake, 1999), and catalytic (Kiely et al., 1998; Pileni, 1998; Bradley,
1994; Harriman, 1990; Lee et al., 1995; Toshima et al., 1995; Bonilla et al., 2000; Siepen et al.,
2000) properties have been reported with great interests. The character of metal nanoparticle
can be altered by the addition of other metals. Bimetallic nanoparticles, composed of two
different metallic elements, have been reported to show outstanding characters different
from the corresponding monometallic nanoparticles (Harriman, 1990; Yonezawa &
Toshima, 1993; Toshima & Hirakawa, 1997, 1999; Toshima & Wang, 1994; Lee et al., 1995).
For example, catalytic activities of gold (Au)-core structured bimetallic nanoparticles,
gold/platinum (Au/Pt) (Harriman, 1990; Yonezawa & Toshima, 1993; Toshima &
Hirakawa, 1999), gold/palladium (Au/Pd) (Toshima & Hirakawa, 1999; Lee et al., 1995),
and gold/rhodium (Au/Rh) (Toshima & Hirakawa, 1999), for hydrogenation and/or water
reduction are higher than platinum (Pt), palladium (Pd), and rhodium (Rh) monometallic
nanoparticles, respectively. Surprisingly, in some cases, a physical mixture of monometallic
nanoparticles such as Pt and ruthenium (Ru) nanoparticles in solution shows higher
catalytic activity than the corresponding monometallic nanoparticles under a certain
condition (Toshima et al., 1995; Toshima & Hirakawa, 1997). This suggests that an
interaction between two kinds of monometallic nanoparticles can produce novel
nanoparticles. Further, it has been reported that physical mixture of silver (Ag) and other
metal nanoparticles, such as Pt, Rh, and Pd, spontaneously forms the bimetallic
nanoparticles with Ag-core structure in aqueous solution. This reaction can be used to
construct the core-shell structured novel bimetallic nanoparticles. The formed nanoparticles
demonstrate superior character for certain catalytic reactions.
In this chapter, the simple method of the preparation of core-shell structured bimetallic
nanoparticles by the physical mixing and the application of the formed novel metal
nanoparticles for catalytic reaction are described. The topics of the catalytic reaction
presented in this chapter are the visible light induced hydrogen generation (Toshima &
Hirakawa, 2003), the removal of reactive oxygen species (Hirakawa & Sano, 2009), and its
application to the chemoprevention of ultraviolet induced biomolecules damage (Hirakwa
et al., 2008, 2009).
2. Spontaneous formation of silver-core bimetallic nanoparticles

Much attention has been paid to bimetallic nanoparticles, especially those having a
core/shell structure (Toshima et al., 2007). From the view point of Au catalysts, bimetallic
nanoparticles have received much attention recently. On the other hand, a physical mixture
of monometallic nanoparticles such as Pt and Ru nanoparticles in solution shows higher
catalytic activity than the corresponding monometallic nanoparticles under a certain
condition (Toshima et al., 1995; Toshima & Hirakawa, 1997). Further, it has been reported
that physical mixture of Ag and other metal nanoparticles, such as Pt, Rh, and Pd,
spontaneously forms the bimetallic nanoparticles with Ag-core structure in aqueous
solution (Figure 1). In this section, the spontaneous formation of the Ag-core bimetallic
nanoparticles is reviewed.
X
Self-aggregation
X
Ag
Ag-core/X-shell
X: for example Rh, Pt, Pd nanoparticles
Fig. 1. Schematic diagram of the spontaneous formation of Ag-core bimetallic nanoparticles
2.1 Siver-core/rhodium-shell bimetallic nanoparticles

The interaction between Ag and Rh monometallic nanoparticles in solution by physical
mixing was reported. The main reason for using Ag and Rh nanoparticles is the reported
prominent characteristics of Rh nanoparticles as a catalyst (Toshima & Hirakawa, 1999), and
the expected electronic effect of Ag similar to Au upon enhancement of the catalytic activity
of Rh. Furthermore, Ag is inexpensive metal compared with Au. The colloidal dispersions of
Ag and Rh monometallic nanoparticles protected by poly(N-vinyl-2-pyrrolidone) (PVP), a
water soluble polymer, were prepared by an alcohol reduction method (Hirai et al., 1979).
Average diameters of Ag and Rh monometallic nanoparticles were 7.5 nm and 2.2 nm,
respectively.
2.1.1 Surface plasmon absorption of siver-core bimetallic nanoparticles

Colloidal sol of Ag nanoparticles shows characteristic plasmon absorption aeound 400 nm
(Henglein, 1979). The plasmon absorption band of Ag nanoparticles decreased by addition
of Rh nanoparticles and was almost completely extinguished within 30 min after mixing
(Figure 2). The parts of plasmon absorption in larger wavelength region were preferentially
Nanoparticles and Their Application for Catalytic Reaction 69
extinguished within 10 min, suggesting that influences of Rh nanopartilces on Ag

nanoparticles depend on the size of the Ag nanoparticles. When relatively smaller molar
quantity of Rh to Ag was added, the plasmon absorption was not completely extinguished.
More than 40 atom-mol% of Rh against to Ag was required to extinguish the plasmon
absorption band completely.
2
0 min
5 min
1.5 10 min
20 min
30 min
Absorbance
24 h
1
0.5
0
300 400 500 600
Wavelength / nm
Fig. 2. UV-Vis spectral change of the physical mixtures of dispersions of Ag and Rh
nanoparticles. The aqueous solutions of Ag (1 atom-mmol L-1, 50 mL) and Rh (1 atom-mmol
L-1, 50 mL) nanoparticles were mixed.
2.1.2 Transmission electron microgram of the siver-core bimetallic nanoparticles

Figure 3 shows transmission electron microscopy (TEM) photographs of the physical
mixtures of Ag and Rh monometallic nanoparticles. The samples for TEM measurement
were prepared by drying the aqueous dispersions of the physical mixtures of Ag and Rh
nanoparticles under vacuum in 0, 10, and 30 min, and 24 h, respectively, after mixing.
Relatively large particles are attributed to Ag nanoparticles, and rather small ones are Rh
nanoparticles. The TEM photographs showed that Rh particles gathered around Ag particle
to surround within several minutes, comparable period of the extinction of plasmon
absorption. Interestingly, these aggregated particles changed into homogeneous small
particles (average diameter =2.7 nm) after 24 h. Preliminary study has shown that the
0 min 10 min 24 h
Fig. 3. TEM photographs of the physical mixtures of Ag and Rh nanoparticles. The aqueous
solutions of Ag and Rh nanoparticles (1/1, atom-mol/atom-mol) were mixed, and dried
after indicated periods.
increase of Rh/Ag molar ratio reduces the average diameter and the size distribution of the
nanoparticles. The elemental analysis using characteristic X-ray in high-resolution TEM
measurement has shown that the particles produced from their physical mixtures in 24 h are
composed of Ag and Rh.
2.1.3 X-ray diffraction of the of siver-core bimetallic nanoparticles

Figure 4 shows X-ray diffraction (XRD) patterns of poly(N-vinyl-2-pyrrolidone)-protected
Ag and Rh monometallic nanoparticles, and their physical mixture. The sample of the
physical mixture of Ag and Rh nanoparticles was prepared by drying the mixtures of their
aqueous solutions under vacuum for 24 h after mixing. The XRD pattern of the mixtures of
Ag and Rh nanoparticles was similar to that of Rh nanoparticle, suggesting that the surface
of the particle produced by mixing Ag and Rh nanoparticles is composed of Rh. Similarly,
Au-core/Pt-shell and Au-core/Pd-shell structured nanoparticles have shown the XRD
pattern quite similar to that of their surface metals (Yonezawa & Toshima, 1995). These
findings suggest that the aggregation of Rh particles around the Ag particle is involved in
the extinction of the plasmon absorption.
2.1.4 Mechanism of the formation of the siver-core/rhodium shell bimetallic

nanoparticles
Henglein et al. reported that lead (Pb) atoms transfer from Pb colloidal particle onto the
surface of Ag colloidal particle in physical mixing of Ag and Pb colloidal sols (Henglein et
al., 1992). If the extinction of the plasmon absorption is due to coating of the surface of Ag
particle by Rh atoms transferred from Rh nanoparticle, at least 28 mol% of Rh to Ag is
required assuming that a Ag particle (average diameter = 7.5 nm) is uniformly coated by Rh
atoms in a one-atom layer. In the present experiments about 40 atom-mol% of Rh to Ag was
Ag 37.9˚
(1 1 1) surface of hcp structure
Rh (1 1 1) surface 40.7˚
of hcp structure
47.6˚
(2 1 1) surface
of hcp structure
Ag + Rh
30.00 40.00 50.00 60.00

2 / ˚
Fig. 4. XRD patterns of Ag and Rh monometallic nanoparticles, and their physical mixture
(1/1, atom-mol/atom-mol)
required to completely extinguish the plasmon absorption, which is reasonably supporting

the above assumption. These observations suggest that the physical mixture of Ag and Rh
nanoparticles spontaneously generates Ag/Rh bimetallic nanoparticles with an Ag-
core/Rh-shell structure. The disappearance of the XRD peak of Ag nanoparticles suggests
that the core of this bimetallic nanoparticles is not complete Ag, but possibly has a partial
Ag/Rh alloy structure. The driving force of the formation of this Ag/Rh bimetallic
nanoparticles may be due to the larger binding energy between Ag and Rh atoms than
between Rh atoms (Peiner & Kopitzki, 1998). Reduction of diameter of the nanoparticle
increases not only its surface energy but also number of the binding sites between Ag and
Rh atoms, which stabilizes the total energy. Therefore, the shrinking of Ag/Rh bimetallic
nanoparticles might be explained by the balance between the binding energy and the
surface energy. The size and the rate of formation of the bimetallic nanoparticles can be
controlled by the kind and concentration of protective agents. The self-assembling formation
of bimetallic nanoparticle using Ag nanoparticle is applicable to construction of novel
nanoparticles.
2.2 Silver-core/noble metal-shell bimatallic nanoparticles

The above mentioned procedure can be used to prepare the Ag-core/noble metal shell
nanoparticles, other than Ag-core/Rh-shell nanoparticles. The physical mixing of Ag and
other metal nanoparticles, such as Au, Pt, Rh, and Pd particles, produces Ag-core bimetallic
particles. The interaction rate between Ag and other metal nanoparticles was determined by
the extinction of the surface plasmon absorption of Ag nanoparticle. The initial step of this
reaction was investigated by isothermal titration calorimetry (Toshima et al., 2005). This
study revealed that the strength of the interaction between Ag and other metals increases in
the order of Rh/Ag > Pd/Ag > Pt/Ag.
The formed Ag-core/Pt-shell nanoparticle catalyzed the decomposition of hydrogen
peroxide (described later). On the other hand, Au and Au/Ag nanoparticles showed an
activity of photocatalytic decomposition of methylene blue (Hirakawa, 2007), although their
activities were significantly smaller than that of well-known titanium dioxide photocatalyst
(Fujishima et al., 2000, 2008). The physical mixing method is simple and useful to prepare
novel bimetallic nanoparticles. These nanoparticles may be used as catalyst and
photocatalyst.
2.3 Application to the preparation of trimetallic nanoparticles

This method can be applied to the preparation of trimetallic nanoparticles (Toshima et al.,
2007, 2011). It has been reported that the synthesis of trimetallic nanoparticles having a Au-
core structure by a combination of the preparation of bimetallic nanoparticles by co-
reduction with the formation of core/shell-structured bimetallic nanoparticles by self-
organization in physical mixture (Figure 5). The formation of trimetallic nanoparticles has
been suggested by UV–Vis spectral change, TEM image change, FT-IR spectra of adsorbed
carbon monoxide, XPS spectra and calorimetric studies. The catalytic activity of trimetallic
nanoparticles in the molar ratio of Au/Pd/Rh = 1/4/20 was higher than the corresponding
monometallic and bimetallic nanoparticles for hydrogenation of methyl acrylate. This high
catalytic activity can be understood by sequential electronic charge transfer from surface Rh
atoms to interlayered Pt atoms and then to core Au atoms (Toshima et al., 2011).
Pt
Physical mixing
HAuCl4 + H2PtCl6 Au
gold ion platinum ion
d = 3.6 nm
Rh
Chemical reduction Au Pt
RhCl3 Rh d = 2.9 nm
rhodium ion
d = 2.3 nm
Fig. 5. Schematic diagram of the formation of the trimetallic Au/Pt/Rh nanoparticles
3. Visible-light-induced hydrogen generation by metal nanoparticle catalytic

system
Metal nanoparticles are very important materials for nanoscience and nanotechnology
(Fukumi et al., 1994; Lu et al., 1999; Link et al., 1999; Sun et al., 1999; Teranishi & Miyake,
1999; Akinaga, 2002). A particularly large number of reports have been published on their
applications to catalysts (Kiely et al., 1998; Pileni, 1998; Bradley, 1994; Widegren & Finke
2003; Willner et al., 1987; Toshima et al., 1995; Yonezawa & Toshima, 1993). As the catalyst
in the homogeneous system, the colloidal dispersions of metal nanoparticles have the
advantage that they are soluble or homogeneous in an aqueous solution and transparent to
visible light (Kiely et al., 1998; Pileni, 1998; Bradley, 1994; Widegren & Finke 2003; Willner et
al., 1987). Thus, colloidal metal nanoparticles are useful for photocatalytic reaction systems.
For example, colloidal metal nanoparticles catalyze the water reduction in the visible-light-
induced electron transfer system composed of ethylenediaminetetraacetic acid disodium salt
(EDTA), tris(bipyridine)ruthenium(II) dichloride ([Ru(bpy)3]2+), and 1,1’-dimethyl-4,4’-
bipyridium dichloride (methyl viologen, MV2+) (Yonezawa & Toshima, 1993) (Figure 6).
h
Oxidized
[Ru(bpy)3]2+ MV2+ H2
Product
Metal
Electron
Donor [Ru(bpy)3]3+ MV•+ 2H+
Fig. 6. Schematic diagram of the visible-light induced hydrogen generation using the
electron transfer system and metal nanoparticle catalyst
3.1 Catalytic activity of gold-core/platinum-shell bimetallic nanoparticles

The bimetallization of metal nanoparticle can improve the catalytic activity of surface metal.
Especially, core-shell structured nanoparticles are important. Several study demonstrated
the Au-core/Pt shell metal nanoparticles show higher catalytic activity for the visible-light-
induced hydrogen generation than Pt monometallic nanoparticles. The following study is an
example of the hydrogen generation using Au/Pt nanoparticle catalyst (Yonezawa &
Toshima, 1993). In this study, the Au/Pt bimetallic systems stabilized by polymer and
micelle were obtained by alcohol- and photo-reduction of the corresponding metal ions in
the presence of water-soluble polymers and non-ionic surfactant-micelles, respectively. The

UV-Vis spectra and the transmission electron micrographs suggest that the polymer-
protected Au/Pt bimetallic systems are composed of bimetallic alloy clusters, but the
micelle-protected ones are mostly composed of the mixtures of the monometallic Au and Pt
particles. The in-situ UV-Vis spectra during the reductions can elucidate the formation
processes of the bimetallic dispersions which are different from each other depending on the
protective reagent. The Au/Pt bimetallic systems can be used as the catalyst for visible light-
induced hydrogen generation. The bimetallic system stabilized by the polymer at a molar
ratio of Au/Pt = 2/3 is the most active catalyst.
3.2 Application of siver-core/rhodium-shell bimetallic nanoparticles

It has been reported that the catalytic activity of the Ag/Rh bimetallic nanoparticles for
visible-light-induced hydrogen generation (Toshima & Hirakawa, 1999) in an aqueous
solution composed of ethylenediaminetetraacetic acid, tris(bipyridine)ruthenium(II), methyl
viologen, and metal nanoparticle catalyst. The activity is clearly higher than the
corresponding monometallic nanoparticles and alloy-structured Ag/Rh nanoparticles,
suggesting that the Ag-core shows an electronic effect on the surface Rh as in the case of the
Au-core (Yonezawa & Toshima, 1993) and enhances the catalytic activity of the surface Rh.
The highest catalytic activity was observed at 1:9 ratio of Ag and Rh atoms (Figure 7).
Similar results reported on the other catalytic reactions.
0.6
Core-Shell structure
0.4
kH2 / s-1
Average
0.2
Random Alloy
structure
0
0 20 40 60 80 100
Molar ratio of Ag (%)
Fig. 7. Hydrogen generation rate coefficient (kH2) depending on the molar ratio of Ag of
Ag/Rh bimetallic nanoparticles. The kH2 indicates the number of generated H2 molecules on
a surface metal atom per one second. The average is the calculated activity of the simple
mixture of Ag and Rh monometallic nanoparticles.
3.3 Carbon dioxide reduction by visible-light-induced electron transfer system using

metal nanoparticle
A photochemical reduction of CO2 can be applied to a novel energy storage process for the
utilization of solar energy in the future. The above mentioned catalytic system can be
applied to CO2 reduction. The strategy is the catalytic reduction of CO2 using electrons
gathered by an electron transfer system (Willner et al., 1987, Toshima et al., 1995). It has been
reported that nanoparticles catalyzes the reduction of CO2 and the generation of methane
(Toshima et al., 1995) (Figure 8).
h
Oxidized [Ru(bpy)3]2+ MV2+ CH4 + H2
Product
Metal
Electron
[Ru(bpy)3]3+ MV•+ CO2 + H+
Donor
Fig. 8. Schematic diagram of the visible-light induced CO2 reduction using the electron
transfer system and metal nanoparticle catalyst
The possible reaction scheme of the CO2 reduction is as follows:
CO2 + 8H+ + 8e- → CH4 + 2H2O (1).

This eight-electron reduction of CO2 is advantageous process compared with other possible
CO2 reduction process from the thermodynamic point of view. Although it is not a study
using the silver–core bimetallic nanoprticles, this topic is closely related to the applications
of bimetallic nanoparticles to catalytic reaction. Thus, the topic of the CO2 reduction using
metal nanoparticle catalyst is presented here.
Typical reactions were performed by the similar manner to the hydrogen generation. A 20-
cm3 Pyrex Schlenk tube was charged with a 10 cm3 aqueous solution, containing EDTA (a
sacrificial electron donor), [Ru(bpy)3]2+ (a photosensitizer), MV2+ (an electron mediator),
NaHCO3 (a pH adjuster and a CO2 source), and colloidal dispersion of metal nanoparticles.
The mixtures were degassed by freeze-thaw cycles and the tubes were then filled with 1 atm
of CO2. The photo-irradiation was carried out for 3 or 4 h with a 500 W super-high-pressure
mercury lamp through a UV cut filter (> 390 nm) in a water bath maintained at 30 ˚C. About
100 μmol of methane was detected in this system (Toshima et al., 1995). However, it has not
been confirmed that methane was actually the reduction product of CO2.
3.3.1 Strategy for the demonstration of the methane generation from carbon dioxide
In a heterogeneous system, photoreduction of CO2 was confirmed by experiments using an
isotope (Ishitani et al. 1993). To our knowledge, however, the isotopic method has not been
applied to the confirmation of the photoreduction of CO2 in a homogeneous system using
the colloidal dispersion of metal nanoparticles. To confirm the above mentioned methane
generation, the following study was carried out. In this study, photoreduction of CO2 was
carried out in a similar system to one reported previously (Toshima et al., 1995), and the
generation of methane from CO2 was confirmed by isotopic experiments. As the catalysts,
novel metal nanoparticles, i.e., liposome-protected Pt nanoparticles, were prepared and used
in the present system. Colloidal dispersions of Pt and Ru nanoparticles were prepared by
photoreduction without using ethanol (Yamaji et al. 1995). Preparation of nanoparticles
without ethanol is required, because the coexisting ethanol is decomposed during the
photochemical reaction, leading to the formation methane. This methane formation cannot
be distinguished from the actual methane generation from CO2. Protective agents used for
the metal nanoparticles were poly(N-vinyl-2-pyrrolidone), C12EO, and liposome. The
products in the gas phase were analyzed with a gas chromatograph. The characterization of
gaseous products was carried out with a gas chromatograph mass-spectrometer.
3.3.2 Methane generation from carbon dioxide reduction

The formation of methane was then clearly detected by gas chromatography (about 19 nmol
in the case of the liposome protected Pt nanoparticles system). In order to confirm the
methane generation from CO2, isotope experiments were carried out using NaH13CO3 as a
CO2 source and analyzed by a gas chromatograph mass-spectrometer. Since NaHCO3 is
equilibrated with CO2 in solution and easily treated, it was a good source of CO2 in the
present experiments. In this experiment, 13CH4 was clearly detected, though the produced
methane was not pure 13CH4 and it did contain 12CH4. In the same experiment, the mole
ratio of 13CO2 to 12CO2 in the gas phase was about 57:43, which is nearly the same as the
isotopic ratio of the generated methane. EDTA works as an electron donor in the system and
is known to decompose into CO2. Therefore, 12CH4 generation possibly occurs through the
reduction of 12CO2 generated from EDTA. The effect of EDTA on methane generation was
examined in the Pt-liposome system. Methane was detected on visible-light irradiation of
the system involving EDTA without CO2 or NaHCO3 but could not be detected in the
absence of EDTA. These results suggest that the detected 12CH4 is generated by the
reduction of 12CO2 originated from EDTA.
3.3.3 Liposome-protected metal nanoparticle catalyst

Liposome was better than other protective-colloid of Pt nanoparticles for methane
generation. This is probably explained by assuming that liposome can form a larger and
stronger hydrophobic region to concentrate CO2 around a Pt nanoparticle than C12EO
micelle and poly(N-vinyl-2-pyrrolidone). In addition, Ru-C12EO showed higher catalytic
activity than Pt-C12EO. Thus, Ru-liposome was considered to be an active catalyst for
methane generation in the system tested here. The synthesis of Ru-liposome was tried in a
way similar to that of Pt-liposome, but the suspension of the Ru-liposome was not active as
a catalyst. The resulting Ru-liposome was not as homogeneous, probably because the Ru ion
is not miscible with liposome in water.
3.3.4 Summary of the carbon dioxide photo-reduction by metal nanoparticle catalyst

The Pt and Ru nanoparticle catalysts, which were prepared by a photoreduction method of
metal salt in water without ethanol, successfully generated methane from CO2. The methane
generation suggests that the eight-electron reduction of CO2 easily proceeds on metal
nanoparticles possibly due to a thermodynamic advantage. This is different from an
electrochemical CO2 reduction using Pt electrodes, on which CO2 is reduced to CO with
adsorbed hydrogen atoms. In the present system using metal nanoparticles, the competition
reaction, i.e., the kinetically favorably hydrogen generation, inhibits the methane generation.
An increase of CO2 concentration, the electron supply rate, or both may enhance CO2
reduction.
4. Catalytic decomposition of hydrogen peroxide by metal nanoparticle

The modification of biomacromolecules upon exposure to reactive oxygen species, including
hydrogen peroxide (H2O2), dioxide(1-) (superoxide O2•-), hydroxyl radical (HO•), and
singlet oxygen (1O2), is the likely initial event involved in the induction of the mutagenic
and lethal effects of various oxidative stress agents (Kawanishi et al. 2001; Cadet et al., 2003;
Drechsel & Patel, 2008). Therefore, the activity of reactive oxygen species generation by
various chemical compounds is closely related to their toxicity, carcinogenicity, or both. For
example, hydroquinone, a metabolite of carcinogenic benzene, causes DNA damage via
H2O2 generation (Hirakawa et al., 2002). Many studies have addressed the role of
antioxidants, such as vitamins (Slaga, 1995; Sohmiya et al., 2004) and catechins (Weyant et
al., 2001), in protection against cancers and cardiovascular diseases. These antioxidants can
scavenge reactive oxygen species and protect against cancer occurrence. On the other hand,
every antioxidant is in fact, a redox agent, protecting against reactive oxygen species in
some circumstances and promoting free radical or secondary reactive oxygen species
generation in others. Indeed, an excess of these antioxidants elevates the incidence of cancer
(Nitta et al. 1991; Omenn et al., 1996). Solovieva et al. reported that antioxidants, ascorbic
acid (Solovieva et al., 2007) and dithiothreitol (Solovieva et al., 2008), exhibit cytotoxicity via
H2O2 generation. Relevantly, it has been reported that vitamins A (Murata & Kawanishi,
2000) and E (Yamashita et al., 1998) and catechins (Oikawa et al., 2003) induce DNA
oxidation through H2O2 generation during their oxidation. H2O2 is a long-lived reactive
oxygen species which plays an important role in biomacromolecular damage induced by
various chemical compounds (Kawanishi et al., 2001; Hirakawa et al., 2002).
4.1 Metal catalyzes decomposition of hydrogen peroxide

Various studies have demonstrated the catalytic decomposition of H2O2 by noble metals
such as Pt (Keating et al., 1965; McKee, 1969; Bianchi et al., 1962), Pd (Keating et al., 1965;
McKee, 1969; Bianchi et al., 1962; Eley & Macmahon, 1972) Ag (Baumgartner et al., 1963;
Goszner et al., 1972; Goszner & Bischof, 1974), and Au (Eley & Macmahon, 1972; Goszner &
Bischof, 1974). These metals themselves are hardly oxidized by reactive oxygen species,
however, it is difficult to use metal powder or foils as anti-oxidative drugs. Recently, Kajita
et al. reported that Pt nanoparticles catalyze the decomposition of reactive oxygen species
(Kajita et al., 2007). These nanoparticles can be dispersed in water and used as homogenous
solutions. Because this removal mechanism is catalytic decomposition, no oxidized product
is formed through this reaction. Platinum metal is used as a food additive and is not
considered to be a toxic material. This result led us to the idea that inorganic materials, in
particular noble metals, rather than organic antioxidants, can be used as novel
chemopreventive agents against reactive oxygen species-mediated biomolecules damage. In
this section, the examination of the removal of H2O2 generated from a chemical compound,
hydroquione, using water-soluble polymer-protected Pt and Ag/Pt nanoparticles are
reviewed.
4.2 Catalytic activity of monometallic nanoparticles

4.2.1 Preparation of metal nanoparticles for reactive oxygen scavenger
Colloidal dispersions of poly(N-vinyl-2-pyrrolidone)-protected Pt, Pd, Rh, and Au
nanoparticles were prepared using an alcohol reduction method (Hirai et al., 1979). 50 mL of
water/ethanol (1/1, v/v) solution containing 1 mM metal salts and 40 mM poly(N-vinyl-2-
pyrrolidone) (monomer unit) was refluxed for 2 h, resulting in the formation of typical
colored sols of metal nanoparticles. The solvent was removed by vacuum evaporation, and
the nanoparticles were dispersed into water to prepare 1 mM/atom (atomic concentration)
metal colloidal sols. An aqueous solution of poly(N-vinyl-2-pyrrolidone)-protected Ag
nanoparticles (Shiraishi & Toshima, 1999) was prepared from reduction of 1 mM AgNO3
with NaBH4 in the presence of 40 mM poly(N-vinyl-2-pyrrolidone). The obtained Ag
colloidal dispersion was purified with an ultra-filter.
These poly(N-vinyl-2-pyrrolidone)-protected metal nanoparticles formed water-soluble sols.
The average diameters (d) and standard deviations (σ) of monometallic nanoparticles
determined by TEM measurement were as follows: Pt (d = 2.2 nm, σ= 1.0 nm), Pd (d = 2.0
nm, σ= 0.9 nm), Rh (d = 2.2 nm, σ= 1.0 nm), Ag (d = 10.0 nm, σ=1.9 nm), and Au (d = 10.2 nm,
σ= 2.0 nm).
Fluorescence
400
ON
300
Intensity
200
Reactive
Oxygen 100
Folic acid Species H2O2
0
350 450 550
OFF
Wavelength / nm
Fig. 9. Fluorometry of reactive oxygen species (hydrogen peroxide) using folic acid
4.2.2 Method of the detection of hydrogen peroxide

The generated H2O2 was measured by a previously reported method using folic acid
(Hirakawa, 2006). This assay is based on the fluorescence enhancement of less-fluorescent
folic acid via oxidative decomposition by H2O2 and copper(II) ion into strong-fluorescent 2-
amino-4-oxo-3H-pterine-6-carboxylic acid (Figure 9). The concentration of H2O2 ([H2O2]) can
be determined using a calibration curve. A reaction mixture containing folic acid, copper(II)
chloride, and the H2O2 sample (or H2O2 generator 4) with or without the metal nanoparticle
in a sodium phosphate buffer (pH 7.6) was incubated in a microtube for 30 min. After
incubation at 37 ˚C, the fluorescence intensity of the reaction mixture at 450 nm was
measured using a fluorescence spectrophotometer with 350-nm excitation.
4.2.3 Platinum nanoparticles effectively scavenge hydrogen peroxide

Platinum nanoparticles effectively scavenged H2O2 in a dose-dependent manner and
showed the highest activity among the metal nanoparticles used in this study (Figure 10). A
sample solution of 5 μM/atom Pt nanoparticles, among which 1 μg Pt metal is included,
exhibits comparable activity for H2O2 decomposition to that of 10 units of catalase. One unit
of catalase can remove 1.0 μmol H2O2 per min in water (pH 7.0, 25 C). Poly(N-vinyl-2-
pyrrolidone) itself did not scavenge H2O2. This experiment confirmed that poly(N-vinyl-2-
pyrrolidone)-protected Pt nanoparticles can remove H2O2. The mechanism of H2O2 removal
by Pt nanoparticles can be explained by catalytic decomposition into water and molecular
oxygen as follows:
H2O2 → H2O + 1/2 O2 (2).

The generation of O2 gas through the H2O2 decomposition was confirmed with a gas-burette
as following procedure. The 10 mL of aqueous solution containing 0.1 M H2O2 was treated
by 10 μg Pt nanoparticles and generated O2 gas was measured with a gas-burette. The
volume of detected gas coincided with that of the theoretically calculated value of O2
generation from the decomposition of H2O2 in the sample solution.
[Catalase] / units mL-1
0 20 40 60 80 100
100 100
Ag
Rh
80 80
Au
Pd
[H2O2] / M
60 Pt 60
Catalase
40 40
20 20
0 0
0 2 4 6 8 10
[Nanoparticle] / M/atom
Fig. 10. Removal of H2O2 by metal nanoparticles and catalase. The 1 mL of sample solution
containing 100 μM H2O2, 10 μM folic acid, 20 μM copper(II) chloride, and indicated
concentration of metal nanoparticles or catalase was incubated for 30 min. The concentration
of H2O2 was estimated from the fluorescence measurement.
4.3 Application of siver-core/platinum-shell bimetallic nanoparticles to catalytic

decomposition of hydrogen peroxide generated by chemical compound
4.3.1 Preparation of silver-core bimetallic nanoparticles for hydrogen peroxide
scavenger
The catalytic activity of Pt and its modified particles with Ag (Ag/Pt) on the decomposition
of H2O2 generated from chemical compounds was evaluated, since Pt showed the highest
activity. The Ag/Pt nanoparticles were prepared from the following procedure. The
absorption spectrum of the sol of Pt nanoparticles is a flat curve (Figure 11), indicating the
formation of homogenous particles. Ag nanoparticles exhibited a typical yellow color due to
surface plasmon absorption around 400 nm. It has been reported that a physical mixture of
Ag and Pt nanoparticles spontaneously forms bimetallic nanoparticles, possibly Ag-core/Pt-
shell structured particles (Toshima et al., 2005). The time-course of the absorption spectra of
this physical mixture showed the extinction of Ag surface plasmon absorption, and the
absorption was completely extinguished within 24 h (Figure 11), suggesting that the surface
of the formed bimetallic nanoparticles is composed of Pt atoms. Typical TEM images
showed the formation of relatively small particles of Pt and large particles of Ag (Figure 12).
TEM photographs showed that the large Ag particles disappeared through interaction with
Pt particles, resulting in the formation of bimetallic particles smaller than the parent Ag
particles (Figure 12). A similar result has been observed in the case of Ag/Rh bimetallic
nanopaticles (Toshima & Hirakawa, 2003). These findings suggest the formation of self-
organized Ag/Pt bimetallic nanoparticles. These metal nanoparticles are stable in water for
several months. The Ag/Pt (Ag-atom/Pt-atom, 1/1) bimetallic nanoparticles were prepared
using a self-organization method to mix Pt and Ag monometallic nanoparticles according to
previous reports (Toshima & Hirakawa, 2003; Toshima et al., 2002, 2005; Matsushita et al.,
2007).
4
Time
0 min
10 min
Absorbance
3
20 min
30 min
2 24 h
0
300 400 500 600
Wavelength / nm
Fig. 11. Absorption spectral change of the physical mixture of dispersions of Ag and Pt
nanoparticles. The aqueous solutions of Ag (1 mM/atom, 10 mL) and Pt (1 mM/atom, 10
mL) nanoparticles were mixed and measured at 0, 10, 20, and 30 min, and 24 h after mixing.
(A) Pt (B) Ag (C) Ag/Pt

Average diameter: d = 2.2 nm d = 10.0 nm d = 2.6 nm
Standard Deviation:  = 1.0 nm  = 1.9 nm  = 1.6 nm
50nm 50nm 50nm
Fig. 12. TEM photographs of metal nanoparticles. The sample of Ag/Pt nanoparticles was
prepared by drying the mixtures of the aqueous solutions of Pt and Ag monometallic
nanoparticles 24 hour after mixing.
4.3.2 Hydrogen peroxide formation from hydroquinone and its removal by metal
nanoparticles
Hydroquinone, which is a metabolite of carcinogenic benzene, was used as H2O2 source.
This compound can generate H2O2 through autooxidation (Figure 13) (Hirakwa et al., 2002).
Under these experimental conditions, hydroquinone generated H2O2 in a dose-dependent
manner (Figure 14). Twenty units/mL catalase effectively removed H2O2 generated from
this system, and 10 μM/atom (2 μg/mL) Pt nanoparticles exhibited a comparable activity to
that of this catalase. Silver nanoparticles showed apparently weaker activity for H2O2
removal than Pt nanoparticles. The bimetallization of Pt with Ag apparently suppressed the
catalytic activity per unit atom.
OH O O
Cu2+ O2
Cu+ + H+ O2 - + H+
OH OH O
O2
-
O2
2O2 - + 2H+ H2O2 + O2
Fig. 13. Schematic diagram of hydrogen peroxide formation by the autooxidation of

hydroquinone
100
[H2O2] / M
+ Ag
50 + Ag/Pt
+ Pt
+ catalase
0
0 20 40 60 80 100
[Hydroquinone] / M
Fig. 14. H2O2 generation through autooxidation of hydroquinone in the absence or presence
of metal nanoparticles and catalase. The 1 mL of sample solution containing 10 μM folic
acid, 20 μM copper(II) chloride, and indicated concentration of hydroquinone with or
without 10 μM/atom metal nanoparticles or 20 units/mL catalase was incubated for 30 min.
The concentration of generated H2O2 was estimated from the fluorescence measurement.
4.3.3 Activity of silver-core/platinum-shell nanoparticles on hydrogen peroxide

decomposition
Figure 15 shows the removal activity of H2O2 generated from a high concentration of
hydroquinone (50 μM) by metal nanoparticles. These metal nanoparticles and catalase
scavenged H2O2 in a dose-dependent manner. The activity of the 10 μM/atom (2 μg/mL) Pt
nanoparticles was comparable to that of 20 units/mL catalase, and Pt completely scavenged
H2O2 over 20 μM/atom (4 μg/mL). The activity per atom of the Ag/Pt bimetallic
nanoparticles was almost the same as that of the Ag monometallic nanoparticles.
To investigate the effect of Pt nanoparticles on H2O2 generation through the autooxidation
of hydroquinone, NADH consumption during this autooxidation was measured. The
consumption of NADH during the autooxidation of hydroquinone was measured by a
previously reported method (Oikawa et al., 2003). A sample solution containing 100 µM
NADH, 50 µM hydroquinone, and 20 µM copper(II) chloride was incubated at 37 ˚C in the
absence or presence of 20 µM/atom Pt nanoparticles. The concentration of NADH was
determined by the measurement of absorbance of NADH at 340 nm using a microplate
absorbance reader. The oxidized form of hydroquinone can be reduced into the parent
hydroquinone by NADH (Hirakwa et al., 2002). The concentration of NADH was gradually
decreased through the redox of hydroquinone and Pt nanoparticles hardly inhibited NADH
consumption (data not shown). This result indicated that Pt nanoparticles do not inhibit the
H2O2 generation itself, because H2O2 is produced through the autooxidation of
hydroquinone.
[Catalase] / units mL-1

0 20 40 60 80 100
100
Ag/Pt
80
Ag
Catalase
[H2O2] / %
60
Pt
40
20
0
0 20 40 60 80 100
[Nanoparticle] / M/atom
Fig. 15. Removal of H2O2 generated through the autooxidation of hydroquinone by metal
nanoparticles and catalase. The 1 mL of sample solution containing 10 μM folic acid, 20 μM
copper(II) chloride, 50 μM hydroquinone, and indicated concentration of metal
nanoparticles or catalase was incubated for 30 min. The concentration of H2O2 was
estimated from the fluorescence measurement.
4.4 Summary and possible mechanism of hydrogen peroxide decomposition by metal

nanoparticles
Poly(N-vinyl-2-pyrrolidone)-protected metal nanoparticles, in particular Pt nanoparticles,
exhibited a removal effect on H2O2 generated through autooxidation of hydroquinone
(Figure 16). The removal of H2O2 by these metal nanoparticles can be explained by a
catalytic reaction similar to that by catalase, which decomposes H2O2 into H2O and O2.
The formation of H2O2 during autooxidation of hydroquinone is through O2•-, which is
generated from a reduction of O2 by hydroquinone (Hirakawa et al., 2002). Because the
lifetime of O2•-, which dismutates into H2O2 through reaction with H+, is short (~ 0.1 ms),
the scavenging of O2•- by a metal nanoparticle can be negligible. The H2O2 removal
activity per metal atom of these metal nanoparticles occurred in the following order: Pt >
Ag ≈ Ag/Pt. The activities of H2O2 decomposition per metal atom consisting of these
metal nanoparticles (μM-H2O2/μM-nanometal) have been estimated, and the resulting
values are 4.2, 12.2, and 3.8 for Ag, Pt, and Ag/Pt, respectively. Further, the activity on
the surface area of the Ag/Pt nanoparticles (17 μM-H2O2/cm2-nanometal) was also
smaller than that of Pt (49 μM-H2O2/cm2-nanometal). These findings showed that the Pt
nanoparticles have the highest catalytic activity for H2O2 decomposition in the metal
nanoparticles used in this experiment and the activity of Pt nanoparticles is suppressed by
modification with Ag.
1
H2O + O
2 2
M
H+
O2•- H2O2
O2
Chemical Oxidized
compound product
Fig. 16. Hydrogen peroxide generation from an autooxidation of chemical compound and its
catalytic decomposition by metal nanoparticle
H2O2 is a long-lived reactive oxygen species and plays an important role in DNA damage
(Kawanishi et al., 2001, Hirakawa et al., 2002). Indeed, various chemical compounds,
including carcinogens, generate H2O2 during redox reaction (Kawanishi et al., 2001,
Hirakawa et al., 2002). Molecular oxygen is easily reduced by various compounds, leading
to the formation of O2•-. Formed O2•- is rapidly dismutated into H2O2. Although H2O2 itself
is not a strong reactive species, it can generate highly reactive HO• through a Fenton
reaction or a Haber-Weiss reaction. Furthermore, H2O2 can penetrate a cytoplasm
membrane and be incorporated into the cell nucleus. Therefore, H2O2 is considered to be one
of the most important reactive species or a precursor participating in carcinogenesis. The
removal of H2O2 is an effective method for cancer chemoprevention. Furthermore,
protective agents against H2O2 are important to treat acatalasemia, a genetic deficiency of
erythrocyte catalase inherited as an autosomal recessive trait. Antioxidants, such as vitamins
A and E, are effective protective agents. However, the oxidized products of antioxidants or
these molecules themselves promote the formation of secondary H2O2 (Yamashita et al.,
1998; Murata & Kawanishi, 2000). Indeed, an excess of these antioxidants elevates the
incidence of cancer (Nitta et al., 1991; Omenn et al., 1996). A catalyst consisting of an
inorganic stable material is not oxidized and does not generate secondary reactive oxygen
species. Water-soluble nanoparticles of noble metal may become novel protective agents
against reactive oxygen species.
In summary, Pt, Ag, and Ag/Pt nanoparticles effectively scavenge H2O2 generated from
autooxidation of a highly concentrated hydroquinone. Platinum nanoparticles exhibited the
highest catalytic activity among these nanoparticles. Pt is a very stable metal against various
chemical compounds and permitted as a food additives. The noble metal nanoparticles may
be used as novel chemopreventive agents for cancer or other non-malignant conditions
induced by chemical compounds through H2O2 generation.
5. Application of metal nanoparticles to prevention of ultraviolet radiation

induced biomolecules damage
Exposure to solar ultraviolet radiation is undoubtedly linked to skin carcinogenesis and
phototoxic effect. Photosensitized reaction by ultraviolet radiation, especially ultraviolet-A
(UVA) radiation (320~400 nm), is considered to cause toxic effect through oxidative
biomolecules damage including DNA damage (Hiraku et al., 2007). Photosensitized
formation of reactive oxygen species, such as hydrogen peroxide, superoxide, hydroxyl
radicals, and singlet oxygen, is involved in UVA-induced biomolecules damage. As
mentioned above, the application of metal nanoparticles to scavenge reactive oxygen species
through catalytic decomposition.
5.1 Traditional methods of chemoprevention to biomolecules damage by ultraviolet

radiation and its problem
Many studies have addressed the role of antioxidants, such as vitamins and catechins, in
protection against cancers and cardiovascular diseases. These antioxidants can scavenge
reactive oxygen species and protect against cancer occurrence. On the other hand, every
antioxidant is, in fact, a redox agent, protecting against reactive oxygen species in some
circumstances and promoting free radical or secondary reactive oxygen species generation
in others. Indeed, an excess of these antioxidants elevates the incidence of cancer. It has been
reported that antioxidants, ascorbic acid and dithiothreitol, exhibit cytotoxicity via H2O2
generation, and their toxic effects are significantly enhanced by vitamin B12. H2O2 is a long-
lived reactive oxygen species which plays an important role in biomacromolecules damage
induced by various chemical compounds.
5.2 Preventive action of metal nanoparticles on ultraviolet-sensitized oxidation of

molecules
As mentioned above, metal nanoparticles catalyze the decomposition of reactive oxygen
species. Because this removal mechanism is catalytic decomposition, no oxidized product is
formed through this reaction. Platinum metal is used as a food additive and is not
considered to be a toxic material. This result led us to the idea that inorganic materials, in
particular noble metals, rather than organic antioxidants, can be used as novel
chemopreventive agents against UVA-induced biomolecules damage.
Recently, it has been reported that the removal of reactive oxygen species generated from a
photocatalytic reaction of titanium dioxide (TiO2) particles using water-soluble polymer-
protected Pt, Rh, and Pt/Ag bimetallic nanoparticles. Silver, a relatively inexpensive noble
metal, is also used as a food additive, and bimetallization with Ag may improve the catalytic
activity of other metal nanoparticles.
5.2.1 Preparation of metal nanoparticles for ultraviolet protection

The colloidal dispersions of poly(N-vinyl-2-pyrrolidone)-protected Pt and Rh nanoparticles
were prepared from an alcohol reduction. The size (particle diameter) of these nanoparticles
is about 2 nm. The aqueous solution of poly(N-vinyl-2-pyrrolidone)-protected Ag
nanoparticle was prepared from a reduction of silver nitrate by sodium borohydride in the
presence of poly(N-vinyl-2-pyrrolidone). The Ag-core/Pt-shell (Ag-atom/Pt-atom, 1/1)
bimetallic nanoparticle was prepared using a physical method to mix Pt and Ag
monometallic nanoparticles according to the previous reports (Toshima et al., 2005).
5.2.2 Evaluation model for the biomolecules damage by ultraviolet radiation

TiO2 (anatase) and methylene blue were used as a model of the UVA-induced reaction. The
sample solution containing methylene blue and TiO2 dispersion in sodium phosphate buffer
(pH 7.6) with or without metal nanoparticle was irradiated with a UVA lamp (365 nm, 1
mW cm-2). The decomposition of methylene blue was evaluated by absorption measurement

at 659 nm. TiO2 is a well-known photocatalyst (Fujishima et al., 2000, 2008). When exposing
to UVA light, the reduction-oxidation activity of TiO2 has a significant biological impact, as
is exemplified by its bactericidal activity. Photo-irradiated TiO2 effectively decomposed
methylene blue (Figure 17). Various reactive oxygen species contribute to the photocatalytic
reaction of TiO2. Especially, hydrogen peroxide is long-lived reactive oxygen species and
plays an important role in oxidative biomolecules damage. Molecular oxygen is reduced by
photoexcited materials, leading to the formation of superoxide. Formed superoxide is
rapidly dismutated into hydrogen peroxide. Although hydrogen peroxide itself is not a
strong reactive species, it can generate highly reactive hydroxyl radicals through a Fenton
reaction or a Haber-Weiss reaction. Furthermore, hydrogen peroxide can penetrate a
cytoplasm membrane and be incorporated into the cell nucleous. Therefore, hydrogen
peroxide is considered to be one of the most important reactive oxygen species participating
in UVA carcinogenesis and phototoxicity. Since other reactive oxygen species, such as
directly produced hydroxyl radicals (Hirakawa et al., 2004) and singlet oxygen (Hirakawa &
Hirano, 2006), rapidly quenched in aqueous solution, hydrogen peroxide should be key
reactive species in this experiment. The TiO2 and methylene blue could be used as a simple
model of UVA-induced oxidation.
2.5
[TiO2] / g mL-1
2
0
Absorbance
1.5 8
16
1 40
Methylene blue
80
0.5
0
250 350 450 550 650 750
Wavelength / nm
Fig. 17. UV-Vis absorption spectra of methylene blue photocatalyzed by TiO2. The sample
solution containing 10 μM methylene blue and indicated concentration of TiO2 in 10 mM
sodium phosphate buffer (pH 7.6) was irradiated (Ex = 365 nm, 1 mW cm-2) for 30 min.
5.2.3 Preventive action of metal nanoparticles on ultraviolet radiation induced

biomolecules damage
Poly(N-vinyl-2-pyrrolidone)-protected metal nanoparticles, in particular, the Pt
nanoparticle, inhibited the methylene blue decomposition photocatalyzed by TiO2 (Figure
18). Poly(N-vinyl-2-pyrrolidone) itself did not inhibit the methylene blue decomposition.
This inhibitory effect can be explained by the catalytic decomposition of H2O2 generated
through TiO2 photocatalysis. These nanoparticles decomposed H2O2 into H2O and O2
similar to catalase. In the case of H2O2 decomposition, the Pt nanoparticle showed the
highest catalytic activity per unit atom. The activity of a 1 μg Pt nanoparticle was
comparable to that of 5 units of catalase. One unit of catalase can remove 1.0 μmol H2O2 per
1 min in water (pH 7.0, 25C). Unexpectedly, the bimetallization with Ag did not show
improvement effect and rather decreased the inhibitory effect of Pt nanoparticle on the
decomposition of methylene blue.
The UV-Vis absorption spectra of these metal nanoparticles were hardly changed by the
photocatalytic reaction, suggesting that the noble metal nanoparticles are stable for reactive
oxygen species and UVA irradiation. Organic antioxidant undergoes oxidation in the
removal process of reactive oxygen species, leading to the formation of various oxidized
products and may produce secondary reactive oxygen species. In the case of noble metal
catalyst, these effects can be negligible.
100
[Methylene blue] (%)
80
Pt
60 Rh
Pt / Ag
40
without metal
20
0
0 200 400 600 800 1000
[TiO2 ] / g mL-1
Fig. 18. Inhibitory effect of metal nanoparticles on methylene blue decomposition
photocatalyzed by TiO2. The sample solution containing 20 μg mL-1 metal nanoparticle,
TiO2, and 10 μM methylene blue in 10 mM sodium phosphate buffer (pH 7.6) was irradiated
(Ex = 365 nm, 1 mW cm-2) for 30 min.
5.3 Summary of the ultraviolet protection by metal nanoparticles

Pt, Rh, and Pt/Ag nanoparticles effectively inhibited the methylene blue decomposition
photocatalyzed by TiO2. TiO2 photocatalytic system was used as a UVA-induced reactive
oxygen species generation. The most important reactive oxygen species in this
photocatalytic reaction is H2O2, because of its long lifetime in aqueous solution. This
inhibitory effect of metal nanoparticle can be explained by the removal of H2O2.
Unexpectedly, the activity of Pt nanoparticle was not improved by the bimetallization with
Ag. Platinum is a very stable metal against various chemical compounds and is used as food
additive. A poly(N-vinyl-2-pyrrolidone)-protected Pt nanoparticle may be used as a novel
preventive agent for UVA-induced biomolecules damage through reactive oxygen species
generation.
6. Conclusion
Physical mixture of Ag and other metal nanoparticles, such as Pt, Rh, and Pd,
spontaneously forms the bimetallic nanoparticles with Ag-core structure in aqueous
solution. These monometallic nanoparticles can be easily prepared from an alcohol
reduction of the corresponding metal ions in the presence of water-soluble polymer such
as poly(N-vinyl-2-pyrrolidone), a protective colloid. Aqueous sol of Ag nanoparticles

exhibits the surface plasmon absorption around 400 nm. The surface plasmon absorption
was diminished through interaction with other metal nanoparticle in the physical mixture
of these nanoparticles. This phenomenon was explained by that the Ag nanoparticle was
coated by other metal. The transmission electron micrograph and X-ray diffraction
measurement confirmed the formation of the Ag-core bimetallic nanoparticles. This
reaction can be used to construct the core-shell structured novel bimetallic nanoparticles.
The formed nanoparticles act superior character for certain catalytic reactions. The
catalytic activity of the silver/rhodium bimetallic nanoparticles for visible-light-induced
hydrogen generation in an aqueous solution was examined. This system composed of an
electron source, a photosensitizer, an electron relay, and metal nanoparticle catalyst. The
activity is clearly higher than the corresponding monometallic nanoparticles, suggesting
that the silver-core enhances the catalytic activity of the surface rhodium. On the other
hand, the catalytic activity of the decomposition of hydrogen peroxide was decreased by
this bimetallization. Platinum nanoparticle effectively catalyzes hydrogen peroxide
decomposition. The Ag-core/platinum shell bimetallic nanoparticle, which was prepared
by the physical mixing of Ag and Pt nanoparticles, demonstrated lower activity of the
decomposition of hydrogen peroxide than the monometallic Pt nanoparticle. Metal
nanoparticles can be applied to various catalytic reactions. The bimetallic and trimetallic
nanoparticles demonstrate superior activity in the certain reaction. The self-assembly
formation of Ag-cored nanoparticle may be convenient method to prepare novel metal
nanoparticle catalyst.
7. Acknowledgments
The author wish to thank Professor Naoki Toshima (Tokyo University of Science,
Yamaguchi) for his helpful discussion and Professor Kenji Murakami (Research Institute
of Electronics, Shizuoka University) for his helpful advice on TEM measurement. These
works were supported by a Grant-in-Aid for Scientific Research from the Ministry of
Education, Culture, Sports, Science and Technology (MEXT) of the Japanese
Government.
8. References
Akinaga, H. (2002). Metal-nanocluster Equipped GaAs Surfaces Designed for High-sensitive
Magnetic Field Sensors. Surface Science, Vol.514, No.1-3, (August 2002), pp.145-150,
ISSN 0039-6028
Baumgartner, H. J.; Hood, G. C.; Monger, J. M.; Roberts, R. M. & Sanborn, C. E. (1963).
Decomposition of Concentrated Hydrogen Peroxide on Silver I. Low Temperature
Reaction and Kinetics. Journal of Catalysis, Vol.2, No.5, (October 1963), pp.405-414,
ISSN 0021-9517
Bianchi, G.; Mazza, F. & Mussini, T. (1962). Catalytic Decomposition of Acid Hydrogen
Peroxide Solutions on Platinum, Iridium, Palladium and Gold Surfaces.
Electrochimica Acta, Vol.7, No.4, (July-August 1962), pp.457-473, ISSN 0013-4686
Bonilla, R. J.; James, B. R. & Jessop, P. G. (2000). Colloid-catalyzed Arene Hydrogenation in

Aqueous/Supercritical Fluid Biphasic Media. Chemical Communications, No.11,
(May 2000), pp.941-942, ISSN 1359-7345
Bönnemann, H. & Richards, R. M. (2001). Nanoscopic Metal Particles-Synthetic Methods
and Potential Applications. Europian Journal of Inorganic Chemistry, Vol.2001, No.10,
(October 2001), pp.2455-2480, ISSN 1099-0682
Bradley, J. S. (1994). In: Clusters and Colloids: From Theory and Applications, G. Schmid (Ed),
456-544, VCH, ISBN 3527290435, Weinheim
Cadet, J.; Douki, T.; Gasparutto, D. And Ravanat, J. L. (2003). Oxidative Damage to DNA:
Formation, Measurement and Biochemical Features. Mutation Research, Vol.531,
No.1-2, (October 2003), pp.5-23, ISSN 0027-5107
Drechsel, D. A. & Patel, M. (2008). Mechanisms of Environmental Neurotoxicant-induced
Oxidative Stress. Free Radical Biology and Medicine, Vol.44, No.11, (June 2008),
pp.1873-1886, ISSN 0891-5849
Eley, D. D. & Macmahon D. M., (1972). The Decomposition of Hydrogen Peroxide Catalyzed
by Palladium-gold Alloy Wires. Journal of Colloid and Interface Science, Vol.38, No.2,
(February 1972), pp.502-510. ISSN: 0021-9797
Fujishima, A.; Rao, T. N. & Tryk, D. A. (2000). Titanium Dioxide Photocatalysis. Journal of
Photochemistry and Photobiology C: Photochemistry Reviews, Vol.1, No.1, (June 2000),
pp.1-21, ISSN 1389-5567
Fujishima, A.; Zhang, X. & Tryk, D. A. TiO2. (2008). Photocatalysis and Related Surface
Phenomena. Surface Science Reports, Vol.63, No.12, (December 2008), pp.515-582,
ISSN 0167-5729
Fukumi, K.; Chayahara, A,; Kadono, K.; Sakaguchi, T.; Horino, Y.; Miya, M.; Fujii, K,.;
Hayakawa, J. & Satou, M. (1994). Gold Nanoparticles Ion Implanted in Glass with
Enhanced Nonlinear Optical Properties, Journal of Applied Physics; Vol.75, No.6,
(March 1994), pp.3075-3080, ISSN 0021-8979
Goszner, K.; Körner, D. & Hite, R. (1972). On the Catalytic Activity of Silver: I. Activity,
Poisoning, and Regeneration during the Decomposition of Hydrogen Peroxide.
Journal of Catalysis, Vol.25, No.2, (May 1973), pp.245-253, ISSN 0021-9517
Goszner, K. & Bischof, H. (1974). The Decomposition of Hydrogen Peroxide on Silver-gold
Alloys. Journal of Catalysis, Vol.32, No.2, (February 1974), pp.175-1820, ISSN 0021-
9517
Harriman, A. (1990). Bimetallic Pt–Au Colloids as Catalysts for Photochemical
Dehydrogenation. Journal of the Chemical Society, Chemical Communications, No.1,
(January 1990), pp.24-26, ISSN 0022-4936
Henglein, A. (1979). Catalysis of the Reduction of Thallium(1+) and of Dichloromethane by
Colloidal Silver in Aqueous Solution. The Journal of Physical Chemistry, Vol.83,
No.22, (November 1979), pp.2858-2862, ISSN 0022-3654
Henglein, A.; Holzwarth, A. & Malvaney, P. (1992). Fermi Level Equilibration between
Colloidal lead and Silver Particles in Aqueous Solution. The Journal of Physical
Chemistry, Vol.96, No.22, (October 1992), pp.8700-8702, ISSN 0022-3654
Hirai, H.; Nakao, Y. & Toshima, N. (1979). Preparation of Colloidal Transition Metals in
Polymers by Reduction with Alcohols or Ethers. Journal of Macromolecular Science:
Part A–Chemistry, Vol.13, No.6, (1979), pp.727-750, ISSN 0022-233X
Yamaji, Y.; Hirakawa, K.; Yonezawa, T. & Toshima, N. (1995). Visible-light-induced
Reduction of Carbon Dioxide Using Platinum Colloidal Catalyst. Proceedings of
Annual Meeting on Photochemistry 1995, pp.B1080, Fukuoka, Japan, October 6-9,
1995
Hirakawa, K.; Oikawa, S.; Hiraku, Y.; Hirosawa, I. & Kawanishi, S. (2002). Catechol and
Hydroquinone Have Different Redox Properties Responsible for Their Differential
DNA-damaging Ability. Chemical Research in Toxicology, Vol.15, No.1, (January
2002), pp.76-82, ISSN 0893-228X
Hirakawa, K. & Toshima, N. (2003). Ag/Rh Bimetallic Nanoparticles Formed by Self-
assembly from Ag and Rh Monometallic Nanoparticles in Solution. Chemistry
Letters, Vol.32, No.1, (January 2003), pp.78-79, ISSN 0366-7022
Hirakawa, K.; Mori, M.; Yoshida, M.; Oikawa, S. & Kawanishi, S. (2004). Photo-irradiated
Titanium Dioxide Catalyzes Site Specific DNA Damage via Generation of
Hydrogen Peroxide, Free Radical Research, Vol.38, No.5, (May 2004), pp.439-447,
ISSN 1071-5762
Hirakawa, K. & Hirano, T. (2006). Singlet Oxygen Generation Photocatalyzed by TiO2
Particles and Its Contribution to Biomolecule Damage. Chemistry Letters, Vo.35,
No.8, (August 2006), pp.832-833, ISSN 0366-7022
Hirakawa, K. (2006). Fluorometry of Hydrogen Peroxide Using Oxidative Decomposition of
Folic Acid. Analytical and Bioanalytical Chemistry, Vol.386, No.2, (September 2006),
pp.244-248, ISSN 1618-2642
Hirakawa, K. (2007). Preparation of Novel Metal Nanoparticles and Their Catalytic and
Photocatalytic Properties. Reports of Researches Assisted by the Asahi Glass Foundation
(2007), No.53, (October 2007) pp.1-10, ISSN 0919-9179
Hirakawa, K.; Shiota, K. & Sano, S. (2008). Preventive Action of Metal Nanoparticles on
UVA-sensitized Oxidation through Hydrogen Peroxide Formation. Photomedicine
and Photobiology, Vol.30, (July 2008), pp.27-28, ISSN 0912-232X
Hirakawa, K. & Sano, S. (2009). Platinum Nanoparticle Catalyst Scavenges Hydrogen
Peroxide Generated from Hydroquinone. Bulletin of the Chemical Society of Japan,
Vol.82, No.10, (October 2009), pp.1299-1303, ISSN 0009-2673
Hirakawa, K. (2009). Evaluation and Chemoprevention of Phototoxic Effect by the Novel
Materials. Photomedicine and Photobiology, Vo.31, (July 2009), pp.33-34, ISSN 0912-
232X
Hiraku, Y.; Ito, K.; Hirakawa, K. & Kawanishi, S. (2007). Photosensitized DNA Damage and
Its Protection via a Novel Mechanism. Photochemistry and Photobiology, Vo.83, No.1,
(January 2007), pp.205-212, ISSN 1751-1097
Ishitani, O.; Inoue, C.; Suzuki, Y. & Ibusuki, T. (1993). Photocatalytic Reduction of Carbon
Dioxide to Methane and Acetic Acid by an Aqueous Suspension of Metal-
Deposited TiO2. Journal of Photochemistry and Photobiology A: Chemistry, Vol.72, No.3,
(June 1993), pp.269-271, ISSN 1010-6030
Kajita, M.; Hikosaka, K.; Iitsuka, M.; Kanayama, A.; Toshima, N. & Miyamoto, Y. (2007).
Platinum Nanoparticle Is a Useful Scavenger of Superoxide Anion and Hydrogen
Peroxide. Free Radical Research, Vol.41, No.6, (January 2007), pp.615-626, ISSN 1071-
5762
Kawanishi, S.; Hiraku, Y. & Oikawa, S. (2001). Mechanism of Guanine-specific DNA
Damage by Oxidative Stress and Its Role in Carcinogenesis and Aging. Mutation
Research, Vol.488, No.1, (March 2001), pp.65-76, ISSN 0027-5107
Keating, K. B.; Rozner, A. G. & Youngblood, J. L. (1965). The Effect of Deformation on
Catalytic Activity of Platinum in the Decomposition of Hydrogen Peroxide. Journal
of Catalysis, Vol.4, No.5, (October 1965), pp.608-619, ISSN 0021-9517
Kiely, C. J.; Fink, J.; Brust, M.; Bethell, D. & Schiffrin, D. J. (1998). Spontaneous Ordering of
Bimodal Ensembles of Nanoscopic Gold Clusters. Nature, Vol.396, pp.444-446,
(December 1998), ISSN 0028-0836
Lee, A. F.; Baddeley, C. J.; Hardacre, C.; Ormerod, R. M.; Lambert, R. M.; Schmid, G. & West,
H. (1995). Structural and Catalytic Properties of Novel Au/Pd Bimetallic Colloid
Particles: EXAFS, XRD, and Acetylene Coupling. The Journal of Physical Chemistry,
Vol.99, No.16, (Aprile 1995), pp.6096-6102, ISSN 0022-3654
Link, S:; Wang, Z. L. & El-Sayed, M. A. (1999). Alloy Formation of Gold−Silver
Nanoparticles and the Dependence of the Plasmon Absorption on Their
Composition. The Journal of Physical Chemistry B, Vol.103, No.18, (Aprile 1999),
pp.3529-3533, ISSN 1520-6106
Lu, P.; Dong, J. & Toshima, N. (1999). Surface-Enhanced Raman Scattering of a Cu/Pd Alloy
Colloid Protected by Poly(N-vinyl-2-pyrrolidone). Langmuir, Vol.15, No.23,
(September 1999), pp.7980-7992, ISSN 0743-7463
Matsushita, T.; Shiraishi, Y.; Horiuchi, S. & Toshima, N. (2007). Synthesis and Catalysis of
Polymer-Protected Pd/Ag/Rh Trimetallic Nanoparticles with a Core–Shell
Structure. Bulletin of the Chemical Society of Japan, Vol.80, No.6, (June 2007), 1217-
1225, ISSN 0009-2673
McKee, D. W. (1969). Catalytic Decomposition of Hydrogen Peroxide by Metals and Alloys
of the Platinum Group. Journal of Catalysis, Vol.14, No.4, (August 1969), pp.355-364,
ISSN 0021-9517
Murata, M. & Kawanishi, S. (2000). Oxidative DNA Damage by Vitamin A and Its
Derivative via Superoxide Generation. The Journal of Biological Chemistry, Vol.275,
No.3, (January 2000), pp.2003-2008, ISSN 0021-9258
Nitta, Y.; Kamiya, K.; Tanimoto, M.; Sadamoto, S.; Niwa, O. & Yokoro, K. (1991). Induction
of Transplantable Tumors by Repeated Subcutaneous Injections of Natural and
Synthetic Vitamin E in Mice and Rats. Japanese Journal of Cancer Research, Vol.82,
No.5, (May 1991), pp.511-517, ISSN 0910-5050
Oikawa, S.; Furukawa, A.; Asada, H.; Hirakawa, K. & Kawanishi, S. (2003). Catechins Induce
Oxidative Damage to Cellular and Isolated DNA through the Generation of
Reactive Oxygen Species. Free Radical Research, Vol. 37, No.8, pp.881-890, (August
2003), ISSN 1071-5762
Omenn, G. S.; Goodman, G. E.; Thornquist, M. D.; Balmes, J.; Cullen, M. R.; Glass, A.;
Keogh, J. P.; Meyskens Jr, F. L.; Valanis, B.; Williams Jr, J. H.; Barnhart, S.;
Cherniack, M. G.; Brodkin, C. A. & Hammar, S. (1996). Risk Factors for Lung
Cancer and for Intervention Effects in CARET, the Beta-Carotene and Retinol
Efficacy Trial. Journal of the National Cancer Institute, Vol.88, No.21, (Novenber 1996),
pp.1550-1559, ISSN 0027-8874
Peiner, E. & Kopitzki, K. (1988). Metastable Phases Formed by Ion Beam Mixing of Binary
Metal Systems with Positive Heats of Hormation. Nuclear Instruments and Methods
in Physics Research Section B: Beam Interactions with Materials and Atoms, Vol.l34,
No.2, (August 1988), pp.173-180, ISSN 0168-583X
Pileni, M. P. (1998). Preparation, Characterization and Application, In: Nanoparticles and
Nanostructured Films:, J. H. Fendler (Ed.), 71-100, Wiely-VCH, ISBN 3527294430,
Weinheim
Shipway, A. N.; Katz, E. & Willner, I. (2000). Nanoparticle Arrays on Surfaces for Electronic,
Optical, and Sensor Applications. ChemPhysChem, Vol.1, No.1, (August 2000),
pp.18-52, ISSN 1439-7641
Shiraishi, Y. & Toshima, N. (1999). Colloidal Silver Catalysts for Oxidation of Ethylene.
Journal of Molecular Catalysis A: Chemical, Vol.141, No.1-3, (May 1999), pp.187-192,
ISSN 1381-1169
Siepen, K.; Bönnemann, H.; Brijoux, W.; Rothe, J. & Hormes, J. (2000). EXAFS/XANES,
Chemisorption and IR Investigations of Colloidal Pt/Rh Bimetallic Catalysts.
Applied Organometallic Chemistry, Vol.14, No.10, (October 2000), pp.549-556, ISSN
1099-0739
T. J. Slaga, (1995). Inhibition of Skin Tumor Initiation, Promotion, and Progression by
Antioxidants and Related Compounds. Critical Reviews in Food Science and Nutrition,
Vol.35, No.1-2, (January 1995), pp.51-57, ISSN 1040-8398
Sohmiya, M.; Tanaka, M.; Okamoto, K.; Fujisawa, A. & Yamamoto, Y. (2004). Synergistic
Inhibition of Lipid Peroxidation by Vitamin E and a Dopamine agonist,
Cabergoline. Neurological Research, Vol.26, No.4, (June 2004), pp.418-421, ISSN 1743-
1328
Solovieva, M. E.; Soloviev, V. V. & Akatov, V. S. (2007). Vitamin B12b Increases the
Cytotoxicity of Short-time Exposure to Ascorbic acid, Inducing Oxidative Burst and
Iron-Dependent DNA Damage. European Journal of Pharmacology, Vol.566, No.1-3,
(July 2007), pp.206-214, ISSN 0014-2999
Solovieva, M. E.; Soloviev, V. V.; Kudryavtsev, A. A.; Trizna, Y. A. & Akatov, V. S. (2008).
Vitamin B12b Enhances the Cytotoxicity of Dithiothreitol. Free Radical Biology and
Medicine, Vol.44, No.10, (May 2008), pp.1846-1856, ISSN 0891-5849
Sun, S.; Murray, C. B.; Weller, D.; Folks, L. & Moser, A. (1999). Monodisperse FePt
Nanoparticles and Ferromagnetic FePt Nanocrystal Superlattices. Science, Vol.287,
No. 5460, (March 1999), pp.1989-1992, ISSN 0036-8075
Teranishi ,T. & Miyake, M. (1999). Novel Synthesis of Monodispersed Pd/Ni Nanoparticles.
Chemistry of Materials, Vol.11, No.12, (November 1999), pp.3414-3416, ISSN 0897-
4756
Toshima, N. & Wang, Y. (1994). Polymer-protected Cu/Pd Bimetallic Clusters. Advanced
Materials, Vol.6, No.3, (March 1994), pp.245-247, ISSN 1521-4095
Toshima, N.; Yamaji, Y.; Teranishi, T. & Yonezawa, T. (1995). Photosensitized Reduction of
Carbon Dioxide in Solution Using Noble Metal Clusters for Electron Transfer.
Zeitschrift für Naturforschung A, Vol.50a, pp.283-291, ISSN 0932-0784
Toshima, N. & Hirakawa, K. (1997). Polymer-protected Pt/Ru Bimetallic Cluster Catalysts
for Visible-light-induced Hydrogen Generation from Water and Electron Transfer
Dynamics. Applied Surface Science, Vol.121/122, (November 1997), pp.534-537, ISSN
0169-4332
Toshima, N. & Hirakawa, K. (1999). Polymer-Protected Bimetallic Nanocluster Catalysts
Having Core/Shell Structure for Accelerated Electron Transfer in Visible-Light-
Induced Hydrogen Generation. Polymer Journal, Vol.31, No.11, (November 1999),
pp.1127-1132, ISSN 0032-3896
Toshima, N.; Shiraishi, Y.; Matsushita, T.; Mukai, H. & Hirakawa, K. (2002). Self-
organization of Metal Nanoparticles and Its Application to Synthesis of
Pd/Ag/Rh Trimetallic Nanoparticle Catalysts with Triple Core/Shell Structures.
International Journal of Nanoscience, Vol.1, No.5-6, (December 2002), pp.397-401,
ISSN 0219-581X
Toshima, N.; Kanemaru, M.; Shiraishi, Y. & Koga, Y. (2005). Spontaneous Formation of
Core/Shell Bimetallic Nanoparticles: A Calorimetric Study. The Journal of Physical
Chemistry B, Vol.109, No.24, (August 2005), pp.16326-16331, ISSN 1520-6106
Toshima, N.; Ito, R.; Matsushita, T. & Shiraishi, Y. (2007), Trimetallic Nanoparticles Having a
Au-core Structure. Catalysis Today, Vol.122, No.3-4, (Aprile 2007), pp.239-244, ISSN
0920-5861
Toshima, N. & Zhang, H. (2011). Preparation of Novel Au/Pt/Ag Trimetallic Nanoparticles
and Their High Catalytic Activity for Aerobic Glucose Oxidation. Applied Catalysis
A: General, Vol.400, No.1-2, (June 2011), pp.9-13, ISSN 0926-860X
Weyant, M. J.; Carothers, A. M.; Dannenberg, A. J. & Bertagnolli, M. M. (2001). (+)-Catechin
Inhibits Intestinal Tumor Formation and Suppresses Focal Adhesion Kinase
Activation in the Min/+ Mouse. Cancer Research, Vol.61, No.1, (January 2001),
pp.118-125, ISSN 0008-5472
Widegren, J. A. & Finke, R. G. (2003). A Review of Soluble Transition-metal Nanoclusters as
Arene Hydrogenation Catalysts. Journal of Molecular Catalysis A: Chemical, Vol.191,
No.2, (January 2003), pp.187-207, ISSN 1381-1169
Willner, I.; Maiden, R.; Mandler, D.; Dürr, H.; Dörr, G. & Zengerle, K. (1987).
Photosensitized Reduction of Carbon Dioxide to Methane and Hydrogen Evolution
in the Presence of Ruthenium and Osmium Colloids: Strategies to Design
Selectivity of Products Distribution. Journal of the American Chemical Society, Vol.109,
No.20, (September 1987), pp.6080-6086, ISSN 0002-7863
Yamashita, N.; Murata, M.; Inoue, S.; Burkitt, M. J.; Milne, L. & Kawanishi, S. (1998). Alpha-
tocopherol Induces Oxidative Damage to DNA in the Presence of Copper(II) Ions.
Chemical Research in Toxicology, Vol.11, No.8, (August 1998), pp.855-862, ISSN 0893-
228X
Yonezawa, T. & Toshima, N. (1993). Polymer- and Micelle-protected Gold/Platinum
Bimetallic Systems. Preparation, Application to Catalysis for Visible-light-
induced Hydrogen Evolution, and Analysis of Formation Process with Optical
Methods. Journal of Molecular Catalysis, Vol.83, No.1-2, (July 1993), pp.167-181,

ISSN 1381-1169
Yonezawa, T. & Toshima, N. (1995). Mechanistic Consideration of Formation of Polymer-
protected Nanoscopic Bimetallic Clusters. Journal of the Chemical Society, Faraday
Transactions, Vol.91, No.22, (November 1995), pp.4111-4119, ISSN 0956-5000
5
Utilization of Nanoparticles Produced

by Aqueous-Solution Methods – Formation
of Acid Sites on CeO2-TiO2 Composite and
1-D TiO2 for Dye-Sensitized Solar Cells
Motonari Adachi et al.*
Fuji Chemical Co., Ltd., 1-35-1 Deyashikinishi-Machi, Hirakata,
Japan
1. Introduction
Nanoparticles with well-defined nanostructures with unique physical properties are
assembled into optoelectronic (Colvin et al. 1994), and nano electronic (Fuhrer et al. 2000)
devices and other functional materials (Morris et al. 1999). Highly crystallized nanoparticles
can be produced by aqueous-solution methods which provide low cost and ease of
fabrication.
In this chapter two utilizations of nanoparticles are presented. First one is formation of acid
sites on CeO2-TiO2 composite. Cerium dioxide has an unusual ability to shift easily between
the reduced and oxidized states (Ce3+ ⇄ Ce4+). This ability coupled with a high oxygen
transport capacity gives a unique property of catalysis. Based on the remarkable properties
of cerium dioxide, catalytic activity of nanoscale composite of CeO2-TiO2 was studied with
variation in composition and formation temperature, which brought change in the number
of Lewis acid site together with morphological changes.
The second one is 1-D TiO2 for dye-sensitized solar cells (DSSCs). We succeeded in the
preparation of titania nanorods (Jiu et al. 2006), network structure of titania nanowires
(Adachi et al. 2004) and one-dimensional titania nanochains. All cells composed of these
highly crystallized 1-dimensional titania nanoscale materials (1DTNM) show high power
*Keizo Nakagawa2, Yusuke Murata3, Masahiro Kishida4, Masahiko Hiro5, Kenzo Susa6,
Jun Adachi7, Jinting Jiu8 and Fumio Uchida1
1Fuji Chemical Co., Ltd., 1-35-1 Deyashikinishi-machi, Hirakata, Japan
2Department of Advanced Materials, Institute of Technology and Science, The University of Tokushima,
Minami-josanjima, Tokushima, Japan

3Toyo Tanso Co., Ltd., 5-7-12 Takeshima, Nishiyodogawa-ku, Osaka, Japan
4Graduate School of Engineering, Kyushu University,744 Motooka, Nishi-ku, Fukuoka, Japan
5Hitachi Chemical Co., Ltd., 2-1-1 Nishishinjuku, Shinjuku, Tokyo, Japan
6Trial Corporation., 2-195 Asahi, Kitamoto, Japan
7National Instituite of Biomedical Innovation, 7-6-8 Asagi Saito, Ibaraki, Japan
8The Institute of Scientific and Industrial Research (ISIR), Osaka University, 8-1 Mihogaoka, Ibaraki, Japan
conversion efficiency about 9 %. We also present necessity of 1DTNM for attainment high
efficiency theoretically based on the consideration of electron transport processes in the
titania electrode and then present that it is indispensable to use highly crystallized 1DTNM
for attainment of higher efficient DSSCs based on the analysis of experimental results
obtained by electrochemical impedance spectroscopy (EIS) and I－V measurements.
2. CeO2-TiO2 composite as a catalyst

Ceria-based materials are major compounds of the rare earth family, and these have been
extensively studied and found application as ultraviolet absorbers (Masui et al., 1997, 2000),
solid electrolytes (Inaba & Tagawa, 1996), so-called three-way catalysts for automotive
exhaust catalysts (Bekyarova et al., 1998), and soot oxidation catalysts (Pisarello et al., 2002;
Aneggi et al., 2006). Nanocrystalline ceria materials have received much attention owing to
their physical and chemical properties, which are markedly different from those of the bulk
materials. Of particularly interest, the electronic conductivity of CeO2 can be enhanced four
orders of magnitude when its microstructure is changed from the micro- to nanocrystalline
region (Chiang et al., 1996). Various aqueous solution-based methods for synthesizing
crystallized CeO2 nanoparticles (Masui et al., 2002a; Hirano et al., 2000; Li et al., 2001; Wu et
al., 2002; Zhou et al., 2003; Bumajdad et al., 2004) and 1D, 2D and 3D CeO2 nanostructures
with different morphologies (Vantomme et al., 2005, Zhou et al., 2005, Kuiry et al., 2005, Ho
et al., 2005; Han et al., 2005; Sun et al., 2006; Zhong et al., 2007) have been investigated. Some
of the properties of these materials, such as the dispersibility of the particles (Masui et al.,
2002a) and their catalytic properties (Masui et al., 1997; Sun et al., 2006; Zhong et al., 2007)
have also been studied.
The features of CeO2 in these applications are mainly due to the unique combination of its
elevated oxygen transport capacity, coupled with its ability to shift easily between the
reduced and oxidized states (Ce3+↔Ce4+). To increase the temperature stability and ability of
ceria to store and release oxygen, other transition and non transition metal ions (such as
Al3+, Si4+, Ti4+ and Zr4+) are normally introduced into the ceria cubic structure (Reddy et al.,
2003, 2005; Rynkowski et al., 2000; Masui et al., 2002b). The redox and catalytic properties of
CeO2 are strongly influenced when it is combined with other transition metals. In addition,
when the particle size is decreased below 100 nm, the materials become nanophasic, where
the density of defects increases, such that up to half (50%) of the atoms are situated in the
cores of the defects, promoting fast catalyst activation and reaction kinetics (Reddy et al.,
2005). Thus, a study of the synthesis and reaction characteristics of nano-sized ceria-based
mixed oxides is very important for utilizing the oxygen transport capacity and redox
properties. One of the main disadvantages of ceria-based nanoparticles prepared in aqueous
solution, however, is the resultant hard agglomeration of the fine particles, which has posed
a major challenge to the realization of the full potential of nanocrystalline CeO2 powders.
In this section, first we present the preparation of cubic CeO2 nanoparticles using an
alkoxide-primary amine surfactant in an aqueous solution and the existence of a clear
potential to make 1D, 2D or 3D CeO2 materials by assembling cubic-shape CeO2
nanoparticle building blocks. Amine surfactant works as a colloidal stabilizer through the
adsorption on the CeO2 nanoparticles. Second, the preparation of CeO2-TiO2 nanocomposite
nanostructures is presented. The morphologies and redox reactivities of CeO2-TiO2
Utilization of Nanoparticles Produced by Aqueous-Solution Methods
– Formation of Acid Sites on CeO2-TiO2 Composite and 1-D TiO2 for Dye-Sensitized Solar Cells 95
composite nanostructures are influenced by changing the mole ratio of cerium/titanium

alkoxides and by changing the calcination temperature.
2.1 Preparation of CeO2 nanoparticles and CeO2-TiO2 composite nanostructure

The preparation method of CeO2 nanoparticles and CeO2-TiO2 composite are based on the
aqueous solution system including metal alkoxides and amine surfactant molecules. The
experimental procedure has been described in detail in our previous papers (Murata &
Adachi, 2004; Nakagawa et al., 2007). The typical synthesis was as follows: first, laurylamine
hydrochloride (LAHC) was dissolved in distilled water. Cerium tri-isopropoxide (CTIP) or
cerium n-butoxide (CeBu) was used as a cerium source. Tetraisopropyl orthotitanate (TIPT)
was used as a titanium source. In the synthesis of CeO2 nanoparticles, CTIP or CeBu was
mixed with acetylacetone (ACA) in a beaker and immediately added to an aqueous LAHC
solution at pH 4.6. In the case of the synthesis of CeO2–TiO2 composite nanostructures, the
mole ratio of CeBu to TIPT (CeBu/TIPT) was changed to 100/0, 75/25, 25/75 and 0/100.
Each mixed alkoxide solution was mixed with acetylacetone. In all cases, the mole ratio of
metal alkoxides to ACA and metal alkoxides to LAHC were 1 and 4, respectively. After
stirring at room temperature for 1 h, the reaction temperature was then changed to 353 K.
When the two solutions were mixed, precipitation occurred immediately. After 1 week, the
precipitates were separated by centrifugation. After washing with 2-propanol and
successive centrifugation, the obtained products were dried through a combination of
freeze-drying and vacuum drying, and calcined in air at different temperatures.
2.2 Cubic CeO2 nanoparticles and their assembled structures

The formation yield of CeO2 particles for the surfactant assisted-process was 100%
approximately. The structure of CeO2 nanoparticles was studied by TEM image of CeO2
sample in a dried state. During the formation process, we observed systematic changes in
color of the precipitated particles. After mixing of the solution of CTIP or CeBu modified
with ACA with the aqueous solution of LAHC, the brown transparent original solution
immediately became dark brown. The white colloidal suspension was formed after stirring
for 1 h at room temperature. A brown and clear supernatant was formed after the
precipitation. Further color change of the precipitate was observed. First, the color of the
CeO2 particles changed from white to dark blue in about 1 day at 353 K. Subsequently, the
color of the precipitate gradually turned into pale purple for 1 week, but the color change
was slower than the first change. Moreover the wet centrifuged precipitate appeared dark
blue, and the freeze-dried powders were gray. But final CeO2 particles calcined at 673 K was
light yellow. These changes in color were observed in the cases that the particles were
synthesized in LAHC surfactant aqueous solution at pH 4.2. On the other hand, there was
no color change of the precipitate without LAHC surfactant. These color changes are related
to the valence state of the Ce; most likely purple corresponds to Ce3+ and yellow
corresponds to Ce4+. Therefore, it is clear that the Ce3+ oxide is stabilized by existence of
LAHC in aqueous solution.
We succeeded in the preparation of CeO2 nanoparticles with cubic structures and 1D, 2D or
3D CeO2 nanostructures by assembling the cubic-shape CeO2 nanoparticle building blocks
(Murata & Adachi, 2004, Nakagawa et al., 2007) as shown in Fig. 1, 2 and 3. It is evident
from this figure that the particle shape was square, and the particle size was calculated to be
2.7-3.8 nm. Furthermore, it seems that the particles were aligned. TEM image of Figure 1a
clearly showed the mono-dispersed CeO2 nanoparticles. The inset picture shows the SAED
pattern and Debye-Scherrer rings of the nanoparticles, which can be indexed as those of
cerium oxide with the cubic fluorite structure. The HRTEM images and FFT pattern as
shown in Figure 1b show that the CeO2 cubic nanoparticles had a single crystalline structure
and high crystallinity; these lattice images were observed for many particles. The main
lattice spacing of the crystalline structure was calculated to be 3.11 Å according to FFT
analysis. This lattice spacing corresponds to the (111) planes of CeO2 with a cubic phase,
which coincides with the SAED analysis.
Fig. 1. (a) Low-magnification TEM images of the freeze-dried CeO2 nanoparticles prepared
at 353 K for 1 week. Inset: SAED pattern. (b) High-Resolution TEM images of the aggregated
CeO2. The lattice images were observed. Inset: FFT pattern obtained from HRTEM.
1D rod-like CeO2 structures are obtained after calcination at 673 K. Rod-like CeO2 with
diameters of 30 nm and lengths of 180 nm are observed although the majority of CeO2
samples were assembled into aggregates as shown in Fig.2. The HRTEM image show that
the principal axis of the crystal growth of CeO2 was aligned along the rod axis.
Fig. 2. (a) TEM images of CeO2 calcined at 673 K for 4 h. (b) HRTEM image of rod-like CeO2
with a clearly lattice image of (111) planes (d = 3.11 Å).
An ordered structure (2D or 3D superlattice-like structure) are also obtained from the freeze-
dried CeO2 nanoparticles. Figure 3 shows an array of cubic nanocrystals with a mean inter-
particle (center-to-center) distance of 2.9 nm, as determined from direct imaging and the FFT
pattern. We believe this assembly with an ordered structure is formed to minimize the total
surface energy, which is attained by the association of the cubic CeO2 with a face-to-face
structure.
Fig. 3. TEM image of CeO2 nanocrystals self-assembled into a superlattice-like arrangement

with dimensions of the order on the nano-scale, Inset a: the FFT pattern confirms the
orientational order of the superlattice-like structure, Inset b: the model structure
demonstrates the superlattice-like assembled CeO2 nanoparticles.
The thermodynamics of hydrolysis and condensation depend on the strength of the entering
nucleophile and electrophilicity of the metal, and on the partial charge. Transition metals are
very electropositive, and the hydrolysis and condensation kinetics of the transition metal
alkoxides are affected by the positive partial charge  (Livage et al., 1988). Positive partial
charge for metals in various alkoxides have been reported; for example, cerium alkoxide:
0.75, titanium alkoxides: 0.63, and silicon alkoxides: 0.32. Since a large positive partial
charge corresponds to a rapid reaction rate, the precursor for the complex formed from
cerium alkoxide was not generated gradually, but the nano-sized particles were formed by
the rapid hydrolysis and condensation reactions. In our systems using LAHC and CTIP (or
CeBu) modified with ACA, the resulting suspensions of CeO2 nanoparticles were
exceptionally mono-dispersive without aggregation, demonstrating the high power of
LAHC as a colloidal stabilizer through the adsorption of LAHC on the surface of the CeO2
nanoparticles, in accordance with the results of Sugimoto et al. who reported the effect of
primary amines as shape controllers for the synthesis of TiO2 (Sugimoto et al., 2003). Since
the shape of the CeO2 particles is nearly cubic even if the cubic shape has somewhat
rounded edges and corners, the LAHC would control the morphology of the CeO2 particles.
For hydrous oxides in aqueous solution systems, the charge-determing ions are H+ and OH-,
which establish the charge on the particles by protonating or deprotonating the MOH bonds
on the surface of the particles.
M-OH + H+ → M-OH2+ (1)
M-OH + OH- → M-O- + H2O (2)

The ease of protonation and deprotonation on the surface of the oxide depends on the metal
atom. The pH at which the particle is neutrally charged is called the point of zero charge
(PZC). At pH > PZC, Eq. 2 predominates, and the particle is negatively charged, whereas at
pH < PZC, Eq.1 makes the particle positive. Value of the PZC for CeO2 particles is 8.1 (De
Faria and Trasatti, 1994). The magnitude of the surface potential depends on the departure
of the pH from the PZC, and that potential attracts oppositely charged ions that present in
the solution. Therefore, at pH 4.2, the hydrolyzed and condensed CeO2 particle is positively
charged. LAHC molecules also have a positively charged amine group under acidic
condition. Hence, there seems to be no driving force for adsorption by electrostatic
attraction. However, chloride ion (Cl-) mediates the interaction between the laurylamine
surfactant and charged CeO2 by weak H-bonding forces, and CeO2 particles are covered by
surfactant molecules, resulting in the formation of cube crystals. Since the adsorption of
LAHC takes place to a specific crystal face, anisotropic structures such as cubes would be
formed.
2.3 Morphology of CeO2-TiO2 composite

A few studies on CeO2–TiO2 composite nanoparticles (Reddy et al., 2003, 2005; Rynkowski
et al., 2000; Masui et al., 2002b) have been reported. Reddy et al. obtained CeO2–TiO2
composites comprised of relatively larger nanocrystals of CeO2 and TiO2 (anatase), and
some overlapped regions (Reddy et al., 2005). Rynkowski et al. studied the redox properties
of CeO2–TiO2 composites (Rynkowski et al., 2000), and stated the existence of the CeO2–
TiO2 composite. Masui et al. also synthesized CeO2–TiO2 composite nanoparticles, and
reported the deactivation of the thermal and photocatalytic properties of this species by the
formation of the CeO2–TiO2 composite (Masui et al., 2002b).
We also studied the preparation of CeO2-TiO2 composite nanostructures by changing the
mole ratio of cerium/titanium alkoxides and found the effective redox reactivities of
CeO2-TiO2 composite nanostructures (Nakagawa et al., 2007). During the synthesis of
CeO2-TiO2 composite, the reaction behavior of each solution was observed. When the
surfactant solution and metal alkoxide solutions were mixed, precipitation occurred
immediately. When the mole ratio of CeBu/TIPT = 75/25 and 25/75, dark brown-gels and
dark purple-precipitates formed, while purple-precipitates with a transparent liquid layer
were observed at the mole ratios of CeBu/TIPT = 100/0, that was the same behavior using
CTIP. The morphology and crystalline structure of the CeO2-TiO2 composite
nanostructures varied according to the change in the mole ratio of CeBu to TIPT. When
CeBu/TIPT was 75/25, the nano-network structure with a diameter of 3–9 nm was
observed and the SAED pattern indicated a cubic fluorite structure (Figure 4). Whereas,
when CeBu/TIPT was 25/75, aggregate structures of rod-like morphology with an
average diameter of 20 nm and length of 80 nm were observed, and the SAED pattern
showed several spots corresponding to the lattice plane of the anatase phase of TiO2
(Figure 5). In the case of the synthesis with only TIPT, a TiO2 nano-network structure of
connecting nanowires with diameter of 5–15 nm formed by an oriented attachment
mechanism (Adachi et al., 2004, Nakagawa et al., 2005).
Figure 6 shows the variation in XRD patterns of the CeO2-TiO2 composite calcined at 673 K
for 4 h (Nakagawa et al., 2007). The peaks at CeBu/TIPT = 100/0 are sharp and can be
indexed to a CeO2 cubic fluorite structure. When CeBu/TIPT was 75/25, the XRD peaks
were indexed to a CeO2 cubic fluorite structure, although the peaks became very broad. The
reason for the broad peak is due to the formation of composite materials. In the HRTEM
image shown in Figure 4b, the lattice image of the (111) plane of the cubic fluorite structure
could be observed. These observations indicate that the crystalline structure of the nano-
network at CeBu/TIPT = 75/25 consists of a CeO2 cubic fluorite structure, which is different
Fig. 4. (a) TEM and (b) HRTEM image of CeO2–TiO2 composite nanostructures
(CeBu/TIPT = 75/25) after reaction at 353 K for 1 week, inset: SAED patterns.
Fig. 5. (a) TEM and (b) HRTEM image of CeO2–TiO2 composite nanostructures
(CeBu/TIPT = 25/75) after reaction at 353 K for 1 week, inset: SAED patterns.
from that of pure CeO2. No TiO2 anatase peaks were observed. Therefore, the formed
materials under CeBu/TIPT = 75/25 constitute the composite materials of CeO2 and TiO2,
i.e., the formed materials are not a simple mixture of pure CeO2 and TiO2. As a characteristic
of our reaction system, the initial solution, including the two metal alkoxides is uniformly
well mixed on a molecular scale, easily leading to the formation of composite materials.
Since the positive partial charge  of cerium alkoxide is larger than that of titanium
alkoxide, as mentioned above, it is inferred that the reaction rate of CeBu is faster than TIPT.
Moreover, the content of cerium is much higher than titanium. From these facts, the
crystalline structure of the composite materials is inferred as a CeO2 cubic fluorite structure,
which is different from that of pure CeO2. The different crystalline structure creates a new
morphology, i.e., a nano-network structure, which also leads to the formation of Lewis acid
sites, as described later. The XRD patterns at CeBu/TIPT = 25/75 show mainly broad peaks
of the TiO2 anatase phase and also show a broad peak of CeO2 around 2θ = 30˚. The broad
peaks indicate the formation of composite materials, which lead to a nanorod structure.
Since the content of titanium is much higher than cerium, the main crystalline structure
corresponds to the TiO2 anatase phase, but a small amount of CeO2 crystalline structure is
also included, because the reaction rate of CeBu is faster than TIPT.
TiO2, JCPDS 21-1272
(101)
anatase
(200)
(004)
(211)
(105)
(204)
(213)
(112)
(215)
(103)
(116)
(220)
(107)
(301)
CeBu/TIPT = 0/100
Intensity / a.u.
CeBu/TIPT = 25/75
CeBu/TIPT = 75/25
CeBu/TIPT = 100/0
CeO2, JCPDS 4-0593

(111)
(220)
(200)
(311)
(311)
(222)
(420)
(400)
20 40 60 80
2θ / degree
Fig. 6. XRD patterns of the CeO2–TiO2 composite nanostructures at the mole ratio of
CeBu/TIPT = 100/0, 75/25, 25/75 and 0/100 after calcination at 673K for 4 h.
2.4 Surface properties of CeO2-TiO2 composites

The reaction activity of CeO2-TiO2 composite nanostructures was investigated through the
formation rate of I3-, formed due to the oxidation of I- to I2 in excess KI aqueous solution
(Nakagawa et al., 2007). Nanostructured CeO2-TiO2 (10 mg) was suspended by magnetic
stirring in 10 ml of 0.2 M KI aqueous solution without light irradiation. After initiation of the
reaction, 0.3 ml of the reaction solution was taken, and the concentration diluted to one
tenth. The concentration of I3- was measured using a Shimadzu UV-2450 spectrometer from
the absorbance at 288 nm. Figure 7 shows the I3- formation results of CeO2-TiO2 composite
nanostructures after calcination at 673 K. It was found that CeO2 nanoparticles and CeO2-
TiO2 composite nanostructures have the ability to oxidize I- to I2 although the TiO2
nanostructure shows little activity. The activity of the CeO2-TiO2 composite nanostructure
reaches a maximum at CeBu/TIPT = 75/25 at 623 K.
It is known that cerium oxide shows a high oxidation ability and oxygen storage capacity,
and the appearance of these functions is attributed to the following two reasons. One is the
redox couple Ce3+/Ce4+, which shows the ability of cerium oxide to shift between CeO2 and
2
Concentration of I3- × 10-4 / M
(a) (b)
1
1.5
1
0.5
Ce/Ti = 0/100
Ce/Ti = 25/75 723K
0.5
Ce/Ti = 75/25 673K
Ce/Ti = 100/0 623K
0 0
0 100 200 300 0 100 200 300
Reaction time / min Reaction time / min
Fig. 7. The variation of concentration of I3- with reaction time, (a) the effect of the mole ratio
of CeBu/TIPT calcined at 673 K, (b) the effect of calcination temperature at the mole ratio of
CeBu/TIPT = 75/25.
Ce2O3 under oxidizing and reducing conditions, respectively. Another is its structure: the
stable structure of cerium oxide at room temperature under atmospheric pressure is the
cubic fluorite structure in which oxygen ions do not have a close-packed structure. Owing to
this structure, cerium oxide can easily form many oxygen vacancies while maintaining the
basic crystal structure (Reddy et al., 2003). Cerium has a family of related mixed-valency
binary oxides, which are anion-deficient and fluorite-related Ce2O2n-2m between Ce2O3 and
CeO2 at lower temperatures (Kang & Eyring, 1997). It is considered that many vacant
oxygen sites exist in cerium oxide; the cerium cation (Cen+) acts as the Lewis acid site and
robs the electron of I-. Additionally, the number of Lewis acid sites could be altered by
changing the composition of the CeO2-TiO2 composite, because mixed oxides, e.g., SiO2-TiO2
composites, have been frequently reported to exhibit higher catalytic activity than the pure
metal oxide (Méndez-Román & Cardona-Martínez, 1998; Hu et al., 2003). As pointed out
above, the uniformly mixed solution of the metal alkoxides led to homogeneously mixed
composite oxides on the atomic scale in our preparation method.
We confirmed the formation and number of Lewis acid sites from the pyridine adsorption
on the surface of the CeO2-TiO2 composite nanostructure (Nakagawa et al., 2007) as shown
in Figure 8. In the results of IR spectra, two peaks at 1620 and 1350 cm-1 were assigned to the
antisymmetric and symmetric stretching vibrations of the carboxyl group, respectively. A
peak at 1595 cm-1 and two peaks at 1480 and 1440 cm-1 were observed, and these peaks were
assignable to hydrogen-bonded pyridine and pyridine bonded to a Lewis site, respectively
(Zaki et al., 1989, 2001). It was found that Lewis acid sites evidently exist in the CeO2-TiO2
composite nanostructures and these results show a good correlation between the reaction
activity (Figure 7a) and the peak area as determined from the Lewis acid sites (Figure 8).
nd
2.5 Conclusions of 2 section
1. The preparation method of cubic CeO2 nanoparticles using an alkoxide-primary amine
surfactant in an aqueous solution was presented. In additoion, a clear potential to make
1D, 2D or 3D CeO2 materials by assembling cubic-shape CeO2 nanoparticle building

blocks was also revealed.
2. CeO2-TiO2 composite nanostructures could be prepared by changing the mole ratio of
cerium/titanium alkoxides. The morphology and crystalline structure of the CeO2-TiO2
composite nanostructures were influenced with the mole ratio of the metal alkoxides.
These composite nanostructures showed effective reaction activity to oxidize I- to I2
because of the formation of the Lewis acid sites.
0.2
1620
1350
1595
1480
1440
Absorbance
Ce/Ti=100/0
0.1 Ce/Ti=75/25
Ce/Ti=25/75
Ce/Ti=0/100
0
1600 1400 1200
Wavenumber / cm-1
Fig. 8. Pyridine adsorption results (at room temperature) of the CeO2-TiO2 composite
nanostructure at the different mole ratio of CeBu/TIPT calcined at 673 K.
3. 1-D TiO2 for dye-sensitized solar cells

Dye-sensitized solar cells (DSSCs) have attracted much attention as they offer the possibility
of extremely inexpensive and efficient solar energy conversion, because light from the sun is
the ideal source of energy, and the supply of energy is gigantic, i.e., 3×1024 J/year or about
104 times more than what mankind consumes currently. In 1991, O’Regan and Grätzel
(O’Regan & Grätzel 1991) published a remarkable report, and the Grätzel group attained 10
% efficiency in 1993 (Nazeeruddin et al. 1993). The system already reached conversion
efficiency 11.5 % (Chen, C-Y. et al. 2009), and recently even 12.3 % was reported by Grätzel
in Hybrid Organic Photovoltaics Conference in Valencia Spain. These conversion efficiencies
exceed the level to supply electricity at the rate of home use, i.e., 10 %. Nevertheless, the
energy conversion efficiency of the cells for commercial devices has not yet reached the
level, which provides lower cost than that of conventional methods of electricity generation
using fossil fuel. Therefore, attainment of higher efficient cells is still one of the most
important challenges for the dye-sensitized solar cells.
Titania dioxide is the most promising material for the electrode of DSSCs. Many
investigators have improved the anodic electrode over 10 years (Kim et al. 2009, Ito et al.
2008, Grinis et al. 2008, Hamann et al. 2008, Chen, D. et al. 2009, Miyashita et al. 2008, Wang,
M. et al. 2009, Youngblood et al. 2009). One-dimensional titania nanoscale materials
(1DTNM) have been investigated for attainment of highly efficient solar cells (Colodrero et
al. 2009, Kar et al. 2009, Shankar et al. 2009, Wang, D. et al. 2009, Kang, T-S. et al. 2009,
Kuang, D. et al. 2008, Shankar et al. 2008, Adachi et al. 2004, Jiu et al. 2006). In this section
we present the clear reason for necessity of 1DTNM for attainment of higher efficient dye-
sensitized solar cells through theoretical consideration and based on the experimental
evidences verifying the consideration.
First we present necessity of 1DTNM theoretically based on the consideration of the electron
transport processes obtained from electrochemical impedance spectroscopy (EIS), together
with I－V measurement of the same cell. We present then experimentally that it is
indispensable to use highly crystallized 1DTNM for attainment of higher efficient DSSCs
based on the analysis of experimental results obtained by EIS and I－V measurements. Also
we present that all electrodes composed of our three kinds of 1DTNM showed high light-to-
electricity conversion efficiency around 9%.
3.1 Experimental procedure

In order to elucidate the relationship between the composition of titania thin film electrode
and performance of the electrode, we made three kinds of electrodes, i.e., an electrode made
of P-25 only, an electrode made of P-25 with polyethylene glycol (PEG) and an electrode
made of network structure of titania nanowires (TNW) mixed with P-25 with PEG (TNW
28%) first. Since the electrode containing TNW was the best one, we made electrodes made
of various amount of TNW mixed with the mixture of P-25 and PEG. The percentage of
TNW to (TNW + P-25) in Ti atom content was varied from 0 % to 100 %. Furthermore, we
made DSSCs with electrodes composed of all our three kinds of 1DTNM.
3.1.1 Synthesis of highly crystallized TiO2 nanoscale materials

The procedure of TiO2 single crystalline nanowires with network structure has been
reported in our previous paper (Adachi et al. 2004). The synthesis procedure of highly
crystallized titania nanorods has been described in our previous paper (Jiu et al. 2006). The
procedure of titania nanochains is almost the same as that of titania nanorods, except usage
of HCl instead of ethylenediamine (EDA) to adjust pH values to 1.3 to 5. Titania nanochains
can be synthesized using P123 (triblock copolymer of (poly(ethylene oxide)20-
poly(propylene oxide) 70-poly(ethylene oxide)20 ) instead of F127 (triblock copolymer of
(poly(ethylene oxide)106-poly(propylene oxide) 70-poly(ethylene oxide)106)).
3.1.2 Preparation of titania electrods and dye-sensitized solar cells

We synthesized highly crystallized titania nanoparticles (TNP) with diameter of 3-5 nm
other than 1DTNM mentioned above (Jiu et al. 2004, Jiu et al. 2007). Titania electrodes with
thin film were made by applying titania samples on an electric conducting glass plate.
Fluorine doped tin oxide (FTO) was used as an electric conducting oxide. Dilute solution of
TNP with diameter 3-5 nm was applied on the surface of FTO as a blocking layer. The three
kinds of electrodes made of P-25 only, P-25 with PEG and titania nanowire network (TNW)
mixed with P-25 with PEG were prepared by coating each gel solution containing these
titania materials on the FTO glass by doctor blade method. The gel solution of P-25 only was
made by dissolving P-25 powder into water. The aqueous gel solution of P-25 with PEG was
made after the procedure reported by Grätzel’s group (Nazeeruddin et al. 1993). The gel
solution of TNW mixed with P-25 with PEG was made by mixing the gel solution of P-25
with PEG with the reaction products TNW after centrifugation and washing by 2-propanol.
The higher efficient cells constituted with 1DTNM were fabricated as follows. First, the gel
solution of TNP with diameter of 3-5 nm was coated three times by doctor blade method on
a FTO glass, making 3 layers of TNP. In the case of cells made of TNW, the gel solution of
TNW mixed with P-25 with PEG was coated by 8-10 times. The ratio of TNW to P-25 in Ti
atom content was around 0.3. In the case of cells made of titania nanorods, the reaction
products after centrifugation was mixed with the two gel solutions of P-25 with PEG and the
solution of TNP. The mixed gel solution was coated 7-10 times. In the case of titania
nanochains, the procedure was the same as the case of titania nanorods.
After each coating, the sample was calcined at 773 K for 10 min. The last calcination was
made at 773 K for 30 min. Dye was introduced to the titania thin films by soaking the film
1－3 days in 3×10-4 M solution of ruthenium dye in the mixed solvent of tert-butanol and
acetnitryl. Cis-di(thiocyanate) bis(2,2’-bipyridyl-4,4’-di-carboxylate)-ruthenium(II) bis-tetra-
butyl-ammonium (N719) (Solaronix SA) produced by Grätzel’s group (Nazeeruddin et al.
1993) was used as the dye.
The DSSCs were comprised of a titania thin film electrode on a conducting glass plate, and a
platinum electrode made by sputtering on the conducting glass and electrolyte between the
titania thin film and the platinum. The composition of the used electrolyte was 0.1 M
Guanidium thiocyanate, 0.6 M 1-butyl-3-methylimidazolium iodide, 0.03 M I2, and 0.5 M TBP
(4-tert-butyl pyridine) in the mixed solvent of acetonitrile + n-valeronitrile (volume 85 : 15).
3.1.3 Characterization of titania materials and solar cells

Characterization of the produced materials was made by X-ray diffraction (XRD) (Rigaku
Goniometer PMG-A2, CN2155D2), transmission electron microscopy (TEM) (JEOL 200 CX
and JEM-2100F), fast Fourier transform (FFT), selected-area electron diffraction (SAED),
scanning electron microscopy (SEM) (JEOL JSM 7500FA) and isotherm of nitrogen
adsorption (BEL SORP 18 PLUS). The photo-current-voltage characteristics were measured
using an AM 1.5 solar simulator (YSS-E40, Yamashita Denso) and in which the light
intensity is 100 mW/cm2 calibrated with a secondary reference solar cell standardized by
JET (Japan Electrical Safety & Environmental Technology Laboratories). Electron transport
processes were measured by electrochemical impedance spectroscopy (EIS) (Solartron
1255B). The cell size was 0.25 cm2.
3.2 Necessity of highly crystallized titania nanoscale materials

First, let us consider the reason why highly crystallized one-dimensional titania materials
are needed. Fig. 9a shows a typical Nyquist plot obtained by EIS. Total direct current (dc)
resistance is given by the length from 0 to the point at =0 on the real axis as shown by
Fig. 9a. This fact is confirmed later by reproduction of I－V curve using measured total dc
resistances at various bias voltages as shown in Fig. 10. Total dc resistance is also obtained
from the slope of the tangent line at the point of Voc. (Fig. 9b) When the total dc resistance
becomes small, the slope becomes steep, and the fill factor becomes larger, resulting in a
high light-to-electricity conversion efficiency. Thus, the total dc resistance should be
small.
a Experimental
b
0.004
-Z''(imaginary)
27.3 Ω
Current [A]
6 Calculation
27.3 Ω 0.003
4 6300 Hz
0.002
2 10 Hz
0.7 Hz 0.001
0
0
0 5 10 15 20 25 30 35 0 0.2 0.4 0.6 0.8 1
Z'(real) -Voltage [V]
Fig. 9. (a) Typical Nyquist plot obtained by EIS, (b) I－V curve for the same cell
However, the largest arc of around 10 Hz in Fig. 9a represents the resistance of

recombination reactions between electrons in the titania electrode and I3- ions in the
electrolyte. Small total dc resistance means small resistance for recombination reactions,
indicating rapid reaction rate of recombination. Thus, small total dc resistance seems an
obstacle for attainment of highly efficient solar cells. But, whether electrons in the titania
electrode are properly collected by the transparent conducting glass electrode or react with
I3- ions in the electrolyte by recombination reactions is determined by the ratio of the
resistance for the transport rate to the conducting glass electrode against the resistance for
the recombination reactions. When the resistance for the transport rate to the conducting
glass electrode is much smaller than that of the recombination reactions, almost all electrons
are properly collected by the conducting glass electrode. This means that the transport rate
of electrons in the titania electrode should be very rapid, indicating that we need nice titania
materials with high electron transport rate, i.e., highly crystallized one-dimensional
nanoscale TiO2 materials are needed.
Current density [mA/cm2]
16
12
8
Experiment
4
Calculation
0
-4
-8
0 0.2 0.4 0.6 0.8 1
-Voltage [V]
Fig. 10. Reproduction of I－V curve by total dc resistances at various bias voltages.
Solid line in Fig. 10 shows experimentally obtained I－V curve under illumination. The
square keys show calculated curve based on the observed total dc resistances at various bias
voltages by EIS and the following relationship between current density and voltage,
dV
di  (3)
Rt
where Rt stands for total dc resistance. The calculated curve reproduces experimentally
obtained I－V curve very well, confirming that the total dc resistances can be determined
accurately from Nyquist plot of EIS analysis.
3.3 Comparison of three kinds of electrodes (P-25 only, P-25 with PEG and TNW
mixed with mixture of P-25 and PEG)
Fig. 11 shows I－V curves of the cells made of three kinds of electrodes, i.e., (a) P-25 only, (b)
P-25 with PEG and (c) titania nanowire network (TNW) mixed with mixture of P-25 and
PEG. The cell made of P-25 only showed the lowest power conversion efficiency (PCE) 4.02
%. PCE of 6.86 % was obtained for the cell made of P-25 with PEG. The highest PCE 8.64 %
was obtained for the cell made of TNW mixed with mixture of P-25 and PEG, in which the
percentage of titanium atoms of TNW was 28 % for the total titanium atoms, i.e., TNW + P-
25. Table 1 shows the current density Jsc, open circuit voltage Voc, fill factor FF and power
conversion efficiency  of the three kinds of cells.
20
Current density
[mA/cm2]
15 c
10 b
5 a
0
0 0.2 0.4 0.6 0.8 1
-Voltage [V]
Fig. 11. I－V curves of the cells made of three kinds of electrodes, i.e., (a) P-25 only, (b) P-25
with PEG and (c) titania nanowire network (TNW) mixed with mixture of P-25 and PEG.
Jsc [mA/cm2] Voc [V] FF  [%]

P-25 6.73 0.84 0.72 4.02
P-25 + PEG 11.38 0.83 0.73 6.86
TNW + (P-25 + PEG) 14.56 0.82 0.72 8.64
Table 1. Current density Jsc,, open circuit voltage Voc, fill factor FF and power conversion
efficiency  of the three kinds of cells.
The results of incident photon to current efficiency (IPCE) for the three kinds of cells are
shown in Fig. 12. IPCE of the cell made of P-25 only was lowest because of the small amount
of dye adsorption. The cell made of TNW with P-25 with PEG showed highest IPCE because
of the largest amount of dye adsorption. Also IPCE in the range of 600 nm to 700 nm shows
shoulder like increase because of the strong scattering of TNW.
100
TNW＋（P25+PEG)
80 P -2 5 + P
m ix tu re
IPCE [%] 60
P25+PEG
40
20 P25 only
0
400 500 60 0 70 0 800 900
w a ve len g th [n m ]
Fig. 12. Results of IPCE for three kinds of cells.
Fig. 13 shows Nyquist plots of the three kinds of cells under open circuit conditions. The
total resistance of each cell was obtained as 49 Ω for P-25 only cell, 32 Ω for P-25+PEG cell
and 27 Ω for TNW+(P-25+PEG) cell, respectively. Since total resistance corresponds to the
slope of the tangent line at Voc, the slope of the tangent line in I－V curves in Fig. 11
became steeper with decreasing of the total resistance of the cell. The plotted squares in
Fig. 13 represent experimental results and the solid curves show the calculated spectra
from equations (4) to (7) using parameters shown in Table 2 for each cell (Adachi et al.
2006).
P25+PEG P25 only (no PEG)
TNW+(P25+PEG)
6 5 15
Z''(imaginary)
5 4
Z''(imaginary)
Z''(imaginary)
4 10
3
3
2
2 5
1
1
0 0 0
0 5 10 15 20 25 30 0 5 10 15 20 25 30 35 0 10 20 30 40 50
Z'(real) Z'(real) Z'(real)
Fig. 13. Nyquist plot of three kinds of cells under open circuit conditions.
Impedance equations for electron transport processes are given as follows (Adachi et al.
2006). For the impedance concerning with titania electrode, equation (4) was derived:
1/2
 
  1/2
1    i  
Z  Rw   coth  k  1   (4)
 k  i   
 d   
k 
   1  
  k  
  d 
where,
Deff kBT L L 1
d  , k  keff , Rw   Con , Rk  Con (5)
L2 q 2 Ans Deff Deff Lkeff
For the impedance concerning with platinum electrode, equation (6) was assumed:
1 (6)
ZPt 
1  irptC pt
where, rpt and Cpt represent the resistance at the Pt surface and the capacitance at the Pt
surface, respectively. For the impedance concerning with tri-iodide diffusion, finite Warburg
impedance equation, i.e., equation (7) was assumed:
1 i
ZN  RI 3  tanh (7)
i D I 3 / 2 
D I 3 / 2 
The calculated solid curves in Fig. 13 agree quite well with the plotted experimental data.
The characteristics shown in Table 2 are following three points which show strong tendency
for the highly efficient cells. 1) The resistance for the electron transport from the titania
electrode to the conducting glass electrode Rw becomes smaller with increasing conversion
efficiency. 2) The ratio of the resistance for the recombination reactions against the resistance
for the transport rate to the conducting glass electrode (Rk/Rw) becomes large, and the rate
constant of recombination reactions keff becomes smaller with increasing conversion
efficiency. 3) The values of Con, which represents constant inversely proportional to the
P25 only P25+PEG TNW+(P25+PEG)
Con= 2.65 0.28 0.163
Deff= 0.0006 0.00014 0.00008
Ｌ = 0.0042 0.0025 0.002
keff= 23 13.8 10
RI3-= 5.1 7 7.5
DI3-= 0.000015 0.000003 0.000005
 = 0.005 0.005 0.005
RPt= 1.5 4.7 3.65
CPt= 0.00005 0.00007 0.00005
Rsub= 7.9 10 6.7
Rk/Rw= 1.48 1.62 2
Rw= 14.8 5 4.08
Rk= 27.4 8.11 8.15
n= 2.42×1017 2.29×1018 3.94×1018
Where, Con=kBT/qAn [cms-1], where kB [JK-1] represents Boltzmann constant, T [K] is absolute
temperature, q [C] is elementary charge, A [cm2] is area of the cell and n [cm-3] is electron density.
Con: constant inversely proportional to the electron density, Deff [cm2s-1]: diffusion coefficient of
electron, L [cm]: film thickness of TiO2 electrode, keff [s-1]: reaction rat constant of recombination
reactions, RI3- []: diffusion resistance of I3-, DI3- [cm2s-1]: diffusion coefficient of I3-, δ [cm]: thickness of
the electrolyte phase, RPt []: resistance of Pt electrode, CPt [F]: capacity of Pt electrode,
Rsub []: resistance of substrate, Rw[]: resistance for electron transport in the TiO2 electrode,
Rk []: resistance for recombination reaction.
Table 2. Determined parameters concerning with electron transport by impedance
spectroscopy for three kinds of cells
Jsc Voc  thickness

FF
[mA/cm2] [V] [%] [m]
0wt% 10.93 0.85 0.74 6.85 10
0wt% 11.82 0.82 0.71 6.87 26
0wt% 10.92 0.80 0.71 6.20 35
5wt% 11.98 0.85 0.73 7.48 19
5wt% 10.96 0.81 0.73 6.50 32
10wt% 12.84 0.84 0.73 7.87 18
10wt% 12.68 0.84 0.72 7.64 20
28wt% 14.88 0.82 0.71 8.66 24
28wt% 13.09 0.83 0.74 8.04 27
50wt% 13.39 0.85 0.71 8.02 14
50wt% 15.18 0.80 0.70 8.51 22
100wt% 11.94 0.84 0.73 7.28 5
100wt% 9.93 0.82 0.71 5.75 9
100wt% 10.16 0.84 0.70 5.97 11
Table 3. Performance of dye sensitized solar cells with various TNW content.
electron density, becomes smaller with increasing conversion efficiency, i.e., Con value
increases in the order of P-25 only > (P-25+PEG) > TNW+(P-25+PEG). Therefore the electron
density n increases with increasing conversion efficiency. So, the characteristics of highly
efficient cells are high electron density, small resistance for the electron transport to the
conducting glass electrode, and large ratio of the resistances Rk/Rw with small rate constant
for recombination reactions.
3.4 Effects of content of TNW on the properties of dye-sensitized solar cells

Since the cells containing TNW gave high conversion efficiencies, we examined the effects of
content of TNW in the electrode composed of TNW and P-25 upon the conversion efficiency
with variation in TNW from 0 % to 100 %. Content of TNW was defined as percentage of
titanium atoms of TNW in the total titanium atoms included in the titania electrode. Table 3
shows performance of DSSCs with various TNW content, i.e., Jsc, Voc, FF and η, together
with film thickness. Effect of TNW content on PCE is shown in Fig. 14.
PCE of the cells including TNW are higher than those cells without TNW, indicating that
TNW is useful to attain high efficiency except 100% TNW case. When the film thickness of
100% TNW cells increased larger than 5 m, peel off of the films with cracks was observed
by SEM images as shown in Fig. 15, resulting that less than 6% of PCE were observed as
shown in Table 3 and Fig. 14. Thus, mixing of TNW with P-25 nanoparticles is important to
make robust films.
Since the amount of adsorbed dyes is another important factor to affect PCE, the amounts of
adsorbed dyes for the cells with various TNW contents are shown against film thickness in
Fig. 16. The amount of adsorbed dye in the cells containing TNW from 0 % to 50 % locates in
the same straight line regardless of the difference in TNW contents, except 100 % TNW
which shows higher adsorbed amounts.
9
0%
Power conversion 8.5
efficiency [%]
8 5%
7.5 10%
7 28%
6.5 50%
6 100%
5.5
5
0 10 20 30 40
Film thickness [m]
Fig. 14. Effect of content of TNW on power conversion efficiency
Fig. 15. Top views of 100% TNW films. Left: 5 μm, right: 11μm thickness.
3.E-07
Adsorbed amount of
Adsorbed amount of dye
3.E-07 0%
dye [mol/cm2
]
2.E-07 5%
10%
2 [mol/cm ]
2.E-07
28%
1.E-07 50%
100%
5.E-08
0.E+00
0 10 20 30 40
F iln
Film thoickness
thickness ［μｍ」[m]
Fig. 16. Relationship between film thickness and the amount of dye.
TNW [%] 0 0 0 5 5 5 10 10 10 10
Con= 0.309 0.397 0.4 0.316 0.257 0.33 0.22 0.224 0.277 0.23
D eff = 0.000038 0.000093 0.00024 0.0000747 0.000095 0.00025 0.00009 0.000085 0.00022 0.00015
L = 0.001 0.00264 0.0035 0.00191 0.00191 0.0032 0.0018 0.0018 0.002 0.002
k eff = 13.8 7.67 13.8 7.67 7.67 13.8 7.67 7.67 16.3 13.8
R I3- = 7.7 7 7 8 7.6 6.5 9.1 8.1 5.1 6.4
D I3- = 0.00001 0.000004 0.00000295 0.000007 0.0000068 0.00000328 0.0000027 0.0000057 0.0000045 0.0000045
δ = 0.005 0.005 0.005 0.005 0.005 0.005 0.005 0.005 0.005 0.005
R pt = 3.5 6.7 4.8 15 5.8 3.5 4.25 3.4 7 4.6
C pt = 0.00006 0.000046 0.000055 0.0000313 0.0000675 0.00005 0.00005 0.00006 0.00004 0.000065
R sub = 7.96 8.9 9.8 12 11.79 10.4 8.69 8.92 8.5 9.8
R k/R w= 2.75 1.74 1.42 2.67 3.4 1.77 3.62 3.42 3.37 2.72
R w= 8.13 11.3 5.83 8.08 5.17 4.22 4.4 4.74 2.52 3.07
R k= 22.4 19.6 8.28 21.6 17.5 7.47 15.9 16.2 8.5 8.33
18 18 18 18 18 18 18 18 18 18
n = 2.17×10 1.69×10 1.67×10 2.11×10 2.6×10 2.03×10 3.04×10 2.99×10 2.42×10 2.91×10
TNW [%] 28 28 50 50 50 50 100 100 100
Con= 0.165 0.225 0.206 0.217 0.251 0.15 0.161 0.154 0.185
D eff = 0.0001 0.00012 0.00014 0.00018 0.00015 0.000104 0.000072 0.000023 0.00015
L = 0.002 0.002 0.00139 0.00139 0.0022 0.0022 0.000925 0.000505 0.0009
k eff = 10 12.5 18.65 19.9 7.67 5 8 10.32 18
R I3- = 5.6 5.8 6.9 6.9 9.5 11.5 14.5 13.4 11
D I3- = 0.000007 0.0000055 0.000005 0.0000053 0.000003 0.0000035 0.000011 0.0000096 3.52E-06
δ = 0.005 0.005 0.005 0.005 0.005 0.005 0.005 0.005 0.005
R pt = 2 2.8 3 9.85 5 3.88 4 5.8 5.7
C pt = 0.0001 0.00006 0.000038 0.00006 0.0000577 0.000045 0.000052 0.00005 0.0000433
R sub = 5.6 5.8 9.12 10.1 8.21 8.07 8 10.7 11
R k/R w= 2.5 2.4 3.89 4.68 4.04 4.3 10.5 8.74 10.3
R w= 3.3 3.75 2.04 1.68 3.68 3.17 2.07 3.38 1.11
R k= 8.25 9 7.94 7.84 14.9 13.6 21.8 29.5 11.4
18 18 18 18 18 18 18 18 18
n = 3.89×10 2.85×10 3.25×10 3.08×10 2.67×10 4.46×10 4.16×10 4.35×10 3.62×10
Table 4. Parameters determined by EIS analysis for the cells with various TNW contents.
This higher adsorption of 100 % TNW is attributed to the smaller diameter of TNW of 3-7
nm, which is much smaller than the diameter of P-25 of 23 nm. The specific surface area of
P-25 and the mixture of 28 % TNW with P-25 after calcinations at 773 K for 30 min. were 45
m2/g and 48 m2/g, respectively. These values of specific surface area are much smaller than
that of 100 % TNW which is 78 m2/g after calcinations. This difference in specific surface
area between 28 % TNW with P-25 and pure 100 % TNW corresponds well to the difference
in adsorbed dye amount between from 0 % to 50 % TNW with P-25 and pure 100 % TNW.
These findings suggest some interesting structural change in the surface of the mixture of
TNW and P-25. However, the reason why the cells containing different TNW content from
0% to 50 % locates in the same straight line in Fig. 16 is not well understood at present.
Resistance for electron transport from titania electrode to the transparent conducting glass
electrode Rw are plotted against TNW content in Fig. 17a. Rw values decrease steeply up to
10 % and become gradual decrease after 20 % of TNW content. This decrease indicates
clearly that electron transport in the titania electrode is improved by mixing TNW with P-25
nanoparticles.
The ratios of Rk representing the resistance for the recombination reactions between
electrons in the titania electrode and I3- in the electrolyte to Rw are plotted against TNW
content in Fig. 17b. The ratio of Rk/ Rw increases with increase in TNW content. This shows
that TNW restrains the recombination reactions between electrons and I3- and contributes to
collect electrons properly to the transparent conducting glass electrode. The findings shown
in Fig. 17 a, b bring the high electron density in the titania electrode as shown in Fig. 17c.
a b c
12 12 5.E+18
10 10 4.E+18
n [cm ]
8
[-]
8
R w [Ω]
-3
6
3.E+18
6
R k/ R w
4 4 2.E+18
2 2 1.E+18
0 0 0.E+00
0 20 40 60 80 100 0 20 40 60 80 100 0 20 40 60 80 100
TNW content [%]
TNW content [%] TNW content [%]
Fig. 17. a) Relationship between Rw and TNW content, b) relationship between Rk/Rw and
TNW cointent and c) relationship between electron density and TNW content.
Thus, the conclusion deduced from the experiments of three kinds of cells, i.e., small
resistance for the electron transport to the conducting glass electrode, large value of
resistance ratio Rk/Rw, and high electron density in the titania electrode as the
characteristics of highly efficient cells, was confirmed again by the experiments of variation
in TNW content.
3.5 Some examples of our highly crystallized one-dimensional TiO2 nanoscale

materials for fabricating highly efficient dye-sensitized solar cells
We succeeded in the preparation of titania nanorods (TNR) (Jiu et al. 2006), network
structure of titania nanowires (Adachi et al. 2004) and one-dimensional titania nanochains
(see Fig. 18 ), which have been newly synthesized. We applied these materials for DSSCs.
Fig. 18. TEM image of titania nanochains.
We present highly crystallized one-dimensional titania nanoscale materials are effective to

attain high light-to-electricity conversion yield. As shown in our previous paper (Adachi et
al. 2004), network structure of single crystal-like titania nanowires can be synthesized
successfully by the oriented attachment mechanism. We attained 9.33 % conversion
efficiency with complex titania electrode made of titania nanowires and P-25. Recently, we
attained the same conversion efficiency 9.33 % using different electrolyte, i.e., 0.6M 1-butyl
3-methyl imidazolium iodide, 0.1M guanidium thiocyanate, 0.05M I2, 0.5M tert-
butylpyridine in a mixture of acetonitrile and valeronitrile (85:15) for a complex titania
electrode made of titania nanowires, titania nanoparticles (3-5 nm in diameter) and P-25.
(Fig. 19) Current density [mA/cm-3]
18
16
14
12 Jsc=16.8 mA/cm2
10 Voc=-0.800 V
8 FF=0.694
6 efficiency=9.33%
4
2
0
0 0.2 0.4 0.6 0.8
-Voltage[V]
Fig. 19. I－V curve obtained for a cell with a complex electrode composed of network
structure of single-crystal-like titania nanowires, titania nanoparticles and P-25
In our previous paper (Adachi et al. 2004), we used an electrolyte composed of 0.1 M of LiI,
0.6 M of1,2-dimethyl-3-n-propylimidazolium iodide, 0.05 M of I2, 1 M of 4-tert-butylpyridine
in methoxyacetonitrile and got 9.33 % conversion efficiency with short circuit current
density Jsc=19.2 mA/cm2, open circuit voltage Voc=0.72 V and fill factor 0.675. In the recent
results, Voc value 0.8 V is larger than that of previous one 0.72 V, because guanidium
thiocyanate decreased redox potential of I-/I3- in the electrolyte. Unfortunately, we got lower
short circuit current density Jsc=16.8 mA/cm2 than that of our previous one, and the same
efficiency was obtained.
Highly crystallized titania nanorods (TNR) have been synthesized by hydrothermal
process using blockcopolymer (F127) and surfactant cetyltrimethylammonium bromide
(CTAB) as a mixed template (Jiu et al. 2006). TNR with 100-300 nm in length and 20-30
nm in diameter was obtained. A high-resolution TEM (HRTEM) image of single TNR
shows that titanium atoms align perfectly in titania anatase crystalline structure with no
lattice defect, and the surface of TNR is facetted with the TiO2 anatase {101} faces (Yoshida
et al. 2008). The fringes are {101} planes of anatase TiO2 with a lattice spacing of about
0.351 nm, which agrees with the value recorded in JCPDS card. The highly crystallized
titania nanorods prepared successfully were used to fabricate a titania electrode of DSSCs.
The complex electrodes were made by the repetitive coating-calcining process: 3 layers of
titania nanoparticles (3-5 nm in diameter) were first coated on FTO conducting glass,
followed by 8 layers of mixed gel composed of titania nanorods and titania nanoparticles.
A high light-to-electricity conversion efficiency of 8.93 % was achieved (Yoshida et al.
2008).
Current density [mA/cm2]

20
15 Jsc = 19.8 mA/cm2

Voc = 0.8 V
10
FF = 0.704
5
η= 9.19 %
0
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
-Voltage [V]
Fig. 20. I－V curve obtained for the cell composed of one-dimensional chains of titania
nanoparticles mixed with fine titania nanoparticles (3 - 5 nm in diameter).
We have newly synthesized titania nanochains as shown in Fig. 18. Highly crystallized
titania nanoparticles with diameter of around 10 nm combine with each other and make
chains. The obtained white solid product was mixed with spherical titania nanoparticles (3-5
nm in diameter) synthesized using F127 reported in our previous paper (Jiu et al. 2004, Jiu et
al. 2007) to fabricate titania film electrodes. The I－V curve of the cell is shown in Fig. 20.
The obtained light-to-electricity conversion yield of the cell was 9.2%.
All three kinds of one-dimensional titania nanoscale materials mentioned above show high
light-to-electricity conversion yield around 9%, suggesting strongly that highly crystallized
one-dimensional titania materials are essentially important for attainment of high efficient
dye-sensitized solar cells.
3.6 Conclusions of 3rd section

1. Many researchers familiar with EIS measurement know that highly efficient dye-
sensitized solar cells show small total resistance of the cell, i.e., small Nyquist spectrum.
They also know that largest arc of Nyquist plot represents the resistance for
recombination reactions Rk. This apparent conflict is solved clearly by theoretical
consideration through recognition that the large value of the ratio Rk/Rw is essentially
important for the highly efficient cells, and the absolute value of Rk is not important,
i.e., very small Rw is indispensable for the highly efficient cells.
2. The experimental results of I－V and EIS measurements of the three kinds of cells made
of P-25 only, P-25+PEG, and TNW+P-25+PEG and also cells made of various content of
TNW with P-25+PEG clearly showed the following three points as characteristics of
highly crystallized 1-dimensional titania nanoscale material TNW. 1) Resistance of
electron transport in the titania electrode Rw is small. 2) The ratio of resistance Rk/Rw
is large. 3) Electron density n in the titania electrode is high.
3. All cells composed of three kinds of highly crystallized 1-dimensional titania nanoscale
materials, i. e., network structure of titania nanowires, titania nanorods, and titania
nanochains, show high power conversion efficiency about 9 %.
4. References
Adachi, M. Murata, Y. Takao, J. Jiu, J. Sakamoto, M. & Wang, F. (2004). Highly Efficient Dye-
Sensitized Solar Cells with Titania Thin Film Electrode Composed of Network
Structure of Single-Crystal-Like TiO2 Nanowires Made by “Oriented Attachment”
Mechanism. J. Am. Chem. Soc., 126, pp. 14943-14949
Adachi, M. Sakamoto, M. Jiu, J. Ogata, Y. Isoda, S. (2006). Determination of Parameters of
Electron Transport in Dye-Sensitized Solar Cells Using Electrochemical Impedance
Spectroscopy: J. Phys. Chem. B 110, pp. 13872-13880
Aneggi, E.; de Leitenburg, C. Dolcetti, G & Trovarelli, A. (2006) Promotional effect of rare
earths and transition metals in the combustion of diesel soot over CeO2 and CeO2–
ZrO2. Catalysis Today. 114, pp. 40-47.
Bekyarova, E.; Fornasiero, P.; Kaspar, J. & Graziani, M. (1998) CO oxidation on Pd/CeO2–
ZrO2 catalysts. Catalysis Today. 45, pp. 179-183.
Bumajdad, A.; Zaki, M. I.; Eastoe, J. & Pasupulety, L. (2004) Microemulsion-Based Synthesis
of CeO2 Powders with High Surface Area and High-Temperature Stabilities.
Langmuir. 20, pp. 11223-11233.
Chen, C-Y., Wang, M., Li, J-Y., Pootrakulchote, N., Alibabael, L., Ngoc-le, C-H., Decoppetr,
J-D., Tsai, J-H., Grätzel, C., Wu, C-G., Zakeeruddin, M., & Grätzel, M. (2009) Highly
efficient light-harvesting ruthenium sensitizer for thin-film dye-sensitized solar
cells. ACS NANO, 3, pp. 3103-3109
Chen, D., Huang, F. Cheng, Y-B. & Caruso, R. A. (2009) Mesoporous anatase TiO2 beads
with high surface areas and controllable pore sizes: A superior candidate for high-
performance dye-sensitized solar cells. Adv. Mater., 21, pp. 2206-2210
Chiang, Y. M.; Lavik, E. B., Kosacki, I.; Tuller, H. L. & Ying, J. Y. (1996) Defect and transport
properties of nanocrystalline CeO2−x. Appl. Phys. Lett. 69, pp. 185-187.
Colodrero, S., Mihi, A., Häggman, L. Ocana, M. Boschloo, G. Hagfeldt, A., & Miguez, H.
(2009) Porous one-dimensional photonic crystals improve the power-conversion
efficiency of dye-sensitized solar cells. Adv. Mater., 21, pp. 764-770
Colvin, V. L., Schlamp, M. C., & Alivisatos, A. P. (1994) Light-emitting diodes made from
cadmium selenide nanocrystals and a semiconducting polymer Nature, 370, pp.
354-357.
De Faria, L. A. & Trasatti, S. (1994) The Point of Zero Charge of CeO2. J. Colloid Interface
Sci., 167, pp. 352-357.
Fuhrer, M. S., Nygard, J., Shih, L., Forero, M., Yoon, Y. -G., Mazzoni, M. S. C., Choi, H. J.,
Ihm, J., Louie, S. G., Zettl, A., McEuen, P. L. (2000) Crossed nanotube junctions
Science, 288, 494-497.
Grinis, L., Dor, S., Ofir, A., & Zaban, A. (2008) Electrophoretic deposition and compression
of titania nanoparticle films for dye-sensitized solar cells. J. Photochem. Photobio. A:
Chemistry, 198, pp. 52-59
Hamann, T. W., Farha, O. K. & Hupp, J. T. (2008) Atomic layer deposition of TiO2 on aerogel
templates: New photoanodes for dye-sensitized solar cells. J. Phys. Chem. C, 112, pp.
19756-19764
Han, W-Q.; Wu, L. & Zhu, Y. (2005) Formation and Oxidation State of CeO2-x Nanotubes. J.
Am. Chem. Soc. 127, pp. 12814-12815.
Hirano, M.; Fukuda, Y.; Iwata, H.; Hotta, Y. & Inagaki, M. (2000) Preparation and Spherical
Agglomeration of Crystalline Cerium(IV) Oxide Nanoparticles by Thermal
Hydrolysis. J. Am. Ceram. Soc. 83, pp. 1287-1289.
Ho, C.; Yu, J. C.; Kwong, T.; Mak, A. C. & Lai, S. (2005) Morphology-Controllable Synthesis
of Mesoporous CeO2 Nano- and Microstructures. Chem. Mater. 17, pp. 4514-4522.
Hu, S.; Willey, R. J. & Notari, B. (2003) An investigation on the catalytic properties of titania–
silica materials. J. Catal., 220, pp. 240-248.
Inaba, H. & Tagawa, H. (1996) Ceria-based solid electrolytes. Solid State Ionics., 83, pp. 1-16.
Ito, S., Murakami, T. N., Comte, P., Liska, P., Grätzel, C., Nazeerudin, M. K. & Grätzel, M.
(2008) Fabrication of thin film dye sensitized solar cells with solar to electric power
conversion efficiency over 10%. Thin Solid Film, 516, pp. 4613-4619
Jiu, J. Isoda, S. Adachi, M. & Wang, F. (2007). Preparation of TiO2 nanocrystalline with 3-5
nm and application for dye-sensitized solar cell. J. Photochem. Photobio. A: Cemistry,
189, pp. 314-321
Jiu, J. Isoda, S. Wang, F. & Adachi, M. (2006). Dye-Sensitized Solar Cells Based on a Single-
Crystalline TiO2 Nanorod Film. J. Phys. Chem. B, 110, pp. 2087-2092
Jiu, J. Wang, F., Sakamoto, M., Takao, J. & Adachi, M. (2004). Preparation of nanocrystal
TiO2 with mixed template and application for dye-sensitized solar cell. J.
Electrochem. Soc. 151, pp. A1653-A1658
Kang, T-S., Smith, A. P., Taylor, B. E. & Durstock, M. F. (2009) Fabrication of highly-ordered
TiO2 nanotube arrays and their use in dye-sensitized solar cells. Nano Letter, 9, pp.
601-606
Kang, Z. C. & Eyring, L. (1997) A compositional and structural rationalization of the higher
oxides of Ce, Pr, and Tb. J. Alloys and Comp. 249, pp. 206-212.
Kar, A., Smith, Y.R., & Subramanian, V. (2009) Improved photocatalytic degradation of
textile dye using titanium dioxide nanotubes formed over titanium wires.
Environmental Sci. and Technol., 43, pp. 3260-3265
Kim, Y. J., Lee, M. H., Kim, H. J., Lim, G., Choi, Y. S., Park, N-G., Kim, K., & Lee, W. I. (2009)
Formation of highly efficient dye-sensitized solar cells by hierarchical pore
generation with nanoporous TiO2spheres. Adv. Mater., 21, pp. 3668-3673
Kuang, D., Brillet, J., Chen, P., Takata, M. Uchida, S. Miura, H., Sumioka, K., Zakeeruddin, S.
M. & Grätzel, M. (2008) Application of highly ordered TiO2 nanotube arrays in
flexible dye-sensitized solar cells. ACS Nano, 2, pp. 1113-1116
Kuiry, S.; Patil, S.; Deshpande, S. & Seal, S. (2005) Spontaneous Self-Assembly of Cerium
Oxide Nanoparticles to Nanorods through Supraaggregate Formation. J. Phys.
Chem. B, 109, pp. 6936-6939.
Li, J. –G.; Ikegami, T.; Lee, J. –H. & Mori, T. (2001) Characterization and sintering of
nanocrystalline CeO2 powders synthesized by a mimic alkoxide method. Acta.
Mater. 49, pp. 419-426.
Livage, J.; Henry, M. & Sanchez, C. (1988) Sol-gel chemistry of transition metal oxides. Prog.
Solid St. Chem., 18, pp. 259-341.
Masui, T.; Fujiwara, K.; Machida, K.; Adachi, G.; Sakata, T. & Mori, H. (1997)
Characterization of Cerium(IV) Oxide Ultrafine Particles Prepared Using Reversed
Micelles. Chem. Mater., 9 pp. 2197-2204.
Masui, T.; Yamamoto, M.; Sakata, T.; Mori, H. & Adachi, G. (2000) Synthesis of BN-coated
CeO2 fine powder as a new UV blocking material. J. Mater. Chem., 10, pp. 353-357.
Masui, T.; Hirai, H.; Imanaka, N. & Adachi, G. (2002) Synthesis of cerium oxide
nanoparticles by hydrothermal crystallization with citric acid. J. Mater. Sci. Lett. 21,
pp. 489-491.
Masui, T.; Fukuhara, K.; Imanaka, N.; Sakata, T.; Mori, H. & Adachi, G. (2002) Effects of
Titanium Oxide on the Optical Properties of Cerium Oxide. Chem. Lett. 31, pp. 474-
745.
Méndez-Román, R. & Cardona-Martínez, N. (1998) Relationship between the formation of
surface species and catalyst deactivation during the gas-phase photocatalytic
oxidation of toluene. Catal. Today., 40, pp. 353-365.
Miyashita, M., Sunahara, K., Nishikawa, T. Uemura, Y., Koumura, N., Hara, K., Mori, A.,
Abe, T. Suzuki, E. & Mori, S. (2008) Interfacial electron-transfer kinetics in metal-
free organic dye-sensitized solar cells: Combined effects of molecular structure of
dyes and electrolytes. J. Am. Chem. Soc., 130, pp. 17874-17881
Morris, C. A., Anderson, M. L., Stroud, R. M., Merzbacher, C. I., & Rolison, D. R., (1999)
Silica sol as a nanoglue: Flexible synthesis of composite aerogels Science, 284, 622-
624.
Murata, Y. & Adachi, M. (2004) Formation of highly dispersed cerium oxide with cubic
structure prepared alkoxide-surfactant system. J. Mater. Sci., 39, 7397-7399.
Nakagawa, K.; Wang, F.; Murata, Y. & Adachi, M. (2005) Effect of Acetylacetone on
Morphology and Crystalline Structure of Nanostructured TiO2 in Titanium
Alkoxide Aqueous Solution System. Chem. Lett. 34, pp. 736-737.
Nakagawa, K.; Murata, Y.; Kishida, M.; Adachi, M.; Hiro, M. & Susa, K. (2007) Formation
and reaction activity of CeO2 nanoparticles of cubic structure and various shaped
CeO2–TiO2 composite nanostructures. Mater. Chem. Phys., 104, pp. 30-39.
Nazeeruddin, M. K., Kay, A., Rodicio, I., Humphry, B. R., Mueller, E., Liska, P.,
Vlachopoulous, N., & Grätzel, M. (1993) Conversion of light to electricity by cis-
X2bis(2,2′-bipyridyl-4,4′-dicarboxylate)ruthenium(II) charge-transfer sensitizers (X
= Cl-, Br-, I-, CN-, and SCN-) on nanocrystalline TiO2 electrodes. J. Am. Chem. Soc.,
115, PP. 6382-6390
O’Regan, B & Grätzel, M. (1991) A low-cost, high-efficiency solar cell based on dye-
sensitized colloidal TiO2 films. Nature, 353, pp. 737-740
Pisarello, M. L.; Milt, V.; Peralta, M. A.; Querini, C.A. & Miró. E. E. (2002) Simultaneous
removal of soot and nitrogen oxides from diesel engine exhausts. Catalysis Today.
75, pp. 456-470.
Reddy, B. M.; Khan, A.; Yamada, Y.; Kobayashi, T.; Loridant, S. & Volta, J-C. (2003)
Structural Characterization of CeO2−TiO2 and V2O5/CeO2−TiO2 Catalysts by
Raman and XPS Techniques. J. Phys. Chem. B, 107, pp. 5162-5167.
Reddy, B. M.; Khan, A.; Lakshmanan, P.; Aouine, M.; Loridant, S. & Volta, J-C. (2005)
Structural Characterization of Nanosized CeO2−SiO2, CeO2−TiO2, and CeO2−ZrO2
Catalysts by XRD, Raman, and HREM Techniques. J. Phys. Chem. B, 109, pp. 3355-
3363.
Rynkowski, J.; Farbotko, J.; Touroude, R. & Hilaire, L. (2000) Redox behaviour of ceria–
titania mixed oxides. Appl. Catal. A, 203, pp.335-348.
Shankar, K., Basham, J. I., Allan, N. K., Varghese, O. K., Mor, G. K., Feng, X., Paulose, M. J.,
Seabold, A., Choi, K-S., & Grimes, C. A. (2009) Recent advances In the use of TiO2
nanotube and nanowire arrays for oxidative photoelectrochemistry. J. Phys. Chem.

C, 113, pp. 6327-6359
Shankar, K., Bandara, J., Paulose, M., Wietasch, H., Varghese, O. K., Mor, G. K., LaTempa, T.
J., Thelakkat, M., & Grimes, C. A. (2008) Vertically aligned single crystal TiO2
nanowire arrays grown directly on transparent conducting oxide coated glass:
Synthesis details and applications. Nano Letter, 8, pp. 1654-1659
Sugimoto, T.; Zhou, X. & Muramatsu, A. (2003) Synthesis of uniform anatase TiO2
nanoparticles by gel–sol method: 4. Shape control. J. Colloid Interface Sci., 259, pp.
53-61.
Sun, C.; Sun, Jie.; Xiao, G.; Zhang, H.; Qiu, X.; Li, H. & Chen, L. (2006) Mesoscale
Organization of Nearly Monodisperse Flowerlike Ceria Microspheres. J. Phys.
Chem. B, 110, pp. 13445-13452.
Vantomme, A. ; Yuan, Z-Y. ; Du, G. & Su, B-L. (2005) Surfactant-Assisted Large-Scale
Preparation of Crystalline CeO2 Nanorods. Langmuir. 21, pp. 1132-1135.
Wang, D., Liu, Y., Yu, B., Zhou, F., & Liu, W. (2009) TiO2 nanotubes with tunable
morphology, diameter, and length: Synthesis and photo-electrical/catalytic
performance. Chem. Mater., 21, pp. 1198-1206
Wang, M., Chen, P., Humphry-Baker, R., Zakeeruddin, S. M., & Grätzel, M. (2009) The
influence of charge transport and recombination on the performance of dye-
sensitized solar cells. ChemPhysChem, 10, pp. 290-299
Wu, N-C.; Shi, E-W.; Zheng, Y-Q. & Li, W-J. (2002) Effect of pH of Medium on
Hydrothermal Synthesis of Nanocrystalline Cerium(IV) Oxide Powders. J. Am.
Ceram. Soc. 85, pp. 2462-2468.
Yoshida, K. Jiu, J. Nagamatsu, D. Nemoto, T. Kurata, H. Adachi, M. & Isoda, S. (2008).
Structure of TiO2 Nanorods Formed with Doiuble Surfactants, Molecular Crystals
and Liquid Crystals. 491, pp. 14-20
Youngblood, J. W., Lee, S-H. A., Kobayashi, Y., Hernandez-Pagan, E. A., Hoertz, P. G.,
Moor, T. A. Moor, A. L., Gust, D., & Mallouk, T. E. (2009) Photoassisted overall
water splitting in a visible light-absorbing dye-sensitized photoelectrochemical cell.
J. Am. Chem. Soc., 131, pp. 926-927
Zaki, M. I.; M Hussein, G. A.; Mansour, S. A. A. & El-Ammawy, H. A. (1989) Adsorption
and surface reactions of pyridine on pure and doped ceria catalysts as studied by
infrared spectroscopy. J. Mol. Catal. 51, pp. 209-220.
Zaki, M. I.; Hasan, M. A. & Pasupulety, L. (2001) Surface Reactions of Acetone on Al2O3,
TiO2, ZrO2, and CeO2: IR Spectroscopic Assessment of Impacts of the Surface
Acid−Base Properties. Langmuir., 17, pp. 768-774.
Zhou, X. -D.; Huebner, W. & Anderson, H. U. (2003) Processing of Nanometer-Scale CeO2
Particles. Chem. Mater. 15, pp. 378-382.
Zhou, K.; Wang, X.; Peng, Q. & Li, Y. (2005) Enhanced catalytic activity of ceria nanorods
from well-defined reactive crystal planes. J. Catal. 229, pp. 206-212.
Zhong, L-S.; Hu, J-S.; Cao, A-M.; Liu, Q.; Song, W-G.; & Wan, L-J. (2007) 3D Flowerlike Ceria
Micro/Nanocomposite Structure and Its Application for Water Treatment and CO
Removal. Chem. Mater. 19, pp. 1648-1655.
6
Experimental and Theoretical Study of

Low-Dimensional Iron Oxide Nanostructures
Jeffrey Yue, Xuchuan Jiang, Yusuf Valentino Kaneti and Aibing Yu
School of Materials Science and Engineering, University of New South Wales, Sydney,
Australia
1. Introduction
Iron oxide has many phases, including 16 pure phases (e.g., FeO, Fe3O4), 5 polymorphs of
FeOOH (e.g., -FeOOH, -FeOOH) and 4 kinds of Fe2O3 (e.g., -Fe2O3, -Fe2O3). Because of
their unique properties (optical, electronic, magnetic), they have found many applications in
the areas of catalysts, magnetic recording, sorbents, pigments, flocculants, coatings, gas
sensors, lubrications, and biomedical applications (e.g., magnetic resonance imaging, drug
delivery and therapy).
Many efforts have been made in the synthesis (co-precipitation, hydrothermal, micro-
emulsion, and sol-gel method), structural characterization, and functional exploration, as
well as fundamental understandings of iron oxide nanostructures. Despite some success,
several challenges still exist regarding the synthesis, strcture, properties, and fundamental
understanding of the iron oxides. the grand challenge is how to efficiently synthesize iron
oxides with controlled morphology, size and functionality, and how to fundamentally
understand the formation and growth mechanisms, structure, and interaction forces.
Therefore, the development of simple but effective experimental and theoretical strategies to
overcome the challenges is still imperative.
To fundamentally understand the nanoscale system, theoretical methods should exist.
Computational modeling is one of the most important enabling techniques in
nanotechnology and material research. It can increase the pace of discovery across the entire
scientific scope, and reduce the cost in the development and commercialization of
technologies and materials. Various computational approaches have been developed and
used to predict the materials properties (e.g., electronic, magnetic, optical) at different length
and time scales. For example, at an atomic scale, density functional theory (DFT) is widely
used for binding energy calculation, while at a microscopic scale, molecular dynamics (MD)
are able to provide insights into atomic/molecular systems.
This Chapter will give a brief overview of the experimental and theoretical methods
conducted on iron oxide nanostructures, particularly for low-dimensional iron oxide
nanoparticles. This includes: (i) several representative methods for iron oxides
nanomaterials in Sections 2 and 3; (ii) surface modified iron oxide nanostructures by

Corresponding Author
surfactants, polymers, silica or metals in Section 4; (iii) functional properties of such

nanomaterials in gas sensing, catalysis, and biotechnology in Section 5. Moreover, in
Section 6, the discussion will be extended to the theoretical modeling and simulation
methods that can predict the formation and performance of nanomaterials, such as MD
and DFT methods.
2. Iron oxide materials

Iron is the fourth most abundant element in the Earth’s crust, and iron oxides are commonly
found in nature and have become the most plentiful transition metal oxides (Morrissey and
Guerinot, 2009; Ilani et al., 1999). The complicated phases and features of iron oxides have
been listed in Table 1.
Some crystalline phases of iron oxides are not very stable and can convert into others. Much
work has been conducted to convert akaganéite to hematite and/or magnetite phases to
pursuit good performance in catalysis and gas sensing applications. Magnetite nanorods can
be produced by the conversion of iron oxyhydroxides into a thermally stable structure of
hematite by heating above 400 ºC in air, or magnetite in a mixture of H2 and Ar gas (Bomati-
Miguel et al., 2008). Recently, our group has simplified the phase conversion procedures
among the iron oxides. The iron oxyhydroxides can directly convert into magnetite by using
hydrazine as a reducing agent, and the morphology was maintained. Using this method,
magnetite nanorods could be directly synthesized from akaganéite rather than using
hematite as an intermediate (Yue et al., 2010).
By using hydrazine, iron(III) ions can be reduced to iron(II). The change in coordination
number to the iron atom will therefore transfer from FeOH to FeO following dehydration.
The structure change caused by loss of H2O will create pores or holes within the nanorod
framework. Continuous reaction with hydrazine can form larger defects in the 1-D
nanostructure, leading to the collapse of the framework. At the same time, the FeO6 units
will reconstruct into other crystals, and the broken fractions could fuse with neighboring
particles to form larger ones. However, this does not happen to hematite because of its
thermally stable structure under the considered conditions. The nature of such a conversion
needs further investigation. Nevertheless, the proposed approach could be used for a
controlled conversion of akaganéite to magnetite nanostructures (Fig. 1) without high-
temperature treatment. These porous magnetic structures would find more applications in
electronic and magnetic areas (Yue et al., 2011).
3. Synthesis methods
A variety of methods have been reported to synthesize iron oxide nanoparticles, including
solid-state, liquid-phase, and gas-phase syntheses, as listed in Table 2. Among the synthesis
approaches, liquid-phase synthesis is the most popular. The iron salts are highly soluble in
water and different additives can be used in conjunction to modify the structure of the
nanoparticles. Moreover, the liquid-phase synthesis is convenient for understanding ageing,
recrystallization, and evolution into other shapes and sizes. It is also available for controlling
experimental conditions in liquid (e.g., concentration, salt precursor, pH, temperature,
surface modifiers). A few representative synthesis methods are briefly introduced in this
Section, such as co-precipitation, hydrothermal and microemulsion.
Experimental and Theoretical Study of Low-Dimensional Iron Oxide Nanostructures 121
Iron oxides Crystallographic Crystallographic structural features References

system
Goethite Orthorhombica = 3D-structure built up with FeO3(OH) Cornell and
(-FeOOH) 0.9956 nm, octahedra spreading along the (010) Schwertmann,
b = 0.30215 nm direction, with each octahedron linked 1991;
and c = 0.4608 nm to eight neighbouring octahedral by Cudennec and
four edges and three vertices. Oxygen Lecerf, 2005
atoms are in tetrahedral surroundings,
either OFe3H or OFe3H (bond).
Akaganéite Monoclinic Double chains of edge linked Fe(O, Cornell and
(β-FeOOH) a = 1.056 nm, OH) octahedral that share corners to Schuwertmann,
b = 0.3031 nm and form a framework containing large 1991;
c = 1.0483 nm tunnels with square cross sections. Garcia et al.,
2009
Lepidocrocite Orthorhombic Arrays of close cubic -packed anions Cornell and
(γ-FeOOH) a = 0.3071 nm, (O2-/OH-) stacked along the [150] Schuwertmann,
b = 1.2520 nm and direction with Fe3+ ions occupying the 1991
c = 0.3873 nm octahedral interstices.
Feroxyhyte Hexagonal Disordered hexagonally close-packed Cornell and
(δ’-FeOOH) a = 0.293 nm and array of anions with Fe3+ ions Schuwertmann,
c = 0.456 nm distributed over half the octahedral 1991
sites in an orderly manner.
Hematite Hexagonal Stacking of sheets of octahedrally (six- Mohapatra and
(α-Fe2O3) a= 0.5035 nm and fold) coordinated Fe3+ ions. Between Anand,2010
c = 1.375 nm two close-packed layers of oxygen
ions. Each oxygen ion is bonded to
only two Fe ions.
Maghemite Cubic Each cell of maghemite contains 32 O2- Cornell and
(γ-Fe2O3) a= 0.83474 nm ions, 21(1/3) Fe3+ ions and 2 (1/3) O Schuwertmann,
vacancies. Eight cations occupy 1991;
tetrahedral sites and the remaining Weckler and
cations are distributed over the Lutz, 1998
octahedral sites. The vacancies are
confined to octahedral sites.
Magnetite Cubic Inverse spinel structure with a face- Cornell and
(Fe3O4) a = 0.8396 nm centered cubic cell based on 32 O2- Schuwertmann,
ions, regularly close-cubic packed 1991
along [111], with Fe2+ ions and half of Mohapatra and
the Fe3+ occupying the octahedral sites Anand,2010
and the other half of Fe3+ ions,
occupying the tetrahedral sites.
Table 1. Complicated phases and polymorphs of iron oxides in nature

Fig. 1. TEM images showing the conversion of nanorods: (A) β-FeOOH nanorods,
(B) β-FeOOH nanorods calcined at 300 ºC, (C) β-FeOOH nanorods reduced with N2H4
at 80 ºC; and (D-F) the corresponding HRTEM images with labeled lattice spacing and
crystal planes. Reprinted with permission from (Yue et al., 2011).
3.1 Co-precipitation
One simple and efficient way is to use co-precipitation technique in solution. By this
approach, iron(II) and/or iron(III) salts are first dissolved in aqueous solution, and then
one alkaline media (e.g., NaOH, Na2CO3) solution is added to form precipitate. The
prepared particles can be tuned to be uniform in size, shape as well as pure in its
composition. Various crystalline phases of iron oxides can be produced using this
method, which is controlled by experimental parameters such as types of iron salts (e.g.,
chloride, sulphate and nitrate), alkaline media, concentration, temperature, and pH (Iida
et al., 2007).
Moreover, the phase of iron oxide(s) formed through the co-precipitate approach is often
reported as goethite or hematite if iron(III) salt is used. However, the initially precipitated
material is usually found as ferrihydrite, which is a thermodynamically unstable phase.
The precipitate can further convert into other phases (e.g., hematite, magnetite)
depending on the pH, ionic medium, and temperature. For example, Varada et al. (2002)
prepared monodispersed acicular goethite particles by precipitating Fe(III) using sodium
carbonate. If sodium hydroxide was used, the axial ratio of particles will increase from 60
to 230 nm. It was proposed that different bases have different ability to maintain the
solution at a constant pH, where other pH levels would produce polydispersed and
hematite particles. The mechanism of the growth of spherical hematite nanoparticles has
been explored by Liu et al.(2007). The variation in the final pH of the solution plays a key
role in the formation of hematite at different sizes. They found that the particles with
diameter of 60-80 nm were obtained at pH 7, while reduced to 30-40 nm in diameter at
pH 9.
Synthesis Synthesis Common Particle Features References

media methods products shape/size
Solid state Mechanical δ-Fe2O3, Spheres Mechanical Lu et al. (2007)
milling Fe3O4 D= 2.9-3.6 nm energy to smash.
Liquid Co-precipitation α-Fe2O3, δ- Nanospheres Ageing of ferric Liu
state Fe2O3, (d = 30 - 80 and ferrous salts et al. (2007)
Fe3O4 nm) in a basic
medium.
Hydrothermal α-Fe2O3, Nanorods Low Li et al. (2006);
δ-Fe2O3, (l: 400-600 nm, temperature, Yue et al.
Fe3O4 w =20-30 nm) reaction, (2010, 2011);
(-FeOOH Nanodiscs commonly Jiang
β-FeOOH (d = 50 nm, conducted in et al. (2009)
thickness = 6.5 autoclaves, and
nm) high efficiency.
Thermal α-Fe2O3, Nanospheres High- Sun
decomposition δ-Fe2O3, (d = 16 nm) temperature et al. (2004)
Fe3O4 decomposition of
iron organic
precursors.
Sol-gel α-Fe2O3, δ- Nanoparticles Dissolve, Dong and Zhu
Fe2O3, (24-52 nm) condensation, (2004)
Fe3O4 and calcinations
of alkoxides.
Microemulsion α-Fe2O3, δ- Nanoparticles Reaction in two Vidal-Vidal
Fe2O3, (3-5 nm) immiscible et al. (2006)
Fe3O4 phases (water
and oil).
Sonochemical Fe2O3, Nanorods Ultrasound to Vijayakumar
Fe3O4 10-80 nm in promote et al. (2000,
diameter chemical 2001)
reaction.
Electrochemical -Fe2O3 Nanoparticles Electrons act as Zhang et al
(d= 3-20 nm) reactant with no (2007); Pascal
pollution. et al (1999)
Gas state Spray pyrolysis δ-Fe2O3, Hollow Spraying, aerosol González-
Fe3O4 nanospheres, evaporation, Carreño
(d =300 nm) condensation, et al. (1993)
drying, and
thermolysis.
Laser pyrolysis α-Fe2O3, Nanowires Heating of a Morber
or deposition δ-Fe2O3, (30 nm 1-5 gaseous mixture et al. (2006)
ε-Fe2O3 µm) of iron precursor.
Fe3O4 Nanobelts (100
nm  7 µm)
Table 2. Several typical synthesis methods for iron oxides
3.2 Hydrothermal and thermal decomposition methods

Hydrothermal technique is defined as any heterogeneous reaction in the presence of
aqueous solvents or mineralizers under a high pressure and a temperature (6-10 atm, 100-
200 C). A hydrothermal reaction requires the iron(III) salt (e.g., iron chloride, nitrate, or
sulphate), which can be dissolved in solution followed by reaction with water. This is
different from the thermal decomposition reaction that generally takes place for those iron
organic precursors (Fe(CO)5, Fe(acac)3, and Fe(cup)3)in an organic solvent at high
temperatures (Hyeon et al., 2001; Li et al., 2004; Rockenberger et al., 1999). Both
hydrothermal and thermal decomposition methods are commonly used for the synthesis of
iron oxide nanoparticles.
The hydrothermal method is often performed in an autoclave, where the reaction system
can exceed the boiling point of liquid(s) at normal atmospheric pressure (Jia et al., 2005). The
temperature can alter the system in such a way that disrupts the thermodynamics of a
material, which is governed by enthalpy (ΔH) and entropy (ΔS), and hence Gibbs free
energy (ΔG). The essential role of a fluid under high temperatures is that it changes the
vapor pressure of the fluid. This is also beneficial for diverse choices of solvents (polar and
non-polar). The morphology and crystalline phase of iron oxides produced through this
approach can vary by simply tuning reaction temperature, concentration, and additive(s)
(Almeida et al., 2009; Jiang et al., 2010).
The synthesis of iron oxide nanoparticles via a hydrothermal approach can be conducted
with or without the use of surfactant(s). Hematite nanoparticles have been prepared by
Sahu et al. (1997) under conditions of pH (3-10) and 180 °C in autoclaves. In this study, the
average particle size of hematite nanoparticles was found to decrease with an increase of
pH. In our recent work (Jiang et al. 2010), we reported a facile hydrothermal route for the
synthesis of monodispersed hematite nanodiscs with diameters of ~ 50 nm and thickness of
~6.5 nm in the absence of any surfactants in water at around 90 C (Fig. 2). The nanodiscs
exhibited interesting paramagnetic property at a low temperature (20 K), but ferromagnetic
at room temperature (~300 K). In addition, the hematite nanodiscs also showed low-
temperature catalytic activity in CO oxidation to CO2.
Fig. 2. A) TEM image of α-Fe2O3 nanodiscs with overlapping as pointed by arrows;

B) HRTEM image showing the lattice fringe of {110} plates with spacing between two
adjacent planes of 0.411 nm. Reprinted with permission from (Jiang et al. 2010).
3.3 Microemulsion
Microemulsion method (surfactant-stabilized water/oil (W/O) microemulsion) has been
widely used to prepare shape- and size-controlled iron oxide nanoparticles. Generally, a
microemulsion is transparent, isotropic and thermodynamically stable dispersion of two
immiscible phases (e.g., water and oil). When a surfactant is present in W/O system, the
surfactant molecules may form a monolayer at the interface of oil and water, with the
hydrophobic tails of the surfactant molecules dissolved in the oil phase and the hydrophilic
head groups in the aqueous phase (Wu et al., 2008). In a binary system such as
water/surfactant or oil/surfactant, a variety of self-assembled structures can be formed,
ranging from spherical and cylindrical micelles to lamellar phases or bi-continuous
microemulsions depending on the molar ratio of water, oil and surfactant(s). This will be
useful for the generation of nanoparticles with different shapes and sizes.
For example, magnetite nanoparticles ~4 nm in diameter have been prepared by the
controlled hydrolysis of ammonium hydroxide with FeCl2 and FeCl3 aqueous solution
within the reverse micelles nanocavities generated by sodium bis(2-ethylhexyl)
sulfosuccinate (AOT) as a surfactant and heptane as a continuous oil phase (López-Quintela
and Rivas, 1993). Lee and co-workers (2005) have successfully synthesized uniform and
highly crystalline magnetite nanoparticles in microemulsion nanoreactors. The particle size
of the prepared magnetite nanoparticles could be adjusted from 2-10 nm by varying the
relative concentrations of iron salt, surfactant, and solvent. Li et al (2009) demonstrated the
effect of volumetric ratios of aqueous FeCl3 solution to 1,2-propanediamine on the formation
of magnetic particles, as shown in Fig. 3. Chin and Yaacob (2007) reported the synthesis of
Fig. 3. SEM images of the products obtained at different volume ratios of aqueous FeCl3
solution to 1,2 propanediamine: (a) without 1,2 propanediamine, (b) 3:1, (c) 1:1, (d) 1:2,
(e) 1:4, and (f) 1:5. Reprinted with permission from (Li et al., 2009).
magnetic iron oxide nanoparticles with an average particle size of <10 nm by mixing two
microemulsion systems, one containing Fe2+ ions and the other containing OH– ions. The
study reveals that the nanoparticles prepared by the microemulsion technique were smaller
in size and higher in saturation magnetization than those nanoparticles prepared by
Massart’s procedure (Massart et al., 1981).
Despite some success, this microemulsion approach has some drawbacks, such as the
difficulty in scale-up production, the adverse effect of residual surfactants on the properties
of the nanoparticles, and the aggregation of the produced nanoparticles. Repeated wash
processes and further stabilization treatment are usually required for such a reaction
approach (Wu et al., 2008).
4. Surface modifications
The surface modifications of nanoparticles have attracted much more attention, which can
improve the surface-related properties like hydrophobic or hydrophilic. This can be
achieved by using surfactants, polymers, and inorganic materials (silica).
4.1 Surfactants
Surface modification with surfactant(s) is widely used for altering surface properties such as
hydrophobic or hydrophilic. The use of surfactant molecules, such as oleic acid, oleylamine,
or thiols (Wang et al., 2005), can easily functionalize iron oxide nanoparticles to be
hydrophobic surfaces. These molecules can covalently bond to the iron atoms or clusters
against particle degradation (Soler et al., 2007).
Many researches focus on the synthesis of water-soluble iron oxide nanoparticles with
biocompatibility and biodegradability for biological applications. For example, one is to
directly introduce the biocompatible organic molecules, e.g., amino acid (Sousa et al., 2001),
vitamin (Mornet et al., 2004), and citric acid (Morais et al., 2003). Despite some advantages,
the instability of small organic molecules in alkaline or acidic environment may result in
agglomeration of the functionalized iron oxide nanoparticles.
Another alternative technique is to transform the oil-soluble type into water-soluble one via
a ligand exchange reaction (Chen et al., 2008). The ligand exchange involves the addition of
an excess of ligand(s) to nanoparticle suspension, which has stronger interaction with the
nanoparticles than the original ones. Sun et al. (2003) converted the synthesized
hydrophobic maghemite nanoparticles into hydrophilic ones by mixing with bipolar
surfactants such as tetramethylammonium 11-aminoudecanoate. Lattuada and Hatton
(2006) reported that the oleic groups initially present on the surface of magnetite
nanoparticles were replaced by various capping agents containing reactive hydroxyl
moieties. They also tuned the particle size in the range of 6-11 nm by varying the heating
rate.
4.2 Polymers
Polymer-functionalized iron oxide nanoparticles have gained much more attention due to
the benefits offered by polymeric coating, which may increase repulsive forces to balance
the magnetic and van der Waals attractive forces acting on the nanoparticles (Wu et al.
2008). It has shown that through careful choice of the passivating and activating polymers
and/or reaction conditions, polymer-stabilized iron oxide nanoparticles with tailored and
desired properties can be synthesized.
The iron oxide particles by ionic properties can be modified with functional polymer groups
with COOH, NH2 (Chibowski et al., 2009; Kandori et al., 2005; Li et al., 2004). The
polymer coated particles can be synthesized by the ex situ method, i.e. dispersion of the
nanoparticles in a polymeric solution, or in situ method, i.e. monomer polymerization in the
presence of the synthesized nanoparticles (Mammeri et al., 2005; Guo et al., 2007).
Polymeric coating materials can be classified into two main classes: natural (e.g., dextran,
starch, gelatin, chitosan) and synthetic (e.g., polyethylene glycol, PEG;
polymethylmethacrylate, PMMA; polyacrylic acid, PAA). However, the saturation
magnetization value of iron oxide nanoparticles will decrease after polymer-fictionalization.
Dextran is often utilized as a coating polymer because of its stability and biocompatibility
(Laurent et al. 2008). Molday and Mackenzie (Molday and Mackenzie, 1982) have reported
the formation of Fe3O4 in the presence of dextran with molecular weight (MW) of 40,000. In
the synthesis of dextran-coated ultra-small superparamagnetic iron oxides (USPIO), the
reduction of the terminal glucose of dextran was found to be significant for controlling
particle size, stability, and magnetic properties. For low molecular weight dextrans (MW,
<10,000), it is difficult to obtain nanoparticles with a small size of <20 nm.
Polyvinyl alcohol (PVA) is a hydrophilic and biocompatible polymer that can be used for
particle surface modification to prevent particle agglomeration (Laurent et al. 2008). Lee et
al. (1996) have modified the surface of magnetite nanoparticles with PVA by precipitation of
iron salts at a high pH (13.8) to form stable magnetite colloidal dispersions, and particle size
is around 4 nm. The investigators noted that the crystallinity of the magnetite nanoparticles
decreased with PVA concentration increasing, although morphology and particle sizes
remained. When PVA is introduced, it reacts with the surface through hydrogen bonding
between polar functional groups of the polymer and hydroxylated and/or protonated
surface of the iron oxide. In addition to the polymer-surface interactions, PVA is known for
its hydrogen bonding interaction, resulting in hydrogel structure embedding the
nanoparticles. When the PVA concentration is over the critical saturation value,
agglomeration may occur for PVA-coated particles via bridging interactions.
4.3 Polymerized amorphous silica

Polymerized tetraethoxysilane (TEOS) network is often used as a surface coating material
for iron oxide nanoparticles as this coating can prevent aggregation in solution, improve the
chemical stability, and provide better protection against toxicity (Laurent et al. 2008).
Additionally, polymerized silica-coated iron oxide nanoparticles exhibited good
biocompatibility and solubility in water. Silica coating can stabilize the magnetite
nanoparticles in two different ways: one is by shielding the magnetic dipole interaction with
the silica shell, and another one is by enhancing the coulomb repulsion of the magnetic
nanoparticles. Such a silica coating increases the size of the particles and decreases the
saturation magnetization value.
A commonly used method to coat iron oxide nanoparticles with silica is the well-known
Stőber method, in which silica is formed in situ via hydrolysis and condensation of a sol-gel
precursor such as TEOS. For example, Im et al.(2005) have reported the synthesis of silica
colloids loaded with superparamagnetic iron oxide nanoparticles, which revealed that the final
size of silica colloids depended upon the concentration of iron oxide nanoparticles because the
size of silica was closely related to the number of seeds (emulsion drops). The lower
concentration the iron oxide nanoparticles in alcohol, the larger size the obtained colloids.
Another one is aerosol-pyrolysis method, in which silica-coated magnetic nanoparticles
were prepared by pyrolysis of a mixed precursor of silicon alkoxides and metal compound
in a flame environment (Deng et al. 2005). Tartaj et al.(2001) synthesized silica-coated γ-
Fe2O3 hollow spheres with size of 150 ± 100 nm by aerosol pyrolysis of methanol solution
containing iron ammonium citrate and silicon ethoxide.
4.4 Metals
Noble metals (e.g., Au, Ag, Pt, and Pd), possessing unique electronic and catalytic
properties, can be utilized to improve the physicochemical properties of magnetic
nanoparticles and applications in biomedicine. The coating of iron oxide nanoparticles with
noble metals can be helpful to improve stability from aggregation, however, decrease the
saturation magnetization value in some cases (Wu et al. 2008).
Several procedures have been employed to synthesize such core-shell nanostructures. For
example, Mikhaylova et al. (2004) have prepared gold-coated superparamagnetic iron oxide
nanoparticles (SPION) using a reverse micelle method. In their study, the reverse micelles
were formed from surfactant, cetyltrimethylammonium bromide (CTAB), octane (the oil
phase), butanol (the co-surfactant), and an aqueous mixture of FeCl3, FeCl2 and HAuCl4
solutions. They found that the Au-coated SPION retained the superparamagnetic properties
for a longer period than those of starch-coated and multi-arm polyethylene glycol (MPEG)-
coated ones. Wang et al.(2005) obtained gold coated iron oxide nanoparticles, in which the
pre-synthesized Fe3O4 nanoparticles were used as seeds during the reduction of gold
precursor, Au(OOCCH3)3. The average size of Fe3O4 nanoparticles increases from 5.2 ± 0.5
nm to 6.7 ± 0.7 nm after coating with gold (Fig. 4). Fe3O4/Au and Fe3O4/Au/Ag core/shell
nanoparticles with tuneable plasmonic and magnetic properties have been developed by
controlling the coating thickness and materials (Xu et al. 2007).
A facile and one-pot synthesis approach has been developed by Zhang et al. (Zhang et al.,
2010) for generating metal (Au, Pt, Ag and Au-Pt)/Fe2O3 nanocomposites assisted by lysine.
Lysine, containing functional groups -NH2 and –COOH, acts as both a linking molecule to
the Fe2O3 matrix and a capping agent to stabilize the noble metal nanoparticles for a good
dispersion. Jiang et al. (Jiang and Yu, 2009) have demonstrated a facile synthetic method for
the preparation of Pd/α-Fe2O3 nanocomposites by adding citric acid into a mixture of iron
oxide nanoparticles and palladium precursor, Pd(CH3CN)2Cl2) under a reflux heating at
90°C for 2 hours. The synthesized Pd/α-Fe2O3 nanocomposites inherited the rod-like
morphology of the α-Fe2O3 nanoparticles and they exhibited superior catalytic activity in CO
oxidation compared with pure α-Fe2O3 nanoparticles. UV-vis measurement of the
nanocomposites revealed the presence of two plasma bands centered at around 383 and 552
nm, which can be assigned to the synergistic effect of both Pd and α-Fe2O3 nanoparticles.
Fig. 4. (A) Schematics of the hematite-gold core-shell nanorice particles. SEM (left) and TEM
(right) of (B) hematite core, (C) seed particles, (D) nanorice with thin shells, and (E) nanorice
with thick shells. Reprinted with permission from (Wang et al., 2006).
4.5 Carbon
Carbon has been widely studied since its poly-morphologies as active carbon, graphite,
graphene, carbon nanotubes, and fullerene bucky ball structures. They have exhibited
extraordinary tensile strengths and electrical conductivity due to their covalent sp2
hybridized network structure. The combination of semi-conductive iron oxides and carbon
may therefore enhance the electrical properties of the nanocomposite material. The method
to coat carbon on the surface of iron oxide is often performed by the decomposition of a
carbon source (i.e., hydrocarbons, polymer or glucose) at high temperatures under oxygen-
free environments (Tristão et al., 2010; Tristão et al., 2009; Zhang et al., 2008, 2010).
Carbon coated iron oxide particles have attracted much more attention. Zhang et al. (2008)
demonstrated that carbon coated magnetite nanorods can be synthesized through a series of
procedures. In this process, hematite nanorods were firstly synthesized by a hydrothermal
method as previously mentioned. Secondly, glucose was coated onto the hematite nanorods
by pyrolysis under hydrothermal conditions. Finally, the product was heated at 600 ºC
under N2 to carbonize glucose and reduce hematite into magnetite simultaneously.
Boguslavsky et al.(2008) reported a similar procedure, in which polydivinylbenzene (PDVB)
was used as the carbon source. The PDVB coating was formed by emulsion polymerization
of DVB in the presence of γ-Fe2O3, followed by annealing of the powder in a quartz tube at
1050 ºC under flowing Ar gas for 2 hours. The decomposition of the polymer in this case
reduced γ-Fe2O3 to metallic Fe, which finally forms carbon coated iron (Fe/C) nanoparticles.
In addition, Wang et al. (2006) have reported the synthesis of Fe3O4/C nanocomposites by
heating the aqueous solution of glucose and oleic acid-stabilized Fe3O4 nanoparticles at 170
°C for 3 hours. The results revealed that without prior surface hydrophobic modification,
the magnetite nanoparticles could not be encapsulated by the carbon nanospheres, but
instead only bare carbon nanospheres with the size of ~200 nm and Fe3O4 nanoparticles
were obtained. The variation of glucose concentration (0.3-0.6 M) and the reaction
temperature (160-180 °C) were found to have no significant effect on the morphology of the
product, however, both reaction time and the amount of oleic acid-stabilized Fe3O4
nanoparticles showed significant effects. The increase in the concentration of oleic-acid
stabilized Fe3O4 nanoparticles from 2.5 to 6 g/L was found to generate a product that has
more embedded Fe3O4 nanoparticles increasing from 41 to 63%).
Although carbon-coated iron oxide nanoparticles may offer some advantages, such particles
are often obtained as agglomerated clusters due to the lack of effective synthetic control, and
lack of proper understanding on the formation mechanism. The synthesis of dispersible
carbon-coated nanoparticles in isolated forms still remains a challenge in this field.
Moreover, the surface modification of iron oxide allows the attachment of biomolecules such
as proteins and drugs (Mohapatra et al. 2007; Sun et al. 2007). The design of the surface
modifications may be determined by factors such as ion energy and ion flux of depositing
species, interface volume, crystalline size, coating thickness, surface and interfacial energy
(Kim et al. 2003; Pinho et al. 2010).
5. Functionalities of iron oxide nanostructures

5.1 Magnetic property
The magnetic property has been extensively studied since it was discovered and explained
through electronic structures of atoms. The magnetic dipole moments generated by the spin
and orbital angular momenta of electrons in the Fe atom may vary between each phase of
the iron oxide material. In general, magnetic behavior of a material depends on the electron
spin vector or the total magnetic dipole moment. One important aspect in iron oxide
nanoparticles is the unique form of magnetism called superparamagnetism. At temperature
of above the blocking temperature, the magnetization behavior is identical to that of atomic
paramagnets. This phenomenon will occur if particles reach below a certain size (10-20 nm),
when the particle consists of a single magnetic domain, even though the material is ferro- or
ferri-magnetic in bulk form (Ye et al., 2007), as shown in Fig. 5. Particles with this type of
magnetism show high field irreversibility, high saturation field, extra anisotropy
contributions, and shifted loops (Pedro et al., 2003).
For noble gold and silver nanoparticles with unique surface plasmon resonance (SPR)
properties, they are often used to modify the iron oxide surfaces for generating coupled or
multiple functionalities. At the nanoscale, the metallic electron cloud oscillates on the
particle surface and absorbs electromagnetic radiation at a particular energy. The surface
geometry of the iron oxide particles such as spheres, cubes, triangles, or rods, can therefore
influence the absorption of radiation from the ultra-violet up to the near infrared spectrum
(350-1200 nm). Other factors that affect the absorption are the solvent and surface
functionalization. They are important contributors that can tune the exact frequency and
intensity of the plasmon resonance band, which attracts them to the surface enhanced
resonance spectroscopy (SERS) for sensing devices (Zhai et al., 2009). This effect is also of
importance for bimetallic core/shell nanoparticles. As the ratio of gold to iron oxide
increases, the gold character increases and the iron oxide becomes buried beneath and
suppresses the dielectric effect. The increasing thickness of the shell structure will therefore
cause blue-shifting in the surface plasmon resonance (Lyon et al. 2004).
Fig. 5. Diagram of different spin arrangements in magnetic nanoparticles:

a) Ferromagnetism (FM), b) Antiferromagnetism (AFM), D = diameter, Dc = critical
diameter, c) a combination of two different ferromagnetic phases in permanent magnets,
which are materials with high remanence magnetization (Mr) and high coercively (Hc),
d) Superparamagnetism (SPM), e) the interaction at the interface between a ferromagnet and
an antiferromagnet producing an exchange bias effect, and f) pure anti-ferromagnetic
nanoparticles with superparamagnetic relaxation arising from uncompensated surface
spins. Reprinted with permission from (Lu et al., 2007).
5.2 Biomedical applications

Many investigations have been reported the application of nanoparticles for biomedicine,
such as magnetic nanoparticles for improving the quality of magnetic resonance imaging
(MRI), hyperthermic treatment for malignant cells, site-specific drug delivery, cell labeling,
and manipulating cell membranes (Babič et al. 2008; Catherine and Adam, 2003). These
magnetic particles can also be used for diagnosis, imaging, and drug delivery.
Iron oxide nanocomposites or particle coated with biocompatible polymer(s) have shown
some advantages, e.g., reducing aggregation, maintain magnetic stability, slowdown
degrading process under physiological conditions, and lower toxicity (Mahmoudi et al.
2009). So far, they have shown promise for monitoring living cells by both MR and
fluorescence imaging, as well as for drug delivery (Liong et al., 2008).
As mentioned previously, iron oxide nanoparticles exhibit paramagnetic or

superparamagnetic properties in a limited size range. Particles larger than 50 nm show
superparamagnetic iron oxides (SPIO), whereas particles smaller than 50 nm show
ultrasmall superparamagnetic property (USP). The smaller ones have the ability to enhance
signal detection and increase resolution in the MRI (Foy et al., 2010; Tong et al., 2010).
Therefore, the SPIO particles can be used for imaging tumors in the liver and spleen, while
superparamagnetic particles for contrast agents for lymphography and angiography.
However, the superparamagnetic particles do not retain their magnetism when the external
magnetic field is removed, while other magnetic materials will become magnetized and
aggregate.
In addition, the problem using magnetite or maghemite nanoparticles in clinic is often
limited by the biocompatibility and toxicity of these particles (Martin et al., 2008; Pisanic Ii et
al., 2007). This happens from the body’s defense system, the reticulo-endothelial system
(RES), trying to remove these particles from the bloodstream as they pass through the liver,
spleen and lymph nodes. The rapid removal of the iron oxide nanoparticles reduces their
life-time. This is why it is necessary to produce nanocomposites with special surface
modifications. The surface modification of the particles allows the water-insoluble drugs to
be loaded and stored for a long time (Liong et al., 2008; Son et al., 2005). Despite some
progress, the challenges in using surface modified magnetic iron oxide nanoparticles still
exist. More work needs to be performed in the future.
5.3 Gas sensing

Gas detection with high sensitivity and selectivity is essential for controlling industrial,
waste, and vehicle emissions, household activity and environmental monitoring. In the past
decades, many sensor devices have been developed for various gases such as CO, CO2, O2,
O3, H2, NH3 and SO2, as well as various organic vapors e.g., benzene, methanol, ethanol,
amines and isopropanol (Jimenez-Cadena et al. 2007). Although semiconducting oxides
have been quite useful as gas sensors, the operation at high temperatures often limits their
functionality and applications. This has prompted the exploration of new materials that may
offer higher sensing and selective capabilities than traditional ones.
Nanostructured metal oxides are one of the most commonly used materials for gas sensing
because of the semiconductors make them possible for the electrical conductivity change
when the surrounding atmosphere changes. Additionally, nanosized metal oxides exhibit
high ratios of surface to volume, which favors the adsorption of gases on the particle
surface, and hence increases the sensitivity in detection.
Iron oxide nanoparticles have shown good sensing capabilities toward hydrocarbon gases,
CO and alcohols (Jimenez-Cadena et al., 2007; Han et al., 1996, 1999, and 2001). The studies
by Zhang et al. (1996) and Tao et al. (1999) showed that γ-Fe2O3 nanosensors exhibited good
sensitivity and selectivity to a range of hydrocarbon gases such as LPG, petrol and C2H2 at
380 °C, but poor sensitivity to H2 and CO. However, Nakatani and Matsuoka (1983) together
with Lee and Choi (1990) reported that the γ-Fe2O3-based sensors exhibited good sensitivity
to H2. This suggests that the gas-sensing characteristics of a nanosensor are related to its
preparation process.
The sensitivity of iron oxide-based nanosensors can be improved by various doping

schemes as well as by changing the sensing material structure. For example, the thin film
type sensors tend to exhibit higher sensitivity than bulk material sensor(s) (Mohapatra and
Anand, 2010). Tao and co-workers (1999) have studied the sensing characteristics of Y2O3-
doped γ-Fe2O3 towards hydrocarbon gases, H2 and CO and found that the addition of Y2O3
to γ-Fe2O3 resulted in a little difference in the sensitivity and selectivity compared with those
made of pure γ-Fe2O3. Neri et al.(2002) have assessed the gas-sensing properties of Zn-
doped Fe2O3 thin films prepared by liquid phase deposition method. They observed that the
addition of metal Zn can increase the sensitivity of the Fe2O3 thin film to NO2 below 250 °C.
5.4 Catalyst
A catalyst can attract atoms and/or molecules, and then change the surface conductivity
and other properties. Different from sensing material, the catalyst often converts itself into a
different species through a chemical reaction. The iron oxides (hematite and magnetite) have
been applied in industry to produce chemicals with high efficiencies, such as ammonia
(Haber process) and hydrocarbons (Fischer-Tropsch process) (Teja and Koh, 2009). It is
expected that the nanoparticles with high surface areas can perform much better to enhance
the chemical reaction rates than that of bulk states. For hematite, its thermal-dynamically
stable structure allows it for high temperature oxidation catalysis (Sivula et al., 2010).
The catalysis effect can also be enhanced by coupling metal nanoparticles on the surface
(Jiang and Yu 2009; Zhong et al., 2007). Jiang et al (2009) have reported the synthesis of
Pd/α-Fe2O3 nanocomposites at ambient conditions, which displayed superior low-
temperature catalytic activity toward CO oxidation to the pure α-Fe2O3 nanoparticles. It was
proposed that the enhanced catalytic activity was due to the reaction between oxygen
adsorbed on the reduced sites of the support (Fe2+) and CO adsorbed on Pd at the metal-
oxide interface, as shown in Fig. 6.
By using gold deposited iron oxide materials as a catalyst material, the oxidation and
hydrogenation reaction of many organic compounds can be performed at much lower
temperatures (Kung et al., 2007; Herzing et al., 2008; Lenz et al., 2009; Scirè et al., 2008). For
example, Al-Sayari and co-workers (2007) have shown the dependence of the catalytic
performance of Au/Fe2O3 catalyst that the non-calcined Au/Fe2O3 catalyst exhibited a high
activity when pH≥ 5, whereas the activity of calcined Au/Fe2O3 catalyst was not influenced
by the preparation conditions. Furthermore, the authors also noted that the catalytic activity
of Fe2O3 toward CO oxidation was considerably lower than that of the Au/Fe2O3 catalyst.
Maghemite and magnetite/carbon composites have been found to be good catalysts for
reducing the concentration of undesirable nitrogen in acrylonitrile-butadiene-styrene (ABS)
degradation oil (Brebu et al., 2001), whereas hematite can be used as a photocatalyst for the
degradation of chlorophenol and azo dyes (Bandara et al., 2007), as well as a support
material for gold in catalysts for the oxidation of carbon monoxide (CO) at low temperatures
(Zhong et al., 2007).
The challenge of catalysis research being the reaction mechanism for these systems are still yet
to be confirmed or explained, especially for the metal oxide/gold systems (Astruc et al., 2005).
The reaction can be compared from titanium oxide/gold. The rutile phase of titania provides a
support for gold, in which CO will convert mostly along the perimeter between the titania and
gold (Haruta, 2002). In other studies, it was proposed that the nature of the support material
has much greater influence on the reactive properties of the deposited nanoparticle, because
the active and selective sites are formed by negative gold particles (Milone et al., 2007).
Fig. 6. HRTEM image of Pd particles binding on the surface of iron oxide, in which the
lattice distance is ~0.385 nm, corresponding to Pd{1 0 0} planes. Catalytic activity
of Pd/α-Fe2O3 nanocomposites showing the dependence of CO oxidation (A);
(B) comparison of the catalytic activity of nanoparticles with and without doped palladium.
Reprinted with permission from (Jiang and Yu, 2009).
6. Theoretical simulations
Beyond physical phenomena, theoretical methods have been developed and widely used to
understand electronic, structure and forces of nanostructures (Cohen et al., 2008; Freund
and Pacchioni, 2008; Hafner et al., 2006; Carter, 2008). Specifically, molecular dynamics
(MD) method can be used for calculating interaction energies between surface modifiers and
the modified matters, density functional theory (DFT) for binding energies, and Monte
Carlo (MC) method for equilibrium properties (e.g., free energy, phase equilibrium) of
particles. These methods have allowed researchers to understand and explain the growth
mechanisms, structure, and functionalities of nanostructures (Hafner et al., 2006).
6.1 Molecular dynamics

MD simulation has been widely used for the study of the molecular behaviours in liquids
and solids, examining material properties, and designing new materials, particularly for
nanoparticles and nanocomposites. The MD method allows one to predict the time
evolution of a system of interacting particles (atoms or molecules) and estimate relevant
physicochemical properties. Specifically, it can calculate and simulate the interaction
energies among atoms/molecules, which can help understand atomic positions, velocities,
and forces. Thus, the macroscopic properties (e.g., pressure, energy, heat capacities) can be
derived by means of statistical mechanics.
In our recent work, the MD method was used to explain the interactions between various
goethite surfaces and surfactants of the nanorods. The simulation results of the side wall
(xy0) surfaces with six different surfactants have been reported (Yue et al. 2010, 2011). The
positively charged surfactants, CTAB (Fig. 7) and tetraethylammonium chloride (TEAC),
were found to interact greatly with the side wall (xy0) of the nanorod, while the polymeric
polyethylene glycol (PEG) and polyvinylpyrrolidone (PVP) and anionic surfactants (AOT)
and Sodium Dodecyl Sulfate (SDS) were not suitable because of the low interaction energies
among the surfaces. This is caused by the differences in the active sites on different surfaces
(Kim et al. 2007). The ratios of iron and oxygen can vary greatly for different surfaces, in
which the packing and exposure of atoms along a particular crystal plane will therefore
determine the strength of adsorbed surface molecules. The simulation could provide
quantitative information toward the interaction between surfactants and goethite surface(s),
and hence understand the particle formation and growth mechanisms.
Through a similar MD simulation, the adsorption of minerals has been explored. Kerisit et
al. (2006) simulated the interactions for electrolyte solutions to determine the surface
properties of monovalent ions, such as NaCl, CsCl, and CsF on the (100) goethite surface.
The calculations showed a structured interfacial region is in the first 15 Å on the surface. The
structure of the mineral surface will also affect the arrangement and orientation of the water
molecules, and hence the diffusive properties and distribution of the ionic species. In
comparison, the adsorption of sodium ions is stronger than cesium ions because the former
can occupy an interstitial site of mineral(s) due to smaller size.
Fig. 7. MD simulation of CTAB molecular adsorption on the goethite crystal (010) surface at
different time: (A) 0 ps, (B) 10 ps, (C) 20 ps, and (D) 50 ps. Reprinted with permission from
(Yue et al., 2010).
Similarly, MD simulation was also employed to explain the growth mechanisms of akaganéite
nanorods (Yue et al., 2011), as shown in Fig. 8, in which the atomic concentration profiles of
various anions on different crystalline surfaces were compared. With the assistance of
experimental techniques such as transmission electron microscopy (TEM), energy dispersive
spectroscopy (EDS), and x-ray diffraction (XRD), the role of chloride ions in the lattice
structure and forming β-FeOOH rodlike structure was determined. The analysis showed that
the chloride ions were a small size, as well as having an intermediate interaction on the tunnel
structure of the (001) surface, while the tight packing of the (100) and (110) surfaces does not
allow interaction with any ions. The information was useful for the development of the
simulation model, which explained the filling of the tunnel structure along (001) direction.
Fig. 8. The concentration profiles of various anions on the crystal surface of akaganéite
nanorods: (A) (100); (B) (110); and (C) (001) plane.
Reprinted with permission from (Yue et al., 2011).
This MD method is used not only for small organic molecules but also for metallic
nanoclusters. In our recent work (Yue et al., 2011), the Fe3O4(111) surface modified with
various surfactants, polymers, and silica, followed by the deposition of a Au nanoparticle
was simulated by MD method). The results show the dynamic motion of the molecules on
the Fe3O4(111) surface, followed by the encapsulation of the Au nanoparticle surface.
Through an analysis of the concentration profile, it reveals that NH2 groups within the
molecule(s) are useful for attracting gold atoms, as shown in Fig. 9. Moreover, one-
dimensional chainlike molecules allow higher flexibility to move toward the Au surface
compared with three-dimensional structure (amorphous or polymerized silica)
Fig. 9. Snapshots of PEI coating onto the surface of Fe3O4(111) and the addition of a AuNP at
various times. Reprinted with permission from (Yue et al., 2011).
This theoretical method is available for predicting the interaction energies and adsorption
sites of molecules on the iron oxides surfaces. Aquino et al.(2006) simulated various
molecules such as water, acetic acid, acetate, 2,4-dichlorophenoxyacetic acid, and benzene
on the goethite (110) surface. The results show that two OH types, hydroxo and µ-hydroxo,
were able to bend and act as proton acceptors, while the third type, µ3-hydroxo, acts only as
proton donor due to its more pronounced rigidity.
However, MD is a classical simulation method which uses parameterized potentials (or

forcefields), which cannot quantify electronic information of nanostructures. This method is
limited to its accuracy, although the results can be obtained within a realistic period of time
and larger length scales (Rustad et al., 2003; Zeng et al., 2008).
6.2 Density functional theory

DFT is another powerful simulation technique for understanding atom/molecular binder
energies. The calculation is performed by using approximation method to simplify the
Schrödinger’s equation (Lado-Touriño and Tsobnang, 2000).
Many DFT studies have emphasized on the structural, electronic, catalytic, and magnetic
properties of metal-oxide, such as Fe2O3, and Al2O3 (Alvarez-Ramirez et al., 2004; Ma et al.,
2006; Mason et al., 2009; Rohrbach et al., 2004; Rollmann et al., 2004; Zhong et al., 2008;
Mason et al., 2010). It has been extended into other systems, e.g., carbon nanotubes or
graphene (Li et al., 2010; Chattaraj et al., 2009), transition metals (Cramer et al., 2009),
semiconductors (Jin et al., 2011), and metals (e.g., Pd, Au, Cu) (Yang et al., 2007).
For example, Wong et al.(2011) demonstrated that the electronic and geometric structure of
different metald (M = Au, Pt, Pd, or Ru) bilayers particularly on the α-Fe2O3(0001) support
surface (Fig. 10). The analysis shows that the synergistic effect depends on the localized
electron gain, electron transfer from Fe atoms to the dz2 orbital of the metal bilayer, and
interfacial metallic/ionic bonding. These effects were most pronounced for surfaces
modified with Pt or Ru, while the Au bilayer is the most stable due to its low α-Fe2O3 lattice
deformation and minimal surface of Fe atom spin quenching. Tuning the Ru bilayer can
provide an optimal balance of these factors, and hence enhance the catalytic activity.
Fig. 10. Electron density contour maps of M/α-Fe2O3(0001) interfaces, where M = Ru, Pd,
Au, and Pt, respectively, and the electron density is in the range 0.0−0.8 eV/Å3. Reprinted
with permission from (Wong et al., 2011).
Despite some success, the DFT method still has limitations in accurately describing the van
der Waals interactions, phonon dispersion, spin-and space-degenerate states, strongly
conjugated π systems, localization and delocalization errors for band gaps. Moreover, the
DFT is difficult to solve the problems related to long range interactions and dispersion
forces for complex biological systems. So far, the development of DFT technique is still
demanded.
Besides DFT and MD simulations, Monte Carlo (MC) method, a stochastic method, has been
employed to generate a statistical or probabilistic model for understanding particular
systems. The MC method can be used to predict the crystalline structure of β-FeOOH (Kwon
et al. 2006). By combination of quantitative X-ray structural analysis, the MC simulation has
been used for characterizing the atomic-scale structure with and without chromium atoms.
The results showed that the β-FeOOH particles containing chromium is distorted, while the
particles without chromium is similar to its ideal structure. The combination of the
experimental and MC simulation method can distinguish the differences between FeO6 and
CrO6 octahedral units. However, this MC method can only provide information on
equilibrium properties (e.g., free energy, phase equilibrium), but limited to the non-
equilibrium systems.
7. Summary
This Chapter briefly overviews some experimental methods (hydrothermal, co-precipitate
and microemulsion methods) used for the synthesis and surface modifications of low-
dimensional iron oxide nanostructures with desirable functional properties (gas sensing,
catalytic, magnetic, and biochemical properties), and a few theoretical simulation techniques
(MD, DFT, and MC) for fundamental understandings. However, the challenges still exist.
Experimentally, one of the big challenges is how to produce iron oxide nanostructures with
desired characteristics (shape, size, and surface properties) for target applications.
Theoretically, DFT and MD simulations are limited to the large-scale calculations (e.g.,
mesoscopic structure with size range of 0.1–10 m) due to the current restraints in
computational capability.
To overcome the limitations, the development of simple, cost-saving, and effective strategies
for iron oxide and other nanostructures with desirable functional properties is highly
demanded. For the computational modelings and simulation methods, much work needs to
be performed in two directions: (i) to develop new and improved simulation techniques for
large time and length scales; and (ii) to integrate diverse simulation techniques (DFT, MD,
MC and others) on different levels together to form a powerful tool for exploring the
structural, dynamic, and mechanical properties of nanomaterials and nanosystems. This is
crucial to predict process–structure–property relationships in material design, optimization,
and manufacturing.
8. Acknowledgement
We gratefully acknowledge the financial support of the Australia Research Council (ARC)
the ARC Centres of Excellence for Functional Nanomaterials and ARC projects. The authors
acknowledge access to the UNSW node of the Australian Microscopy & Microanalysis
Research Facility (AMMRF).
9. References
Al-Sayari, S., Carley, A.F., Taylor, S.H. & Hutchings, G.J. (2007). Au/ZnO and Au/Fe2O3
catalysts for CO oxidation at ambient temperature: comments on the effect of
synthesis conditions on the preparation of high activity catalysts prepared by
coprecipitation. Top. Catal., 44: 123-128.
Almeida, T.P., Fay, M., Zhu, Y. and Brown, P.D. (2009). Process Map for the Hydrothermal
Synthesis of α-Fe2O3 Nanorods. J. Phys. Chem. C, 113(43): 18689-18698.
Alvarez-Ramirez, F., Martinez-Magadan, J.M., Gomes, J.R.B., & Illas, F. (2004), On the
geometric structure of the (0001) hematite surface, Surface Sci., 558, 4-14.
Aquino, A.J.A., Tunega, D., Haberhauer, G., Gerzabek, M.H. and Lischka, H. (2006).
Quantum Chemical Adsorption Studies on the (110) Surface of the Mineral
Goethite. J. Phys. Chem. C, 111(2): 877-885.
Astruc, D., Lu, F. and Aranzaes, J.R. (2005). Nanoparticles as Recyclable Catalysts: The
Frontier between Homogeneous and Heterogeneous Catalysis. Angew. Chem. Int.
Ed., 44(48): 7852-7872.
Babic, M., Horák, D., Trchová, M., Jendelová, P., Glogarová, K.i., Lesný, P., Herynek, V.,
Hájek, M. and Syková, E. (2008). Poly(l-lysine)-Modified Iron Oxide Nanoparticles
for Stem Cell Labeling. Bioconjugate Chem., 19(3): 740-750.
Bandara, J., Klehm, U. and Kiwi, J. (2007). Raschig rings-Fe2O3 composite photocatalyst
activate in the degradation of 4-chlorophenol and Orange II under daylight
irradiation. Appl. Catal. B, 76(1-2): 73-81.
Boguslavsky, Y. & Margel, S. (2008). Synthesis and characterization of poly(divinylbenzene)-
coated magnetic iron oxide nanoparticles as precursor for the formation of air-
stable carbon-coated iron crystalline nanoparticles. J. Colloid and Interface Sci.,
317(1): 101-114.
Bomati-Miguel, O., Rebolledo, A.F. & Tartaj, P. (2008). Controlled formation of porous
magnetic nanorods via a liquid/liquid solvothermal method. Chem. Commun., (35):
4168-4170.
Brebu, M., Uddin, M.A., Muto, A., Sakata, Y. & Vasile, C. (2001). Catalytic degradation of
acrylonitrile−butadiene−styrene into Fuel Oil 1. The effect of iron oxides on the
distribution of nitrogen-containing compounds. Energy & Fuels, 15(3): 559-564.
Carter, E.A. (2008). Challenges in modeling materials properties without experimental
input. Science, 321(5890): 800-803.
Catherine, C.B. & Adam, S.G.C. (2003). Functionalisation of magnetic nanoparticles for
applications in biomedicine. J. Phys. D: Appl. Phys., 36(13): R198.
Chattaraj, P.K. (2009). Chemical reactivity theory: a density functional view, pp.
9781420065435.
Chen, Z.P., Zhang, Y., Zhang, S., Xia, J.G., Liu, J.W., Xu, K. & Gu, N. (2008). Preparation and
characterization of water-soluble monodisperse magnetic iron oxide nanoparticles
via surface double-exchange with DMSA. Colloids Surf. A, 316(1-3): 210-216.
Chibowski, S., Patkowski, J. & Grzadka, E. (2009). Adsorption of polyethyleneimine and
polymethacrylic acid onto synthesized hematite. J. Colloid and Interface Sci., 329(1):
1-10.
Chin, A.B. and Yaacob, I.I. (2007). Synthesis and characterization of magnetic iron oxide
nanoparticles via w/o microemulsion and Massart's procedure. J. Mater. Process.
Tech., 191(1-3): 235-237.
Cohen, A.J., Mori-Sánchez, P. & Yang, W. (2008). Insights into current limitations of density
functional theory. Science, 321(5890): 792-794.
Cornell, R.M., Schuwertmann, U. The iron oxides: structure, properties, reactions, occurrences,
and uses, Wiley-VCH, Weinheim, 2003.
Cramer, C.J. & Truhlar, D.G. (2009), Density functional theory for transition metals and
transition metal chemistry. Phys. Chem. Chem. Phys. 11: 10757-10816.
Deng, Y.-H., Wang, C.-C., Hu, J.-H., Yang, W.-L. & Fu, S.-K. (2005). Investigation of
formation of silica-coated magnetite nanoparticles via sol-gel approach. Colloids
Surf. A, 262(1-3): 87-93.
Di Marco, M., Guilbert, I., Port, M., Robic, C., Couvreur, P. and Dubernet, C. (2007).
Colloidal stability of ultrasmall superparamagnetic iron oxide (USPIO) particles
with different coatings. Int. J. Pharmaceutics, 331(2): 197-203, 0378-5173.
Dong, W.T., Zhu, C.S. (2002). Use of Ethylene oxide in the sol–gel synthesis of α-Fe2O3
nanoparticles from Fe (III) Salt. J. Mater. Chem., 12 (6): 1676–1683.
Erogbogbo, F., Yong, K.T., Hu, R., Law, W.C., Ding, H., Chang, C.W., Prasad, P.N. &
Swihart, M.T. (2010). Biocompatible magnetofluorescent probes: luminescent
silicon quantum dots coupled with superparamagnetic iron(III) oxide. ACS Nano, 4:
5131-5138.
Foy, S.P., Manthe, R.L., Foy, S.T., Dimitrijevic, S., Krishnamurthy, N. & Labhasetwar, V.
(2010). Optical imaging and magnetic field targeting of magnetic nanoparticles in
tumors. ACS Nano, 4(9): 5217-5224.
Freund, H.-J. & Pacchioni, G. (2008). Oxide ultra-thin films on metals: new materials for the
design of supported metal catalysts. Chem. Soc. Rev., 37(10): 2224-2242.
Garcia, K.E., Barrero, C.A, Morales, A.L. & Greneche, J.M. (2009). Magnetic structure of
synthetic akaganeite: A review of Mössbauer data. Rev. Fac. Ing. Univ. Antioquia, 49:
185-191.
González-Carreño, T., Morales M.P., Gracia, M. & Serna, C.J. (1993). Preparation of uniform
amma-Fe2O3 particles with nanometer size by spray pyrolysis. Mater. Lett., 18: 151-
155.
Guo, Z., Park, S., Wei, S., Pereira, T., Moldovan, M., BKarki, A., Young, D. P. & Hahn, H. T.
(2007). Flexible high-loading particle-reinforced polyurethane magnetic
nanocomposite fabrication through particle-surface-initiated polymerization.
Nanotech. 18: 335704.
Hafner, J., Wolverton, C. & Ceder, G. (2006). Toward computational materials design: the
impact of density functional theory on materials research. MRS Bulletin, 31: 659-668
Han, J.S., Yu, A.B., He, F.J. & Yao, T (1996). A study of the gas sensitivity of alpha-Fe2O3
sensors to CO and CH4. J. Mater. Sci. Lett. 15: 434-436.
Han, J.S., Bredow, T., Davey, D.E., Yu, A.B. & Mulcahy, D.E. (2001). The effect of Al addition
on the gas sensing properties of Fe2O3-based sensors. Sens. and Actuators B 75: 18-
23.
Han, J.S., Davey, D.E., Mulcahy, D.E. & Yu, A.B. (1999). An investigation of gas response of
alpha-Fe2O3(Sn)-based gas sensor. Sens. and Actuators B 61: 83-91.
Haruta, M. (2002). Catalysis of gold nanoparticles deposited on metal oxides. CATTECH,
6(3): 102-115.
Herzing, A.A., Kiely, C.J., Carley, A.F., Landon, P. & Hutchings, G.J. (2008). Identification of
active gold nanoclusters on iron oxide supports for CO oxidation. Science,
321(5894): 1331-1335.
Hyeon, T., Lee, S.S., Park, J., Chung, Y. & Na, H.B. (2001). Synthesis of highly crystalline and
monodisperse maghemite nanocrystallites without a size-selection Process. J. Am.
Chem. Soc., 123(51): 12798-12801.
Iida, H., Takayanagi, K., Nakanishi, T. & Osaka, T. (2007). Synthesis of Fe3O4 nanoparticles
with various sizes and magnetic properties by controlled hydrolysis. J. Colloid and
Interface Sci., 314(1): 274-280.
Ilani, S., Rosenfeld, A. & Dvorachek, M. (1999). Mineralogy and chemistry of a Roman
Remedy from Judea, Israel. J. Archaeological Sci., 26(11): 1323-1326.
Im, S.H., Herricks, T., Lee, Y.T. & Xia, Y. (2005). Synthesis and characterization of
monodisperse silica colloids loaded with superparamagnetic iron oxide
nanoparticles. Chem. Phys. Lett., 401(1-3): 19-23.
Ito, A., Shinkai, M., Honda, H. & Kobayashi, T. (2005). Medical application of functionalized
magnetic nanoparticles. J. Biosci. and Bioeng., 100(1): 1-11.
Jia, C.-J., Sun, L.-D., Yan, Z.-G., You, L.-P., Luo, F., Han, X.-D., Pang, Y.-C., Zhang, Z. & Yan,
C.-H. (2005). Single-crystalline iron oxide nanotubes. Angew. Chem. Int. Ed., 44(28):
4328-4333.
Jiang, X.C., Yu, A.B., Yang, W.R., Ding, Y., Xu, C. & Lam, S. (2010). Synthesis and growth of
hematite nanodiscs through a facile hydrothermal approach. J. Nanopart. Res., 12:
877-893.
Jiang, X.C. &Yu, A.B. (2009). Synthesis of Pd/alpha-Fe2O3 nanocomposites for catalytic CO
oxidation. J. Mater. Process. Tech., 209(9): 4558-4562.
Jimenez-Cadena, G., Riu, J. & Rius, F.X. (2007). Gas sensors based on nanostructured
materials. Analyst, 132(11): 1083-1099.
Jin, D., Wang, W., Rahman, A., Lizhen, J., Zhang, H., Li, H., He, P., & Bao, S. (2011), Study
on the interface between the organic and inorganic semiconductors, Appl. Surface
Sci. 257: 4994-4999.
Kandori, K., Yamoto, Y. & Ishikawa, T. (2005). Effects of vinyl series polymers on the
formation of hematite particles in a forced hydrolysis reaction. J. Colloid and
Interface Sci., 283(2): 432-439.
Kerisit, S., Ilton, E.S. & Parker, S.C. (2006). Molecular Dynamics simulations of electrolyte
solutions at the (100) goethite surface. J. Phys. Chem. B, 110(41): 20491-20501.
Kim, D.K., Mikhaylova, M., Zhang, Y. & Muhammed, M. (2003). Protective coating of
superparamagnetic iron oxide nanoparticles. Chem. Mater., 15(8): 1617-1627.
Kim, H.-G., Kim, D.-W., Oh, C., Park, S.-H. & Oh, S.-G. (2007). Preparation of rod-type ferric
oxyhydroxide particles by forced hydrolysis in the presence of a cationic surfactant.
J. Ceramic Process Res., 8(3): 172-176.
Kung, M.C., Davis, R.J. & Kung, H.H. (2007). Understanding Au-Catalyzed low-temperature
CO oxidation. J. Phys. Chem. C, 111(32): 11767-11775.
Kwon, S.K., Suzuki, S., Saito, M., Kamimura, T., Miyuki, H. & Waseda, Y. (2006). Atomic-
scale structure of beta-FeOOH containing chromium by anomalous X-ray scattering
coupled with reverse Monte Carlo simulation. Corrosion Sci., 48(6): 1571-1584.
Lado-Touriño, I. & Tsobnang, F. (2000). Using computational approaches to model hematite
surfaces. Computational Mater. Sci., 17(2-4): 243-248.
Lattuada, M. & Hatton, T.A. (2006). Functionalization of monodisperse magnetic

nanoparticles. Langmuir, 23(4): 2158-2168.
Laurent, S., Forge, D., Port, M., Roch, A., Robic, C., Eliat, L.V. & Muller, R.N. (2008).
Magnetic iron oxide nanoparticles: Synthesis, stabilization, vectorization
physicochemical characterizations and biological applications. Chem. Rev., 108:
2064-2110.
Lee, D.-D. & Choi, D.-H. (1990). Thick-film hydrocarbon gas sensors. Sens. Actuators B, 1(1-
6): 231-235.
Lee, J., Isobe, T. & Senna, M. (1996). Preparation of ultrafine Fe3O4 particles by precipitation
in the presence of PVA at high pH. J. Colloid Interface Sci., 177(2): 490-494.
Lee, Y., Lee, J., Bae, C.J., Park, J.G., Noh, H.J., Park, J.H. & Hyeon, T. (2005). Large-scale
synthesis of uniform and crystalline magnetite nanoparticles using reverse micelles
as nanoreactors under reflux conditions. Adv. Funct. Mater., 15(3): 503-509.
Lenz, J., Campo, B.C., Alvarez, M. & Volpe, M.A. (2009). Liquid phase hydrogenation of
[alpha],[beta]-unsaturated aldehydes over gold supported on iron oxides. J. Catal.,
267(1): 50-56.
Li, Y., Zhou, Z., Yu, G., Chen, W., & Chen, Z. (2010), CO catalytic oxidation on iron-
embedded graphene: computational quest for low-cost nanocatalysts, J Phys. Chem.
C, 114: 6250-6254.
Li, Z., Chen, H., Bao, H. & Gao, M. (2004). One-pot reaction to synthesize water-soluble
magnetite nanocrystals. Chem. Mater., 16(8): 1391-1393.
Li, Z., Lai, X., Wang, H., Mao, D., Xing, C. & Wang, D. (2009). Direct hydrothermal synthesis
of single-crystalline hematite nanorods assisted by 1,2-propanediamine.
Nanotechnology, 20: 1-9.
Liong, M., Lu, J., Kovochich, M., Xia, T., Ruehm, S.G., Nel, A.E., Tamanoi, F. & Zink, J.I.
(2008). Multifunctional inorganic nanoparticles for imaging, targeting, and drug
delivery. ACS Nano, 2(5): 889-896.
Liu, H., Wei, Y., Li, P., Zhang, Y. & Sun, Y. (2007). Catalytic synthesis of nanosized hematite
particles in solution. Mater. Chem. Phys., 102(1): 1-6.
López-Quintela, M.A. & Rivas, J. (1993). Chemical Reactions in Microemulsions: A Powerful
Method to Obtain Ultrafine Particles. J. Colloid and Interface. Sci., 158(2): 446-451.
Lu, A.H., Salabas, E. & Schüth, F. (2007). Magnetic Nanoparticles: Synthesis, Protection,
Functionalization, and Application. Angew. Chem. Int. Ed., 46(8): 1222-1244.
Lu. J., Yang. S., Ng, K.M., Su, C.H.,Yeh, C.S., Wu, Y.N. & Shieh, D.B. (2006). Solid-State
synthesis of monocrystalline iron oxide nanoparticle-based ferrofluid suitable for
magnetic resonance imaging contrast application. Nanotechnology, 17: 5812-5820.
Lyon, J.L., Fleming, D.A., Stone, M.B., Schiffer, P. & Williams, M.E. (2004). Synthesis of Fe
oxide core/Au shell nanoparticles by iterative hydroxylamine seeding. Nano Lett.,
4(4): 719-723.
Ma, X.Y., Liu, L., Jin, J.J., Stair, P.C., & Ellis, D.E. (2006), Experimental and theoretical studies
of adsorption of CH3 center dot on alpha-Fe2O3(0001) surfaces. Surf. Sci., 600: 2874-
85.
Mahmoudi, M., Simchi, A., Milani, A.S. & Stroeve, P. (2009). Cell toxicity of
superparamagnetic iron oxide nanoparticles. J. Colloid and Interface Sci., 336(2): 510-
518,0021-9797.
Mammeri, F., Bourhis, E.L., Rozes, L. & Sanchez, C. (2005). Mechanical properties of hybrid
organic-inorganic materials. J. Mater. Chem., 15(35-36): 3787-3811.
Martin, A.L., Bernas, L.M., Rutt, B.K., Foster, P.J. & Gillies, E.R. (2008). Enhanced cell pptake
of superparamagnetic iron oxide nanoparticles functionalized with dendritic
guanidines. Bioconjugate Chem., 19(12): 2375-2384.
Mason, S.E., Iceman, C.R., Tanwar, K.S., Trainor, T.P., & Chaka, A.M. (2009). Pb(II)
adsorption on isostructural hydrated alumina and hematite (0001) surfaces: A DFT
study, J. Phys. Chem. C, 113: 2159-2170.
Massart, R. (1981). Preparation of aqueous magnetic liquids in alkaline and acidic media.
IEEE Trans Magn MAG, I7: 1247-1248.
Milone, C., Crisafulli, C., Ingoglia, R., Schipilliti, L. & Galvagno, S. (2007). A comparative
study on the selective hydrogenation of [alpha],[beta] unsaturated aldehyde and
ketone to unsaturated alcohols on Au supported catalysts. Catal. Today, 122: 341-
351.
Mohapatra, M. & Anand, S. (2010), Synthesis and applications of nano-structured iron
xxides/hydroxides – A Review. Int. J. Eng. Sci. and Tech., 2(8): 127-146.
Mohapatra, S., Pramanik, N., Mukherjee, S., Ghosh, S. & Pramanik, P. (2007). A simple
synthesis of amine-derivatised superparamagnetic iron oxide nanoparticles for
bioapplications. J. Mater. Sci., 42(17): 7566-7574.
Molday, R.S. & Mackenzie, D. (1982). J. Immun. Methods, 52: 353-367.
Morais, P.C., Oliveira, A.C., Tronconi, A.L., Goetze, T. & Buske, N. (2003). Photoacoustic
spectroscopy: a promising technique to investigate magnetic fluids. IEEE Trans.
Magn., 39(5): 2654-2656.
Morber, J.R, Ding, Y., Haluska, M. S., Li, Y., Liu, J. P., Wang, Z. L. & Snyder, R. L. (2006). J.
Phys. Chem. B, 110: 21672.
Mornet, S., Vasseur, S., Grasset, F. & Duguet, E. (2004). Magnetic nanoparticle design for
medical diagnosis and therapy. J. Mater. Chem., 14(14): 2161-2175.
Morrissey, J. & Guerinot, M.L. (2009). Iron uptake and transport in plants: The good, the
bad, and the ionome. Chem. Rev., 109(10): 4553-4567.
Nakatani, Y. & Matsuoka, M. (1983). Some Electrical Properties of γ-Fe2O3 Ceramics. Jpn. J.
Appl. Phys., 22: 232-239.
Neri, G., Bonavita, A., Galvagno, S., Siciliano, P. & Capone, S. (2002). CO and NO2 sensing
properties of doped-Fe2O3 thin films prepared by LPD. Sens. Actuators B, 82(1): 40-
47,0925-4005.
Pascal C., Pascal J.L., Favier F., Elidrissi Moubtassim M.L. & Payen C. (1999).
Electrochemical synthesis for the control of -Fe2O3 nanoparticle size. Morphology,
microstructure, and magnetic behavior. Chem. Mater. 11: 141-147.
Pedro, T. Morales, M. del P., Veintenillas-verdaguer, S., Gonzalez-carreno, T. & Serma, C.J.
(2003). The preparation of magnetic nanoparticles for applications in biomedicine.
J. Phys. D: Appl. Phys., 36(13): R182.
Pinho, S.L.C., Pereira, G.A., Voisin, P., Kassem, J., Bouchaud, V.r., Etienne, L., Peters, J.A.,
Carlos, L., Mornet, S.p., Geraldes, C.F.G.C., Rocha, J.O. & Delville, M.-H. (2010).
Fine tuning of the relaxometry of γ-Fe2O3@SiO2 nanoparticles by tweaking the silica
coating thickness. ACS Nano, 4(9): 5339-5349.
Pisanic Ii, T.R., Blackwell, J.D., Shubayev, V.I., Fiñones, R.R. & Jin, S. (2007). Nanotoxicity of
iron oxide nanoparticle internalization in growing neurons. Biomater. 28(16): 2572-
2581.
Rockenberger, J., Scher, E.C. & Alivisatos, A.P. (1999). A new nonhydrolytic single-precursor
approach to surfactant-capped nanocrystals of transition metal oxides. J. Am. Chem.
Soc., 121(49): 11595-11596.
Rohrbach, A., Hafner, J., & Kresse, G. (2004). Ab initio study of the (0001) surfaces of
hematite and chromia: Influence of strong electronic correlations. Phys. Rev. B, 70:
125426.
Rollmann, G., Rohrbach, A., Entel, P. & Hafner, J. (2004), First-principles calculation of the
structure and magnetic phases of hematite. Phys. Rev. B, 69: 165107.
Sahu, K.K., Rath, C., Mishra, N.C. & Anand, S. (1997). Microstructural and magnetic studies
on hydrothermally prepared hematite. J. Colloid Interface Sci., 185(2): 402-410.
Scirè, S., Crisafulli, C., Minicò, S., Condorelli, G.G. & Di Mauro, A. (2008). Selective
oxidation of CO in H2-rich stream over gold/iron oxide: An insight on the effect of
catalyst pretreatment. J. Molecular Catal. A: Chem. 284(1-2): 24-32.
Sivula, K., Zboril, R., Le Formal, F., Robert, R., Weidenkaff, A., Tucek, J., Frydrych, J. &
Gratzel, M. (2010). Photoelectrochemical water splitting with mesoporous hematite
prepared by a solution-based colloidal approach. J. Am. Chem. Soc., 132(21): 7436-
7444.
Soler, M.A, Alcantara, G.B., Soares, F.Q., Viali, W.R., Sartoratto, P.P., Fernandez, J.R., da
Silva, S.W., Garg, V.K., Oliveira, A.C. & Morais, P.C. (2007). Study of molecular
surface coating on the stability of maghemite nanoparticles. Surf. Sci., 601(18): 3921-
3925.
Son, S.J., Reichel, J., He, B., Schuchman, M. & Lee, S.B. (2005). Magnetic nanotubes for
magnetic-field-assisted bioseparation, biointeraction, and drug delivery. J. Am.
Chem. Soc., 127(20): 7316-7317.
Sousa, M.H., Rubim, J.C., Sobrinho, P.G. & Tourinho, F.A. (2001). Biocompatible magnetic
fluid precursors based on aspartic and glutamic acid modified maghemite
nanostructures. J. Magn. Magn. Mater., 225(1-2): 67-72.
Sun, Q., Reddy, Marquez, M., Jena, P., Gonzalez, C. & Wang, Q. (2007). Theoretical Study on
Gold-Coated Iron Oxide Nanostructure: Magnetism and Bioselectivity for Amino
Acids. J. Phys. Chem. C, 111(11): 4159-4163.
Sun, S., Zeng, H., Robinson, D.B., Raoux, S., Rice, P.M., Wang, S.X. & Li, G. (2003).
Monodisperse MFe2O4 (M = Fe, Co, Mn) nanoparticles. J. Am. Cer. Soc., 126(1): 273-
279.
Sun, S. & Zeng, H. (2004). Size-controlled synthesis of magnetite nanoparticles. J. Am. Cer.
Soc., 124: 8204-8205.
Tao, S., Liu, X., Chu, X. & Shen, Y. (1999). Preparation and properties of [gamma-Fe2O3 and
Y2O3 doped gamma-Fe2O3 by a sol-gel process. Sens. Actuators B, 61(1-3): 33-38.
Tartaj, P., González-Carreño, T. & Serna, C.J. (2001). Single-step nanoengineering of silica
coated maghemite hollow spheres with tunable magnetic properties. Adv. Mater.,
13(21): 1620-1624.
Teja, A.S. & Koh, P.-Y. Synthesis, properties, and applications of magnetic iron oxide
nanoparticles. Progress in Crystal Growth and Characterization of Mater., 55(1-2): 22-45.
Zhang, T., Luo, H, Zeng, H, Zhang, R. & Shen, Y.(1996). Synthesis and gas-sensing
characteristics of high thermostability -Fe2O3 powder. Sens. Actuators B, 32: 181-
184.
Tong, S., Hou, S., Zheng, Z., Zhou, J. & Bao, G. (2010). Coating optimization of
superparamagnetic iron oxide nanoparticles for high T2 relaxivity. Nano Lett., 10:
1530-6984.
Tristão, J., Ardisson, J., Sansiviero, M. & Lago, R. (2010). Reduction of hematite with ethanol
to produce magnetic nanoparticles of Fe3O4 coated with carbon. Hyperfine
Interactions, 195(1): 15-19.
Tristão, J.C., Silva, A.A., Ardisson, J.D. & Lago, R. (2009). Magnetic nanoparticles based on
iron coated carbon produced from the reaction of Fe2O3 with CH4: a Mössbauer
study. LACAME 2008. J. Desimoni, C. P. Ramos, B. Arcondo, F. D. Saccone and R.
C. Mercader, Springer Berlin Heidelberg: 21-25.
Varanda, L.C., Morales, M.P., Jafelicci, J.M. &Serna, C.J. (2002). Monodispersed spindle-type
goethite nanoparticles from FeIII solutions. J. Mater. Chem., 12(12): 3649-3653.
Vidal-Vidal, J., Rivas, J. & López-Quintela, M.A. (2006). Synthesis of monodispersed
maghemite nanoparticles by the microemulsion method. Colloids Surf. A, 288: 44-51.
Vijayakumar, R., Koltypin, Y., Xu, X.N., Yeshurun, Y., Gedanken, A. & Felner, I. (2001).
Fabrication of magnetite nanorods by ultrasonic irradiation. J. Appl. Phys., 89, 6324-
28.
Wang, H., Brandl, D.W., Le, F., Nordlander, P. & Halas, N.J. (2006). Nanorice: A hybrid
plasmonic nanostructure. Nano Lett., 6(4): 827-832.
Wang, L., Luo, J., Maye, M., Fan, Q., Rendeng, Q., Engelhard, M.E., Wang, C., Lin, Y. &
Zhong, C.J. (2005). Iron oxide–gold core–shell nanoparticles and thin film assembly.
J. Mater. Chem., 15: 1821-1832
Wang, Z., Guo, H., Yu, Y. & He, N. (2006). Synthesis and characterization of a novel
magnetic carrier with its composition of Fe3O4/carbon using hydrothermal
reaction. J. Magn. Magn. Mater., 302(2): 397-404.
Weckler, B. & Lutz, H.D. (1998) Lattice vibration spectra. Part XCV. Infrared spectroscopic
studies on the iron oxide hydroxides goethite ([alpha]), akaganéite ([beta]),
lepidocrocite ([gamma]), and feroxyhite ([delta]). European J. Solid State and Inorg.
Chem., 35(8-9): 531-544.
Wong, K., Zeng, Q.H. &Yu, A.B. (2011). Electronic structure of metal (M = Au, Pt, Pd, or Ru)
bilayer modified α-Fe2O3(0001) surfaces. J. Phys. Chem. C, 115(11): 4656-4663.
Wu, W., He, Q. & Jiang, C. (2008). Magnetic iron oxide nanoparticles: Synthesis and surface
functionalization strategies. Nanoscale Res. Lett., 3: 397-415
Xu, Z., Hou, Y. & Sun, S. (2007). Magnetic core/shell Fe3O4/Au and Fe3O4/Au/Ag
nanoparticles with tunable plasmonic properties. J. Am. Chem. Soc., 129(28): 8698-
8699.
Yang, Z., Lu, Z., Luo, G. & Hermansson, K. (2007), Oxygen vacancy formation energy at the
Pd/CeO2(111) interface. Phys. Lett. A, 369: 132-139.
Ye, Q.-L., Kozuka, Y., Yoshikawa, H., Awaga, K., Bandow, S. & Iijima, S. (2007). Effects of
the unique shape of submicron magnetite hollow spheres on magnetic properties
and domain states. Physical Review B, 75(22): 224404
Yue, J., Jiang, X.C. & Yu, A.B. (2010). Molecular dynamics study on the growth mechanism
of goethite ([alpha]-FeOOH) nanorods. Solid State Sciences, 13(1): 263-270.
Yue, J., Jiang, X.C. & Yu, A.B. (2011). Experimental and theoretical study on the β-FeOOH
nanorods: growth and conversion. J. Nanoparticle Res., 13(9): 3961-3974.
Yue, J., Jiang, X.C., Zeng, Q. & Yu, A.B. (2010). Experimental and numerical study of
cetyltrimethylammonium bromide (CTAB)-directed synthesis of goethite nanorods.
Solid State Sciences, 12(7): 1152-1159.
Yue, J., Jiang, X.C. & Yu, A.B. (2011). Molecular Dynamics Study on Au/ Fe3O4
Nanocomposites and Their Surface Function toward Amino Acids. J. Phys. Chem.
B., 115:11693-11699.
Zeng, Q.H., Yu, A.B. & Lu, G.Q. (2008). Multiscale modeling and simulation of polymer
nanocomposites. Progress in Polymer Sci., 33(2): 191-269.
Zhai, Y., Zhai, J., Wang, Y., Guo, S., Ren, W. & Dong, S. (2009). Fabrication of iron oxide
core/shell submicrometer spheres with nanoscale surface roughness for efficient
surface-enhanced Raman scattering. J. Phys. Chem. C 113(17): 7009-7014.
Zhang, J., Liu, X., Guo, X., Wu, S. & Wang, S. (2010). A general approach to fabricate diverse
noble metal (Au, Pt, Ag, Pt/Au)/Fe2O3 hybrid nanomaterials. Chem.–Eur. J., 16(27):
8108-8116.
Zhang, S., Niu, H., Hu, Z., Cai, Y. & Shi, Y. (2010). Preparation of carbon coated Fe3O4
nanoparticles and their application for solid-phase extraction of polycyclic aromatic
hydrocarbons from environmental water samples. J. Chromatography A, 1217(29):
4757-4764.
Zhang, W.M., Wu, X.L., Hu, J.S., Guo, Y.G. & Wan, L.J. (2008). Carbon coated Fe3O4
nanospindles as a superior anode material for lithium-ion batteries. Adv. Funct.
Mater., 18(24): 3941-3946.
Zhang, Z., Zhang, Q., Xu, L. & Xia, Y.-B. (2007). Preparation of nanometer -Fe2O3 by an
electrochemical method in non-aqueous medium and reaction dynamics. Synthesis
and Reactivity in Inorg. Metal-Org. and Nano-Metal Chem., 37: 53–56.
Zhong, J. & Adams, J.B. (2008). Adhesive metal transfer at the Al(111)/a-Fe2O3(0001)
interface: a study with ab initio molecular dynamics, modelling and simulation.
Mater. Sci. and Eng., 16: 085001(9 pages).
Zhong, Z., Ho, J., Teo, J., Shen, S. & Gedanken, A. (2007). Synthesis of porous α-Fe2O3
nanorods and deposition of very small gold particles in the pores for catalytic
oxidation of CO. Chem. Mater., 19(19): 4776-4782.
Zhong, Z., Lin, J., Teh, S.P., Teo, J. & Dautzenberg, F.M. (2007). A rapid and efficient method
to deposit gold particles onto catalyst supports and its application for CO oxidation
at low temperatures. Adv. Funct. Mater., 17(8): 1402-1408.
Part 2
Testing Technology
7
Iron Oxide Nanoparticles Imaging

Tracking by MR Advanced Techniques:
Dual-Contrast Approaches
Shengyong Wu
Medical Imaging Institute of Tianjin
China
1. Introduction
Recently a number of imaging modalities have been presented for cellular imaging
including magnetic resonance imaging (MRI), optical imaging, and positron emission
tomography (PET) based on the background of growing demand for molecular imaging to
noninvasively and longitudinally visualize cell migration and track transplanted cells in
vivo, also to monitor cell biodistribution. Cellular MRI, with its superb ability of resolving
soft tissue anatomies in three-dimensions (3D) with high spatial resolution in comparison to
other modalities, is particularly important as a noninvasive tool to provide unique
information on the dynamics of cell migration in vivo (Modo, 2005; Arbab, 2008a; Zhang,
2008).
In vivo MRI of cells is very useful for studying tumors, inflammation, stem cell therapy, and
immune response, etc. Cells labeled with commercially available iron oxide nanoparticles
(iron particles) can be imaged for weeks with MRI. The labeling procedure does not exhibit
any alteration to cell viability or function (Bulte, 2004; Oude Engberink, 2007).
Superparamagnetic iron oxides (SPIO) and ultra-small superparamagnetic iron oxide
(USPIO) particles are commercial MR contrast agents for cell labeling due to their
biocompatibility and strong effects upon T2 and T2* relaxation. Several labeling methods
have been developed to incorporate sufficient quantities of iron into cells. Cellular MRI has
now been widely used for tracking transplanted iron-labeled therapeutic cells in vivo (Bulte,
2004; Oude Engberink, 2007). The technique has recently been introduced into the clinic (de
Vries, 2005). The effect from iron particles is seen as hypointensity or negative-contrast on
T2- and T2*-weighted images because of the shortening of T2 and T2* relaxation times.
However, concerns have been raised that the negative-contrast could be non-specific and
difficult to differentiate from signal hypo-intensities resulting from susceptibility artifacts
(i.e. from the presence of air or other field inhomogeneities), flow related signal losses, and
calcification. Therefore, several positive-contrast and even dual-contrast imaging techniques
have recently been developed for tracking iron-labeled cells. Dual-contrast imaging
effectively permits detection of the presence of iron-labeled cells with both negative- and
positive-contrast within a single image. This chapter illustrates negative- and positive-
contrast MR techniques for tracking iron-labeled cells. Particular attention was paid to
recently developed positive-contrast cell tracking techniques, the status of dual-contrast

approaches of new MRI pulse sequences and image postprocessing techniques and their
perspectives. The new advanced technology in imaging contrast of iron oxide NPs on
multimodal platform will also be introduced.
2. Negative-contrast MRI techniques

Cellular MRI is a newly emerging field of MR research that allows the “non-invasive,
quantitative, and repetitive imaging of targeted macromolecules and biological processes in
living organisms” (Herschman, 2003). Cellular MRI requires that cells are labeled with MR
contrast agent to make them distinct from the surrounding tissues. Iron oxide nanoparticles
are regarded as the most extensively applied contrast agent in cell imaging and cell tracking
studies based on the fact of their strong negative contrast effect, biocompatibility, variety in
core size and coating surface, as well as ease of detection at microscopic level (Muja, 2009).
SPIO and USPIO are currently the predominant MRI contrast agents. The description of the
physical and chemical properties of SPIO and USPIO can be found in recent reviews
(Herschman, 2003; Thorek, 2006; Muja, 2009). The sizes of monocrystalline iron oxide
nanoparticles (MIONs) ≈ 3 nm in diameter, USPIO particles ≈ 15-30 nm, SPIO particles ≈ 60-
180 nm and micron sized iron oxide particles (MPIOs) can be as large as 10 μm (Shapiro,
2005). Some of the SPIO and USPIO agents, such as Endorem (SPIO, Guebert), Ferumoxides
(SPIO, Berlex) and Resovist (USPIO, Schering), are already approved by the Food and Drug
Administration (FDA) and are extensively used for imaging of the liver, central nervous
system (CNS) and lymphatic system (Arbab, 2004b; Helmberger, 2005; Manninger, 2005),
etc. Cationic transfection agents such as poly-L-lysine or the FDA-approved protamine
sulfate are used to increase labeling efficiency in vitro. SPIO particles may decrease T2* by
magnetic susceptibility effect and T2 by dipole-dipole interaction or scalar effect between
protons and magnetic centre. A large magnetisation difference occurs as a result of the
nonhomogeneous distribution of superparamagnetic particles, which gives rise to local field
gradients that accelerate the loss of phase coherence of the spins contributing to the MR
signal. Iron-labeled cells cause significant signal dephasing due to the magnetic field
inhomogeneity induced in water molecules near the cell such that iron-labeled cells were
visualized as signal voids on T2 and T2* weighted images (negative-contrast MR imaging).
Negative-contrast techniques are the most commonly used approach for the detection of the
SPIO-labeled cells.
While cell-based therapies have attracted well attention as novel therapeutics for the
treatment of so many kinds of diseases, investigations (Zhang, 2005; Heyn, 2005, 2006) have
showed that single, living, highly phagocytic large cells, such as macrophages, or human
endothelial cells can be tracked over time in MRI using a 3.0 T even 1.5 T scanner. As an
example of stem cell-based studies, investigators (Anderson, 2005) demonstrated that MRI
of iron-labeled stem cells was directly identified in neovasculature of a glioma model. The
cells were labeled using the ferumoxides/poly-L-lysine complex in vitro and the labeled
cells were then injected in the model, and their migration toward and incorporation into the
tumor neovasculature was visualized in vivo with negative-contrast MRI. Other studies
have shown that ferumoxides-TA labeled human MSCs will home to liver (Arbab, 2004a),
tumors (Khakoo, 2006), or heart (Kraitchman, 2005), illustrated at negative-contrast imaging
with MR scan and confirmed at histologic evaluation. A group (Zhu, 2006) labeled neural
Iron Oxide Nanoparticles Imaging Tracking by
MR Advanced Techniques: Dual-Contrast Approaches 151
stem cells (NSCs) obtained from patients with traumatic brain injury then performed
intracerebral injections of either ferumoxide-labeled or unlabeled cells around the injured
tissue of them as the first study in the field of noninvasive imaging of stem cell treatment of
brain injury, and their serial MRI about 7-10 weeks demonstrated that stem-cell engraftment
and migration after implantation can be detected noninvasively with the use of MRI.
Also, in an early study (Kircher, 2003a), a highly derivatized cross-linked iron oxide (CLIO)
nanoparticle was used to efficiently label cytotoxic T lymphocytes (CTLs) for in vivo
tracking of the injected cells to melanoma cell line at near single-cell resolution, with MRI
and optimized the labeling protocol (three-dimensional nature of the calculated T2 maps),
showing no cytotoxic and not influencing cell behavior or effector function. Despite the fact
that the high spatial resolution given by MRI provides accurate evaluation of morphology of
lymphoid organ, the sensitivity and ability to quantify MR data is still limited when
compared with nuclear medicine based techniques. For MR cell tracking to be clinically
useful, it should be defined for the detection limits of the MR method which will be utilized.
The related clinical studies with 3.0 T scanners suggest that negative-contrast techniques
possibly detect 150,000 Feridex labeled cells after directly injected into the lymph nodes of
patients (de Vries, 2005). Another recent example of study by Laboratory for Gene
Transcript Targeting, Imaging and Repair in Massachusetts General Hospital demonstrated
that functionalization allows SPIO nanoparticles to be targeted, and it showed that their
phosphorothioate-modified DNA probes linked to SPIO could be used to identify
differential gene expression due to amphetamine exposure with high reliability using the
calculation of rate of signal reduction (R2*) in T2*-weighted MR images (Liu, 2009). There are
also extensive published works with detailed descriptions of many aspects of labeled cells
for detection with negative-contrast MRI (Ferrucci, 1990; Bulte, 2004b; Hsiao, 2007;
Gonzalez-Lare, 2009). Those and many of other preclinical studies have provided evidences
for the potential translation of iron oxide NPs labeling and cellular MR imaging to the clinic
applications.
An important property of USPIO is its ability to shorten T1 and T2 relaxation times (Small,
1993; Li, 2005). USPIO-labeled cells can be tracked in T1 and T2/T2* weighted images, which
should increase the accuracy and the specificity for detection of the labeled cells (Kelloff,
2005), such as in imaging assessment on angiogenesis of tumor (Niu, 2011), atherosclerotic
plaques (Metz, 2011), or arthritis (Lefevre, 2011). USPIO nanoparticles recently have shown
potential in the imaging of molecular biomarkers, such as integrins that are heterodimeric
transmembrane glycoproteins, a family of adhesion molecules playing a major role in
angiogenesis and tumor metastasis (Chen, 2009; Tan, 2011).
Much of the progress in detecting individual iron-labeled cells has achieved from
improvements in contrast agent design that increases targeting and intracellular uptake
properties (Cerdan, 1989; Weissleder, 1990; Bulte, 2001; Zhao, 2002). Improvements in MR
hardware and pulse sequence design also have played an important role during recent
progress in this area of research. Although negative-contrast MRI has shown promise as a
means to visualize labeled cells (Hogemann, 2003; Heyn, 2005), some remaining issues may
hamper its wide applications: (1) it is difficult to distinguish the signal voids of labeled cells
from those of complex background tissue signals; (2) With the resulting signal void as the
means for detection, partial-volume effects are often severe and go far beyond the real cell
size; (3) it is difficult to discriminate iron-induced susceptibility changes from those caused
by other susceptibility artifacts due to i.e. air/tissue interfaces, or peri-vascular effects.
3. Positive-contrast and dual-contrast MRI techniques

The “white-marker imaging” positive-contrast mechanism was introduced by
Seppenwoolde et al. in 2003 (Seppenwoolde, 2003). Since then, several groups have
developed positive-contrast or dual-contrast pulse sequences for tracking iron-labeled cells
in vitro and in vivo (Table 1).
3.1 Gradient-dephasing technique: “white-marker” imaging

“White-marker” imaging was initially presented to create positive-contrast around
paramagnetic intravascular device markers used in magnetic-resonance-based interventional
procedures (Seppenwoolde, 2003). The gradient-dephasing technique uses a slice gradient to
dephase the background water signal followed by an incomplete gradient rephasing pulse
which was exploited for the depiction and tracking of paramagnetic susceptibility markers.
Local magnetic field inhomogeneities were selectively visualized with positive-contrast, such
as those created by iron-labeled cells for "white-marker" imaging. Advanced methods were
developed to separate magnetic susceptibility effects from partial volume effects in “white
marker” imaging in order to avoid compromising the identification of magnetic structures
(Seppenwoolde, 2007). However, this method is only sensitive to macroscopic field
inhomogeneities caused by paramagnetic material, to a volume surrounding the paramagnetic
material that is free of other field variations (Zurkiya, 2006).
A similar gradient depashing technique termed gradient echo acquisition for
superparamagnetic particles (GRASP), by dephasing of the background signal, has been
used to detect positive-contrast from superparamagnetic particles based on the
phenomena that the z-rephasing gradient is reduced so that dipolar fields generated by
the cells are rephrased and positive signal can be observed (Mani, 2006a), also to image
ferritin deposition in a rabbit model of carotid injury with relatively low concentrations of
iron oxides at 1.5 T MR scanner (Mani, 2006b). The GRASP technique was used to
successfully image low concentrations of ferumoxides (0.05 mM Fe corresponding to 2.8
μg Fe/mL) and ferritin (5 μg Fe/mL) in gel phantoms (Mani, 2006). GRASP “white-
marker” imaging has several advantages including ease of implementation, high
sensitivity, no influence on positive signal due to both B0 and B1 field inhomogeneities,
and fast acquisition with various TE values. The feasibility of GRASP was tested to aid in
dynamically tracking stem cells in a mouse model of myocardial infraction (Mani, 2008).
Using T2*-GRE and GRASP techniques at 9.4 T scanner, iron-labeled embryonic stem cells
were visualized in the border zone of infarcted mice at 24 hours, and 1 week following
implantation. The positive signal in areas containing iron-loaded stem cells corresponded
precisely with the signal loss detected within images produced with conventional GRE
sequences. Regions that contained iron-labeled cells were confirmed by histology (Mani,
2008). The presence of the signal loss because of iron-labeled cells would have been
difficult to detect on T2*-weighted images without using the positive-contrast sequence.
The region of the myocardium containing the iron-labeled cells was clearly visible when
both GRASP and T2*-weighted techniques (dual contrast imaging) were applied. Dual-
contrast effects act to extend the signal change well beyond the location of the particle or
MR sequences Contrast Experimental Biological target Application and

agents conditions Results
gradient- Ferritin In vitro and Endogeneous Crush injured rabbit
dephasing in vivo ferritin carotid arteries
technique &
GRASP Myocardial infraction
Ferumoxides In vitro and Embryonic stem
in vivo cell-derived
cardiac precursor
cell Injected into the hind
limb of mouse
Ferumoxides In vitro and Embryonic stem
in vivo cell line TL-1
off-resonance Ferumoxides In vitro and SPIO-luc-mouse Injection into hindlimbs

(OR) method in vivo embryonic stem of mouse
cell
Off-resonance mMION/ Gel phantom/ the vβ3-expressing molecular imaging of

saturation SPPM in vivo microvasculature cancer
IRON MION-47 In vivo Macrophage Atherosclerotic plaque

technique
MR lymphography
MION-47 In vivo Macrophage
SR-SPSP Ferumoxides In vitro and Human bone Injection into the hind
sequence in vivo marrow stromal legs of mouse
cells
FLAPS Ferumoxides In vitro and GFP-R3230Ac cell Injection into the hind
sequence in vivo line legs of rat
UTE imaging Ferumoxides In vitro and G6 glioma cells Implanted cellular

in vivo imaging
SWEET Ferumoxides in vivo Human epidermal Visualization of
sequence carcinoma cells magnetically labeled
tumor cells
Note: GRASP, superparamagnetic particles/susceptibility; IRON, oxide nanoparticles–resonant water
suppression; SR-SPSP, self-refocused spatial-spectral; FLAPS, fast low-angle positive contrast steady-
state free precession; UTE, ultrashort echo-time
Table 1. Summary of Previously Published Studies of Positive- and Dual-contrast
Techniques
cell itself. This form of signal amplification increases sensitivity in detecting the labeled
cells within a complex image background. With the use of signal amplification, potential
future applications of (U)SPIO include ‘doping’ of therapeutic cell preparations with a
small fraction of labeled cells, to allow cell tracking without altering the majority of the
cells. This would allow for better delineation and identification of labeled cells with both
techniques. The challenge for both techniques is the difficulty associated with attempting
to quantify the concentration of the labeled cells in vivo because of the susceptibility
artifact produced via the iron particles.
Generally, to resolve issues associated with volume averaging and other artifacts that may
limit the clinical utility of MRI to detect iron labeled cells (especially in tissues other than the
brain), GRASP technique has been developed to differentiate between the signal generated
by the cells and signal loss cause by various artifacts (Mani, 2006, 2008), and to specifically
avoid the signal loss generated by the iron laden cells to be confused with signal caused by
other sources (motion, perivascular effects, coil inhomogeneities, etc.). In the recent study
(Briley-Saebo, 2010), the GRASP sequence was also used to both detect and confirm the
presence of the Feridex labeled dendritic cells (DCs) in the draining lymph nodes of nude
mice 24 h after footpad injection. The results showed the possibility to detect and
longitudinally track ex vivo human DC vaccines in the spleen of mice for up to 2 weeks,
with greater lymphoid targeting observed following i.v. injection, relative to subcutaneous
foot-pad injection; also showed good correlation between in vivo R2* values on a 9.47 Tesla
dedicated mouse scanner and Feridex concentration, with detection limits of 3.2% observed
for the spleen. But investigators didn’t detect the Feridex labeled cells within the liver and
spleen using the GRASP sequence while they indicated that, the dipole effects would be
limited and signal enhancement would not be observed when the iron particles being
homogenously distributed over a large volume (such as the liver or spleen). They further
demonstrated the values of nodes the white marker sequence, GRASP, in accurate detection
and identification of Feridex labeled DCs in superficial lymph, and indicated that the
appropriate utilization of animals models and MR validated imaging strategies might allow
for the optimization of human DC vaccine therapies and improved therapeutic success,
whereas white marker sequences maybe most effective when the iron laden cells being
compartmentalized within a limited volume (such as in lymph nodes, tumors, or
myocardium). On the basis of a recent report (Sigovan, 2011) of the feasibility study on a
positive contrast technique, GRASP at a relatively high field 4.7 T, for a novel
superparamagnetic nanosystem designed for tumor treatment under MRI monitoring,
investigators found that the magnetic nanoparticles for drug delivery can be detected using
positive contrast, and suggested that the combined negative and susceptibility methods
allow good quality images of large magnetic particles and offer their follow-up for
theranostic applications.
3.2 Off-resonance Imaging (ORI)

Off-resonance MRI approaches have also been developed to produce positive-contrast. With
this method, a spectrally selective radio frequency (SSRF) pulse was used to excite only the
susceptibility-shifted, or ‘off-resonance’, water signals (Cunningham, 2005; Foltz, 2006), at
the frequency shift induced by the iron particles. Since only the off-resonance signal due to
iron particles are excited and refocused, the background on-resonance signal is largely
eliminated.
Iron-labeled mouse embryonic stem cells were imaged as positive-contrast through
suppression of background tissue with these off-resonance methods (Suzuki, 2008). A spin-
echo sequence was used with million-fold (120 dB) suppression of on-resonance water by
matching the profiles of a 90° excitation and a 180° refocusing pulse. The positive-contrast
signal from the volume of cells was affected by how well the excitation profile was defined.
The method is therefore inherently limited by the complication associated with unwanted
magnetization from the regions that suffer from chemical shift or susceptibility-related
artifacts (e.g., from fat/lipid present in the region of interest and/or imperfect B0 shimming,
due to air/tissue interfaces, etc.) (Farrar, 2008). Although ORI techniques are being
increasingly used to image iron oxide imaging agents such as MION, the diagnostic
accuracy, linearity, and field dependence of ORI have not been fully characterized. After the
sensitivity, specificity, and linearity of ORI were examined as a function of both MION
concentration and magnetic field strength (4.7 and 14 T), and MION phantoms with and
without an air interface as well as MION uptake in a mouse model of healing myocardial
infarction were imaged, the linear relationship between MION-induced resonance shifts and
with MION concentration were illustrated, whereas T2 showed comparable to the TE and
then decreasing after increasing initially with MION concentration and the ORI
signal/sensitivity being highly non-linear. Improved specificity of ORI in distinguishing
MION-induced resonance shifts and linearity can be expected at lower fields (4.7 T, on-
resonance water linewidths 15 Hz) with on-resonance water linewidths decreased, air-
induced resonance shifts reduced, and longer T2 values observed, thus ORI will be likely
optimized at low fields with very short TEs choosing and with moderate MION
concentrations. Off-resonance approaches generate positive contrast but have a lower
sensitivity than T2*-weighted imaging and are more complex to perform at high field
strengths. Superparamagnetic iron-oxide nanoparticles become saturated above 0.5 Tesla
and thus have equal sensitivity at clinical field strengths (1.5–3.0 T) and at the higher field
strengths often used in preclinical studies (Sosnovik, 2009).
An alternative off-resonance technique termed inversion-recovery with on-resonant water
suppression (IRON) sequence was proposed by a serial studies from one lab (Stuber, 2005,
2007). The IRON method used a spectrally-selective saturation pre- pulse to suppress the
signal originating from on-resonant protons in the background tissue while preserving the
signal from off-resonant spins in proximity to the iron particles. However, since the size of
the signal-enhanced region is dependent on the bandwidth of the water suppression pulse,
this scheme requires extra steps to adjust the center frequency and bandwidth of the pre-
pulse to locate the exact site proximal to the cells. IRON sequence has been successfully
applied for in vivo tracking of iron-loaded stem cells (Stuber, 2007).
The utility of IRON method combined with injection of the long-circulating MION-47 has
been recently evaluated by investigators in Johns Hopkins University School of Medicine
(Korosoglou, 2008a) for developing a novel contrast-enhanced MR angiography technique.
One important aspect of the study was fat suppression for the IRON sequence with an initial
radiofrequency pulse offset by 440 Hz at 3.0 T, and with spin inversion, to cause zero
longitudinal magnetization of the targeted species for the radiofrequency pulses (105° for
fat, 100° for water), which obviously shortened the subsequent recovery time. The usage of
MION-47 allowed acquisition of multiple image sets over a 1- or 2-day period with high
spatial resolution.
IRON techniques with a commercially available MION-47 were recently employed to detect
macrophage-rich atherosclerotic plaques in a rabbit model of atherosclerosis (Korosoglou,
2008b), in which pre-contrast imaging was performed in 7 Watanabe rabbits and 4 control
New Zealand rabbits, and post-contrast imaging was repeated on days 1 and 3 after
intravenous injection of MION-47. A second injection was performed on day 3 after imaging
and post-contrast imaging performed again on day 6. There was a significant increase in
signal intensity within aortic atherosclerotic plaques following administration of MION-47
(48% increase on day 3 and 72% increase on day 6) versus hypointensity (negative-contrast)
in conventional MR images, but no enhancement was seen in control rabbits that lacked
atherosclerosis. The positive-contrast regions corresponded to regions demonstrating
deposition of iron particles within macrophage-rich atherosclerotic plaques. These findings
not only validated that MION-47 is a successful imaging agent for macrophage-rich
atherosclerosis, but also suggested that positive-contrast IRON MRI can be applied to the
general class of iron oxide particles. This is significant as USPIO-enhanced MR imaging has
been previously studied in human (Trivedi, 2006); enabling IRON MRI sequences to be
directly applied to patient care.
Korosoglou et al. also investigated the utility of IRON techniques and MION-47 to create
positive-contrast MR-lymphography (Korosoglou, 2008c). After six rabbits received a single
bolus injection of 80 mmol Fe/kg MION-47, MRI was performed at baseline, 1 day, and 3
days using conventional T1- and T2*-weighted sequences and IRON. On T2*-weighted
images, as expected, signal attenuation was observed in areas of para-aortic lymph nodes
after MION-47 injection. However, using IRON the para-aortic lymph nodes exhibited very
high contrast enhancement, which remained 3 days after injection. IRON in conjunction
with iron particles can be therefore used to perform positive-contrast MR-lymphography,
particularly 3 days after injection of the contrast agent, when signal is no longer visible
within blood vessels. The proposed method may have the potential as an adjunct for nodal
staging in cancer screening.
Iron-labeled radioembolization microspheres were visualized for in vivo tracking during
trans-catheter delivery to VX2 liver tumors in a rabbit model (Gupta, 2008). The study was
performed for real-time observation of microsphere delivery with dual-contrast techniques.
The results showed significant changes in post-injection contrast-to-noise ratio (CNR) values
from those of pre-injection at positions of microsphere deposition with both negative- and
positive-contrast.
The off-resonance MRI method possesses some advantages including no need for dephasing
gradients or saturation pulses, high suppression efficiency, and flexible selection of the
excited frequency band to encompass spins in the vicinity of the iron particles without fat
tissue off-resonance. This technique, however, was not slice-selective such that it can result
in interference from insufficiently suppressed background signals or less background signal
with regions of greater susceptibility excluded from the selected slice. This technique can
also cause less on-resonant signal to be suppressed, has less flexibility in RF pulse design,
and can lead to less erroneous off-resonant signal detection in a multi-slice manner with
individually shimmed slices (Zurkiya, 2006).
The off-resonance saturation method has been developed by Zurkiya and Hu, in which
water protons are imaged with and without the presence of an off-resonance saturation
pulse (Zurkiya, 2006). This method relies on diffusion-mediated saturation transfer to
reduce the on-resonance MRI signal due to the off-resonance saturation (ORS) pulse,
similar to chemical exchange saturation transfer techniques (Ward, 2000). This approach
has been verified that greatly improved tumor detection accuracy over the conventional
T2*-weighted methods because of its ability to turn "ON" the contrast of
superparamagnetic polymeric micelles (SPPM) nanoparticles (Khemtong, 2009). SPPM
nanoparticles encoded with cyclic (RGDfK) ligand (arginine-glycine-aspartic acid), cRGD,
were able to target the αvβ3-expressing microvasculature in A549 non-small cell lung
tumor xenografts in mice. The results suggest that the combination of ORS imaging with
cancer-targeted SPPM nanoparticles will show promise in detecting biochemical markers
at early stages of non–small cell lung tumor development, and could further enhance the
sensitivity of contrast and provide new opportunities in imaging biomarkers setting of in
vivo tumor target.
The study (Zurkiya, 2008) transfected cells with genes from magnetotactic bacteria (i.e.,
MagA) under doxycycline-regulated gene expression, resulting in the intracellular
production of iron oxide nanoparticles similar to synthetic SPION. MagA-expressing cells
could be visualized by MRI after transplantation in the mouse brain after 5 d of induction
with doxycycline. The generalized implementation of these techniques as treatment
strategies in stem cell tracking needs to be explored. Investigators have recently inserted
magnetic reporter genes into cells. After the expression of iron storage proteins formed
stored iron then MRI can be used to detect it. Another transgene reporter, an adenoviral
vector carrying a transgene for light- and heavy-chain ferritin protein to transfect cells has
been shown that they could be detected by in vivo magnetic resonance imaging (Genove,
2005).
Balchandani et al. recently developed a self-refocused spatial-spectral (SR-SPSP) pulse, which
is successful in creating positive-contrast images of SPIO-labeled cells (Balchandani, 2009).
This pulse can enable slice-selective, spin-echo imaging of off-resonant spins without an
increase in TE, which is essentially a phase-matched 90◦ SPSP pulse and a 180◦ SPSP pulse
combined into one pulse. This results in a considerably shorter TE than possible with two
separate pulses. The simultaneous spatial and spectral selectivity allows the imaging of off-
resonant spins while selecting a single slice. The SR-SPSP pulse is also suitable for any
application requiring spatial and spectral selectivity, such as tracking metallic devices or
replacing standard pulses in MR spectroscopic imaging sequences. More recently a novel
combination of off-resonance (ORI) positive-contrast MRI and T(2ρ) relaxation in the rotating
frame (ORI-T2ρ method) for positive-contrast MR imaging of USPIO in a mouse model of burn
trauma and infection with Pseudomonas aeruginosa (PA), was also reported to have direct
implications in the longitudinal noninvasive monitoring of infection, and show promise in
testing the new-developed anti-infective compounds (Andronesi, 2010). The same group also
reported that ORI-T2ρ method proved to have slightly higher sensitivity than ORI, and MR
imaging clearly showed migration and accumulation of labeled MSCs to the burn area which
can be confirmed by histology staining for iron labeled cells (Righi, 2010).
3.3 Fast low angle steady-state free precession (FLAPS) sequence

FLAPS imaging has been proposed for time-efficient acquisition of off-resonance positive-
contrast images (Dharmakumar, 2007). The technique takes advantage of the unique spectral
response of the steady-state free precession (SSFP) signal to achieve signal enhancement
from off-resonant spins while suppressing signal from on-resonant spins at relatively small
flip angles (Dharmakumar, 2006). Besides the positive-contrast generated by the weakly off-
resonant spins, the spins in and around the core of the local magnetic susceptibility (LMS)-
shifting media (such as labeled cells) experience large deviations from the central frequency
leading to intra-voxel dephasing that was observed as negative-contrast in FLAPS images.
So this technique has the capability to identify the presence of labeled cells with both
negative- and positive-contrast within a single image.
Zhang et al. recently investigated the feasibility of imaging iron-labeled green fluorescent
protein (GFP)-expressing cells with the dual-contrast method and compared its measurements
with traditional negative-contrast technique (Zhang, 2009). The GFP-cell was incubated for 24
hours using 20 mg Fe/mL concentration of SPIO and USPIO nanoparticles. The labeled cells
were imaged using the FLAPS technique, and FLAPS images with positive-contrast were
compared with negative-contrast T2*-weighted images. The results demonstrated that SPIO
and USPIO labeling of GFP cells had no effect on cell function or GFP expression, and the
labeled cells were observed as a narrow band of signal enhancement surrounding signal voids
in FLAPS images. Positive- and negative-contrast images were both valuable for visualizing
labeled GFP-cells. MRI of labeled cells with GFP expression holds great potential for
monitoring the temporal and spatial migration of gene markers and cells, and enhances our
understanding of cell- and gene-based therapeutic strategies. These findings suggested that the
dual-contrast nature of the FLAPS approach offers significant advantages to the field of
cellular MRI. A highly sought feature of cellular imaging is the quantification of labeled cells.
Past studies have shown that it may be possible to define a relation between number of cells
and MR transverse relaxation time constants (apparent T2 or T2*). However, since the
specificity of the labeled cells is often compromised in GRE images, it is often difficult to use
the time constant thus derived as a reliable metric to quantify the number of cells. These
previous FLAPS investigations showed that local contrast was exponentially related to the
number of cells. Furthermore, the dual-contrast filter, using an image metric that is analogous
to local contrast, can provide additional quantitative information regarding those regions
containing the labeled cells. This technique still could be limited by the magnetic perturbations
around MNPs. A careful investigation of how the output of dual-contrast image filters can be
used to derive quantitative information regarding the concentration of labeled cells from in
vivo images has been demonstrated (Dharmakumar, 2009).
3.4 Ultra short echo time methods

It has been introduced that ultrashort echo-time (UTE) imaging had capability of imaging
materials with extremely short T2 and very fast signal decay (Robson, 2006; Rahmer, 2009),
and did as a new and promising approach that allowed the detection of short-T2 signal
components, such as tendons, ligaments, menisci, periosteum, and cortical bone before
signals within these tissues decay to a level where they were not observable with
conventional spin echo pulse sequences. Due to the very short TE (on the order of 1/10 ms)
used for UTE imaging, only negligible T2 decay occurs before sampling, and consequently
high signal from the short-T2 components can be obtained. Coolen et al. reported that MRI
parameters could be optimized for positive-contrast detection of iron-oxide labeled cells
using double-echo Ultra-short echo time (d-UTE) sequences (Coolen, 2007). During these
studies, there was a linear correlation between signal intensity and concentration USPIO
labeled cells. Another group found that the enhancement due to the presence of short T2
USPIO accumulation generally agreed with signal loss within GRE images during ex vivo
MR of aorta atherosclerotic rabbit (Crowe, 2005).
Liu et al. recently measured ultrashort T2* relaxation in tissues containing a focal area of
SPIO nanoparticle-labeled cells. MRI experiments in phantoms and rats with iron-labeled
tumors demonstrated that these cells can be detected even at ultrashort T2* down to 1 ms or
less (Liu, 2009). The authors suggested that combining ultrashort T2* relaxometry with the
multiple gradient echo T2* mapping techniques should improve the ability to measure the
relaxation of tissues with high densities of implanted iron- labeled cells. In another
investigation, T1-weighted positive contrast enhancement from SPIO particles was achieved
from the UTE imaging then this sequence, taking advantage of the unique effect of MNPs on
relaxation time domain, was also examined to validate its positive contrast imaging
capability of “probe” targeting to U87MG human glioblastoma cells through an SPIO
conjugated RDG with high affinity to the cells overexpressing integrin αvβ3 (Zhang, 2011).
So the study was regarded as providing a dual contrast imaging method from UTE
technique plus T2-weighted TSE images in its application of molecular imaging of glioma
with potential quantification of SPIO nanoparticles suggested by previously published
report (Liu, 2009).
The more recent study (Girard, 2011) showed that both contrast mechanisms of optimizing
T1 contrast from UTE technique with conventional T2* contrast of SPIO, even an extra
subtraction of a later echo signal from the UTE signal, could be powerful both in improving
the specificity by providing long T2* background suppression and increasing detection
sensitivity, in molecular imaging application of tumor-targeted IONPs in vivo. A hybrid
sequence, PETRA (Pointwise Encoding Time reduction with Radial Acquisition) (Grodzki,
2011), combined the features of single point imaging with radial projection imaging with no
need of hardware changes, to show shorter encoding times over the whole k-space and to
enable higher resolution for tissue with very short T2, compared to the UTE sequence, so
that it could avoids problems derived from the UTE but with good image quality and might
improve e.g. orthopedic MR imaging as well as MR-PET attenuation correction. A 3D
imaging technique (Seevinck, 2011) from the group in University Medical Center Utrecht,
The Netherlands, applying center-out RAdial Sampling with Off-Resonance reception (co-
RASOR) by the using of UTE technique (for the minimization of subvoxel dephasing at
locations with high magnetic field gradients in the vicinity of the magnetized objects), and a
hard, nonselective RF block pulse and radial sampling of k-space, was also presented to
depict and accurately localize small paramagnetic objects with high positive contrast but
ideally without background signal.
3.5 Others new MRI pulse sequences and image postprocessing techniques
Several other new sequences were reported on positive- and dual-contrast methods of MR
cell tracking. Kim et al. recently developed simple means of detecting iron-labeled cells by
using susceptibility weighted echo-time encoding technique (SWEET) (Kim, 2006). The
subtraction of two sets of image volumes acquired at slightly-shifted echo time generates
positive-contrast at the cell position. In a more recent study, the SWEET method was
employed to selectively enhance the effect of the magnetic susceptibility caused by SPIO-
labeled KB cells (KB cell is a cell line derived from a human carcinoma of the nasopharynx,
used as an assay for antineoplastic agent). It was also demonstrated that this method could
be used to visualize SPIO-labeled KB cells and their tumor formation in mice for at least a 2-
week period (Kim, 2009).
Dual-contrast images can also be achieved by applying T2*-weighted imaging combined
with different post-processing techniques from the magnetic field map (Ward, 2000;
Zurkiya, 2006). A susceptibility gradient mapping (SGM) technique has been recently
developed, in which a color map of 3D susceptibility-gradient vector for every voxel is
generated with calculated echo-shifts, and the map presents a 3D form of a positive-contrast
images (Dahnke, 2008; Liu, 2008). Hyperintensities of SGM were seen in areas surrounding
the 1×106 ferumoxides/protamine sulfate complex labeled flank C6 glioma cells of
experimental rat model. The sensitivity of the method was compared to white-marker and
IRON positive-contrast methods for visualizing the proliferation of tumor cells for labeled
tumors that were approximately 5mm (small), 10 mm (medium) and 20 mm (large) in
diameter along the largest dimension (Liu, 2008). The number of positive voxels detected
around small and medium tumors was significantly greater with the SGM technique than
those with the other two techniques, while similar as the “white-marker” technique for large
tumors that could not be visualized with the IRON technique. The SGM is a post-processing
technique and its positive-contrast images can be derived directly from the T2*-weighted
images without requiring dedicated positive-contrast pulse sequences, thereby it can
provide the flexibility to display susceptibility gradients or suppress susceptibility artifacts
in specific directions; not like the “white marker” or IRON techniques that require
specialized pulse sequence designs and extra scans in addition to those obtained for
conventional anatomic imaging. With SGM the hyperintense regions on positive-contrast
images originating from SPIO labeled cells can be easily differentiated from other signal
voids in T2 or T2*-weighted images.
The phase gradient mapping (PGM) techniques have recently developed independently by
two groups, one related derived phase gradient maps from standard phase images also
including a phase unwrapping procedure to assist the analysis and characterization of
object-induced macroscopic phase perturbations (Bakker, 2008); another one utilized fast
Fourier transform (FFT) to form phase gradients and develop positive contrast maps by the
use of PGM but without need of phase unwrapping, so as to be appropriate technique for
the visualization of magnetic nanoparticulate system (Langley, 2011; Zhao, 2011). By the
method introduced recently of dual contrast with therapeutic iron nanoparticles at 4.7 T
scanner (Sigovan, 2011), or postprocessing methods, with the measure of the T2*, an efficient
estimation of nanoparticle concentration can be made (Langley, 2011). Applications of two
kind of approaches, the traditional relaxometry method and model-based method, have
demonstrated that, besides the detection of SPIO nanoparticles by positive contrast
methods, quantification of the SPIO concentration also play important role in clinical
evaluation of results from different treatments with monitoring cellular therapies, and the
former derives from the signal decay associated with areas containing contrast SPIO
particles (Kuhlpeter, 2007; Rad, 2007; Liu, 2009), assuming that the rate varies linearly with
contrast agent concentration; the later derives from the formation of magnetic field by SPIO-
containing region (Dixon, 2009).
3.6 T1 & T2 (T2*) multi-contrast for cell tracking

As introduced in as earlier as 1990s, it is possible to achieve positive contrast and dual
contrast with superparamagnetic particles by employing T1- and/or T2-weighted sequences
(Canet, 1993; Chambon, 1993; Small, 1993). Although most earlier clinical trials with
magnetic nanoparticles as contrast agents were evaluated almost exclusively on T2-w fast
spin echo (FSE) and T2*-w gradient echo (GRE) sequences, and the strong T1 contrast
enhancement effect of magnetic nanoparticles has rarely been used in clinical and molecular
imaging (Reimer, 1995; Yamamoto, 1995; Tang, 1999), the effect of SPIO or USPIO on proton
relaxation is not confined to T2 and T2* effect. They should be considered to influence T1
relaxivity with increased SI on T1-w GRE sequences at low concentrations. For in vivo
imaging application of MNPs, optimal combination of negative and positive contrast
methods is still under evaluation.
Superparamagnetic iron oxide particles (SPIO) were used shortly after gadolinium-chelate
magnetic resonance (MR) contrast agent as well known, while USPIO being the strong T2
relaxivity that produces negative contrast also a high T1 relaxivity with an increase in SI on
T1-weighted images (Small, 1993), so that a biphasic imaging sequence protocol (only
immediate postadministration and 20-24 hr delayed images) in the in vivo study allowed
visualization of the dynamic enhancement patterns of both normal tissue and potentially
tumor based on early T1-shortening effects produced by intravascular USPIO particulate
agent (BMS 180549, previously AMI-227) and marked T1-shortening produced following
agent uptake by liver and spleen, as well as showed markedly less T2-shortening at 20-24 hr
within both liver and spleen.
The more recent investigation (Zhang, 2011) demonstrated that an appropriate SPIO core
size and concentration range was paid much attention to obtain positive contrast with UTE
imaging, and this technique could be used with the receptor targeted SPIO molecular
imaging probe so as to provide an opportunity for monitoring cancer cells with
overexpression of integrin αvβ3 in addition to negative contrast by the approach of T2
relaxometry mapping.
Investigators recently synthesized a biocompatible water-dispersible Fe3O4–SiO2–Gd–
DTPA–RGD nanoparticle with r1 relaxivity of 4.2 mm−1s−1 and r2 relaxivity of 17.4 mm−1s−1
at the Gd/Fe molar ratio of 0.3:1, indicating the potential to use this multifunctional agent
for dual-contrast MR imaging of tumor cells over-expressing high-affinity αvβ3 integrin in
vitro and in vivo (Yang, 2011).
4. Imaging contrast of IRON-labeled cell on multimodular platform

MRI can be commonly used to set up a kind of nanomedicine platform for applications of
multimodality probe to obtain information about concomitant anatomic, chemical, and
physiological features of body. This kind of approach has been found under the
background that, the nanomedicine platform could capitalize on the availability of

specific probes, while achieving an theranostic (integrated diagnostic and therapeutic)
design to allow for the visualization of therapeutic efficacy by noninvasive imaging
methods such as MRI (Guthi, 2010), for example, in the field of tumor imaging researches,
the combination of diagnostic capability with therapeutic intervention is critical to
address the challenges of cancer heterogeneity and adaptive resistance, also molecular
diagnosis by imaging is important to verify the cancer biomarkers in the tumor tissue and
to guide target-specific therapy. It has been thought that ideal multimodality imaging
probes enhance capabilities from complementary imaging modalities to enable both
noninvasive and invasive molecular imaging (e.g, via probes with MRI and NIR
fluorescence reporter capabilities) and to facilitate verification of disease detection and
deliver additional evidences for the pathology (eg, probes with reporter capabilities for
both positron emission tomography and MRI) (Kircher, 2003b; Lee, 2008). As for the
establishment and utilizations of multimodular platform, such as optical and
multimodality molecular imaging; multifunctional PET/MRI contrast agent; focused
ultrasound/magnetic nanoparticle targeting delivery; design magnetic nanoparticles, etc,
some topics are beyond of the scope of this chapter, and some good review papers have
already published, so readers are recommended to check them (Jaffer, 2009; Chomoucka,
2010; Liu, 2010; Veiseh, 2010).
Guthi et al. recently introduced a multifunctional methoxy-terminated PEG-b-PDLLA
micelle system that was encoded with a lung cancer-targeting peptide (LCP) and loaded
with SPIO together with doxorubicin for MR imaging and therapeutic delivery in their in
vitro study of a lung cancer (Guthi, 2010), they presented a significantly increased cell
targeting, micelle uptake, superb T2 relaxivity for ultrasensitive MR detection and cell
cytotoxicity in αvβ6-expressing lung cancer cells, with confocal laser scanning microscopy of
Doxo fluorescence also used to study the targeting specificity of LCP-encoded micelles to
αvβ6-expressing H2009 over the αvβ6-negative H460 cells. The same micelles were previously
conjugated with a cRGD ligand that can target αvβ3 integrins on tumor endothelial (SLK)
cells (Nasongkla, 2006), illustrating growth inhibition of tumor SLK cells with ultrasensitive
detection by MRI. The same lab in University of Texas Southwestern Medical Center at
Dallas has previously demonstrated a multi-functional micelle design that allows for the
vascular targeting of tumor endothelial cells, MRI ultrasensitivity, and controlled release of
doxorubicin (Doxo) for therapeutic drug delivery (Nasongkla, 2006; Khemtong, 2009).
Investigators (Guthi, 2010) found that SPIO-clustered polymeric micelle design has
considerably decreased the MR detection limit to subnanomolar concentrations (< nM) of
micelles through the increased T2 relaxivity and high loading of SPIO per micelle particle;
suggested that, on that multifunctional platform, the application of positive contrast
imaging, such as ORS, could further enhance the contrast sensitivity and allow for the in
vivo imaging of tumor-specific markers.
The proposed approaches of dual imaging (e.g. with CLIO modified with a NIR
fluorophore, therapeutic siRNA sequences, and a cell penetrating peptide for cancer)
Medarova, 2007), even multi-modular imaging (e.g. with triple functional iron oxide
nanoparticles) (Xie, 2010) demonstrate potential for the creation of targeted multifunctional
nanomedicine platforms.
5. Perspectives
There is an increasing interest in using cellular MRI to monitor behavior and physiologic
functions of iron-labeled cells in vivo. Iron particles provide good MR probing capabilities
and some of these agents are currently available for clinical applications. Based on the fact
that iron particles exhibit unique nanoscale properties of super-paramagnetism and have the
potential to be utilized as excellent probes for cellular imaging and molecular imaging,
several MR techniques have recently been proposed to increase the detection sensitivity for
image contrast generated with iron-labeled cells, including negative-, positive- and dual-
contrast methods for visualization of iron-labeled cells in vitro and in vivo.
The hyperintense regions on positive-contrast images originating from iron-labeled cells can
be easily differentiated from other signal voids on T2 or T2*-weighted images, therefore
providing a greater degree of certainty in the determination of labeled cells. Moreover, the
hyperintensities appeared to illustrate a greater sensitivity than the dark spots on regular
MR images. Because positive-contrast imaging approaches do not provide sufficient
anatomical information, it is necessary to combine positive-contrast techniques with
conventional gradient echo or spin echo imaging, to achieve dual-contrast. Also, the
combinined gadolinium and SPIO-enhanced imaging in a ‘dual contrast’ MRI could be the
more accurate technique for the detection of rntities, especially of tumors. Additionally,
some new applications of agents for MR imaging have been tested so as to obtain dual-
contrast agents for noninvasive imaging studies. Dual-contrast MRI techniques for in vivo
cell tracking will add to the growing armamentarium for preclinical cellular MR imaging
and further demonstrate the value and diagnostic power of molecular MR imaging, and
multifunctional iron oxide nanoparticles together with MRI will have unique advantages
with diagnostic and therapeutic capabilities. Simutaneously, the “concept” of dual-contrast
imaging can be expaned into imaging evaluation on the platform of dual-modality (or even
multimodal approach) including the simultaneous MRI-PET of new method for functional
and morphological imaging with blooming perspectives for further development.
While much progress has been made to date, many challenges still face cellular MRI
approaches aimed at assessing the migration, homing and function of transplanted
therapeutic iron-labeled cells in vivo. For cellular MRI techniques to be successful, the
combined expertise of basic scientists, clinicians and representatives from industry will
undoubtedly be essential.
6. References
Anderson, S., Glod, J., Arbab, A., Noel, M., Ashari, P., Fine, H., & Frank, J. (2005).
Noninvasive MR Imaging of Magnetically Labeled Stem Cells to Directly Identify
Neovasculature in a Glioma Model. Blood, Vol. 105, No. 1, (August 2004), pp. 420-
425, ISSN 0006-4971
Andronesi, O., Mintzopoulos, D., Righi, V., Psychogios, N., Kesarwani, M., He, J., Yasuhara,
S., Dai, G., Rahme, L., & Tzika, A. (2010). Combined Off-resonance Imaging and T2
Relaxation in The Rotating Frame for Positive Contrast MR Imaging of Infection in
a Murine Burn Model. J Magn Reson Imaging, Vol. 32, No. 5, (November 2010), pp.
1172-1183, ISSN 1053-1807
Arbab, A., Jordan, E., Wilson, L., Yocum, G., Lewis, B., & Frank, J. (2004a). In Vivo
Trafficking and Targeted Delivery of Magnetically Labeled Stem Cells. Hum Gene
Ther, Vol.15, No. 4, (July 2004), pp. 351–360, ISSN 1043-0342
Arbab, A., Yocum, G., Kalish, H., Jordan, E., Anderson, S., Khakoo, A., Read, E., & Frank, J.
(2004b). Efficient Magnetic Cell Labeling with Protamine Sulfate Complexed to
Ferumoxides for Cellular MRI. Blood, Vol. 104, No. 4, (April 2004), pp. 1217-1223,
ISSN 1053-1807
Arbab, A., & Frank, J. (2008). Cellular MRI and Its Role in Stem Cell Therapy. Regen Med,
Vol. 3, No. 2, (March 2008), pp. 199-215, ISSN 1746-0751
Bakker, C., de Leeuw, H., Vincken, K., Vonken, E., & Hendrikse, J. (2008). Phase Gradient
Mapping as an Aid in The Analysis of Object-induced and System-related Phase
Perturbations in MRI. Phys. Med. Biol., Vol. 53, No. 18, (September 2008), pp. N349–
N358, ISSN 0031-9155
Balchandani, P., Yamada, M., Pauly, J., Yang, P., & Spielman, D. (2009). Self-refocused
Spatial-spectral Pulse for Positive Contrast Imaging of Cells Labeled with SPIO
Nanoparticles. Magn Reson Med, Vol. 62, No. 1, (May 2009), pp. 183-192, ISSN 0740-
3194
Briley-Saebo, K., Leboeuf, M., Dickson, S., Mani, V., Fayad, Z., Palucka, A., Banchereau, J.,
& Merad, M. (2010). Longitudinal Tracking of Human Dendritic Cells in Murine
Models Using Magnetic Resonance Imaging. Magn Reson Med, Vol. 64, No. 5,
(October 2010), pp. 1510-1519, ISSN 0740-3194
Bulte, J., Trevor Douglas, T., Witwer, B., Zhang. S, Strable, E., Lewis, B., Zywicke, H., Miller,
B., van Gelderen, P., Moskowitz, B., Duncan, I., & Frank, J. (2001).
Magnetodendrimers Allow Endosomal Magnetic Labeling and In Vivo Tracking of
Stem Cells. Nature Biotechnology, Vol. 19, No. 12, (December 2001), pp. 1141–1147,
ISSN 1087-0156
Bulte, J., & Kraitchman, D. (2004a). Iron Oxide MR Contrast Agents for Molecular and
Cellular Imaging. NMR Biomed, Vol. 17, No. 7, (November 2004), pp. 484–499, ISSN
0952-3480
Bulte, J., & Kraitchman, D. (2004b). Monitoring Cell Therapy Using Iron Oxide MR Contrast
Agent. Curr Pharm Biotechnol, Vol. 5, No. 6, (December 2004) , pp. 567-584, ISSN
1389-2010
Canet, E., Revel, D., Forrat, R., Baldy-Porcher, C., de Lorgeril, M., Sebbag, L., Vallee, J.,
Didier, D., & Amiel, M. (1993). Superparamagnetic Iron Oxide Particles and
Positive Enhancement for Myocardial Perfusion Studies Assessed by Subsecond
T1-weighted MRI. Magn Reson Imaging, Vol. 11, No. 8, (March 2004), pp. 1139–1145,
0730-725X
Cerdan S, Lötscher HR, Künnecke B, Seelig J. (1989). Monoclonal Antibodycoated Magnetite
Particles as Contrast Agents in Magnetic Resonance Imaging of Tumors. Magn
Reson Med, Vol. 12, No. 2, (November 2005), pp. 151–163, ISSN 0740-3194
Chambon, C., Clement, O., Blanche, R., Schouman-Claeys, E., & Frija, G. (1993).
Superparamagnetic Iron Oxides as Positive MR Contrast Agents: In Vitro and In
Vivo Evidence. Magn Reson Imaging, Vol. 11, No. 4, (March 2004), pp. 509–519, ISSN
0730-725X
Chen, K., Xie, J., Xu, H., Behera, D., Michalski, M., Biswal, S., Wang, A., & Chen, X. (2009).
Triblock Copolymer Coated Iron Oxide Nanoparticle Conjugate for Tumor Integrin
Targeting. Biomaterials, Vol. 30, No. 36, (September 2009), pp. 6912–6919, ISSN 0142-
9612
Chomoucka, J., Drbohlavova, J., Huska, D., Adam, V., Kizek, R., & Hubalek, J. (2010).
Magnetic Nanoparticles and Targeted Drug Delivering. Pharmacol Res, Vol. 62, No.
2, (Febuary 2010), pp. 144-149, ISSN 1043-6618
Coolen, B., Lee, P., Shuter, B., & Golay, X. (2007). Optimized MRI Parameters for Positive
Contrast Detection of Iron-oxide Labeled Cells Using Double-echo Ultra-short Echo
Time (d-UTE) Sequences, Proceedings of Intl Soc Magn Reson Med, ISSN 1545-
44362005, Berlin, Germany, May 2007
Crowe, L., Wang, Y., Gatehouse P., Tessier, J., Waterton, J., Robert, P., Bydder, G., & Firmin,
D. (2005). Ex vivo MR Imaging of Atherosclerotic Rabbit Aorta Labelled with
USPIO – Enhancement of Iron Loaded Regions in UTE Imaging, Proceedings of Intl
Soc Magn Reson Med, ISSN 1545-4436, Miami Beach, Florida, USA, May 2005
Cunningham, C., Arai, T., Yang, P., McConnell, M., Pauly, J., & Conolly, S. (2005). Positive
Contrast Magnetic Resonance Imaging of Cells Labeled with Magnetic
Nanoparticles. Magn Reson Med, Vol. 53, No. 5, (April 2005), pp. 999–1005, ISSN
0740-3194
Dahnke, H., Liu, W., Herzka, D., Frank, J., & Schaeffter, T. (2008). Susceptibility Gradient
Mapping (SGM): A New Postprocessing Method for Positive Contrast Generation
Applied to Superparamagnetic Iron Oxide Particle (SPIO)-labeled Cells. Magn
Reson Med, Vol. 60, No. 3, (August 2008), pp. 595–603, ISSN 0740-3194
de Vries, I., Lesterhuis, W., Barentsz, J., Verdijk, P., van Krieken, J., Boerman, O., Oyen, W.,
Bonenkamp, J., Boezeman, J., Adema, G., Bulte, J., Scheenen, T., Punt, C.,
Heerschap, A., & Figdor, C. (2005). Magnetic Resonance Tracking of Dendritic Cells
in Melanoma Patients for Monitoring of Cellular Therapy. Nature Biotechnology,
Vol. 23, No. 11, (October 2005), pp. 1407–1413, ISSN 1087-0156
Dharmakumar, R., Koktzoglou, I., & Li, D. (2006). Generating Positive Contrast from Off-
Resonant Spins with Steady-state Free Precession Magnetic Resonance Imaging:
Theory and Proof-of-principle Experiments. Phys. Med. Biol., Vol. 51, No. 17,
(August 2006), pp. 4201-4215, ISSN 0031-9155
Dharmakumar, R., Koktzoglou, I., & Li, D. (2007). Factors Influencing Fast Low Angle
Positive Contrast Steady-state Free Precession (FLAPS) Magnetic Resonance
Imaging. Phys. Med. Biol., Vol. 52, No. 11, (May 2007), pp. 3261-3273, ISSN 0031-
9155
Dharmakumar, R., Zhang, Z., Koktzoglou, I., Tsaftaris, S., & Li, D. (2009). Dual-contrast
Cellular Magnetic Resonance Imaging. Mol Imaging, Vol. 8, No. 5, (October 2009),
pp. 254-263, ISSN 1535-3508
Dixon, W., Blezek, D., Lowery. L, Meyer, D., Kulkarni, A., Bales, B., Petko, D., Foo, T. (2009).
Estimating Amounts of Iron Oxide from Gradient Echo Images. Magn Reson Med,
Vol. 61, No. 5, (Febuary 2009), pp. 1132–1136, ISSN 0740-3194
Farrar, C., Dai, G., Novikov, M., Rosenzweig, A., Weissleder, R., Rosen, B., Sosnovik, D.
(2008). Impact of Field Strength and Iron Oxide Nanoparticle Concentration on The
Linearity and Diagnostic Accuracy of Off-resonance Imaging. NMR Biomed, Vol. 21,
No. 5, (October 2007), pp. 453-463, ISSN 0952-3480
Ferrucci, J., & Stark, D. (1990). Iron Oxide-enhanced MR Imaging of The Liver and Spleen:
Review of the First 5 years. AJR Am J Roentgenol, Vol. 155, No. 5, (November 1990),
pp. 943-950, ISSN 0361-803X
Foltz, W., Cunningham, C., Mutsaers, A., Conolly, S., Stewart, D., & Dick, A. (2006).
Positive-contrast Imaging in the Rabbit Hind-limb of Transplanted Cells Bearing
Endocytosed Superparamagnetic Beads. J Cardiovasc Magn Reson, Vol. 8, No. 6,
(November 2006), pp. 817–823, ISSN 1097-6647
Frank, J., Anderson, S., Kalsih, H., Jordan, E., Lewis, B., Yocum, G., & Arbab, A. (2004).
Methods For Magnetically Labeling Stem and Other Cells for Detection by In Vivo
Magnetic Resonance Imaging. Cytotherapy, Vol. 6, No. 6, (November 2004), pp. 621–
625, ISSN 1465-3249
Genove, G., DeMarco, U., Xu, H., Goins, W., & Ahrens, E. (2005). A New Transgene
Reporter for In Vivo Magnetic Resonance Imaging. Nat Med, Vol. 11, No. 4, (April
2005), pp. 450–454, ISSN 1078-8956
Girard, O., Du, J., Agemy, L., Sugahara, K., Kotamraju, V., Ruoslahti, E., Bydder, G., &
Mattrey, R. (2011). Optimization of Iron Oxide Nanoparticle Detection Using
Ultrashort Echo Time Pulse Sequences: Comparison of T1, T2*, and Synergistic T1 −
T2* Contrast Mechanisms. Magn Reson Med, Vol. 65, No. 6, (Febuary 2011), pp.
1649–1660, ISSN 0740-3194
Gonzalez-Lara, L., Xu, X., Hofstetrova, K., Pniak, A., Brown, A., & Foster, P. (2009). In Vivo
Magnetic Resonance Imaging of Spinal Cord Injury in The Mouse. J Neurotrauma,
Vol. 26, No. 5, (May 2009), pp. 753-762, ISSN 0897-7151
Grodzki, D., Jakob, P., & Heismann, B. (2011). Ultrashort Echo Time Imaging Using
Pointwise Encoding Time Reduction with Radial Acquisition (PETRA). Magn Reson
Med, Article first published online : 30 JUN 2011, ISSN 0740-3194
Gupta, T., Virmani, S., Neidt, T., Szolc-Kowalska, B., Sato, K., Ryu, R., Lewandowski, R.,
Gates, V., Woloschak, G., Salem, R., Omary, R., & Larson, A. (2008). MR Tracking of
Iron-labeled Glass Radioembolization Microspheres during Transcatheter Delivery
to Rabbit VX2 Liver Tumors: Feasibility Study. Radiology, Vol. 249, No. 3, (October
2008), pp. 845-854, ISSN 0033-8419
Guthi, J., Yang, S., Huang, G., Li, S., Khemtong, C., Kessinger, C., Peyton, M., Minna, J.,
Brown, K., & Gao, J. (2010). MRI-visible Micellar Nanomedicine for Targeted Drug
Delivery to lung cancer cells. Mol Pharm, Vol. 7, No. 1, (Febrary 2010), pp. 32–40,
ISSN 1543-8384
Helmberger, T., & Semelka, R. (2001). New Contrast Agents for Imaging The Liver. Magn
Reson Imaging Clin N Am, Vol. 9, No. 4, (November 2001), pp. 745–766, ISSN 1064-
9689
Herschman, H. (2003). Molecular Imaging: Looking At Problems, Seeing Solutions. Science,
Vol. 302, No. 5645, (October 2003), pp. 605–608, ISSN 0036-8075
Heyn, C., Bowen, C., Rutt, B., & Foster, P. (2005). Detection Threshold of Single SPIO-labeled
Cells with FIESTA. Magn Reson Med, Vol. 53, No. 2, (Febuary 2005), pp. 312–320,
ISSN 0740-3194
Heyn, C., Ronald, J., Mackenzie, L., MacDonald, I., Chambers, A., Rutt, B., Foster, P. (2006).
In Vivo Magnetic Resonance Imaging of Single Cells in Mouse Brain with Optical
Validation. Magn Reson Med, Vol. 55, No. 1, (January 2006), pp. 23–29, ISSN 0740-
3194
Högemann-Savellano, D., Bos, E., Blondet, C., Sato, F., Abe, T., Josephson, L., Weissleder, R.,
Gaudet, J., Sgroi, D., Peters, P., & Basilion, J. (2003). The Transferrin Receptor: a
Potential Molceular Imaging Marker for Human Cancer. Neoplasia, Vol. 5, No. 6,
(November 2003), pp. 495- 506, ISSN 1522-8002
Hsiao, J., Tai, M., Chu, H., Chen, S., Li, H., Lai, D., Hsieh, S., Wang, J., & Liu, H. (2007).
Magnetic Nanoparticle Labeling of Mesenchymal Stem Cells Without Transfection
Agent: Cellular Behavior and Capability of Detection with Clinical 1.5T Magnetic
Resonance at The Single Cell Level. Magn Reson Med, Vol. 58, No. 4, (October 2006),
pp. 717–724, ISSN 0740-3194
Jaffer, F., Libby, P., & Weissleder, R. (2009). Optical and Multimodality Molecular Imaging:
Insights Into Atherosclerosis. Arterioscler Thromb Vasc Biol., Vol. 29, No. 7, (July
2009), pp. 1017-1024. ISSN 1079-5642
Kelloff, G., Krohn, K., Larson, S., Weissleder, R., Mankoff, D., Hoffman, J., Link, J., Guyton,
K., Eckelman, W., Scher, H., O'Shaughnessy, J., Cheson, B., Sigman, C., Tatum, J.,
Mills, G., Sullivan, D., & Woodcock, J. (2005). The Progress and Promise of
Molecular Imaging Probes in Oncologic Drug Develpoment. Clin Cancer Research,
Vol. 11, No. 22, (November 2005), pp. 7967-7985, ISSN 1078-0432
Khakoo, A., Pati, S., Anderson, S., Reid, W., Elshal, M., Rovira, I., Nguyen, A., Malide, D.,
Combs, C., Hall, G., Zhang, J., Raffeld, M., Rogers, T., Stetler-Stevenson, W., Frank,
J., Reitz, M., & Finkel, T. (2006). Human Mesenchymal Stem Cells Exert Potent
Antitumorigenic Effects in A Model of Kaposi's Sarcoma. J Exp Med, Vol. 203, No. 5,
pp. 1235–1247, ISSN 0022-1007
Khemtong, C., Kessinger, C., Ren, J., Bey, E., Yang, S., Guthi, J., Boothman, D., Sherry, A., &
Gao, J. (2009). In Vivo Off-resonance Saturation Magnetic Resonance Imaging of
Alphavbeta3-targeted Superparamagnetic Nanoparticles. Cancer Res, Vol. 69, No. 4,
(Febrary 2009), pp. 1651-1658, ISSN 0008-5472
Kim, Y., Bae, K., Lee, Y., Park, T., Yoo, S., & Park, H. (2006). Positive-Contrast Cellular MR
Imaging Using Susceptibility Weighted Echo-time Encoding Technique (SWEET),
World Congress on Medical Physics and Biomedical Engineering, ISBN 9783540368397,
Coex Seoul, Korea, August 2006
Kim, Y., Bae, K., Yoo, S., Park, T., & Park, H. (2009). Positive Contrast Visualization for
Cellular Magnetic Resonance Imaging Using Susceptibility-weighted Echo-time
Encoding. Magn Reson Imaging, Vol. 27, No. 5, (December 2008), pp. 601-610, 0730-
725X
Kircher, M., Allport, J., Graves, E., Love, V., Josephson, L., Lichtman, A., & Weissleder, R.
(2003a). In Vivo High Resolution Three-dimensional Imaging of Antigen-specific
Cytotoxic T-lymphocyte Trafficking to Tumors. Cancer Res, Vol. 63, No. 20,
(October 2003), pp. 6838-6846, ISSN 0008-5472
Kircher, M., Mahmood, U., King, R., Weissleder, R., & Josephson, L. (2003b). A Multimodal
Nanoparticle for Preoperative Magnetic Resonance Imaging and Intraoperative
Optical Brain Tumor Delineation. Cancer Res, Vol. 63, No. 23, (Deceber 2003), pp.
8122–8125, ISSN 0008-5472
Korosoglou, G., Shah, S., Vonken, E., Gilson, W., Schär, M., Tang, L., Kraitchman, D., Boston,
R., Sosnovik, D., Weiss, R., Weissleder, R., & Stuber, M. (2008a). Off Resonance
Angiography: A New Method to Depict Vessels—phantom and Rabbit Studies.
Radiology, Vol. 249, No. 2, (September 2008), pp. 501–509, ISSN 0033-8419
Korosoglou, G., Weiss, R., Kedziorek, D., Walczak, P., Gilson, W., Schär, M., Tang, L.,
Kraitchman, D., Boston, R., Sosnovik, D., Weiss, R., Bulte, J., Weissleder, R., &
Stuber, M. (2008b). Noninvasive Detection of Macrophage-rich Atherosclerotic
Plaque in Hyperlipidemic Rabbits Using “Positive contrast” Magnetic Resonance
Imaging. J Am Coll Cardiol, Vol. 52, No. 6, (August 2008), pp. 483–491, ISSN 0735-
1097
Korosoglou, G., Tang, L., Kedziorek, D., Cosby, K., Gilson, W., Vonken, E., Schär, M.,
Sosnovik, D., Kraitchman, D., Weiss, R., Weissleder, R., & Stuber, M. (2008c).
Positive Contrast MR-lymphography Using Inversion Recovery with ON-resonant
Water Suppression (IRON). J Magn Reson Imaging, Vol. 27, No. 5, (May 2008), pp.
1175-1180, ISSN 1053-1807
Kraitchman, D., Tatsumi, M., Gilson, W., Ishimori, T., Kedziorek, D., Walczak, P., Segars,
W., Chen, H., Fritzges, D., Izbudak, I., Young, R., Marcelino, M., Pittenger, M.,
Solaiyappan, M., Boston, R., Tsui, B., Wahl, R., & Bulte, J. (2005). Dynamic Imaging
of Allogeneic Mesenchymal Stem Cells Trafficking to Myocardial Infarction.
Circulation, Vol. 112, No. 10, (August 2005), pp. 1451–1461. ISSN 0009-7322
Kuhlpeter, R., Dahnke, H., Matuszewski, L., Persigehl, T., von Wallbrunn, A., Allkemper, T.,
Heindel, W., Schaeffter, T., & Bremer, C. (2007). R2 and R2 Mapping for Sensing
Cell-Bound Superparamagnetic Nanoparticles. Radiology, Vol. 245, No. 2,
(September 2007), pp. 449–457, ISSN 0033-8419
Langley, J., Liu, W., Jordan, E., Frank, J., & Zhao, Q. (2011). Quantification of SPIO
Nanoparticles In Vivo Using the Finite Perturber Method. Magn Reson Med, Vol. 65,
No. 5, (November 2010), pp. 1461-1469, ISSN 0740-3194
Lee, H., Li, Z., Chen, K., Hsu, A., Xu, C., Xie, J., Sun, S., & Chen, X. (2008). PET/MRI Dual-
Modality Tumor Imaging Using Arginine-glycine-aspartic (RGD)-conjugated
Radiolabeled Iron Oxide Nanoparticles. J Nucl Med, Vol. 49, No. 8, (July 2008),
1371–1379. ISSN 0161-5505
Lefevre S, Ruimy D, Jehl F, Neuville A, Robert P, Sordet C, Ehlinger M, Dietemann JL,
Bierry G. (2011). Septic Arthritis: Monitoring with USPIO-enhanced Macrophage
MR Imaging. Radiology, Vol. 258, No. 3, (March 2011), pp. 722-728, ISSN 0033-8419
Li, W,, Tutton, S,, Vu, A., Pierchala, L., Li, B., Lewis, J., Prasad, P., & Edelman, R. (2005)
First-pass Contrast-enhanced Magnetic Resonance Angiography in Humans Using
Ferumoxytol, A Novel Ultrasmall Superparamagnetic Iron Oxide (USPIO)-based
Blood Pool Agent. J Magn Reson Imaging, Vol. 1, No. 5, (January 2005), pp. 46-52,
ISSN 1053-1807
Liu, C., Ren, J., Yang, J., Liu, C., Mandeville, J., Rosen, B., Bhide, P., Yanagawa, Y., & Liu, P.
(2009). Dna-based Mri Probes for Specic Detection of Chronic Exposure to
Amphetamine in Living Brains. The Journal of Neuroscience, Vol. 29, No. 34, (August
2009), pp. 10663-10670, ISSN 0270-6474
Liu, H., Hua, M., Yang, H., Huang, C., Chu, P., Wu, J., Tseng, I., Wang, J., Yen, T., Chen, P.,
& Wei, K. (2010). Magnetic Resonance Monitoring of Focused
Ultrasound/Magnetic Nanoparticle Targeting Delivery of Therapeutic Agents to
the Brain. Proc Natl Acad Sci U S A., Vol. 107, No. 34, (August 2010), pp. 15205-
15210, ISSN 0027-8424
Liu, W., Dahnke, H., Jordan, E., Schaeffter, T., & Frank, J. (2008). In Vivo MRI Using
Positive-contrast Techniques in Detection of Cells Labeled with Superparamagnetic
Iron Oxide Nanoparticles. NMR Biomed, Vol. 21, No. 3, (March 2008), pp. 242-250,
ISSN 0952-3480
Liu, W., Dahnke, H., Rahmer, J., Jordan, E., & Frank, J. (2009). Ultrashort T2* Relaxometry
for Quantitation of Highly Concentrated Superparamagnetic Iron Oxide (SPIO)
Nanoparticle Labeled Cells. Magn Reson Med, Vol. 61, No. 4, (April 2009), pp. 761–
766, ISSN 0740-3194
Mani, V., Briley-Saebo, K., Hyafil, F., & Fayad, Z. (2006a). Feasibility of In Vivo Identification
of Edogenous Ferritin with Positive Contrast MRI in Rabbit Carotid Crush Injury
Using GRASP. Magn Reson Med, Vol. 56, No. 5, (November 2006), pp. 1096–1106,
ISSN 0740-3194
Mani, V., Briley-Saebo, K., Itskovich, V., Samber, D., & Fayad, Z. (2006b). Gradient Echo
Acquisition for Superparamagnetic Particles with Positive Contrast (GRASP):
Sequence Characterization in Membrane and Glass Superparamagnetic Iron Oxide
Phantoms at 1.5 T and 3 T. Magn Reson Med, Vol. 55, No. 1, (January 2006), pp. 126–
135, ISSN 0740-3194
Mani, V., Adler, E., Briley-Saebo, K., Bystrup, A., Fuster, V., Keller, G., & Fayad, Z. (2008).
Serial In Vivo Positive Contrast MRI of Iron Oxide-labeled Embryonic Stem Cell
Derived Cardiac Precursor Cells in A Mouse Model of Myocardial Infarction. Magn
Reson Med, Vol. 60, No. 1, (July 2008), pp. 73–81, ISSN 0740-3194
Manninger, S., Muldoon, L., Nesbit, G., Murillo, T., Jacobs, P., & Neuwelt, E. (2005). An
Exploratory Study of Ferumoxtran-10 Nanoparticles as a Blood-brain barrier
Imaging Agent Targeting Phagocytic Cells in CNS Inflammatory Lesions. AJNR Am
J Neuroradiol., Vol. 26, No. 9, (October 2005), pp. 2290–2300.
Medarova, Z., Pham, W., Farrar, C., Petkova, V., & Moore, A. (2007). In Vivo Imaging of
siRNA Delivery and Silencing in Tumors. Nat Med, Vol. 13, No. 3, (Febrary2007),
pp. 372–377, ISSN 1078-8956
Metz, S., Beer, A., Settles, M., Pelisek, J., Botnar, R., Rummeny, E., & Heider, P. (2011).
Characterization of Carotid Artery Plaques with USPIO-enhanced MRI:
Assessment of Inflammation and Vascularity as In Vivo Imaging Biomarkers for
Plaque Vulnerability. Int J Cardiovasc Imaging, Vol. 27, No. 6, (October 2010), pp.
901-912, ISSN 1569-5794
Modo, M., Hoehn, M., & Bulte, J. (2005). Cellular MR imaging. Mol Imaging., Vol. 4, No. 3,
(July 2005), pp. 143-164, ISSN 1535-3508
Muja, N., & Bulte, J. (2009). Magnetic Resonance Imaging of Cells in Experimental Disease
Models. Prog Nucl Magn Reson Spectrosc., Vol. 55, No. 1, (July 2009), pp. 61-77, ISSN
0079-6565
Nasongkla, N., Bey, E., Ren, J., Ai, H., Khemtong, C., Guthi, J., Chin, S., Sherry, A.,
Boothman, D., & Gao, J. (2006). Multifunctional Polymeric Micelles as Cancer-
targeted, MRI-ultrasensitive Drug Delivery Systems. Nano Lett., Vol. 6, No. 11,
(November 2006), pp. 2427–2430, ISSN 1530-6984
Niu, G., & Chen, X. (2011). Why Integrin as A Primary Target for Imaging and Therapy.
Theranostics, Vol. 1, No. 1, (January 2011), pp. 30–47, ISSN 1838-7640
Oude Engberink, R., van der Pol, S., Döpp, E., de Vries, H., & Blezer, E. (2007). Comparison
of SPIO and USPIO for In Vitro Labeling of Human Monocytes: MR Detection and
Cell Function. Radiology, Vol. 243, No. 2, (May 2007), pp. 467–474, ISSN 0033-8419
Politi, L., Bacigaluppi, M., Brambilla, E., Cadioli, M., Falini, A., Comi, G., Scotti, G., Martino,
G., & Pluchino, S. (2007). Magnetic-resonancebased Tracking and Quantification of
Intravenously Injected Neural Stem Cell Accumulation in The Brains of Mice with
Experimental Multiple Sclerosis. Stem Cells, Vol. 25, No. 10, (Jun 2007), pp. 2583–
2592, ISSN 0250-6793
Rad, A., Arbab, A., Iskander, A., Jiang, Q., & Soltanian-Zadeh, H. (2007). Quantification of
Superparamagnetic Iron Oxide (SPIO)-labeled Cells Using MRI. J Magn Reson
Imaging, Vol. 26, No. 2, (August 2007), pp 366-374, ISSN 1053-1807
Rahmer, J., Bornert, P., & Dries, S. Assessment of Anterior Cruciate Ligament
Reconstruction Using 3D Ultrashort Echo-time MR Imaging. (2009). J Magn Reson
Imaging, Vol. 29, No. 2, (Febrary 2009), pp 443-448, ISSN 1053-1807
Reimer, P., Rummeny, E., Daldrup, H., Balzer, T., Tombach, B., Berns, T., & Peters, P. (1995).
Clinical Results with Resovist: A Phase 2 Clinical Trial. Radiology, Vol. 195, No. 2,
(May 1995), pp. 489-496, ISSN 0033-8419
Righi, V., Andronesi, O., Mintzopoulos, D., Fichman, A., & Tzika, A. (2010). Molecular MR
Imaging of Labeled Stem Cells in A Mouse Burn Model In Vivo, Proceedings of Intl
Soc Magn Reson Med, ISSN 1545-4436, Stockholm, Sweden, May 2010
Robson, M., & Bydder, G. (2006). Clinical Ultrashort Echo Time Imaging of Bone and Other
Connective Tissues. NMR Biomed, Vol. 19, No. 7, (November 2006), pp. 765-780,
ISSN 0952-3480
Seevinck, P., de Leeuw, H., Bos, C., & Bakker, C. (2011). Highly Localized Positive Contrast
of Small Paramagnetic Objects Using 3D Center-out Radial Sampling with Off-
resonance Reception. Magn Reson Med, Vol. 65, No. 1, (January 2008), pp. 146–156,
ISSN 0740-3194
Seppenwoolde, J., Viergever, M., & Bakker, C. (2003). Passive Tracking Exploiting Local
Signal Conservation: The White Marker Phenomenon. Magn Reson Med, Vol. 50,
No. 4, (October 2003), pp. 784–790, ISSN 0740-3194
Seppenwoolde, J., Vincken, K., & Bakker, C. (2007). White-marker Imaging-Separating
Magnetic Susceptibility Effects from Partial Volume Effects. Magn Reson Med, Vol.
58, No. 3, (September 2007), pp. 605–609, ISSN 0740-3194
Shapiro, E., Skrtic, S., & Koretsky, A. (2005). Sizing It Up: Cellular Mri Using Micron-sized
Iron Oxide Particles. Magn Reson Med, Vol. 53, No. 2, (Febuary 2005), pp. 329–338,
ISSN 0740-3194
Sigovan, M., Hamoudeh, M., Al Faraj, A., Charpigny, D., Fessi, H., & Canet-Soulas, E. (2011).
Positive Contrast with Therapeutic Iron Nanoparticles at 4.7 T. MAGMA, Vol. 24,
No. 5, (May 2011), pp. 259-265, ISSN 0968-5243
Small, W., Nelson, R., & Bernardino, M. (1993). Dual-contrast Enhancement of Both T1- and
T2-weighted Sequences Using Ultra Small Superparamagnetic Iron Oxide. Magn
Reson Med, Vol. 11, No. 5, (May 1993), pp. 645–654, ISSN 0740-3194
Sosnovik, D. (2009). Molecular Imaging of Myocardial Injury: A Magnetofluorescent
Approach. Curr Cardiovasc Imaging Rep., Vol. 2, No. 1, (Febuary 2009), pp. 33–39,
ISSN 1941-9066
Stuber, M., Gilson, W., Schaer, M., Bulte, J., & Kraitchman, D. (2005). Shedding Light on the
Dark Spot with IRON - A Method That Generates Positive Contrast in The Presence
of Superparamagnetic Nanoparticles, Proceedings of Intl Soc Magn Reson Med, ISSN
1545-4436, Miami Beach, Florida, USA, May 2005
Stuber, M., Gilson, W., Schär, M., Kedziorek, D., Hofmann, L., Shah, S., Vonken, E., Bulte, J.,
& Kraitchman, D. (2007). Positive Contrast Visualization of Iron Oxide-labeled
Stem Cells Using Inversion-recovery with ON-resonant Water Suppression (IRON).
Magn Reson Med, Vol. 58, No. 5, (November 2007), pp. 1072–1077, ISSN 0740-3194
Suzuki, Y., Cunningham, C., Noguchi, K., Chen, I., Weissman, I., Yeung, A., Robbins, R., &
Yang, P. (2008). In Vivo Serial Evaluation of Superparamagnetic Iron-oxide Labeled
Stem Cells by Off-resonance Positive Contrast. Magn Reson Med, Vol. 60, No. 6,
(December 2008), pp. 1269-1275, ISSN 0740-3194
Tan, M., & Lu, Z. (2011). Integrin Targeted MR Imaging. Theranostics, Vol. 1, No. 1, (January
2011), pp. 30–47, ISSN 1838-7640.
Tang, Y., Yamashita, Y., Arakawa, A., Namimoto, T., Mitsuzaki, K., Abe, Y., Katahira, K., &
Takahashi, M. (1999). Detection of Hepatocellular Carcinoma Arising in Cirrhotic
Livers: Comparison of Gadolinium- and Ferumoxides Enhanced MR Imaging. AJR
Am J Roentgenol, Vol. 172, No. 6, pp. 1547-1554, ISSN 0361-803X
Thorek, D., Chen, A., Czupryna, J., & Tsourkas, A. (2006). Superparamagnetic Iron Oxide
Nanoparticle Probes for Molecular Imaging. Ann Biomed Eng, Vol. 34, No. 1,
(January 2006), pp. 23-38, ISSN 0090-6964
Trivedi, R., Mallawarachi, C., U-King-Im, J., Graves, M., Horsley, J., Goddard, M., Brown,
A., Wang, L., Kirkpatrick, P., Brown, J., & Gillard, J. (2006). Identifying Inflamed
Carotid Plaques Using In Vivo USPIO-enhanced MR Imaging to Label Plaque
Macrophages. Arterioscler Thromb Vasc Biol, Vol. 26, No. 7, (July 2006), pp. 1601–
1606, ISSN 1079-5642
Veiseh, O., Gunn, J., & Zhang, M. (2010). Design and Fabrication of Magnetic Nanoparticles
for Targeted Drug Delivery and Imaging. Adv Drug Deliv Rev, Vol. 62, No. 3,
(November 2009), pp. 284-304, ISSN 0169-409X
Ward, K., Aletras, A., & Balaban, R. (2000). A New Class of Contrast Agents for MRI Based
on Proton Chemical Exchange Dependent Saturation Transfer (CEST). J Magn
Reson., Vol. 143, No. 1, (March 2000), pp. 79-87, ISSN 1090-7807
Weissleder, R., Elizondo, G., Wittenberg, J., Rabito, C., Bengele, H., & Josephson, L. (1990).
Ultrasmall Superparamagnetic Iron Oxide: Characterization of a New Class of
Contrast Agents for MR Imaging. Radiology, Vol. 175, No. 2, (May 1990), pp. 489-
493, ISSN 0033-8419
Xie, J., Chen, K., Huang, J., Lee, S., Wang, J., Gao, J., Li, X., & Chen, X. (2010).
PET/NIRF/MRI Triple Functional Iron Oxide Nanoparticles. Biomaterials, Vol. 31,
No. 11, (April 2010), pp. 3016-3022, ISSN 0142-9612
Yamamoto, H., Yamashita, Y. Yoshimatsu, S., Baba, Y., Hatanaka, Y., Murakami, R.,
Nishiharu, T., Takahashi, M., Higashida, Y., & Moribe, N. (1995). Hepatocellular
Carcinoma in Cirrhotic Livers: Detection with Unenhanced and Iron Oxide-
enhanced MR Imaging. Radiology, Vol. 195, No. 1, (April 1995), pp. 106-112, ISSN
0033-8419
Yang, H., Zhuang, Y., Sun, Y., Dai, A., Shi, X., Wu, D., Li, F., Hu, H., & Yang, S. Targeted
Dual-ontrast T(1)- and T(2)-weighted Magnetic Resonance Imaging of Tumors
Using Multifunctional Gadolinium-labeled Superparamagnetic Iron Oxide
Nanoparticles. Biomaterials, Vol. 32, No. 20, (March 2011), pp. 4584–4593, ISSN 0142-
9612
Zhang, L., Zhong, X., Wang, L., Chen, H., Wang, Y., Yeh, J., Yang, L., & Mao, H. T1-
weighted Ultrashort Echo Time Method for Positive Contrast Imaging of Magnetic
Nanoparticles and Cancer Cells bound with the Targeted Nanoparticles. J Magn
Reson Imaging, Vol. 33, No. 1, (January 2011), pp. 194-202, ISSN 1053-1807
Zhang, Z., Dharmakumar, R., Mascheri, N., Fan, Z., Wu, S., & Li, D. (2009). Comparison of
SPIO and USPIO Cell Labeling for Tracking GFP Gene Marker with Negative and
Positive Contrast MRI. Mol Imaging, Vol. 8, No. 3, (October 2009), pp. 148-155, ISSN
1535-3508
Zhang, Z., Mascheri, N., Dharmakumar, R., & Li, D. (2008). Cellular Magnetic Resonance
Imaging: Potential for Use in Assessing Aspects of Cardiovascular Disease.
Cytotherapy, Vol. 10, No. 6, (March 2008), pp. 575-586, ISSN 1465-3249
Zhang, Z., van den Bos, E., Wielopolski, P., de Jong-Popijus, M., Bernsen, M., Duncker, D., &
Krestin, G. (2005). In Vitro Imaging of Single Living Human Umbilical Vein
Endothelial Cells with a Clinical 3.0-T MRI Scanner. MAGMA, Vol. 18, No. 4,
(August 2005), pp. 175-185, ISSN 0968-5243
Zhao, M., Kircher, M., Josephson, L., & Weissleder, R. (2002). Differential Conjugation of Tat
Peptide to Superparamagnetic Nanoparticles and Its Effect on Cellular Uptake.
Bioconjug Chem, Vol. 13, No. 4, (July 2002), pp. 840–844.
Zhao, Q., Langley, J., Lee, S., & Liu, W. (2011). Positive Contrast Technique for the Detection
and Quantification of Superparamagnetic Iron Oxide Nanoparticles in MRI. NMR
Biomed, Vol. 24, No. 5, (October 2010), pp. 464–472, ISSN 0952-3480
Zhu, J., Zhou, L., & XingWu, F. (2006). Tracking Neural Stem Cells in Patients with Brain
Trauma. N Engl J Med., Vol. 30, No. 355, (November 2006), pp. 2376–2378, ISSN
0028-4793
Zurkiya, O., Chan, A., & Hu, X. (2008). MagA is Sufficient for Producing Magnetic
Nanoparticles in Mammalian Cells, Making It an MRI Reporter. Magn Reson Med,
Vol. 59, No. 6, (Jun 2008), pp. 1225–1231, ISSN 0740-3194
Zurkiya, O., & Hu, X. (2006). Off-resonance Saturation as a Means of Generating Contrast
with Superparamagnetic Nanoparticles. Magn Reson Med, Vol. 56, No. 4, (October
2006), pp. 726–732, ISSN 0740-3194
8
Nanoscale Electrodeposition of Copper on an

AFM Tip and Its Morphological Investigations
Udit Surya Mohanty, S. Y. Chen and Kwang-Lung Lin
Department of Materials Science and Engineering,
National Cheng Kung University
Tainan,
R.O.C, Taiwan
1. Introduction
Electrocrystallisation processes occurring at electrochemical solid/liquid interfaces have
attracted the interest of many researchers from both fundamental and applied viewpoints.
After the pioneering works of Max Volmer at the beginning of the last century (Volmer,
1934a, 1939b), the processes of electrocrystallisation have been the subject of numerous
intensive studies, the results of which have been documented in several books (Bockris &
Razumney 1967; Budevski, et al., 1996; Fischer,1954). The electrochemical method offers
several advantages over vapour deposition techniques such as molecular beam epitaxy for
depositing nanoscale superlattices. Additional technological advantages over the vapour
deposition techniques consist in the relatively low processing temperature and the high
selectivity. The low processing temperatures minimizes interdiffusion whereas the high
selectivity of electrocrystallisation process allows uniform modification of surfaces and
structures with complicated profiles. Phase formation and crystal growth phenomena are
the most common morphological parameters observed in many technological important
cathodic and anodic electrochemical reactions. One of the most frequently studied
electrocrystallisation process is the cathodic metal deposition on foreign and native
substrates from electrolytes containing complex metal ions (Fleischmann & Thirsk, 1963;
Milchev, 2002; Paunovic & Schlesinger, 2006). Some of the typical cited examples are
electrocrystallisation of Ag from Ag+ containing electrolytes (Budevski et al., 1980;
Fischer, 1969) and the electrodeposition of Cu (Budevski, 1983; Danilov et al., 1994;
Hozzle et al., 1995; Michhailova et al. , 1993) which has recently become technologically
important for the fabrication of Cu interconnects on integrated circuit chips (Andricacos et
al., 1998; Oskam et al. 1998). Since the electrodeposition of metals is a process of great
technological importance, a large number of studies have been carried out to understand
the mechanism of electrodeposition of metals on conducting surfaces by employing a
variety of electrochemical and spectroscopic techniques (Andricacos, 1999; Markovic &
Ross, 1993). The conventional electrochemical methods such as cyclic voltammetry,
impedance spectroscopy have been used to assess the mechanism and kinetics of metal
electrocrystallisation. These techniques however provide information on the whole
surface.
To fully understand the process, it is essential to obtain structural information on the

substrate and the deposit in pm to the atomic level. Although techniques such as electron
microscopy and optical microscopy have been employed to examine the morphology of the
substrate and the metal deposit, they can be used only for the ex situ examination. The
discovery of scanning tunnelling microscopy and atomic force microscopy (STM and AFM)
offered new exciting possibilties for in situ studies of the electrocrystallisation phenomenon
down to an atomic level (Binning & Rohrer, 1982; Lustenberger et al., 1988, Sonnenfeld &
Hannsma, 1986). The application of these techniques in the last two decades has
revolutionized the experimental work in this field and led to significant progress in the
understanding of the atomistic aspects of the electrocrystallisation process (Gewirth &
Siegenthaler, 1995; Staikov et al., 1994; Stegenthaler, 1992). These processes range from
measuring the lateral force using a cantilever tip, measuring magnetic force, electrostatic
force, Kelvin potential to the determination of surface conductivity. The invention of
scanning probe microscopy (SPM) also provoked a rapid development of the modern
nanoscience and nanotechnology dealing with nanoscale structures and objects including
single atoms and molecules. Over, the years, many other types of scanning probe
microscopic techniques have evolved from the base concept of AFM. Electrochemical
fabrication of metal nanostructures has been reported using SPM-based lithography,
typically by tip induced electrochemical deposition of metal ions transferred by the STM or
AFM tip to the surface. (Allongne, 1995; Benenz et al., 2002). Many studies have been
directed towards in situ STM and AFM imaging of metal underdeposition (Hachiya et
al.1991; Li et al., 2001) and bulk deposition (Nichols et al., 1992; Yau et al. 1991). Since STM
can only be applied to observe conductive surfaces, the existence of anodic oxide films as
well as the space charge layer in the depletion condition makes the STM measurements of
semiconductor electrodes relatively difficult (Batina & Nichols, 1992). On the other hand,
AFM can image even non-conducting surfaces and electrochemical processes on the tip,
which causes serious problems in the STM measurements in electrolyte solutions. AFM is
also found to be more useful than STM in studying the electrode surface in situ. AFM works
the same way as STM and can transfer materials from tip to substrate at a biased voltage. As
AFM tips are normally made of silicon or silicon nitide, metallic materials have to be coated
onto the AFM tip in order to make the deposition happen. Once it is coated with metals, it
becomes no different from a STM tip, and deposition takes place under high electric field.
AS AFM can work in liquid solution, it is possible to initiate electrochemical deposition
using an AFM tip. Also the electrochemical reaction rate at the interface can be controlled by
application of an external potential to the substrate. In particular, the amount of deposit and
the kinetics of the metal deposition onto the surface can be controlled. Its because the
electrochemical process is sensitive to the surface properties, in situ local deposition of metal
can be made selective by tuning the surface characteristics. Copper has been
electrochemically deposited onto GaAs surface by immersing the AFM tip into a mixture of
CuSO4 + H2SO4 solution (Carlsson et al., 1990).
The electrodeposition of Cu is strongly dependent on the structure of the substrate, applied
potential and concentration of Cu2+ ions in the precursor solution. The nanoscale
electrodeposition of metal in nanopatterned alkanethiol-modified Au (III) has been reported
(Gewirth & Sigenthaler, 1995). Although the interaction between the tip and the sample
enhanced Cu deposition on the surface, Cu did not deposit uniformly in the area scanned,
but only deposited at the edges of the scanned area as well as in defects in the alkanethiol
Nanoscale Electrodeposition of Copper on an AFM Tip and Its Morphological Investigations 175
(self assembled monolayer) (SAM). The authors suggested the physical and electrostatic
inhibition by the tip, or the diffusion of Cu ions to the area under the tip, even on a bare Au
(III) surface. In one of the studies (Koinuma & Uosaki, 1994), AFM and scaling analysis have
been employed to investigate the effect of current density, temperature and levelling agent
on the morphology of electrolytically produced copper. However, very little information is
available on the morphology of the nanostructures formed by the electrodeposition of
copper on the AFM tip. In the present chapter an effort has been made to examine various
modes of nucleation and growth of copper deposits on an AFM tip of 80 nm. Electron beam
lithography techniques have been employed to facilitate selective electrodeposition of
copper on the nanosize AFM tip in the presence of photoresist named poly (methyl
methacyrlate).
2. Experimental method
In the present study an AFM probe NSC/18 /Ti-Pt was used which consisted of a Si base
coated by films of Ti (1st layer, 15 nm) and Pt (2ndlayer) 10 nm. The Cantilevers employed
were 230 µm in length and 40 µm in diameter with pyramidal tips of diameter 80 nm. The
tip height ranged from 20 to 25 µm. The schematic diagram of the uncoated AFM probe
containing the tip is shown in Fig. 1a. The magnified image is demonstrated in Fig. 1b. One
of the AFM probes acted as a anode and the other as a cathode. Two connectors were placed
on the AFM probes to facilitate the current flow between the power supplier and the probes,
as illustrated in Fig. 2. For the preparation of a connector, a Cu plate of diameter 3.4 mm and
length 12 mm was first plated with electroless Au (Fig. 3). The following electrolytic
composition was used in the study: 2g/L KAu (CN)2; 75 g/L NH4Cl; 50 g/L
6H5Na3O7·2H2O; and 10 g/L NaH2PO2.H2O. The pH of the electrolytic solution was
maintained at 7 and the solution temperature was kept at 92°C.
a b
Fig. 1. SEM micrograph illustrating the schematic representation of an uncoated AFM probe
The layer of electroless gold on the copper plate provided good adhesion. The Cu plate
coated with electroless Au was connected to a Cu wire as shown in Fig 3 by means of
mechanical force. Finally, the connector was electroplated with a hard layer of Au to
provide good abrasion ability and a thicker Au layer. The Si holders and the connectors
were fixed together and were placed in a rectangular cell containing the electrolyte of
composition 80 g/L CuSO4 and 200 mL/L H2SO4. The power supply was fixed in the range
of 10 µA to 100 A. Because the AFM probes cannot bear large amounts of current, a large
electrode system consisting of Pt anode and Cu cathode was used as shown in Fig. 4.
AFM probe
Connector
Side view of specimen
Si holder
Si holder
500μm
Fig. 2. Schematic diagram of the AFM probe placed on the Si holder
The cathode and anode were placed in parallel connection with the AFM probes.The current
from the power supply was controlled between 10 and 0.1 A to provide a stable current
between the AFM probes. Electron-beam lithography (EBL) techniques were used in our
present work.
Fig. 3. Schematic diagram of the connector used in the electrodeposition process

a
Fig. 4. Schematic diagram demonstrating the electrodeposition of copper on the AFM probe.
The samples were patterned using a JEOL 6400 thermionic emission scanning electron
microscope equipped with the lithography software Elphy Quantum. The polymer used for
EBL studies was poly_methyl methacrylate (PMMA). PMMA was the standard positive e-
beam resist dissolved in a casting solvent anisole. The PMMA solution was spin-coated onto
the AFM probe at a rotating speed of 1000 rpm for 60 s. Then baking was performed at
220°C to harden the film and to remove the remaining solvent. The EBL system employed a
focused electron beam which moved across the sample to selectively expose a pattern in the
resist previously designed with the system’s built-in computer-assisted design tools.The
open area of the AFM tip was selectively exposed to the high energy- beam electrons. The
sample was then immersed in the developer solution (3:1 methyl isobutyl ketone: isopropyl
alcohol developer) for 30 sec to selectively remove the resist from the exposed areas,
whereas the unexposed resist remained insoluble in the developer. The process thus left a
patterned resist mask on the sample that could be used for further processing. Finally, Cu
was electrochemically deposited on the AFM tip.
2.1 Effect of various electrodeposition parameters

2.1.1 Effect of current density on copper electrodeposition
Scanning Electron Microscopy (SEM) was used to investigate the morphologies of the
copper deposits nucleated on the AFM probe. SEM micrograph for Cu deposition on the
investigated AFM probe for a plating time of 300 s and a current density of 0.03 A/dm2 is
shown in Fig. 5a . The secondary electron image (SEI) and back scattered electron image
(BEI) are displayed in Figs. 5a and 5b. The figure reveals that only a slight amount of copper
is electrodeposited on the AFM probe. Further increase in current density to 0.3 A /dm2
enhanced the copper deposition on the AFM probe however the deposits observed are non-
uniform and discontinuous (Fig.6a). The magnified image is seen in Fig. 6b. Furthermore, a
gradual increase in the current density to 0.6 A /dm2 results in uniform deposition of copper
on the probe (Fig.7), nevertheless, no copper deposition is noticed on the AFM tip. Similar
observations have been reported (Seah et al., 1998). They visualised this morphology on the
basis of the fact that formation of more nucleation sites promoted uniform grain growth. In
the present study, the formation of uniform copper deposits on the AFM probe could be
attributed to the enhanced mass transfer of copper ions with the increase in current density.
Litearture reports (Chang, 2001) describe that increase in plating current density increased
the surface roughness and reduced the grain size of copper films due to an increase of
plating overpotential. Several other researchers have demonstrated that the polarization
overpotential increased with increasing the plating current density leading to high copper
nucleation rate (Takahashi & Gross, 1999a, 2000 b; Tean et al., 2003; Teh et al., 2001).
The difficulty in depositing Cu ions on the AFM tip arises due to the local increase of the ion
concentration in the electrolyte around the tip, which makes the effective local Nernst
potential for deposition at the surface underneath the AFM tip more positive.
SEI a BEI b
Fig. 5. SEM image obtained after copper deposition on the AFM tip for plating time of 300 s
and current density of 0.03 A/dm2 (a) SEI image (b) BEI image
Since, the standard electrode potential (ψe) of Cu2+ [ ψe (Cu2+ + /Cu = +0.337 V) is larger
than zero (Fu et al., 1990), from the theoretical point of view, the more positive the ψe value,
the more easier it is for the reduction of metal ions, and the more negative the ψe value, the
more difficult it is to reduce the metal ions. Our results suggest that the copper ions can be
reduced to copper atoms more easily on the surface underneath the AFM tip. It might be
possible that the effective Nernst potential which is required to initiate nucleation on the
AFM tip might be larger due to the deposition overvoltages. Also, the diameter of the AFM
tip, which is around 80 nm, might induce high overpotential for deposition of copper on the
tip.
a b
and current density of 0.3 A/dm2 (a) SEI image (b) Magnified image (Lin, 2008)
The above results can also be explained on the basis of two reaction schemes which govern
the Cu electrodeposition process on the AFM probe: one is the electrode surface reaction
and the other one is the Cu2+ diffusion from the electrolyte solution to the electrode surface.
and current density of 0.6 A/dm2 (Lin, 2008)
Polarization occurs when the rate of Cu2+ supply from the electrolyte solution is not faster than
the rate of reaction at the electrode surface. The film morphology is primarily dependent on
the degree of polarization (Seah et al., 1999).Thus higher polarization would make
electrodeposition slower resulting in a smoother film. Since the effect of increasing current
density is to increase the electrode surface reaction, a faster surface reaction makes Cu2+
undersupplied from the electrolyte solution. Hence, the polarization is higher and smoother
film morphology is observed. Nevertheless, when the applied current density is greater than
the limiting current density, it is impossible for the electrode to gain any Cu ions from the
electrolyte solution; thereby leading to an increase in the Cu film surface roughness.
2.1.2 Effect of plating time on copper electrodeposition

The effect of different plating times during copper electrodeposition on the AFM probe is
investigated. The plating time was varied from 5 to 900 s for different current densities. The
SEM micrograph in Figs. 8-11 illustrates the morphology of copper deposit formed under
current density of 0.3 A/dm2 and various plating times namely 5, 60, 300, 540 s respectively.
The results reveal a random distribution of copper crystals on the cantilever with no trace of
copper deposits on the AFM tip. This morphology clearly suggests the case of instantaneous
nucleation.
a b
Fig. 8. SEM micrographs illustrating Cu deposition on the AFM tip at a current density of 0.3
A/dm2 and plating time of 5 s (a) 2000 T (b) 10000 T magnification of the marked area in red
As instantaneous nucleation corresponds to a slow growth of nuclei on a small number of

active sites, all activated at the same time. It can be noted from the SEM images displayed in
Fig. 8-11, that in most of the samples the nuclei may be nucleated almost simultaneously, as
confirmed by their similar size. In other words i.e at high nucleation rates (instantaneous
nucleation), all nuclei are formed immediately after imposition of the potential and grow at
the same rate. As a result, they are all of the same age and their number remains constant.
a b
Fig. 9. SEM micrographs illustrating Cu deposition on the AFM tip at a current density of 0.3
A/dm2 and plating time of 60 s (a) 2000 T (b) 10000 T magnification of the marked area in red
The mode of instantaneous nucleation is described by the following equation involving the
first-order kinetics law (Budevski et al., 1996; Milchev, 1997)
N= N0[1 − exp (−At)] (1)

where N is the number of sites converted into nuclei at time t and A is the nucleation rate
constant, N0 is the respective saturation value. Nucleation does not occur simultaneously
over the entire cathode surface and a diameter distribution for the crystallites ensues. When
A is very high, N ≡ N0, all surface sites are converted immediately into nuclei and the
nucleation is said to be instantaneous. The nonhomogeneity and overgrowth of the Cu
deposits may be due to the existence of low nucleation overpotential in the area beneath the
tip. At low overpotentials, the nucleation is described well by the model of instantaneous
nucleation for reasonably long time scales (Kelber et al., 2006)
a b
Fig. 10. SEM micrographs illustrating Cu deposition on the AFM tip at a current density of
0.3 A/dm2 and plating time of 300 s (a) 2000 T (b) 10000 T magnification of the marked area
in red
However, the morphology of copper deposits formed under current density of 0.6 Adm2
and plating time of 900 s were found to be totally different. The copper layer on the AFM
probe also shows resemblance to a candle base (Fig. 12), and a thicker layer of copper
deposits are grown on the whole of the AFM probe containing the tip. Also, on the basis of
instantaneous nucleation model, It has been reported (Thirsk & Harrison, 1972) that under
the diffusion controlled three-dimensional growth, the cathodic current density is
proportional to t1/2.
The growth of copper layer also takes place slowly and farther away from the tip. Also it can
be noticed that the growth rate on the side of tip is faster than on the tip (Fig. 12). From the
results it could be established that higher current density and higher plating time increases
the mass transfer of Cu2+ ions in the open area beneath the tip, thereby enhancing the rate of
Cu deposition between the open area and the tip. The variance of the thickness of copper
deposits on the tip and its surrounding area might be attributed to the nanoscale dimension
of the AFM tip as compared to the whole of the AFM probe. Literature reports reveal (Seah
et al., 1999) that in case of nanocrystalline electrodeposited Cu the pinhole number-density
necessary for full coverage on the substrate can be reduced by increasing the current density.
However, abnormal crystallite growth-leading to the formation of bimodal grain
a b
0.3 A/dm2 and plating time of 540 s (a) 2000 T (b) 10000 T magnification of the marked area
in red
a b
0.6 A/dm2 and plating time of 900 s (a) SEI image (b) image taken at 350 tilt (Lin, 2008)
a b
0.6 A/dm2 and plating time of 1200 s (a) SEI image (b) image taken at 350 tilt (Lin, 2008)
structures- can be suppressed by increasing the electrodeposition current density. In our

present case, the crystal growth variation is seen on the open area below the tip and the tip
itself. The morphology observed in Fig. 12 is a case of progressive nucleation followed by
growth.
As nucleation progresses, the nuclei begins to overlap. Each nucleus is defined by its own
diffusion zone through which copper diffuses, thus representing the mass-supply
mechanism for continuation of growth. Progressive nucleation corresponds to fast growth of
nuclei on many active sites all activated during the course of electroreduction (Pardave et
al., 2000). Fig.12b. shows the SEM micrograph for copper deposition at 0.6 A/dm2 and 900s
taken at a tilted angle of 350. Further increase in the plating time to 1200 s for similar current
density resulted in an entirely different morphology from the micrograph shown in Fig. 12.
The AFM probe containing the nanoscale AFM tip seems to be entirely covered with copper
deposits and also a significant increase in growth and thickness of the deposits are observed
in Figs. 13a. Fig. 13b represents the SEM image tilted at an angle of 450 for clear depiction of
the copper deposition on the AFM probe. The copper deposition process on the AFM probe
proceeds through instantaneous and progressive nucleation modes for different values of
current density. The mechanisms for instantaneous and progressive nucleation modes are
described below.
Once nucleation begins, crystals growth may be determined by the rate of charge- transfer
or diffusion process. Simple equations have been described (Harrison & Thirsk, 1971) for
two- or three dimensional nucleation and crystal growth processes occurring on a foreign
substrate for charge transfer control reactions.
For two-dimensional (2D) instantaneous nucleation and cylindrical growth, current is
described by
i = 2zFлh N0k2 2D t / ρ exp (-л M2 N0k22D t2 ) / ρ2 (2)

And for 2D progressive nucleation
i = z FлhMK2 2DA2Dt2 / ρ exp ( -л M2 k22 DA2D t3 / 3ρ2) (3)

where k2D represents the lateral growth rate constants (mol cm-2 s-1), h is the layer height in
cm, N0 represents the total number of active centers (cm-2), A2D the nucleation rate (nuclei
cm-2 s-1), M is the atomic weight (g mol-1) and ρ the density ( g cm-3) of the deposit. For these
type of mechanisms the current usually increases and then decreases to zero when the
surface gets completely covered by two dimensional crystals However, for three
dimensional (3D) instantaneous nucleation and growth, the current is depicted by the
following equations below.
i = z F K’ [1 – exp (-л M2k2 N0 t2 /ρ2) ] (4)

and for 3D progressive nucleation:
i = zFK’ [ 1- exp ( -лM2 k2A3D t3 / 3ρ2) ] (5)

Where k and k’ signify the lateral and vertical growth rate constants (mol cm2 s-1) and A3D
the nucleation rate (nuclei cm2 s-1). Hence nucleation and growth phenomena are affected by
many factors i.e a combination of 2D and 3D growth (Abyaneh & Fleischmann, 1981; Creus
et al., 1992), the death and rebirth of nuclei (Abyaneh & Fleischmann, 1981) and the
secondary three dimensional (3D) growth on top of the first growth layers (Abyaneh et al.,
1982).
2.2 Electron Beam lithography studies

EBL (Electron-Beam lithography) technique followed soon after the development of the
scanning electron microscope (SEM) in 1955 (Smith, 1955) and is one of the earliest processes
used for IC fabrication (Buck, 1957). To date, EBL is widely exploited to produce structures
in the sub-100 nm range (Allee et al., 1991; Matsui et al., 1989; Sun et al., 2005). Also, as
compared with photolithography, the lateral resolution achieved by EBL is higher because
the beam of electrons can be focused to produce probe size as small as 1 nm. More over,
electrons do not suffer from optical thin-film interference. For ICs, where at present low
beam energy and thick conventional resists are employed; electron scattering is the most
important factor whereas for nanolithography, which utilizes high beam energy and thin
resists, secondary electron emission is the most dominant factor. The resolution of EBL is
also dependent on the chemical nature of the resist. Recently, new class of resists such as
organic self-assembled mono layers (SAMs) has been developed to fabricate structures
below 10 nm (Golzhauser et al., 2000; Lercel, 1996) Currently, electron beam lithography is
used principally in support of the integrated circuit industry, where it has three niche
markets. The first is in maskmaking, typically the chrome-on glass masks used by optical
lithography tools. It is the preferred technique for masks because of its flexibility in
providing rapid turnaround of a finished part described only by a computer. The ability to
meet stringent line width control and pattern placement specifications, on the order of 50
nm each, is a remarkable achievement.
2.2.1 Principle of EBL

The principle of pattern transfer based on EBL consists of several process steps. The process
steps are essentially the same as those used for photolithography, except that the pattern on
the resist is formed by scanning directly the focused particle beam across the surface. The
lithographic sequence usually begins with coating of substrates with a positive or negative
resist. Positive resists such as poly (methyl-methacrylate) (PMMA) used in the present
chapter become more soluble in a developing solvent after exposure because the radiation
causes local bond breakages and thus chain scission. This causes the exposed regions
containing material of lower mean molecular weight to dissolve after the development.
Nevertheless, negative resists become less soluble in solvent after exposure because cross-
linking of polymer chains occurs. If in case, a region of a negative resist-covered film is
exposed, only the exposed region will be covered by the resist after development.
Subsequently, the resist-free parts of the substrate can be selectively coated with metal or
etched before removal of the unexposed resist thus leaving the desired patterns at the
surface. Fabrication of metallic nanostructures has been widely explored using conventional
EBL and lift off techniques. However, this top-down approach cannot be employed for the
fabrication of high aspect ratio vertical structures since gradual accumulation of materials at
the top of the resist blocks and closes the opening of the structures during the evaporation of
metal. Electrodeposition of metals into the holes formed in presence of PMMA resist is a
convenient alternative to solve this problem (Simon et al., 1997). The fabrication of dense
ultra-small magnetic arrays by filling nanoholes with electrodeposited Ni has been
demonstrated (Xu et al., 1995).
2.2.2 EBL induced Copper deposition

Electron beam lithography technique is used in the present study to enable selective
electrodeposition of Cu on the AFM tip and the open area beneath it. The selective
electrodeposition of Cu on n-type Si (111) surfaces covered with organic monolayers by
using e-beam lithographic techniques has been reported (Balaur et al., 2004). Selective
copper deposition on e-beam patterned alkane and biphenylthiols has been reported (Kalten
Poth et al., 2002) at suitable deposition potentials. 1-octadecanethiol (ODT) was used as a
‘‘positive template’’ leading to copper deposition only on the irradiated parts, 1,1’-biphenyl-
4-thiol ( BPT) on the other hand acted as a ‘‘negative template,’’ where the irradiated and
cross-linked biphenyl layer exhibited a blocking behavior, allowing copper deposition on
the non-irradiated parts. In the present study, the open area of the nanosize AFM tip was
selectively exposed to the e-beam. It is noticed that copper electrodeposition occurs on the
exposed area of the AFM tip. For the copper electrodeposition process, the current density
applied was 0.6 A/dm2, and the electrodeposition time was varied from 300 to 2400s.
a b
Tip site
Exposure
area site
Fig. 14. SEM micrograph demonstrating Cu deposition on the AFM tip after EBL treatment
under current density of 0.6 A/dm2 and electrodeposition time of 300s (a) BEI image
(b) Image taken at the tip site (c) Exposure area site
SEM micrographs for copper electrodeposition on the AFM tip and the open area beneath it
for various deposition times (i.e 300, 600, 1200, 2400 s) and current density of 0.6 A/dm2 are
presented in Figs. 14-17.These SEM micrographs were taken after exposure to the electron
beam. In Figs. 14 (a) – (c) the micrographs for copper deposition on the AFM tip under
current density of 0.6 A dm-2 and electrodeposition time of 300 s are clearly depicted.
Copper deposition is found to be minimum and non-uniform in these images. Further
increase in the electrodeposition time to 600 s for the similar current density and exposure to
the e-beam increases the amount of copper deposits on the nanosize AFM tip and the open
area beneath it (Fig. 15 a). SEM micrographs in Fig. 15b and 15 c refers to the magnified
images of the AFM tip and the exposed site.
a b
Tip site
Exposure
area site
Fig. 15. SEM micrograph demonstrating Cu deposition on the AFM tip after EBL
treatmentunder current density of 0.6 A/dm2 and electrodeposition time of 600s
(a) BEI image (b) Image taken at the tip site (c) Exposure area site
The micrographs reveal that copper deposition is not uniform in the open area beneath
the AFM tip. However a significant change in the morphology of copper deposits is
observed when the electrodeposition time was increased to 1200 s. SEM micrograph in
Fig. 16a shows that an uniform layer of copper is deposited on the AFM tip and the open
area beneath the tip. These results indicate that the exposure of the tip to the high energy
electron beam might have facilitated the electrodeposition of copper on the tip. The
micrographs in Fig. 16 b reveal that some copper is being deposited on the edges of the
cantilever. This is because the PMMA layers on the edges are found to be thinner than on
the platform. Those places are not exposed to the e-beam; therefore the developer could
dissolve the PMMA layer on the edges and hence copper deposition took place on the
edges. The overpotential required to deposit copper on the edges is lower than on the
AFM tip.
a b
c d
Tip Site
Cantilever Site
under current density of 0.6 A/dm2 and electrodeposition time of 1200s (a) SEI image
(b) Magnified to 5000 T (c) Tip site (d) Cantilever site
Theoretically it has been established (West, 1971) that deposition at low overpotentials is
dominated by surface diffusion; hence nucleation and growth occur primarily at step edges
and dislocations (Winand, 1975). Fig. 17 illustrates the morphology of copper deposition on
the nanosize AFM tip obtained under current density of 0.6 A/ dm2 and electrodeposition
time of 2400 s and after exposure to the e-beam. The micrograph in Fig.17a distinctly shows
that copper is deposited on the AFM tip and a very thick growth of copper deposits is seen
on the open area beneath the tip. From the series of micrographs obtained at different
electrodeposition times and current density of 0.6 A /dm2, it is noticed that copper gets
deposited both on the AFM tip and the open area beneath it, the most uniform deposition
seen at 2400 s of electrodeposition time.
a b
under current density of 0.6 A/dm2 and electrodeposition time of 2400s (a) SEI image
(b) Magnified to 5000 T
The PMMA coated on the AFM tip becomes more soluble in a developing solvent after
exposure to the e-beam because the radiation causes local bond breakages and thus chain
scission (Djenizian et al., 2006) as mentioned above. It could be clearly seen from Fig. 17b
that the unexposed areas below the AFM tip remain covered with PMMA. However, the
resist free parts of the AFM tip are selectively coated with copper. Reports on the selective
electrodeposition of Cu (Balaur et al., 2004) on n-type Si (1 1 1) surfaces covered with
organic monolayers and e-beam modified using e-beam lithographic techniques have also
been established. Copper was electrochemically deposited in the e-beam modified regions
and the selectivity of the deposition of copper in these regions was strongly dependent on
the applied e-beam dose. The selective deposition of copper on the nanosize AFM tip can be
described on the basis of Volmer-Weber approach which states that higher numbers of
activation sites are triggered with a higher overvoltage. In the Volmer-Weber model,
nucleation and growth are strongly potential dependent. At low cathodic potentials, only a
few sites are involved because the energy level is not sufficient whereas at high cathodic
voltages more initiation sites contribute to the nucleation process. It implies that at low
overpotentials the crystallites have to grow extremely large to reach coalescence and form a
homogenous deposit. In the present study, higher overpotential existing on the AFM tip
might have increased the number of activation sites, leading to the preferential deposition of
copper on exposure to the e-beam.
3. Conclusion
The investigations made in this chapter have highlighted electrodeposition as an attractive
approach for the preparation of nanostructured materials. Copper electrodeposition on a
nanosize AFM tip of diameter 80 nm was established by varying the magnitude of current
densities with electrodeposition time and vice versa. Significant changes in the morphology
of copper deposits were observed with changes in the above parameters. Morphological
investigations by SEM revealed that a nonuniform layer of copper was formed on the open
areas surrounding the tip and the AFM probe; however, deposition of copper on the AFM
tip could not be achieved in the absence of photoresist. Electron beam lithography technique
facilitated the formation of copper deposits on the nanosize AFM tip of diameter 80 nm in
the presence of PMMA. Copper was electrochemically deposited on the e-beam modified
regions of the AFM probe at a current density of 0.6 A/dm2 with electrodeposition times
ranging from 300 to 2400 s. The most uniform deposition on the AFM tip was noticed after
EBL treatment under current density of 0.6 Adm-2 and electrodeposition time of 2400 s.
4. Acknowledgment
The authors acknowledge financial support of this study from the National Science Council
of China under NSC 94-2811-E-006-021. The Department of Materials Science and
Engineering, National Cheng Kung University assisted in meeting the publication costs of
this article.
5. References
Abyaneh, M.Y.; Hendrikx. J.; Visscher, W. & Barendrecht. E (1982). Studies of Electroplating
using an EQCM. I. Copper and Silver on Gold. Journal of Electrochemical Society, Vol.
129, No.12 (December 1982) pp.2654-2659., ISSN 0013-4651.
Abyaneh, M.Y.& Fleischmann, M. (1981), The Electrocrystallisation of Nickel. Journal of

Electroanalytical Chemistry, Vol. 119, No. 187, pp. 197, ISSN 1572-6657.
Andricacos, P. C. ; Uzoh, C.; Dukovic, J. O.; Horkans, J. ; Deligianni, H (1998) Damascene
copper electroplating for chip interconnections IBM J. Res. Develop Vol 42 (April
2010) No.5, 567-574, ISSN:0018-846.
Andricacos, P. C (1999) Copper on Chip Interconnections –A Breakthrough in
Electrodeposition to make better chips, Interface 1999, 8,32.
Allee, D. R.; Umbach, C.P. & Broers, A.N. (1991). Direct nanometer scale patterning of SiO2
with electron- beam irradiation. Journal of Vaccuum Science and Technology B,
Vol. 9, No.16 (November 1991)pp.2838-2841, ISSN 1071-1023.
Allongne, P.A. (1995) in Advances in Electrochemical Science and Engineering, (eds :
Gerischer, H. & Tobias, C. W), ISBN 3-527-28273-4,Weinheim, Germany.
Balaur, E. ; Djenizian, T.; Boukherroub, R.; Chazalviel, J. N. ; Ozanam, F. & Schmuki, P.
Electroplating: an alternative transfer technology in the 20nm range.
Electrochemistry Communications. Vol.6, No.2, (February 2004), pp. 153-157, ISSN
1366-2481.
Batina, K. & Nichols, D.M. (1992). An in situ scanning tunneling microscopy study of the
initial stages of bulk copper deposition on gold(100): the rim effect. Langmuir, Vol.8,
No.10 (Oct 1992) pp.2572-2576, ISSN 0743-7463.
Benenz, P.; Xiao, X. Y.& Baltruschat, H. (2002). Tip-Induced Nanostructuring of a Clean and
Ethene –modified Pt (111) Electrode with Cu. Journal of Physical Chemistry B, Vol.
106, No. 14, ( March 2002) pp 3673-3680, ISSN 1089-5647.
Binning, G. & Rohrer, H. (1982). Scanning Tunneling Microscopy. Helvetica Physica Acta, Vol.
55, pp.726-735, ISSN 0036-8075.
Bockris J. O.M. & Razumney, G. A. (1967) Fundamental Aspects of Electrocrystallization,
Plenum Press, New York.
Buck, D.A. & Shoulders. K (1957), In Proceedings Eastern Joint Computer Conference
(ATTE, New Yoork), p.55.
Budevski, E. ; Staikov, G. & Lorenz, W. J. (1996) Electrochemical Phase Formation and Growth –
An Introduction to the Initial Stages of MetalDeposition, ISBN 3527294228978352729
4220,VCH, Weinheim.
Budevski, E.; Bostanov, V. & Staikov, G. (1980) Annu. Rev. Mater. Sci. 10, 85.
Budevski E. (1983) Comprehensive Treatise of Electrochemistry, Vol. 7 (Eds: B. E.Conway, J.
O’M. Bockris, E. Yeager, S. U. M. Kahn, R. E. White , Plenum Press, New York,
p.399.
Budevski, E. .; Staikov, G. & Lorentz, W. (1996). An Introduction to Initial Stages of
MetalDeposition, p. 4, Wiley VCH, ISBN 3527294228, Weinheim, Germany.
Carlsson, P.; Holmstriom, B. ; Kita H. & Uosaki, V. (1990). Novel application of scanning
tunneling microscopy — tip current voltammetry of n-GaAs and p-GaP in
electrolyte solution.Surface Science, Vol. 237, No.1-3 (November 1990) pp. 280 -290,
ISSN 0039-6028.
Chang, S.C. ; Shieh, J.M. ; Lin, K.C.; Dai, B.T. ; Wang, T.C.; Chen, C.F. ; Feng, M.S. ; Li, Y.H.
& Lu, C.P. (2001). Investigations of effects of bias polarization and chemical
parameters on morphology and filling capability of 130 nm damascene
electroplated copper. Journal of Vacuum Science and Technology B. Vol.19 , No.3 (May
2001) pp. 767-774, ISSN 1071-1023.
Creus ,H. A.; Carro, P.; Gonzalez, S.; Salvarezza, R.C & Arvia, A.J. (1992). Electrochemical
kinetics and growth modes of silver deposits on polyfaceted platinum spherical
electrodes Electrochmica Acta, Vol. 37, No. 12, (September 1992), pp. 2215-2227,
ISSN 0013-4686.
Danilov, A. I., Molodkina, E. B & Polukarov Yu. M. (1994) Russ. J.Electrochem. 1994, 30,
674.
Djenizian, T. & Schmuki, P. (2006) Electron beam lithographic techniques and
electrochemical reactions for the micro- and nanostructuring of surfaces under
extreme conditions. Journal of Electroceramics, Vol. 16, No.1, (Feb 2006), pp.9-14,
ISSN 1385-3449.
Fischer, H. (1954) Elektrolytische Abscheidungund Elektrokristallisation von Metallen,Springer,
Berlin
Fischer, H. (1969) Electrocrystallisation of Metals under ideal and real conditions. Angew.
Chem. Int. Ed.Engl. , 8, 108-119, ISSN 1521-3773.
Fleischmann, M. & Thirsk, H. R. (1963). Advances in Electrochemistry and Electrochemical
Engineering, Vol. 3, P. Delahay (Ed.), Wiley, New York.
Fu, C. X.; Shen, W. X. & Yao T. T. (1990) Physical Chemistry, 4th ed., p. 603, Higher Education
Press, Beijing.
Gewirth, A.A. & Siegenthaler (1995), Nanoscale Probes of the Solid/ Liquid Interface,
NATO ASI series E: Applied sciences vol. 288 , 334 pp, ISBN 0-7923-3454-X, Kluwer
Academic Publishers, Dordrecht/ Boston/ London.
Gileadi, E. & Tsionsky, V. Studies of Electroplating Using an EQCM. I. Copper and Silver on
Gold. Journal of Electrochemical Soc.iety. vol. 147, No.2 (Feb 2000) pp. 567-574, ISSN
0013-4651.
Golzhauser, A.; Geyer, W.; Stadler, V.; Eck, W.; Grunze, M.; Edinger, K.; Weimann, Th.&
Hinz. P (2000). Nanoscale patterning of self-assembled monolayers with electrons.
Journal of Vacuum Science and Technology. B, Vol. 18, No.6 (November 2000) 3414-
3418, ISSN 1071-1023.
Hachiya, T.; Honbo, H. & Iteya, K (1991). Detaled Underpotential Deposition of Copper on
Gold (111) in aqueous-Solutions. Journal of Electroanalytical Chemistry, Vol. 315,
pp.275-291, ISSN 1572-6657.
Hozzle, M. H.; Zwing, V & Kolb D. M (1995). The influence of steps on the deposition of Cu
on Au (III) Electrochimica Acta , Vol 40, No. 10,pp 1237-1247, ISSN 0013-4686 (95)
00055-0.
Harrison, J.A. & Thirsk, H. R. (1971), A guide to the study of electrode kinetics, In
:Electroanalytical Chemistry, A. J. Bard, (Ed.), Vol5, 67, Marcel Dekker, London.
KaltenPoth, G.; Volkel, B.; Nottbohm, C.T.; Golzhauser.A & Buck, M. (2002). Electrode
modification by electron-induced patterning of self-assembled monolayers. Journal
of Vacuum Science and Technology B, Vol.20 , No.6 (November 2002), pp 2734-2738,
ISSN 1071-1023.
Kelber, J..; Rudenja, J. &. Bjelkevig, C. (2006) Electrodeposition of copper on Ru (0 0 0 1) in

sulfuric acid solution: Growth kinetics and nucleation behavior. Electrochimica Acta,
Vol.51, No.15, (April 2006) pp.3086-3090, ISSN 0013-4686.
Koinuma, M. & Uosaki, K (1994) In situ observation of anodic dissolution process of n-GaAs
in HCl solution by electrochemical atomic force microscope. Journal of Vaccum
Science and Technology B, Vol.12, pp 1543-1546, ISSN 1071-1023.
Lercel, M. J.; Craighead, H. G.; Parikh, A.N.; Seshadri, K. & Allana, D. L. (1996), Sub-10 nm
lithography with self-assembled monolayers. Applied Physics Letters, Vol. 68,
No.11, pp.1504-1506, ISSN 0003-6951.
Lin, K.L.; Chen, S.Y. & Mohanty, U.S (2008) Effect of Current density and Plating Time on
the Morphology of Copper Deposits on an AFM tip. Journal of Electrochemical
Society. Vol. 155, No. 4, pp. D251-D255, ISSN 0013-4651.
Li, Y.; Maynor, B.W. & Lu. J (2001). Electrochemical AFM “Dip-Pen” Nanolithography.
.Journal of American Chemical Society, Vol. 123, No.9 (March 201) 2105-2106, ISSN
0002-7863.
Lustenberger, P.; Rohrer, H; Christoph, R & Stegenhaler, H. (1988) Journal of
Electroanalytical Chemistry, Vol. 243, pp.225.
Matsui, S.; Ichihashi, T .& Mito, M. (1989). Electron beam induced selective etching and
deposition technology. Journal of Vacuum Science and Technology B, Vol. 7, No.15
September 1989) pp.1182-1190, ISSN 1071-1023 .
Markovic, N.M.; & Ross, P.N, Jr (1993). Electrodeposition of copper on Pt (111) and Pt (100)
single crystal surfaces, Journal of Vacuum Science and Technology A, Vol. 11, No.4, pp.
2225-2232, ISSN 0734-2101.
Michailova, E. ; Vitanova, I.; Stoychev, D. & Milchev, A. (1993). Initial stages of Copper
Electrodeposition in presence of organic additives. Electrochimica Acta 1993, 38,
2455-2458, ISSN 0013-4686 (93) 85116-G.
Milchev, A.. (1997). Electrochemical alloy formation—theory of progressive and
instantaneous nucleation without overlap. Electrochimica Acta. Vol. 42, No.10, pp.
1533-1536, ISSN 0013-4686.
Milchev, A (2002) Electrocrystallization:Fundamentals of Nucleation and Growth, ISBN 1-4020-
7090-X, Kluwer Academic Publishers,Boston/Dordrecht/London.
Nichols, R. J.; Beckman.; Mayer, H.; Batina, N & Kolb, D.M (1992). An in situ scanning
tunnelling microscopy study of bulk copper deposition and the influence of an
organic additive. Journal of Electroanalytical Chemistry, Vol. 330, No.1-2 (July 1992)
pp. 381-394, ISSN 1572-6657.
Oskam, G.; Long, J. G.; Natarajan, A. ; Searson, P. C (1998) Electrochemical deposition of
metals onto silicon. J. Phys. D: Appl. Phys. Vol. 31, No.16 (August 1998), pp.1927-
1949, ISSN 0022-3727.
Pardave, M. P.; Ramirez, M. T. ; Gonzalez, I.; & Scharfiker, B. R. (2000). J. Electrochem. Soc.,
147, 567 (200)
Paunovic, M. & Schlesinger, M. (2006) Fundamentals of Electrochemical Deposition, ISBN 978-0-
471-71221-3, Wiley-Interscience, NewYork.
Seah, C. H.; Mridha, S; Chan, L.H (1998), Growth morphology of electroplated copper: effect
of seed material and current density, IITC, 98-158, IEEE, ISSN 0-7803-4285-2/98.
Seah, C.H.; Mridha, S & Chan, L.H (1999), Fabrication of D.C.-plated nanocrystalline copper
electrodeposits. Journal of Materials Processing Technology, Vol. 89-90 , (May 1999),
pp.432-436, ISSN 0924-0136.
Simon, G.; HaghiriGosnet, A.M.; Carcenac, F. & Lannois, H (1997), Electroplating: An
alternative transfer technology in the 20nm range. Microelectronics Engineering, Vol.
35, No. 1-4 (February 1997), pp.51-54, ISSN 0167-9317.
Smith, K.C. A & Oatley, C.W (1955). Brazilian Journal of Applied Physics, Vol. 6,
pp.391.
Sonnenfeld, R. & Hannsma, P.K (1986) Atomic Resolution Microscopy in Water, Science, Vol.
232, No.4747, pp.211-213,, ISSN 0036-8075.
Staikov, G.; Juttner, K.; Lorenz, W. J & Budevski, E (1994). Metal depsoition in the
nanometer range.,Electrochimica Acta, Vol. 39, No.8-9, (June 1994), pp. 1019-1029,
ISSN 0013-4686.
Stegenthaler, H (1992). in Scanning Tunneling Microscopy II, Springer Ser. Sur. Sci, Vol.
28(eds: Ewisendanger, R.; Guntherodt, H. J, Springer, Berlin.
Sun, S.; Chong, K. S. L and Leggett, G.J (2005). Photopatterning of self-assembled
monolayers at 244 nm and applications to the fabrication of functional
microstructures and nanostructures, Nanotechnology, 16, pp.1798-1808, ISSN 0957-
4484.
Takahashi, K.M. & Gross, M.E. (1999). Transport Phenomena That Control Electroplated
Copper Filling of Submicron Vias and Trenches. Journal of Electrochemical Society.
Vol. 146, No.12 ( December 1999) pp. 4499-4503,.
Takahashi, K.M. (2000). Electroplating Copper onto Resistive Barrier Films. Journal
of Electrochemical Society. Vol. 147, No.4 (April 2000) pp 1414- 1417, ISSN 0013-
4651.
Tan, M. & Harb, J.N. (2003) Additive Behavior during Copper Electrodeposition in Solution
Containing Cl-, PEG, and SPS Journal of Electrochemical Soc.iety. Vol.150, pp C420-
C425, ISSN 0013-4651.
Teh, W.H.; Koh, L.T.; Chen, S.M.; Xie, J.; Li, C.Y. & Foo, P.D. (2001) Study of microstructure
and resistivity evolution for electroplated copper films at near-room temperature.
Microelectronics Journal, Vol 32, No.7 (July 2001), pp. 579-585, ISSN 0026-2692.
Thirsk, H. R. & Harrison, J. A. (1972), A guide to the study of electrode kinetics, ISBN
0126877505, London, New York, Academic Press.
Volmer, M (1934) Das Elektrolytische Kristallwachstum, Hermannet Cie, Paris.
Volmer, M (1939) Kinetik der Phasenbildung, Steinkopf, Dresden.
West, J. M. (1971). Electrodeposition and Corrosion Process, pp. 204, 2nd Edition, ISBN 978-
04422093525, Van Nostrand Reinhold, New York.
Winand, R (1975). Electrocrystallisation of Copper. Transactions of the Institution of Mining
and Metallurgy. Section C, Mineral processing and extractive metallurgy, Vol.84,pp.67-
75, ISSN 0371-8553.
Xu, W.; Wong, J.; Cheng, C.C.; Johnson, R. & Scherer.A. (1995), Fabrication of ultrasmall
magnets by electroplating . Journal of Vacuum Science and Technology, B. Vol. 13,
No.6 (November 1995) pp.2372-2375, ISSN 1071-1023.
Yau, S.L.; Gao, X; Chang, S.C; Schardt, B.C & Weaver , M. J.(1991) Atomic-resolution
scanning tunneling microscopy and infrared spectroscopy as combined in situ
probes of electrochemical adlayer structure: carbon monoxide on rhodium (111).
Journal of American Chemical Society, Vol. 113, No.16, pp. 6049-6056, ISSN 0002-
7863.
9
New Trends on the Synthesis of Inorganic

Nanoparticles Using Microemulsions
as Confined Reaction Media
Margarita Sanchez-Dominguez1, Carolina Aubery2 and Conxita Solans2
1Centro de Investigación en Materiales Avanzados, S. C. (CIMAV), Unidad Monterrey;
GENES-Group of Embedded Nanomaterials for Energy Scavenging
2Instituto de Química Avanzada de Cataluña, Consejo Superior de Investigaciones
Científicas (IQAC-CSIC); CIBER en Biotecnología,

Biomateriales y Nanomedicina (CIBER-BBN)
1Mexico
2Spain
1. Introduction
The development of nanotechnology depends strongly on the advances in nanoparticle
preparation. Nowadays, there are a number of technologies available for nanoparticle
synthesis, from the gas phase techniques such as laser evaporation (Gaertner & Lydtin,
1994), sputtering, laser pyrolisis, flame atomization and flame spray pyrolisis (Kruis et al.
1998), etc, to the liquid phase techniques such as coprecipitation from homogeneous
solutions and sol-gel reactions (Qiao et al. 2011), solvothermal processes (Gautam et al.
2002), sonochemical and cavitation processing (Suslick et al. 1996), and surfactant and
polymer-templated synthesis (Holmberg, 2004). Amongst the surfactant-based approaches,
the microemulsion reaction method is one of the most used techniques for the preparation of
very small and nearly monodispersed nanoparticles. This method offers a series of
advantages with respect to other methods, namely, the use of simple equipment, the
possibility to prepare a great variety of materials with a high degree of particle size and
composition control, the formation of nanoparticles with often crystalline structure and high
specific surface area, and the use of soft conditions of synthesis, near ambient temperature
and pressure. The traditional method is based on water-in-oil microemulsions (W/O), and it
has been used for the preparation of metallic and other inorganic nanoparticles since the
beginning of the 1980’s (Boutonnet et al., 1982). The droplets of W/O microemulsions are
conceived as tiny compartments or “nanoreactors”. The main strategy for the synthesis of
nanoparticles in W/O microemulsions consists in mixing two microemulsions, one
containing the metallic precursor and another one the precipitating agent. Upon mixing,
both reactants will contact each other due to droplets collisions and coalescence, and they
will react to form precipitates of nanometric size (Figure 1). This precipitate will be confined
to the interior of microemulsion droplets. Numerous investigations have been published
about the use of W/O microemulsions for the preparation of a variety of nanomaterials,
such as metallic and bimetallic nanoparticles, single metal oxide as well as mixed oxides,
quantum dots, and even complex ceramic materials (Boutonnet et al., 1982; Destrée & Nagy,
2006; Eastoe et al. 2006; Holmberg, 2004; López-Quintela et al. 2004; Pileni 1997 and 2003).
Materials synthesized in w/o microemulsions exhibit unique surface properties; for
example, nano-catalysts prepared by this method show better performance (activity,
selectivity) than those prepared by other methods (Boutonnet et al. 2008).
Fig. 1. Scheme of the w/o microemulsion reaction method for the synthesis of inorganic
nanoparticles.
In spite of the superior properties and performance of nanoparticles obtained in w/o

microemulsions, this method has not found good acceptance at the industrial level, mainly
due to the employment of large amounts of oils (solvents) which represent the continuous and
hence main component of these systems. In addition, most studies employ relatively low
concentration of the metal precursors, leading to small yields of nanoparticles per
microemulsion volume. These drawbacks affect negatively from the economic and ecologic
point of view. It is the aim of this chapter to review the newest trends in the synthesis of
inorganic nanoparticles using microemulsions as confined reaction media, with the objective
to identify those alternatives or approaches that make this type of colloidal media more
attractive for nanoparticle synthesis from the environmental , economic, technological, and
scientific point of view. Some of those approaches are: the synthesis of advanced materials,
such as mixed oxides and complex ceramics with nanocrystalline structure, core-shell
particles, mixed materials with key nano-heterojunctions, etc, which may be difficult to obtain
by other methods; optimization of microemulsion compositions, by making use of advanced
phase behaviour knowledge; use of bicontinuous microemulsions in semi-continuous batches,
and last but not least, a novel approach based on the use of oil-in-water microemulsions
instead of w/o microemulsions as confined reaction media. An introductory section about the
generalities and properties of microemulsion systems as well as on the use of microemulsions
New Trends on the Synthesis
of Inorganic Nanoparticles Using Microemulsions as Confined Reaction Media 197
as reaction media for nanoparticle synthesis is first included. In addition, other aspects of
nanoparticle synthesis are reviewed, such as study of reaction kinetics; influence of
microemulsion dynamics on the characteristics of the obtained materials, as well as phase-
transfer and isolation of nanoparticles from the microemulsion reaction media.
2. General properties and formation of microemulsions

2.1 Microemulsions: Definition and basic properties
Microemulsions are transparent and thermodynamically stable colloidal dispersions in
which two liquids initially immiscible (typically water and oil) coexist in one phase due to
the presence of a monolayer of surfactant molecules with balanced hydrophilic-lipophilic
properties (Danielsson & Lindman, 1981). They are optically isotropic and transparent. In
contrast to emulsions, for which formation requires a considerable energy input,
microemulsions form spontaneously upon gentle components mixing, once composition
and temperature conditions are right. Depending on the ratio of oil and water and on the
hydrophilic-lipophilic balance (HLB) of the surfactant, microemulsions can exist as oil-
swollen micelles dispersed in water (oil-in-water microemulsions, O/W), or water-swollen
inverse micelles dispersed in oil (water-in-oil microemulsions, W/O); at intermediate
compositions and HLBs, bicontinuous structures can exist. When a dispersed phase is
present, it consists of droplets with a narrow size distribution in the order of 2-50 nm.
The formation of microemulsion depends on the surfactant type and structure, e.g. single
hydrocarbon chain ionic surfactants require the incorporation of cosurfactant or electrolytes
for microemulsion formation due to their high hydrophilic character; in contrast, double
chain ionic surfactants and ethoxylated non-ionic surfactants may form microemulsions
without cosurfactant. Lowering the interfacial tension between the oily and aqueous phase
(o/w) is the main role of the surfactant (or surfactant/cosurfactant mixture). The extremely
low o/w (in the order of 10-2 - 10-3 mN m-1) achieved is one of the main microemulsion
characteristics: the decrease on o/w is caused by the surfactant, overcoming the surface
energy term caused by the huge increase in interfacial area. In addition, the spontaneous
dispersion of numerous water or oil droplets causes an entropy increase, yielding a
thermodynamically stable system. The extremely low interfacial tension is decisive for
microemulsion formation, and depends on the composition of the system (Kunieda &
Friberg, 1981; Cross, 1987).
Microemulsions are dynamic systems, and it has been shown that droplet content exchange
processes can occur in the order of millisecond time scales (Fletcher et al., 1987; Clarke et al.,
1990). Collisions are produced due to constant Brownian motion of the droplets. When these
collisions are sufficiently violent, the surfactant layer breaks up and the micellar exchange
can be produced. It is thought that the micellar exchange process is characterized by an
activation energy ( Ea or energy barrier), which is affected by the flexibility or rigidity of the
surfactant layer (Fletcher & Horsup, 1992; Lindman & Friberg, 1999}, in addition to diffusion
processes (Fletcher et al., 1987).
2.2 Microemulsions and phase equilibria

Phase behavior studies by means of equilibrium phase diagrams of polar
solvent/amphiphile/nonpolar solvent systems provide essential information on
microemulsion formation and structure. In 1954, Winsor predicted four types of equilibria
which was latter experimentally evidenced: i) Winsor I: oil-in-water (o/w) microemulsions
are formed, and the surfactant-rich water phase coexists with the oil phase where surfactant
is only present as monomers; ii) Winsor II: water-in-oil (w/o) microemulsions are formed
and the surfactant-rich oil phase coexists with the surfactant-poor aqueous phase; iii)
Winsor III (middle phase): a three-phase system where a bicontinuous middle-phase
microemulsion (rich in surfactant) coexists with both excess water and oil phases; and iv)
Winsor IV: a single-phase (isotropic) micellar solution (microemulsion), that forms upon
addition of a sufficient quantity of amphiphile. Figure 2 shows how this equilibria can be
affected by salinity (for ionic surfactants) or temperature (for non-ionic surfactants), and also
illustrates the structural variability of microemulsions (O/W, W/O and bicontinuous (BC)).
Some typical equilibrium phase diagrams are shown in Figure 3 (Destrée & Nagy, 2006). In
each of these diagrams L2 denotes a region where one phase W/O microemulsions are
formed. AOT (Sodium 2-ethylhexylsulfosuccinate) based systems are amongst the best
characterized systems, and it has been found that the size of the inverse microemulsion
droplets formed by this type of systems increases linearly with the amount of water added
to the system (Pileni, 1998) and can increase from 4 nm to 18 nm with 0.1 M sodium AOT
surfactant (water/AOT/isooctane). AOT based systems are probably the most used for the
synthesis of inorganic nanoparticles in w/o microemulsions, for two reasons: good control
of droplet size as explained above and the large microemulsion regions found in
water/AOT/alkane systems, which give rise to a great deal of compositions available for
nanoparticle synthesis. Systems based on cetyltrimethylammonium bromide (CTAB),
usually combine this surfactant with alcohols such as hexanol as the oil phase. This alcohol
can act as co-surfactant, adsorbing at the oil/water interface along with the surfactant. As
shown in Figure 3 the microemulsion region of water/CTAB/hexanol system is relatively
narrow, however, when shorter alcohols such as butanol are added as cosurfactant, the
microemulsion regions are considerably enlarged (Košak et al., 2004).
Fig. 2. Winsor classification of microemulsion equilibria. Microemulsion phase sequence as a

function of temperature and salinity for non-ionic and ionic surfactants, respectively.
Fig. 3. Water / Nonionic surfactant / Oil pseudo bynary phase diagram, as a function of
temperature. Reproduced with permission (Destrée & Nagy, 2006).
As for non-ionic surfactant – based systems, Triton® X-100 (octyl-phenol ethoxylate) is one
of the most used, however, alkyl-phenol ethoxylate surfactants such as this one have a
limited biodegradability. Their metabolites of degradation have low solubility and are toxic,
for example, nonylphenol has been proven to be an endocrine disrupter (Jobling & Sumpter,
1993). On the other hand, aliphatic fatty alcohol ethoxylates such as PEGDE (penta(ethylene
glycol) dodecyl ether) are more environmentally friendly; for nanoparticle synthesis, the
technical-grade options are usually chosen due to their lower cost. A special feature of non-
ionic surfactant systems is the sensitivity of their hydrophilic-lipophilic properties to
temperature, and although sometimes this characteristic is seen as a drawback, the
possibility for phase-behavior tuning can be used as an advantage for the formulation of
non-ionic microemulsions. In addition, nonionic surfactants have a great capacity of
hydration by their ethoxylated (EO) units; hence, an appropriate selection of surfactant, oil
and precursor salts/precipitating agent concentration, in combination with the rich
structural behavior that such a system may display as a function of temperature, can lead to
highly optimized formulations in terms of aqueous phase uptake and hence reactants
loading. A good premise to this behavior is the enormous efficiency boost in the formation
of middle phase microemulsions by the use of block copolymer surfactants reported by
Strey et al. (Jakobs et al., 1999).
2.3 Effect of precursor salts and additives on the phase behavior

Although nonionic microemulsion systems are mainly affected by temperature changes, the
addition of electrolytes and cosurfactant can also produce shifts in the solubilization and
THLB (hydrophilic-lipophilic balanced temperature or phase inversion temperature) of the

systems (Aramaki et al., 2001; Kunieda et al., 1995; Shinoda, 1968). The use of ionic
surfactants may have some drawbacks, as usually the aqueous phase uptake of ionic
microemulsions is reduced in the presence of precursor salts due to screening effects, and
hence microemulsion regions become smaller (Liu et al., 2000; Gianakas et al., 2006).
Additionally, complex species could interfere with particle growth by adsorption to their
surface, and contaminations of ceramic nanoparticles with the surfactant counterions aer
possible. Often, the effect of addition of precursor salts or precipitating agent on the phase
behavior and structure of microemulsion systems is underlooked. Generally two
microemulsions with a fixed water/surfactant ratio are prepared without taking into
account the influence the added salt has on the size and the structure of the water droplets.
Recently, Stubenrauch et al (Magno et al., 2009) and Sanchez-Dominguez et al. (Aubery et
al., 2011) have reported systematic studies on the effects of addition of reactants to nonionic
microemulsion systems. It was shown (Magno et al., 2009) that, depending on the aqueous
nature of nonionic microemulsion systems, and the salting-in or salting-out effect of the
additives, both increase or decrease on the water solubilization could be obtained. The same
group studied the effects of different salts on the water solubilization of ionic
microemulsions of the system aqueous phase / AOT/butanol /decane (Stubenrauch et al.,
2008). They found that depending on the type of precursor (salts of Pt, Bi, or Pb) or the
reducing agent (NaBH4), different behaviors can be obtained, and it was necessary to add
different amounts of SDS and 1-butanol in order to keep both the w/o nature of the
microemulsion droplets as well as their size (which was only assessed theoretically based on
microemulsion composition).
In the studies by our group on the effects of addition of precursor salts and precipitating
agent to the non-ionic microemulsion system aqueous solution / Synperonic® 13/6.5 /
isooctane (Aubery et al., 2011), several factors were taken into account: phase behavior
(pseudoternary phase diagrams at constant temperature), dynamicity (presence or absence
of percolation in W/O structures, or formation of bicontinuous microemulsions), and
droplet size (DLS). It was possible to obtain w/o microemulsions at a wide range of
overlapping compositions for both precursor salts and precipitating agent. In fact, the
microemulsion regions were considerably enlarged upon addition of precursors and
precipitating agent; this behavior is contrary to what is typically obtained with ionic systems
which have their microemulsion region reduced with addition of salts. It was difficult to
obtain both type of microemulsions in either a non-percolated or percolated state; this was
characterized extensively by conductivity, FT PGSE NMR and hydrophilic dye diffusion
studies. When pseudobinary phase diagrams as a function of temperature were carried out,
there were some compositions and temperatures at which both precursor salts and
precipitating agent microemulsions were either percolated, not percolated or bicontinuous.
2.4 Dynamic processes

Among the dynamic processes in microemulsions, interactions of droplets components and
droplet- droplet interactions must be taken into account (Fletcher et al, 1987; Fletcher &
Horsup, 1992; Moulik & Paul, 1998). Concerning interactions of droplets components in a
W/O nonionic microemulsion, a schematic representation is depicted in Figure 4. The
example concerns an aqueous droplet stabilized by a mixture of surfactant and cosurfactant
molecules. The aqueous domain is composed by bounded water (hydrating the

surfactant/cosurfactant hydrophilic domains) and free water (forming the droplet core). The
exchange process to reach microemulsion equilibria comprises: 1) exchange of water
between the bounded and free state; 2) exchange of cosurfactants among the interfacial film,
the continuous phase and the dispersed phase (depending on its solubility). If ionic species
are solubilized in the aqueous solution, they exchange ions between the bounded and free
water. The composition of the aqueous droplets, their concentration and the temperature are
mayor factors defining further interactions between them.
Droplet-droplet interactions depend strongly on droplet concentration, solvent viscosity,
temperature, rigidity or flexibility of interfacial layer, and interactions between surfactant
tails (Capek, 2004; Lopez-Quintela, 2003). When water or oil droplet dispersions are present,
the droplets continuously collide, break apart, aggregate and break apart giving rise to
dynamic processes in microemulsions. These dynamic processes allows microemulsion
droplets to continuously exchange their content in microsecond scales. The composition of
the aqueous droplets, as explained above, has a great influence on droplet interactions. As
an example, the interfacial layer plays an important role on the formation, stability and
discrete nature of microemulsion droplets. The film rigidity has been observed to increase
with the surfactant hydrocarbon chain, whereas it substantially decreases with cosurfactant
addition. The surfactant packing capacity can be also affected by the ionic strength of the
droplets (Aramaki et al., 2001; Kunieda et al., 1995). The increase of surfactant molecules in
the layer is proportional to the rigidity of the micelles.
Fig. 4. Schematic representation of W/O microemulsion droplet. (Adapted with permission

from Moulik, 1998).
Changes on microemulsion dynamics giving rise to structural transitions can be explained

in terms of percolation. Figure 5 refers to a percolation process taking place in W/O
microemulsions (Borkovec et al., 1988), as the oil to water ratio o is varied. As observed in
Figure 5, at high oil concentration, the fraction of water in discrete droplets increases with
water composition (decreasing oil concentration) up to a concentration, where it drastically
decreases. This concentration is called Percolation Concentration CP. Although
clusterization occurs below CP (low water concentrations), these clusters remain finite in size
respect to the bulk solution. CP represents the concentration at which the first infinite cluster
appears. Further increase on water concentration would lead to the disappearance of
discrete water droplets to give rise to an increase of infinite water and oily domains, which
are characteristic of bicontinuous microemulsions. Water percolation can also be induced by

temperature, and is defined as the percolation temperature TP.
Fig. 5. Schematic representation of structural regimes of microemulsions caused by water

percolation as a function of the relative amount of oil. Reprinted (adapted) with permission
from Borkovec M., Eicke H.-F., Hammerich H., & Das Gupta, B. (1988) J. Phys. Chem., 92, 1,
pp. (206-211). Copyrigh (1988) American Chemical Society
3. The microemulsion reaction method: introduction and generalities

A brief description of the synthesis of nanoparticles in W/O microemulsions has already
been given in Section 1, along with an explanatory figure (Figure 1). Colloidal nanoparticle
formation is a complex process, which includes nucleation and growth steps -giving rise to
nanoparticle formation- as well as eventual coagulation and flocculation.
3.1 Mechanism of nanoparticle formation

A model of particle precipitation in a homogeneous aqueous medium has been proposed
by La Mer (La Mer & Dinegar, 1950). The model involves particle nucleation at short
times. As soon as monomer formation takes place due to chemical reaction, its
concentration increases up to the point of spontaneous nucleation, which occurs over a
critical supersaturation concentration [C]C. Afterwards, growth takes place (Figure 6). The
growing step is mainly controlled by the diffusion of monomers in solution (C) onto the
particles surface. Thus, C reaches a maximum and afterwards it begins to decrease. This
decrease in monomer concentration is due to the growth of the particles by diffusion. In
microemulsions, the number of nucleated sites is expected to be higher, comparing to
homogeneous reactions, as illustrated in Figure 6. On the other hand, the diffusion
controlled particle growth should occur at lower rate. Another model is based on the
thermodynamic stabilization of the particles. In this model the particles are
thermodynamically stabilized by the surfactant. The size of the particles remains constant
when the precursor concentration and the size of the aqueous droplets vary. Nucleation
occurs continuously during the nanoparticle formation.
[C] homogeneous solution

microemulsion
nucleation
critical supersaturation
[C]C
particle growth
[C]s
solubility (supersaturation)
time
Fig. 6. Monomer concentration [C] as a function of time in microemulsions, compared to a
homogeneous system. (Adapted from La Mer & Dinegar, 1950 and Schmidt, 1999).
3.2 Reaction kinetics

Although microemulsions as reaction media for the synthesis of inorganic nanoparticles
have been extensively studied, the kinetics of these reactions is still not completely
understood. As mentioned above, several types of nanoparticles have been synthesized
using a variety of surfactant systems, and relationships between the nanoparticles
characteristics and the microemulsion media are not straightforward due to the diversity of
variables which can have an influence, and this may be closely related with complex
kinetics. An effort to relate the surfactant media with the reaction kinetics was reviewed by
Lopez-Quintela et al. (Lopez-Quintela et al., 2004), concerning both inorganic and organic
syntheses in microemulsions. Few studies can be cited concerning the follow-up of reactions
with time, due to the fast rate of microemulsion reactions. Some of these works are pointed
out below:
1. Bandyopadhyaya et al. (Bandyopadhyaya et al., 1997) have modelized CaCO3
formation in microemulsions by carbonation. A time-scale analysis was developed,
resulting in a model of reaction kinetic that closely corresponded to results obtained
experimentally.
2. Chew et al. (Chew et al., 1990) have studied the effect of alkanes in the formation of
AgBr particles in ionic W/O microemulsions (using AOT as surfactant), where the
transmittance of the reactions were followed with time with UV-Vis and Stopped-Flow
Spectrophotometry. They have found an increase on reaction rate with the chain lenght
of the alkane.
3. Curri et al. (Curri et al., 2000) studied the role of cosurfactant on the synthesis of CdS
nanoclusters, using CTAB as surfactant. Stopped-Flow Spectrophotometry was used in
order to compare a reaction using CTAB plus cosurfactant and other carried out using
AOT. They have summarized two different cosurfactant effects: the influence of the
surfactant film flexibility on particle growth and the particles stabilization in solution,
determined by the adsorption of cosurfactant onto the particle surface.
4. Lopez-Quintela et al. (De Dios et al., 2009) simulated the kinetics of nanoparticles
formation in microemulsions. Simulations were carried out by comparing Ag, Ag-Au
and Au formation with experimental data reported by Destrée and Nagy. (Destrée &
Nagy, 2006). The detailed comprehension of the kinetics taking place in microemulsion
reactions is limited by the experimental data in this direction. Hence, systematic studies
focused on reaction rates are greatly encouraged in order to advance in this field.
3.3 Parameters influencing on nanoparticle synthesis

Although complete control of particle characteristics is still far from clear and direct, some
results on this field can be pointed out as shown below.
Aqueous solution concentration. It have been described in several publications the particle size
dependency with water:surfactant molar ratio (w0). In general, it has been observed that, as
increasing w0, an increase on particle size is observed (Pileni, 1997; Lopez-Quintela, 2003).
However, Cason et al. (Cason et al., 2001) have found that, with different w0, it was possible
to obtain constant particle size if the reaction time increases for the synthesis to get
completed. They proposed that the growth of the particles is affected by w0. It was
considered that for low w0 values, the aqueous solution is not enough to completely hydrate
the polar groups of the surfactant and the counterion. As a consequence, the film rigidity is
higher compared to higher w0 values. This influences on the micellar exchange and, as a
consequence, the growth rate decreases. Increasing w0, the micelle rigidity decreases
generating an increase in the growth rate up to a certain concentration, where further
increase in w0 simply causes reagent dilution, which causes a decrease in the growth rate.
Some studies have indicated a decrease on particle size with w0 (Bagwe & Khilar, 1997).
Reagent concentration: Particle size have been determined to be directly dependent on reagent
concentration (Lopez-Quintela, 2003). An example is the work carried out by Destrée &
Nagy (Destrée & Nagy, 2006). They have synthesized Pt nanoparticles, using different
concentrations of K2PtCl4. An increase on particle diameter from 2 to 12 nm was obtained,
by increasing the concentration of the precursor. On the other hand, an increase on the
precipitating/precursor ratio generally causes a decrease on particle size (Lisiecki & Pileni,
2003). It is thought that increasing precipitating agent concentration, particle nucleation can
be favored in a higher extent, which further grow simultaneously, resulting in particles with
lower size and polydispersity.
Surfactant and cosurfactant: Studies in order to determine the effect of nonionic hydrophilic
and lypophilic surfactant groups have been developed. As the lypophilic chain of the
surfactant is longer, smaller particles are obtained due to the increased micellar rigidity
Generally, the addition of cosurfactant causes an increase micellar exchange, due to the
decrease in the interfacial film rigidity. It is thought that the increase in microemulsion
droplet size is counteracted with the increase on surfactant film curvature, generating
smaller particles than without cosurfactant (Lopez-Quintela et al., 2004).
Solvent: Some studies have shown that low weight oil molecules, with low molecular
volumes, can penetrate in the sufactant hydrocarbon chains, increasing the film curvature
and rigidity (Cason et al., 2001). This effect has been observed to produce micellar exchange
decrease and, consequently, smaller particles are obtained.
Electrolytes: Some studies reveal the possible dependence of nanoparticle shape with
electrolyte addition (Filankembo et al., 2003). Pileni (Pileni, 2003) has postulated that the
selective ion or molecule adsorption over nanocrystal layers can affect their growth in
certain directions, which could explain the apparent preference on certain particle shape.
Microemulsion structure: Some studies have claimed about the nanoparticle shape partial
dependence on microemulsion structure, where the microemulsion media acts as a
template. A particular example is the work carried out by Pileni (Pileni, 2001) on the
preparation of Copper nanoparticles from microemulsions by varying the internal structure.
Spherical water droplets resulted in spherical particles, water cilinders resulted in
cylindrical copper nanocrystals (with spherical particles) and a mixture of W/O
microemulsion with lamellar phase resulted in a mixture of particle shape such as spheres,
cylinders, etc. It was found that the template was not the only parameter which controls the
shape of nanocrystals. There are examples of nonexistent correlation between the
microemulsion structure and the nanoparticles obtained, which supports the nanoparticle
shape dependence on electrolyte adsorption (Chen & Lin, 2001).
Even though there is a diversity of studies carried out in order to relate nanoparticle
characteristics with microemulsion properties, there is a gap in the effects of microemulsion
dynamic behavior on nanoparticle characteristics, as systematic studies in this direction are
scarce. The transport and micellar dynamics influence to some extent the nanoparticle
formation, and it is important to take this into account in order to understand the basics of
nanoparticles synthesis by this route. This type of studies may give rise to improvements on
controlled nanoparticle characteristics.
4. Recent advances in the use of microemulsions as confined reaction media

for the synthesis of inorganic nanoparticles
There have been a number of advances in different aspects of the synthesis of nanoparticles
in microemulsions over the last four years. The main ones are: the use of other types of
microemulsions for synthesis (O/W and bicontinuous microemulsions), the preparation of
more complex architectures (core/shell and multishell, hybrid nanocrystals), the synthesis
of more complex ceramics (spinels, perovskites, etc), modeling of reactions in
microemulsions, and novel approaches for the separation of nanoparticles from the reaction
mixtures. The most outstanding examples of each of these aspects are given below.
4.1 The use of other types of microemulsions for inorganic nanoparticle synthesis
One of the main drawbacks of the technique reviewed so far (synthesis in W/O
microemulsions) and the main reason why it has not been generally accepted for production
at the industrial scale, is the fact that these microemulsions employ large quantities of
organic solvent, as well as its limited production capacity, since this is restricted to the
amount of aqueous phase solubilized and the concentration of precursor which often cannot
be that high due to interactions with the surfactant, as discussed in Section 2.3. Some
research groups have been working in new approaches to overcome these drawbacks.
4.1.1 Synthesis in oil-in-water microemulsions

Our research group in collaboration with the group of Boutonnet, has developed a novel
and straightforward approach based on O/W microemulsions (Sanchez-Dominguez et al.,
2009). From a practical and environmental point of view, the possibility of preparing
inorganic nanoparticles using O/W instead of W/O microemulsions may be highly
advantageous, since the major (continuous) phase is water. The method consists in the use
of organometallic precursors, dissolved in nanometer scale oil droplets of O/W
microemulsions (Figure 7), and stabilized by a monolayer of hydrophilic surfactant. The first
work reported as a proof of concept the synthesis of metallic (Pt, Pd, and Rh) as well as
metal oxide (CeO2) nanoparticles (Sanchez-Dominguez et al., 2009). Small (around 3 nm),
nanocrystalline materials with a narrow size distribution were obtained (Figure 8).
It was followed by the synthesis of the following mesoporous nanocrystalline oxides: CeO2,
ZrO2, Ce0.5Zr0.5O2, and TiO2 (Sanchez-Dominguez et al., 2010). Small particle size (3 nm), and
high specific surface area (200-380 m2 g-1) was obtained for all materials. Nanocrystalline
cubic CeO2 and Ce0.5Zr0.5O2 were obtained under soft conditions (35°C). The materials were
evaluated as catalyst supports in the CO oxidation reaction by doping them with Au (2 wt%,
impregnation technique). The resulting catalysts showed a high Au dispersion
(HRTEM/EDX). These materials showed a good activity in CO oxidation at low
temperature (T50 of 44°C for TiO2). This study demonstrates the feasibility of this approach
for the preparation of highly active catalysts.
In a more recent study by the same group (Tiseanu et al., 2011), Eu-doped luminescent CeO2
nanocrystals were prepared by the same method. Several characterization techniques ( X-ray
diffraction, RAMAN spectroscopy, UV-Vis diffuse-reflectance, FTIR as well as time-resolved
photoluminescence spectroscopy) were used to characterize the nanocrystals, and it was
shown that there was a surface enrichment of Eu3+, which diffused progressively to the
inner Ceria sites upon calcination. Under excitation into the UV and visible spectral range,
the calcined europium doped ceria nanocrystals display a variable emission spanning the
orange-red wavelengths. A remarkable result was that the surface area of the powders
remained as high as 120 m2 g-1 even after calcination at 1000°C.
Fig. 7. TEM micrographs and related particle size distribution histograms of nanoparticles
prepared in O/W microemulsions: (a) Pt, (b) Pd, (c) Rh and (d) CeO2. Scale bar: 50 nm,
except d (10 nm) and inset of d (5 nm). Reproduced with permission
(Sanchez-Dominguez et al., 2009).
It should be pointed out that in all of these examples, only one microemulsion is used for
synthesis, as opposed to what is typically needed with the W/O method (two microemulsions,
one bearing the precursors and another one the precipitating agent in the aqueous phase).
Since most precipitating agents are water-soluble, it means that it can be added directly to the
microemulsion without affecting its O/W structure, and hence only one microemulsion,
containing the organometallic precursor is prepared. Hence, the mechanism occurring in this
approach is most likely different; possibly, it is an interfacial reaction. Modelization studies in
conjunction with kinetic experiments need to be carried out in order to clarify this point.
Considering these results, the perspectives of this novel O/W microemulsion reaction
approach are very positive, and should complement the W/O microemulsion method,
offering a greener alternative. Finally, it must be highlighted that the typical metal loading in
the microemulsions reported, and hence the typical production capacity ranges from 2 to 5
grams of nanoparticles per kg of microemulsion, which is comparable and in some cases
superior to typical metal loadings achieved in W/O microemulsions.
4.1.2 Synthesis in bicontinuous microemulsions

An interesting approach to boost the metal loading and hence the nanoparticle production
capacity of microemulsions is the use of bicontinuous microemulsions. Lopez et al.
(Esquivel et al., 2007; Loo et al., 2008) have reported this approach for the synthesis of
magnetic nanoparticles. A microemulsion system based on cationic surfactants was used for
the synthesis of a mixture of maghemite/magnetite nanoparticles, using bicontinuous
microemulsions at 80°C, with 30-40 wt% of aqueous phase. They obtained small
nanoparticles (8 nm) with a narrow size distribution, a nanocrystalline structure and
superparamagnetic behavior. Furthermore, the yield of the reactions was as high as 1.16 g of
product per 100 grams of microemulsion, which is rather high compared to what can be
obtained in most w/o microemulsion systems (0.05 - 0.2 grams per 100 g microemulsion).
Fig. 8. TEM micrographs and related particle size distribution histograms of nanoparticles
prepared in O/W microemulsions: (a) Pt, (b) Pd, (c) Rh and (d) CeO2. Scale bar: 50 nm, except d
(10 nm) and inset of d (5 nm). Reproduced with permission (Sanchez-Dominguez et al., 2009).
The same research group reported recently the synthesis of silver nanoparticles by the same
approach (Reyes et al., 2010; Sosa et al., 2010), by using a microemulsion system based on
AOT/SDS as the surfactant system and toluene as the oil. Depending on the surfactant: oil
ratio, the authors found the formation of only globular nanoparticles or a mixture of
interconnected, worm-like structures plus globular nanoparticles. The reaction yields for
these materials was also remarkably high (up to 1.4 g of silver nanoparticles per 100 g of
microemulsion). In all of these works, only one microemulsion was necessary for
nanoparticle preparation, as the precipitating agent was added directly, as an aqueous
solution, to the microemulsion containing the metallic precursors. This aspect also
contributes to the greener quality of this approach as compared to the traditional W/O
microemulsion reaction method.
4.1.3 Synthesis in microemulsions with an optimized aqueous phase uptake

In the work carried out by our group concerning a nonionic system (Aubery et al., 2011),
large microemulsion regions were obtained when the reactants were incorporated, as
mentioned in Section 2.3. Thanks to this high aqueous phase uptake and the overlap of
microemulsion regions for both precursor salts and precipitating agent, synthesis of Mn-Zn
ferrite nanoparticles could be carried out using a wide range of compositions. Futhermore,
different scenarios were available for nanoparticle synthesis: W/O non-percolated, W/O
percolated, and bicontinuous microemulsions. Differences were observed in the
characteristics of the synthesized nanoparticles depending on the type of microemulsions
used, and in all cases spinel nanocrystalline particles with superparamagnetic properties
were obtained, directly in the microemulsion, without the need for calcination. The aqueous
phase content ranged from 5 wt% to 50 wt%, which represents a boost in the production
capacity. This study should encourage further research into optimized non-ionic
microemulsion systems, since although the presence of salts affects their phase behavior, it
does so in such a way that aqueous solubilization can be significantly increased at a certain
temperature, which can be investigated by phase behavior studies.
4.2 Preparation of more complex architectures

In this regard, most of the studies concern core-shell studies, although some other structures
include multiple core-shell particles, hollow spheres and nanowires and nanorods.
4.2.1 Core/shell nanoparticles

A large majority of the core-shell nanoparticles synthesized in W/O microemulsions contain
silica, usually as the shell material. In the last few years, the W/O microemulsion approach has
been gaining popularity over the well-known adaptation of the Stöber method (Nann &
Mulvaney, 2004), for coating a diversity of nanoparticles with a silica shell. This is because it
has been observed that the microemulsion method results in a better shell thickness control
(Dong H, 2009), as compared to the adapted Stöber method, which is based on the sol-gel
technique. It must be pointed out that in the majority of the studies, the core material was
synthesized in a previous step, by a different method, usually hydrothermal or solvothermal
techniques (Dong B. et al., 2009; Dong H et al., 2009; Qian et al., 2009; Vogt et al., 2010; Wang J.
et al., 2010). Nevertheless, a very interesting point from these investigations is the strategy on
how this silica shell is deposited onto the core; this sophisticated approach is probably the
reason for the high control achieved. The core nanoparticles are usually functionalized for one
or two purposes: one is in order to be very well dispersed in one of the microemulsion phases
(the oily or the aqueous phase), the other is for very controlled deposition of silica via
hydrolytic copolymerization with silanized molecules such as (3-aminopropyl)triethoxysilane
(APTES), which were covalently linked to the core particles. By this approach, uniform
CdTe@silica nanoparticles with a regular core – shell structure, 48±3 nm in diameter were
obtained by Dong H. et al. (Dong H. et al., 2009). In their work, the initial core CdTe particles,
synthesized by a hydrothermal method, were functionalized with thioglycolic acid, so they
could be reacted with APTES and then dispersed in the aqueous phase of the microemulsion.
The silica precursor, TEOS, was dissolved in the oily phase of the microemulsion (cyclohexane
and octanol), and the silica shell was then formed by addition of ammonia. In the work by
Dong B. et al (Dong B. et al., 2009), on the other hand, the core ZnS:Mn particles were
functionalized with oleic acid and hence dispersed in the oil phase of the microemulsion, and
the silica layer was deposited by reacting TEOS with ammonia in the W/O microemulsion
containing the core particles dispersed in the oil. Figure 9 shows TEM results of these core-
shell particles.
Fewer examples deal with the formation of core-shell nanoparticles in which both the core
and the shell have been synthesized in a W/O microemulsion (Chung et al., 2011; Takenaka
et al., 2007). Takenaka et al. prepared Ni nanoparticles in a W/O microemulsion, and
afterwards TEOS and ammonia were added in order to form the silica layer. Core-shell
nanoparticles with 20-50 nm diameter and a Ni shell (5 nm) were formed. For comparison,
silica nanoparticles were prepared also in W/O microemulsions but the Ni nanoparticles
were prepared by impregnation of these silica nanoparticles. Their catalytic activity in the
partial oxidation of methane reaction was evaluated, and the core-shell nanoparticles had a
better performance than the impregnated ones (Takenaka et al., 2007). On the other hand,
Chung et al. prepared silica nanoparticles coated with a thin layer of CeO2, and the material
was also prepared in W/O microemulsions in a two-step procedure (Chung et al., 2011).
This reaction turned out to be challenging as the formation of CeO2 shell was competing
with bulk precipitation. The problem was overcome by coupling two strategies:
Fig. 9. TEM image of ZnS:Mn@silica nanoparticles with a core – shell structure.

(Reproduced with permission, Dong B. et al. 2009).
functionalization of the surface of the core silica nanoparticles with an organoamine group,
and step-wise, semi-batch addition of the second microemulsion containing the Ce
precursor. In this way, the silica cores were homogenously coated with a CeO2 shell.
As for core-shell nanoparticles made up of materials different from silica, the synthesis of
both the core and the shell is usually carried out in W/O microemulsions, either in a two
step process by preparing first the core and the later deposition of the shell (by adding more
aqueous phase or more microemulsion comprising the second component), or both
precursors are incorporated simultaneously, but the different reaction kinetics for each of
the products results in a core-shell structure. The following core-shell nanomaterials can be
listed: Pt@CeO2 (Yeung & Tsang, 2009 and 2010), Co@Ag (Garcia-Torres et al., 2010),
Fe2O3@Au (Iglesias-Silva et al., 2010), Ni@Au (Chiu et al., 2009), Ag@Polystyrene (Li et al.,
2009), and CdS@TiO2 (Ghows & Entezari, 2011). So far, the core@shell structures of these
materials is not as well defined and controlled as that obtained with core@silica materials.
4.2.2 Hollow nanospheres

Jiang et al. have prepared hollow nanospheres of Ni (Jiang et al., 2010) and CuS (Jiang,
2011), by following an approach which resembles that reported by Sanchez-Dominguez et
al. (Sanchez-Dominguez et al., 2009). Jiang et al. used an o/w microemulsion in which the
precursor (a naphtenate), was dissolved in the oil phase (dimethylbenzene) of a
water/SDS/butanol/dimethylbenzene microemulsion. The precipitating agent was added
in the water phase. The authors explain that an interfacial reaction occurs, and hollow
nanospheres of about 100-200 nm are formed (Figure 10, for Ni hollow spheres). These are
made-up of smaller nanoparticles. One difference between Jiang’s method and that reported
by Sanchez-Dominguez et al is that in the former, the temperatures used for reaction are
higher (85°C for Ni; post-synthesis hydrothermal treatment for CuS), whereas in the latter
the temperatures used are near room temperature (25-35°C).
Fig. 10. TEM image of the Ni hollow spheres and (b) a single Ni hollow sphere. Inset: SAED
pattern. Reproduced with permission (Jiang et al., 2010).
4.2.3 Nanowires, nanorods

Some works describe the formation of nanowire-like or nanorod structures. Usually, in
order to obtain such high aspect ratio structures, it is necessary to carry out the synthesis at
a relatively high temperature, or include a certain post-synthesis thermal treatment. Wang et
al. synthesized single-crystalline ZnO nanowire bundles with a length of about 1 m and a
diameter of about 20–30 nm (Wang G. et al., 2010). The approach was by reacting zinc
acetate with hydrazine in a w/o microemulsion based on water/dodecylbenzene sulfonic
acid sodium salt /xylene. The reaction temperature is not mentioned, however for reflux of
xylene is achieved around 140°C. The relatively high reaction temperature and the heating
time is possibly the driving force for the growth of the nanowires, as different structures
were obtained at shorter reaction times. Also, it must be pointed out that the precursor used,
zinc acetate, is soluble in both water and the oil phase, which is an unusual approach.
Wu et al. synthesized nanowires of Zn/Co/Fe layered double hydroxides using a w/o
microemulsion based on water/CTAB/n-hexanol n-hexane (Wu et al., 2010). In their
approach, the sulfate salts were used as precursors, hence these were dissolved in the
aqueous phase only, and urea was used as precipitant. The influence of reaction
temperature, time, urea concentration and CTAB to water molar ratio on the structure and
morphology of Zn/Co/Fe-layered double hydroxides was investigated. The possible reason
for nanowire growth is the solvothermal treatment of the reaction mixture which was
carried out in an autoclave at 80-180°C during 6-24 hours. The thermal treatment in the
autoclave was a key factor for annealing and therefore obtaining both a crystalline structure
and formation of high aspect ratio particles (nanowires).
4.3 Synthesis of complex ceramics

The w/o microemulsion reaction method has been used for the synthesis of complex
ceramic nanoparticles such as perovskites, spinels, aluminates, and hexaferrites. Often,
nanoparticles of precursors such as hydroxides or other amorphous compounds are
synthesized in the microemulsions, and these are afterwards calcined at a certain
temperature in order to obtain the desired crystalline structure.
He et al. synthesized nanoparticles of perovskite-type oxides La0.8Ce0.2Cu0.4Mn0.6O3 and
La0.8Ce0.2Ag0.4Mn0.6O3 (He et al., 2007). The microemulsion used was CTAB/butanol /water
/heptane, and for comparison purposes, the same materials were synthesized by the sol-gel
technique. The precipitation of the precursors was carried out with NaOH for the
microemulsion method, whereas citric acid was used for the sol-gel method. The particle
size distribution was smaller and more uniform and the specific surface area was higher for
the particles synthesized in microemulsions than those synthesized by sol-gel. Furthermore,
the catalytic activity in the NO reduction by CO was evaluated. Performance of perovskites
synthesized in microemulsion was superior than that of materials synthesized by sol-gel.
Gianakas et al. (Gianakas et al., 2007) reported the synthesis of spinel-type metal aluminates
MAl2O4 sutwhere M=Mg, Co, o Zn using w/o and bicontinuous microemulsions. They
carried out a very complete phase behavior study, which included pseudoternary phase
diagrams for each precursor combination as well as the precipitating agent, ammonia. The
microemulsion system was: aqueous solution/ CTAB/butanol/ octane. The spinel structure
was achieved after calcination at 800°C. It was found that spinels synthesized in reverse
microemulsions showed better surface and textural properties, as well as smaller particle
size than spinel synthesized in bicontinuous microemulsions. As for catalytic activity, which
was evaluated in the NO reduction by CO, the spinels synthesized in w/o microemulsions
was slightly superior. Similar characteristic size was obtained by Wang et al. (Wang Y. et al.,
2007) for nanoparticles of manganese-doped barium aluminate BaAl12O19: Mn2+; calcination

at 1300°C was carried out in order to obtain the crystalline phase expected. The evaluation
of photoluminescent properties of this material showed that this phosphor is a good
candidate to replace Hg lamps.
Other good examples of ceramic materials obtained in w/o microemulsions include: barium
hexaferrite (BaFe12O19) nanoparticles (Xu et al., 2007), tungsten oxide (WO3) nanoparticles
(Asim et al., 2007), and rutile TiO2 nanoparticles (Keswani et al., 2010). In the last example, it
is remarkable that the rutile phase was obtained at room temperature, without the need for
thermal treatment, hence the size of the rutile nanocrystals remained as small as 4 nm.
4.4 Modeling of reactions in microemulsions

There have been a number of studies dealing with the theoretical aspects of nanoparticle
formation by the microemulsion reaction method. Most of these studies use the Monte Carlo
method. The studies carried out in the last four years are focused on several aspects: kinetics
of nanoparticle formation (de Dios et al., 2009), formation of bimetallic nanoparticles (Tojo et
al., 2009; Angelescu et al., 2010), droplet exchange (Niemann & Sundmacher, 2010), cluster
coalescence (Kuriyedath et al., 2010), and core-shell nanoparticle formation (Viswanadh et
al., 2007).
Kinetics of nanoparticle formation in microemulsion were studied for the Ag and Au
nanoparticles using Monte Carlo simulations by de Dios et al. (de Dios et al., 2009). It was
shown that, although the material interdroplet exchange depends primarily on the flexibility
of surfactant film, a slow reaction rate leads to a more effective material interdroplet
exchange for a given microemulsion. Two factors contribute to this result. Firstly, a slow
reaction implies that autocatalytic growth takes place for a longer period of time, because
there are available reactants. If the reaction is faster, the reactants are almost exhausted at
early stages of the process. As a consequence, autocatalytic growth is only possible at the
beginning. Secondly, a slow reaction rate implies the continuous production of seed nuclei,
which can be exchanged between micelles due to their small size, allowing the coagulation
of two nanoparticles. This exchange only takes place at early stages of the synthesis. Both
factors, autocatalysis and ripening, favor the slow growth of the biggest nanoparticles
leading to the production of larger particles when the reaction is slower.
With respect to the formation of bimetallic nanoparticles in microemulsions, the same
research group (Tojo et al., 2009), carried out Monte Carlo studies in order to explain the
different structures that can be obtained when bimetallic nanoparticles are synthesized in
microemulsions. They observed that the difference in reduction rates of both metals is not
the only parameter to determine metal segregation; the interdroplet channel size also plays
an important role. The reduction rate difference determines nanoparticle structure only in
two extreme cases: when both reactions take place at the same rate, a nanoalloy structure is
always obtained. In contrast, if both reactions have very different rates, the nanoparticle
shows a core-shell structure. However, in the large interval between both extreme cases, the
nanoparticle structure is strongly dependent on the intermicellar exchange, which is mainly
determined by the flexibility of the surfactant film around the microemulsion droplets. In a
related study by Angelescu et al. (Angelescu et al., 2010), it was found that the bimetallic
nanoparticle structure is mainly determined by the difference in the reduction rates of the
two metal ions and the excess of reducing agent. An intermetallic structure is always
obtained when both reduction reactions take place at about the same rate. When the metal
ions have very different reduction potentials, a core-shell to intermetallic structure transition
is found at increasing the excess of the reducing agent. An enhancement of the intermetallic
structure at the expense of the core-shell, can be obtained either by decreasing the
concentration of both metal salts or by increasing the interdroplet exchange rates. The
results obtained by these studies has positive implications in the general formation of
bimetallic nanoparticles with a given structure (core-shell or nano-alloy).
4.5 Novel approaches for the separation of nanoparticles from reaction mixtures
Often, the nanoparticles formed in a microemulsion are so well dispersed in the reaction
media that some solvent has to be added in order to destabilize the microemulsion, which
causes desorption of surfactant from the particles, which aggregate and precipitate, making
their separation by centrifugation or filtration easier. Sometimes, during this aggressive
process the nanoparticles end up so agglomerated that it is difficult to re-disperse them.
Some novel and straightforward approaches have been proposed for an improved recovery
or phase transfer of nanoparticles from microemulsion media.
Eastoe et al. (Hollamby & Eastoe, 2009; Myakonkaya et al., 2010, 2011; Nazar et al., 2011;
Vesperinas et al., 2007) have proposed three approaches for nanoparticle recovery. One of
them is based on the use of a photodestructible surfactant for microemulsion formation, and
in the final step, irradiation with UV-light induces microemulsion destabilization and hence
separation of Au nanoparticles (Vesperinas et al., 2007). In another approach, excess water is
added at the end of the reaction, to the microemulsion containing the nanoparticles,
inducing a change in phase behavior and hence microemulsion destabilization, followed by
phase separation. Interestingly, by this approach, usually the nanoparticles remain in the oil
phase, which can be diluted with organic solvents to form stable nanoparticle dispersions
(Nazar et al., 2011). This method shows potential benefits for dispersion, storage,
application, and recovery of NPs, with the great advantage that it is not necessary to add
organic solvents for nanoparticle separation. In other approach by the same group,
nanoparticle separation has been achieved by changing the solvent quality, for example,
adding squalene to water/AOT/octane microemulsion containing Au nanoparticles
(Myakonkaya et al., 2010).
Abecassis et al. have proposed nanoparticle separation by thermally inducing the phase
separation of the microemulsion media (Abecassis et al., 2009). This was applied to the
synthesis of Au NPs, which upon destabilization remained preferentially in the oil phase.
5. Conclusions and perspectives

It has been shown that the microemulsion reaction method is a versatile technique, useful
for the controlled synthesis of a large variety of nanomaterials, from metals, metal oxides,
ceramics, quantum dots, magnetic nanoparticles, etc. The method has now been extended to
the synthesis of other types or architectures, such as core-shell, multishell, hollow spheres
and nanowires, in addition to the traditional small globular particles. Although for about 25
years only w/o microemulsions were used for the synthesis of inorganic nanoparticles, in
the last five years the use of o/w and bicontinuous microemulsions has also been
developed, and their usefulness for the synthesis of a variety of nanomaterials has been
demonstrated. These developments are greener than the traditional w/o microemulsion
method, so it should contribute to an advance towards the industrial use of microemulsions
for nanoparticle synthesis. Furthermore, there have been efforts towards boosting the metal
loading in microemulsions, in order to increase their production capacity. The investigations
on novel approaches for nanoparticle recovery should also be taken into account by more
research groups for the improvement of nanoparticle quality and dispersability in different
media. The new developments reviewed here should encourage the preparation of novel
materials with different architectures, in order to respond quickly to the demands of
Nanotechnology and Materials Science. It is hoped that this chapter is useful to students and
researchers who start exploring the microemulsion reaction method for nanoparticle
synthesis, as well as for those not new to the field but who are looking for the newest trends
in this fascinating technique.
6. Acknowledgements
The authors acknowledge financial support by Ministerio Ciencia e Innovación (MICINN
Spain, grant number CTQ2008-01979) and Generalitat de Catalunya (Agaur, grant number
2009SGR-961).
7. References
Abecassis B., Testard F., & Zemb T. (2009) Gold nanoparticle synthesis in worm-like
catanionic micelles: Microstructure conservation and temperature induced
recovery. Soft Matter, 5, 5, (March 2009), pp. (974-978).
Angelescu D. G., Magno L. M., & Stubenrauch C. (2010) Monte Carlo simulation of the size
and composition of bimetallic nanoparticles synthesized in water in oil
microemulsions. J. Phys. Chem. C, 114, 50, (Dec. 2010), pp. (22069-22078).
Aramaki K., Hayashi T., Katsuragi T., Ishitobi M., & Kunieda H. (2001) Effect of Adding an
Amphiphilic Solubilization Improver, Sucrose Distearate, on the Solubilization
Capacity of Nonionic Microemulsions, J. Colloid Interface Sci., 236, 1, (April 2001),
pp. (14-19).
Asim N., Radiman S., & bin Yarmo M. A. (2007) Synthesis of WO3 in nanoscale with the
usage of sucrose ester microemulsion and CTAB micelle solution. Mater. Lett., 61,
13, (May 2007), pp. (2652-2657).
Aubery C., Solans C., & Sanchez-Dominguez, M. (2011) Tuning high aqueous phase uptake
in nonionic w/o microemulsions for the synthesis of Mn-Zn ferrite nanoparticles:
phase behavior, characterization and nanoparticle synthesis. Langmuir, 27, 23, (Oct.
2011), pp. (14005–14013).
Bagwe R. P., & Khilar K. C. (1997) Effects of the Intermicellar Exchange Rate and Cations on
the Size of Silver Chloride Nanoparticles Formed in Reverse Micelles of AOT.
Langmuir, 13, 24, (Nov. 1997), pp. (6432-6438).
Bandyopadhyaya R., Kumar R., Gandhi K. S., & Ramkrishna, D. (1997) Modeling of
Precipitation in Reverse Micellar Systems, Langmuir, 13, 14, (July 1997), pp. (3610-
3620).
Borkovec M., Eicke H.-F., Hammerich H., & Das Gupta, B. (1988) Two Percolation Processes
in Microemulsions. J. Phys. Chem., 92, 1, (Jan 1988), pp. (206-211).
Boutonnet M., Kizzling J., & Stenius P. (1982) The preparation of monodisperse colloidal
metal particles from microemulsions. Colloids and Surfaces, 5, 3, (November 1982),
pp. (209-225)
Boutonnet M., Lögdberg S., & Svensson E. E. (2008) Recent developments in the application
of nanoparticles prepared from w/o microemulsions in heterogeneous catalysis.
Curr. Opin. Colloid Interface Sci., 13, 4, (August 2008), pp. (270-286).
Capek, I. (2004) Preparation of metal nanoparticles in water-in-oil (wyo) microemulsions.
Adv. Colloid Interface Sci. 2004, 110, 1-2, (June 2004), pp. (49-74)
Cason J. P., Miller M. E., Thompson J. B., & Roberts C. B. (2001) Solvent Effects on Copper
Nanoparticle Growth Behavior in AOT Reverse Micelle Systems. J. Phys. Chem. B.,
105, 12, (March 2001), pp. (2297-2302).
Chen C. C., & Lin J. J. (2001) Controlled Growth of Cubic Cadmium Sulfide Nanoparticles
Using Patterned Self-Assembled Monolayers as a Template. Adv. Mater., 13, 2, (Jan,
2001), pp. (136-139).
Chew C. H., Can L. M., & Shah D. O. (1990) The Effect of Alkanes On The Formation Of
Ultrafine Silver Bromide Particles In Ionic W/O Microemulsions. J. Dispersion Sci.
Technol., 11, 6, (Dec. 1990), pp. (593-609).
Chiu H. K., Chiang I. C., & Chen D. H. (2009) Synthesis of NiAu alloy and core-shell
nanoparticles in water-in-oil microemulsions. J. Nanopart. Res., 11, 5, (July 2009), pp.
(1137-1144).
Chung S. H., Lee D. W., Kim M. S., & Lee K. Y. (2011) The synthesis of silica and silica-ceria,
core-shell nanoparticles in a water-in-oil (W/O) microemulsion composed of
heptane and water with the binary surfactants AOT and NP-5. J. Colloid Interface
Sci., 355, 1, (March 2011), pp. (70-75).
Clarke S., Fletcher P. D. I., & Ye X. (1990) Langmuir, 6, 7, (July 1990), pp. (1301-1309).
Cross, J. (1987). Nonionic Surfactants: Chemical Analysis, Surfactant Science Series
(1st edition), Marcel Decker Inc., ISBN-10: 0824776267, New York, NY, USA.
Curri M. L., Agostiano A., Manna L., Della Monica M., Catalano, M., Chiavarone L.,
Spagnolo V., & Lugara M. (2000) Synthesis and Characterization of CdS
Nanoclusters in a Quaternary Microemulsion: the Role of the Cosurfactant J. Phys.
Chem. B, 104, 35, (August 2000), pp. (8391-8397).
Cushing B. L., Kolesnichenko V. L., & O'Connor C. J. (2004) Recent Advances in the Liquid-
Phase Syntheses of Inorganic Nanoparticles. Chem. Rev., 104, 9, (Nov. 2004), pp.
(3893-3946).
Danielsson I., and Lindman B. (1981) The definition of microemulsion. Colloids and Surfaces,
3, 4, (December 1981) pp. (391-392).
De Dios M., Barroso F., Tojo C., & Lopez-Quintela, M. A. (2009) Simulation of the kinetics of
nanoparticle formation in microemulsions. J Colloid Interface Sci., 333, 2, (May 2009),
pp. (741-748).
Destrée C., & Nagy J. B. (2006) Mechanism of formation of inorganic and organic
nanoparticles from microemulsions. Adv. Colloid Interface Sci., 123-126, (November
2006), pp. (353-367).
Dong B., Cao L., Su G., Liu W., Qu H., & Jiang D. (2009) Synthesis and characterization of
the water-soluble silica-coated ZnS:Mn nanoparticles as fluorescent sensor for Cu2+
ions. J. Colloid Interface Sci., 339, 1, ( Nov. 2009), pp. (78-82).
Dong H., Liu Y., Ye Z., Zhang W., Wang G., Liu Z., & Yuan J. (2009) Luminescent
nanoparticles of silica-encapsulated cadmium-tellurium (CdTe) quantum dots with
a core-shell structure: Preparation and characterization. Helvetica Chimica Acta, 92,
11, (Nov. 2009), pp.(2249-2256).
Eastoe J., Hollamby M. J., & Hudson L. (2006) Recent advances in nanoparticle synthesis
with reversed micelles, Adv. Colloid Interface Sci., 128-130, (December 2006), pp. (5-
15).
Esquivel J., Facundo I. A., Treviño M. E., & López R. G. (2007) A novel method to prepare
magnetic nanoparticles: precipitation in bicontinuous microemulsions. J. Mater.
Sci., 42, 21, (Nov. 2007), pp. (9015–9020)
Filankembo A., Giorgio S., Lisieki I., & Pileni, M. P. (2003) Is the Anion the Major Parameter
in the Shape Control of Nanocrystals? J. Phys. Chem. B, 107, 30, (April 2003), pp.
(7492-7500).
Fletcher P. D. I., Howe A. M., & Robinson B. H. (1987) J. Chem. Soc. Faraday Trans. 1, The
kinetics of solubilisate exchange between water droplets of a water-in-oil
microemulsion, 83, 4, (April 1987), pp. (985-1006).
Fletcher P. D. I., & Horsup D. I. (1992) Droplet dynamics in water-in-oil microemulsions and
macroemulsions stabilised by non-ionic surfactants. Correlation of measured rates
with monolayer bending elasticity. J. Chem. Soc. Faraday Trans. 1, 88, 6, (June 1992),
pp. (855-864).
Gaertner, G.F., & Lydtin H. (1994) Review of ultrafine particle generation by laser ablation
from solid targets in gas flows. Nanostructured Mater., 4, 5, (September 1994), pp.
(559-568).
Garcia-Torres J., Vallés E., & Gómez E. (2010) Synthesis and characterization of Co@Ag core-
shell nanoparticles. J. Nanopart. Res., 12, 6, (August 2010), pp. (2189-2199).
Gautam U. K., Ghosh M., Rajamathi M., & Seshadri R. (2002) Solvothermal routes to capped
oxide and chalcogenide nanoparticles, Pure Appl. Chem., 74, 9, (September 2002),
pp. (1643-1649).
Ghows N., & Entezari M. H. (2011) Fast and easy synthesis of core-shell nanocrystal
(CdS/TiO2) at low temperature by micro-emulsion under ultrasound. Ultrason.
Sonochem., 18, 2, (March 2011), pp. (629-634).
Giannakas A. E., Ladavos A. K., Armatas G. S., Petrakis D. E., & Pomonis P. (2006) Effect of
composition on the conductivity of CTAB butanol octane nitrate salts (Al(NO3)3 +
Zn(NO3)2) microemulsions and on the surface and textural properties of resulting
spinels ZnAl2O4. J. Appl. Surf. Sci., 252, 6, (Jan. 2006), pp. (2159-2170).
Giannakas A. E., Ladavos A. K., Armatas G. S., & Pomonis P. J. (2007) Surface properties,
textural features and catalytic performance for NO + CO abatement of spinels
MAl2O4 (M = Mg, Co and Zn) developed by reverse and bicontinuous
microemulsion method. Appl. Surface Sci., 253, 16, (June 2007), pp. (6969-6979).
He H., Liu M., Dai H., Qiu W., & Zi X. (2007) An investigation of NO/CO reaction over
perovskite-type oxide La0.8Ce0.2B0.4Mn0.6O3 (B = Cu or Ag) catalysts synthesized by
reverse microemulsion. Catal. Today, 126, 3-4, (August 2007), pp. (290-295).
Hollamby M. J., Eastoe J., Chemelli A., Glatter O., Rogers S., Heenan R. K., & Grillo, I. (2010)
Separation and purification of nanoparticles in a single step. Langmuir, 26, 10, (May
2010), pp. (6989-69949.
Holmberg K. (2004) Surfactant-templated nanomaterials synthesis. J. Colloid Interface Sci.,

274, 2, (June 2004), pp. (355-364).
Iglesias-Silva E., Vilas-Vilela J. L., López-Quintela M. A., Rivas J., Rodríguez M., & León L.
M. (2010) Synthesis of gold-coated iron oxide nanoparticles. J. Non-Cryst. Solids,
356, 25-27, (June 2010), pp. (1233-1235).
Jakobs B., Sottman T., Strey R., Allgaier J., Willner L., & Richter D. (1999) Amphiphilic Block
Copolymers as Efficiency Boosters for Microemulsions, Langmuir, 15, 20, (Sep.
1999), pp. (6707-6711).
Jiang D., Deng Y., Wang H., Shen B., Wu Y., Liu L., Zhong C., & Hu W. (2010) Fabrication of
Nickel hollow spheres by microemulsion-template-interface reaction route. Mater.
Lett. 64, 6, (March 2010), pp. (746-7489).
Jiang D., Hu W., Wang H., Shen B., & Deng Y. (2011) Microemulsion template synthesis of
copper sulfide hollow spheres at room temperature. Colloids Surface A: Physicochem.
Eng. Aspects, 384, 1-3, (July 2011), pp. (228-232).
Jobling S., & Sumpter J. P. (1993) Detergent components in sewage effluent are weakly
oestrogenic to fish: An in vitro study using rainbow trout (Oncorhynchus mykiss)
hepatocytes. Aquatic Toxicology. 27, 3-4, (Dec. 1993), pp. (361-372).
Keswani R. K., Ghodke H., Sarkar D., Khilar K. C., & Srinivasa, R. S. (2010) Room
temperature synthesis of titanium dioxide nanoparticles of different phases in
water in oil microemulsion. Colloids Surface A: Physicochem. Eng. Aspects, 369, 1-3,
(Oct. 2010), pp. (75-81).
Košak A., Makovec D., & Drofenik M. (2004) The preparation of MnZn-ferrite nanoparticles
in a water/CTAB, 1-butanol/1-hexanol reverse microemulsion, Phys. Stat. Sol. C, 1,
12, (Dec. 2004), pp. (3521-3524)
Kruis F. E., Fissan H., & Peled A. (1998) Synthesis of nanoparticles in the gas phase for
electronic, optical and magnetic applications—a review. J. Aerosol Sci. 29, 5-6, (June
1998), pp. (511-535).
Kunieda H., & Friberg S.E. (1981) Critical Phenomena in a Surfactant/Water/Oil System.
Basic Study on the Correlation between Solubilization, Microemulsion, and
Ultralow Interfacial Tensions. Bull. Chem. Soc. Jpn, 54, 4, (April, 1981), pp (1010-
1014).
Kunieda, H.; Nakano, A.; Pes, M. A. (1995) Effect of Oil on the Solubilization in
Microemulsion Systems Including Nonionic Surfactant Mixtures, Langmuir, 11, 9,
(Sep. 1995), pp. (3302-3306).
Kuriyedath S. R., Kostova B., Kevrekidis I. G., & Mountziaris T. J. (2010) Lattice Monte Carlo
simulation of cluster coalescence kinetics with application to template-assisted
synthesis of quantum dots. Ind. Eng. Chem. Res. 49, 21, (Nov. 2010), pp. (10442-
104499.
La Mer V., & Dinegar R. (1950) Theory, Production and Mechanism of Monodisperse
Hydrosols. J. Am.Chem. Soc., 72, 11, (Nov. 1950), pp. (4847-4854).
Li Y. C., Wang C. P., Hu P. F., & Liu, X. J. (2009) A method for synthesizing the core
(Ag)/shell (PSt) composite nanoparticles. Mater. Lett., 63, 20, (August 2009), pp.
(1659-1661).
Lindman B., & Friberg S. E.(1999) Chapter 1: Microemulsions: A Historical Overview, In:
Handbook of Microemulsion Science and Technology, Eds. Kumar, P.; Mittal, K.L., pp.
(1-12), Marcel Dekker, Inc., ISBN: 0-8247-1979-4, New York, NY, USA.
Lisiecki I., & Pileni M. P. (2003) Synthesis of Well-Defined and Low Size Distribution Cobalt
Nanocrystals: The Limited Influence of Reverse Micelles, Langmuir, 19, 22, (Sep.
2003), pp. (9486-9489).
Liu C., Rondinone A. J., & Zhang Z. J. (2000) Synthesis of magnetic spinel ferrite CoFe2O4
anoparticles from ferric salt and characterization of the size-dependent
superparamagnetic properties. Pure Appl. Chem., 72, 1-2, (Jan. 2000), pp. (37-45).
Loo A. L., Pineda M. G., Saade H., Treviño M. E., & Lopez, R.G. (2008) Synthesis of magnetic
nanoparticles in bicontinuous microemulsions. Effect of surfactant concentration. J.
Mater. Sci., 43, 10, (May 2008 ), pp. (3649–3654).
López-Quintela M. A. (2003) Synthesis of nanomaterials in microemulsions: formation
mechanisms and growth control. Curr. Opin. Colloid Interface Sci., 8, 2 (June 2003),
pp. (137-144).
López-Quintela M. A., Tojo C., Blanco M. C., García Rio L., & Leis J. R. (2004) Microemulsion
dynamics and reactions in microemulsions. Curr. Opin. Colloid Interface Sci., 9, 3-4
(November 2004), pp. (264-278).
Magno M., Angelescu D. G, & Stubenrauch, C. (2009) Phase diagrams of non-ionic
microemulsions containing reducing agents and metal salts as bases for the
synthesis of bimetallic nanoparticles, Colloids Surfaces A: Physicochem. Eng. Aspects,
348, 1-3, (Sep 2009), pp. (116-123)
Moulik S. P., & Paul B. K.(1998) Structure, dynamics and transport properties of
microemulsions, Adv. Colloid Interface Sci., 78, 2, (Sep. 1998), pp. (99-195).
Myakonkaya O., Deniau B., Eastoe J., Rogers S. E., Ghigo A., Hollamby M., Vesperinas A.,
Sankar M., Taylor S. H., Bartley J. K., & Hutchings G. J. (2010) Recycling
nanocatalysts by tuning solvent quality. J. Colloid Interface Sci., 350, 2, (Oct. 2010),
pp (443-446).
Myakonkaya O., Eastoe J., Mutch K. J., & Grillo I. (2011) Polymer-induced recovery of
nanoparticles from microemulsions. Phys. Chem. Chem. Phys., 13, 8, (Sep. 2010), pp.
(3059-3063).
Nann T., & Mulvaney P. (2004) Single Quantum Dots in Spherical Silica Particles. Angew.
Chem. Int. Ed., 43, 40, (Oct. 2004), pp. (5393–5396).
Nazar M. F., Myakonkaya O., Shah, S. S., & Eastoe J. (2011) Separating nanoparticles from
microemulsions. J. Colloid Interface Sci., 354, 2, (Feb. 2011), pp. (624-629).
Niemann B., & Sundmacher K. (2010) Nanoparticle precipitation in microemulsions:
Population balance model and identification of bivariate droplet exchange kernel. J.
Colloid Interface Sci., 342, 2, (Feb. 2010), pp. (361-371).
Pileni M. P., Zemb T., & Petit C. (1985) Solubilization by reverse micelles: Solute localization
and structure perturbation. Chem. Phys. Lett. 118, 4, (August 1985), pp(414–420).
Pileni M. P. (1997) Nanosized Particles Made in Colloidal Assemblies. Langmuir, 13, 13, (June
1997), pp. (3266-3276).
Pileni M.P. (1998) Fabrication and Properties of Nanosized Material Made by Using
Colloidal Assemblies as Templates, Cryst. Res. Technol., 33, 7-8 (Dec. 1998), pp.
(1155-1186)
Pileni M. P. (2001) Mesostructured Fluids in Oil-Rich Regions: Structural and Templating
Approaches, Langmuir, 17, 24, (Nov. 2001), pp. (7476-7486).
Pileni M. P. (2003) The role of soft colloidal templates in controlling the size and shape of
inorganic nanocrystals. Nat. Mater., 2, 3 (March 2003), pp. (145-150).
Qian L. P., Yuan D., Yi G. S., & Chow G. M. (2009) Critical shell thickness and emission
enhancement of NaYF4:Yb,Er/NaYF4/silica core/shell/shell nanoparticles. J.
Mater. Res., 24, 12, (Jan 2009), pp. (3559-3568).
Qiao, S. Z., Liu J., & Lu G. Q. M. (2011) Chapter 21: Synthetic Chemistry of Nanomaterials,
In: Modern Inorganic Synthetic Chemistry, Eds. Xu, R.; Pang, W.; Huo, Q., pp. (479-
506) Elsevier, ISBN 13: 978-0-444-53599-3, Amsterdam, The Netherlands.
Reyes P. Y., Espinoza J. A., Treviño M. E., Saade H., & López R. G. (2010) Synthesis of Silver
Nanoparticles by Precipitation in Bicontinuous Microemulsions. J. Nanomaterials,
Volume 2010, Article ID 948941, 7 pages. doi:10.1155/2010/948941
Sanchez-Dominguez M., Boutonnet M., & Solans C. (2009) A novel approach to metal and
metal oxide nanoparticle synthesis: the oil-in-water microemulsion reaction
method. J. Nanopart. Res., 11, 7, (Oct. 2009), pp. 1823-1829
Sanchez-Dominguez M., Liotta L. F., Di Carlo G., Pantaleo G., Venezia A. M., Solans C., &
Boutonnet M. (2010) Synthesis of CeO2, ZrO2, Ce0.5Zr0.5O2, and TiO2 nanoparticles
by a novel oil-in-water microemulsion reaction method and their use as catalyst
support for CO oxidation. Catal. Today, 158, 1-2, (Dec. 2010), pp. (35-43)
Schmidt J., Guesdon C., & Schomäcker R. (1999). Engineering aspects of preparation of
nanocrystalline particles in microemulsions. J. Nanopart.Res., 1, 2, (June 1999),
pp.(267-276).
Shinoda K. (1968) Proceedings of 5th Int. Congr. Detergency, Barcelona, Spain, September
1968, p. 275.
Sosa Y. D., Rabelero M., Treviño M. E., Saade H., & López R. G. (2010) High-Yield Synthesis
of Silver Nanoparticles by Precipitation in a High-Aqueous Phase Content Reverse
Microemulsion, J. Nanomaterials, Volume 2010, Article ID 392572, 6 pages
doi:10.1155/2010/392572
Stubenrauch C., Wielpütz T., Sottmann T., Roychowdhury C., & Di Salvo F. J. (2008)
Microemulsions as templates for the synthesis of metallic nanoparticles. Colloids
Surfaces A: Physicochem. Eng. Aspects, 317, 1-3, (March 2008), pp. (328–338)
Suslick K. S., Hyeon T., & Fang M. (1996) Nanostructured Materials Generated by High-
Intensity Ultrasound: Sonochemical Synthesis and Catalytic Studies. Chem. Mater. 8,
8, (August 1996), pp. (2172-2179).
Takenaka S., Umebayashi H., Tanabe E., Matsune H., & Kishida, M. (2007) Specific
performance of silica-coated Ni catalysts for the partial oxidation of methane to
synthesis gas. J. Catal. 245, 2, (Jan. 2007), pp. (392-400).
Tiseanu C., Parvulescu V. I., Boutonnet M., Cojocaru B., Primus P. A., Teodorescu C. M.,
Solans C., & Sanchez-Dominguez M. (2011) Surface versus volume effects in
luminescent ceria nanocrystals synthesized by an oil-in-water microemulsion
method. Phys. Chem. Chem. Phys., 13, 38, (August 2011), pp. (17135–17145)
Tojo C., De Dios M., & López-Quintela M. A. (2009) On the structure of bimetallic
nanoparticles synthesized in microemulsions. J. Phys. Chem. C, 113, 44, (Nov. 2009),
pp. (19145-19154).
Vesperinas A., Eastoe J., Jackson S., & Wyatt P. (2007) Light-induced flocculation of gold
nanoparticles. Chem. Commun., 43, 38, (August 2007), pp. (3912-3914).
Viswanadh B., Tikku S., & Khilar K. C. (2007) Modeling core-shell nanoparticle formation
using three reactive microemulsions. Colloids Surfaces A: Physicochem. Eng. Aspects,
298, 3, (May 2007), pp. (149-157).
Vogt C., Toprak M. S., Muhammed M., Laurent S., Bridot J. L., & Müller R. N. (2010) High
quality and tunable silica shell–magnetic core nanoparticles, J. Nanopart. Res., 12, 4,
(May 2010), pp. (1137-1147).
Wang G., Deng Y., & Guo L. (2010) Single-crystalline ZnO nanowire bundles: Synthesis,
mechanism and their application in dielectric composites. Chem. Eur. J., 16, 33, (Sep.
2010), pp. (10220-10225).
Wang, J., Tsuzuki T., Sun L., & Wang X. (2010) Reverse microemulsion-mediated synthesis
of SiO2-coated ZnO composite nanoparticles: Multiple cores with tunable shell
thickness. ACS Appl. Mater. Interfaces, 2, 4, (March 2010), pp. (957-960).
Wang Y. H., & Li F. (2007) Synthesis of BaAl12O19:Mn2+ nanophosphors by a reverse
microemulsion method and its photoluminescence properties under VUV
excitation. J. Lumin., 122-123, (Jan-April 2007), pp. (866-868).
Wu H., Jiao Q., Zhao Y., Huang S., Li X., Liu H., & Zhou M. (2010) Synthesis of Zn/Co/Fe-
layered double hydroxide nanowires with controllable morphology in a water-in-
oil microemulsion. Mater. Charact., 61, 2, (Feb. 2010), pp. (227-232).
Yeung C. M. Y., & Tsang S. C. (2009) Noble metal core-ceria shell catalysts for water-gas
shift reaction. J. Phys. Chem. C, 113, 15, (April 2009), pp. (6074-6087).
Yeung C. M. Y., & Tsang S. C. (2010) Some optimization in preparing core-shell Pt-ceria
catalysts for water gas shift reaction. J. Mol. Catal. A: Chem., 322, 1-2, (May 2010),
pp. (17-25).
Xu P., Han X., & Wang, M. (2007) Synthesis and magnetic properties of BaFe12O19 hexaferrite
nanoparticles by a reverse microemulsion technique. J. Phys. Chem. C, 111, 16,
(April 2007), pp. (5866-5870).
10
Polymeric Nanoparticles Stabilized

by Surfactants: Controlled Phase
Separation Approach
Sergey K. Filippov, Jiri Panek and Petr Stepanek
Institute of Macromolecular Chemistry, Academy of Sciences of the Czech Republic,
Czech Republic
1. Introduction
It is accepted nowadays that the self-assembly or self-organization occurs in a system when
two types of interactions exist simultaneously between various elements of a system – a
short-range attraction and a long-range repulsion. If a combination of such interactions is
manifested in a system, equilibrium nanostructures/nanoparticles could occur. This general
principle applies for many different systems – e.g., liquid crystals, ferrofluids, lyotropic
systems, surfactants and polymers. Polymers and copolymers in good solvent are widely
used for creation of self-assembled nanoparticles in solution since they offer an extremely
wide range of different monomers and compositions, the possibility to vary the polymer
chain length and use tailor-made polymers for producing materials with specific properties
and functionalities. For such polymers, no additives are required to form equilibrium
nanoparticles.
This chapter reviews another technique of creating self-assembled and self-organized
polymeric nanoparticles - controlled phase separation approach. Such approach exploits
mutual interactions of a polymers and surface active molecules (surfactants or
amphiphilic block copolymers) in a common solvent. We shall explore particularly dilute
systems where various types of nanoparticles will be investigated. The nanoparticles will
be studied keeping in mind their possible applications, especially for biological purposes -
encapsulation and delivery of active substances in the case of particles and
immobilization.
2. Background
The common approach applied to all types of physical systems described below is based on
controlling the extent of macrophase separation that occurs in a mixture of two compounds
(solvent and polymer) that became immiscible or incompatible as a result of a change of an
external variable. This parameter can be temperature, pH or addition of a another solvent, in
principle it could also be a change in pressure but the latter is not very practical since
usually large pressure changes are needed to achieve relatively small changes in phase
diagrams.
A phase diagram for a polymer A/polymer B or polymer/solvent system is schematically

represented in Fig. 1. In the classical case the energy of the system is given by enthalpic and
entropic contributions and the interaction parameter  is given by the Flory-Huggins
relation   a / T  b where T is absolute temperature and a and b are specific for the
polymer/polymer or polymer/solvent pair. For more complex systems, a third term s has
to be included:
  a / T  b  s (1)
20
15
N
10
0
0 0.2 0.4 0.6 0.8 1.0

Fig. 1. Schematic phase diagram for a polymer A/polymer B or polymer/solvent.  is the
volume fraction of the first component of the system, N the number of monomers in the
polymer chain and  the interaction parameter describing the strength of interaction
between polymer A and B or between the polymer and solvent.
In this simple representation the third term includes all additional interactions in the
system, in particular the effect of different temperature expansions of the system
components and that of various specific interactions in the system (hydrogen bonds, ionic
interactions, ...) that may be dominant compared to the enthalpic/entropic terms a, b.
Once a macrophase separation has been initiated, the spatial extent of inhomogeneities
produced by nucleation or spinodal decomposition is controlled by addition of amphiphilic
molecules chosen in such a way that one part of this amphiphile interacts attractively with
the nucleated material while the other part interacts attractively with the surrounding
solvent. The surface of the nucleated material then becomes covered with the amphiphilic
molecules which effectively terminate the phase separation and stabilizes the system in a
dispersed state. The formation of nanoparticles is always driven by thermodynamics
(increase of –parameter in Eq. (1)) but controlled by specific factors of interaction with the
amphiphilic molecules including kinetic and hydrodynamic effects. Assessment of these
effects and their importance for nanoparticles preparation is a primary goal in this
manuscript. In the following chapter we will describe several systems where this approach
can be realized:
 Controlled phase separation induced by a change in temperature.
Polymeric Nanoparticles Stabilized by Surfactants: Controlled Phase Separation Approach 223
 Controlled phase separation induced by a change of solvent

 Controlled phase separation induced by a change in pH
3. Experimental methods
To observe and to prove the formation of well defined nanoparticles we have exploited a
variety of methods such as static and dynamic light scattering (SLS/DLS), small-angle
neutron and X-ray scattering (SANS/SAXS) and Cryo-TEM methods.
Since kinetic factors are involved into formation of nanoparticles created by controlled
phase separation method we have examined the nucleation and growth of polymeric
nanoparticles using the stopped-flow technique combined with SAXS on the time scale of
milliseconds.
3.1 Small-Angle Neutron Scattering (SANS)

SANS experiments were performed at CEA-Saclay on the spectrometer PAXY of the
Laboratoire Leon-Brillouin. Measurements were run on a 128  128 multidetector (pixel size
0.5  0.5 cm) using a non-polarized, monochromatic (wavelength λ set by a velocity selector)
incident neutron beam collimated with circular apertures for two sample-to-detector
distances, namely, 1 m (with λ =0.6 nm) and 7 m (with λ = 0.8 nm). With such a setup, the
investigated range of scattering wave vector modulus was 5.9 10-2 to 4.3 nm-1. In all the
cases reported in this paper, the two-dimensional scattering patterns were isotropic so that
they were azimuthally averaged to yield the dependence of the scattered intensity Is(q) on
the scattering vector q. Data were corrected for background scattering and detector
efficiency. Intensities of neutron scattering are given in arbitrary units.
3.2 Dynamic and Static Light Scattering (DLS/SLS)

Static light scattering measurements were carried out on an ALV-6010 instrument equipped
with a 22 mW He–Ne laser in the angular range 30–150°. Dynamic light scattering
measurements were carried out at 90° angle. The obtained correlation functions were
analyzed by REPES (Jakes, 1995) analytical software providing a distribution function, G(Rh)
of hydrodynamic radii Rh. To account for the logarithmic scale on the Rh axis, all DLS
distribution diagrams are shown in the equal area representation, RhG(Rh). The static light
scattering data were analyzed by a Zimm plot:
Kc 1 RG2 q 2
  (2)
R(q ) M w 3 M w
where R(q) is the Rayleigh ratio of the scattering intensity, q=(4n/)sin/2 is the scattering
vector, wave length in the medium, θ- scattering angle between the incident and the
scattered beam, K is a contrast factor containing the optical parameters, c is a particle
concentration, Mw is the weight average of the molar mass of the particles, and RG is their
radius of gyration. The concentration dependence was neglected which was acceptable
because of the low concentrations of the solutions.
3.3 Cryo-transmission electron microscopy - Cryo-TEM

To carry out a Cryo-TEM experiment, a drop of the solution under study was placed on a
pretreated copper grid which was coated with a perforated polymer film. Excess solution
was removed by blotting with a filter paper. The preparation of the sample film was done
under controlled environment conditions, i.e., in a chamber at a constant temperature of
25°C and with a relative humidity of 98-99% to avoid evaporation of the liquid. Rapid
vitrification of the thin film was achieved by plunging the grid into liquid ethane held just
above its freezing point. The sample was then transferred to the electron microscope, a Zeiss
902A instrument (Carl Zeiss NTS, Oberkochen, Germany), operating at an accelerating
voltage of 80 kV and in zero-loss bright-field mode. The temperature was kept below -165
°C and the specimen was protected against atmospheric conditions during the entire
procedure to prevent sample perturbation and formation of ice crystals. The resolution in
this method was 3-5 nm. Digital images were acquired with a BioVision Pro-SM Slow Scan
CCD camera (Proscan electronische systeme, GmbH, Germany). iTEM software (Olympus
Soft Imaging Solutions, GmbH, Germany) was used for image processing. The polymer
concentration used was 510-3 g mL-1.
3.4 Small angle X-ray scattering – SAXS

All time-resolved SAXS (TR-SAXS) experiments were performed on the high brilliance beam
line ID02 at the ESRF (Grenoble, France). The SAXS setup is based on a pinhole camera with
a beam stop placed in front of a two-dimensional detector (X-ray image intensifier coupled
to a CCD camera). The X-ray scattering patterns were recorded on the detector that was
located 2 m from the sample, using a monochromatic incident X-ray beam (λ=0.1 nm). The
available wave vector range was 0.04 - 2.71 nm-1. Data acquisition and counting of the time t
was hardware-triggered within 1 ms before the final mixing process was initiated. SAXS
data were acquired with an exposure time of 50 ms per frame.
The fast mixing experiments were performed using a stopped-flow device (SFM-3, Bio-
Logic) that has been specifically adapted for SAXS experiments. The device was
thermostated at 25.0±0.5 °C
4. Controlled phase separation induced by a change in temperature

To fulfill this task we have exploited the phase separation of thermally sensitive PNIPAM
polymer on heating above the lower critical solubility temperature (LCST). PNIPAM is a typical
temperature-sensitive polymer that has LCST around of 32oC (detailed information on pure
PNIPAM, can be found in the review (Aseyev et al., 2010) and references therein). Heating
of aqueous solution of PNIPAM above LCST will initialize coil-to-globule transformation
with following precipitation of the polymer. Such macrophase separation could be
terminated if surface active molecules are presented in solution. Earlier we have
demonstrated that well defined nanoparticles of PNIPAM could be prepared in presence of
ionic and non-ionic surfactants, (SDS, CTAB, Brij98, Brij97) (Konak et al., 2007). The effect of
PNIPAM and surfactant concentration, and molecular weight of PNIPAM on nanoparticle
parameters and on the phase transition temperature of PNIPAM solutions was investigated.
It was proposed that the structure of particles is supposed to be similar to block copolymer
micelles. Hydrophobic PNIPAM molecules form the insoluble core of particles and their
hydrophilic shell consists of hydrophilic parts of surfactants. An intermediate shell at the

core–shell interface contains both the hydrophobic parts of surfactants and PNIPAM chains.
The feature of that research is that in contrast to previous studies, where surfactants were
used in excess, lower concentrations of surfactants were used.
To validate the proposed model, for PNIPAM and SDS system, a contrast variation study
was performed by SANS. It is important to note here that the system studied in our research
is different from a so-called mesoglobule state that was also observed (Siu et al., 2003;
(Aseyev et al., 2005; Kujawa et al., 2006a; Kujawa et al., 2006b) for PNIPAM. It was
established in variety of papers that PNIPAM macromolecules of high molar masses on very
diluted solutions might undergo through intermediate mesoglobule state with increasing of
temperature above LCST. These mesoglobules are aggregates of PNIPAM molecules that
consist of one or more macromolecules. They are metastable particles that are stabilized
either by electrostatic or steric interactions (Kujawa et al., 2006b). No surfactant is required.
Nevertheless when PNIPAM concentration in solution is rather high macroscopic
precipitation occurs. In this case, surface active molecules are needed to create stable
polymeric nanoparticles.
Three types of nanoparticles were tested: (i) deuterated d7-PNIPAM + protonated SDS in a
72%D2O/28%H2O volume mixture where the coherent scattering originates only from the
surfactant. (ii) protonated PNIPAM + protonated SDS in pure D2O where the scattering
comes from the polymer and the surfactant. The whole nanoparticle should be visible. (iii)
protonated PNIPAM + deuterated d25-SDS in D2O. The scattering length density of the
deuterated surfactant is almost matched by D2O. In this case most of the scattering is
produced by the polymer. The experiments have been conducted at T=42 oC.
4
10
h-SDS/d7-PNIPAM 1:1
10
3
1:10
1:100
2
pure h-SDS
10
1
10
-1
Is, cm
0
10
q*
-1
10
-2
10
-3
10
-2 -1
10 -1
10
q, A
Fig. 2. Scattered intensity Is as a function of the scattering vector q for systems d7-
PNIPAM/h-SDS sample, cd7-PNIPAM=5 g/L; (○) cSDS/cPNIPAM =1:1; (•) cSDS/cPNIPAM =1:10; (□)
cSDS/cPNIPAM =1:100; (+) pure SDS. Data are taken from the reference (Lee & Cabane, 1997).
Earlier Cabane and Lee in their pioneer work have investigated similar the PNIPAM-SDS
system by SANS (Lee & Cabane, 1997) . The polymer molar mass that have been used in
their study was 1·106 g/mole and concentration of solution was mainly 30 g/L. To avoid a
mesoglobule state we have selected the h-PNIPAM with Mw=1.88·105 g/mole and d7-
PNIPAM with Mw=3.6·105 g/mole that is somewhat smaller than the one used by Cabane
et.al. For the same reason, concentration of PNIPAM in all solution was kept of 5 g/L. Our
work is thus a research on a similar system with different conditions.
Fig. 2-4 represents the data for different surfactant-to-polymer ratios. For all systems, the
scattered intensity extrapolated to zero q is increasing with decrease of the ratio. In other
words, the growth of colloidal nanoparticles is observed with decrease of surfactant-to
polymer ratio. One can see continuous evolution of the characteristic features of colloids.
4
10
h-PNIPAM/d25-SDS
3
1:100
10 1:10
1:1
2
10
-1
1
10
Is, cm
0
10
-1
10
-2
10
-2 -1
10 10
-1
q, A
Fig. 3. Scattered intensity Is as a function of the scattering vector q for systems h-

PNIPAM/d25-SDS sample, c-PNIPAM=5 g/L; (○)cSDS/cPNIPAM =1:1; (•)cSDS/cPNIPAM =1:10; (□)
cSDS/cPNIPAM =1:100
4.1 h-SDS/d7-PNIPAM
When a surfactant is protonated, coherent scattering comes only from the surfactant in a
72%D2O/28%H2O volume mixture. At low q, a q-4 decay is visible at cSDS/cPNIPAM =1:100 (Fig.
2). At high q a signal is too low. For comparison reason, the scattering of pure SDS micelles is
presented on Fig. 2. No peaks that correspond to the distance between consecutive SDS
micelles at high q range observed by Cabanne and Lee[8] (located at q of about 0.1 Ǻ-1) appear
on the graph. We conclude that all surfactant molecules are uniformly incorporated inside of a
colloidal particle or on its surface. It is worth to note that such strong q dependence indicates
that the surfactant forms big structures. At cSDS/cPNIPAM =1:1, one can see that the scattering at
low q is week and simultaneously a peak at high q range appears (q*=0.11 Ǻ-1). Obviously,
colloidal particles are completely dissolved now; a pearl-necklace complex exists with SDS
micelles bound to a polymer chain with the distance of 58Ǻ (d=2π/q*). That finding is in good
agreement with results of Cabanne where such distance was about 63 Ǻ.
4.2 h-PNIPAM/d25-SDS
Similar features are observed for the system where the PNIPAM is only visible. Again, the
formation of nanoparticles could be monitored by the growth of the scattering intensity with
decrease of the composition ratio. No peaks at high q range observed are visible in this case.
We conclude that PNIPAM is also uniformly distributed inside a nanoparticle.
4.3 h-PNIPAM/h-SDS
In this case both the polymer and the surfactant are visible in SANS.
3
10
h-PNIPAM/h-SDS
micellar SDS
2
10
1
10
0
10
-1
Is, cm
-1 -4
10 q
-2
10
1:1
-3
1:10
10 1:100
pure h-SDS
-4
10
0.01 0.1
-1
q, A
Fig. 4. Scattered intensity Is as a function of the scattering vector q for systems h-
PNIPAM/h-SDS sample, c-PNIPAM=5 g/L; (○)cSDS/cPNIPAM=1:1; (•) cSDS/cPNIPAM=1:10; (□)
cSDS/cPNIPAM=1:100; (+) pure SDS. Data are taken from reference (Lee & Cabane, 1997).
The scattering curve at cSDS/cPNIPAM =1:100 begins at low q at high intensity; then it curves
downward and continuous with q-4 decay (Fig. 4). This part of the scattering curve
corresponds the scattering from colloidal particles. Fitting the scattering curves by form-
factor of a hard sphere with Schultz-Zimm distribution provides Rg values of nanoparticles.
Obtained values nanoparticles are 216, and 96 Ǻ for ratios 1:100 and 1:10, respectively,
giving corresponding outer radii 279, and 124 Ǻ. Polydispersity value obtained from the
fitting routine was 0.37 and 0.44, respectively. Cabanne et. al. reported the similar value of
about 0.5. Such high numbers imply strong polydispersity in size for nanoparticles in
solution.
At cSDS/cPNIPAM =1:1 the scattering is flat at low q (Fig. 4, 5a,b) as it could be visible from a
comparison with the spectra of samples made at lower ratios (1:10 and 1:100). At high q, one
can see a plateau and, beyond q=0.1 Ǻ-1, a steeper decay. This spectrum is identical to the
scattering from a micellar solution of SDS at the same concentration in the absence of
polymer (Fig. 4, 5a). In particular, the peak position matches the average intermicellar
distance in pure SDS solutions.
4
10
10
1
(a) micellar SDS
3
(b) cSDS/cPNIPAM=1:100 h-PNIPAM-h-SDS
cSDS/cPNIPAM =1:1 10 h-PNIPAM-d25-SDS
d7-PNIPAM-h-SDS
2 pure h-SDS
0 10
10
1
10
-1
Is, cm
-1
-1 0
10 10
Is, cm
-1
10
-2
10 h-PNIPAM-h-SDS -2
10
d7-PNIPAM-h-SDS
h-PNIPAM-d25-SDS -3
-3 pure h-SDS 10
10
-4
10
-2 -1 -2 -1
10 -1
10 10 -1 10
q, A q, A
Fig. 5a. Scattered intensity Is as a function of the scattering vector q for systems
PNIPAM/SDS sample cPNIPAM/cSDS=1:1, c-PNIPAM=5 g/L; (○) d7-PNIPAM/h-SDS; (•) h-
PNIPAM/d25-SDS; (□) h-PNIPAM/h-SDS; (+) pure SDS. Data are taken from reference (Lee
& Cabane, 1997).
Fig. 5b. Scattered intensity Is as a function of the scattering vector q for systems
PNIPAM/SDS sample cPNIPAM/cSDS=1:00, c-PNIPAM=5 g/L; (○) h-PNIPAM/h-SDS; (•) d7-
PNIPAM/h-SDS; (□) h-PNIPAM/d25-SDS; (+) pure SDS. Data are taken from reference (Lee
& Cabane, 1997).
In order to determine the shape and geometric size of the particles we performed Cryo-TEM
measurements for the samples at composition 1:100. The Cryo-TEM images are shown in
Fig. 6.
Fig. 6. Cryo-TEM micrographs. h-PNIPAM/h-SDS sample cPNIPAM=510-3g mL-1; cSDS=510-5g

mL-1. cSDS/cPNIPAM =1:100
Fig. 6 shows objects thate are rather polydisperse in size. The average size of moieties is in
agreement with SANS data, giving value roughly 20-30 nm in radius. The TEM images are
2D projection of the particles, observed under different angles. Therefore, we believe that
the structures we see in Fig. 6 are of more or less spherical shape. Individual micelles seen in
SANS experiments were not imaged in these samples, because of their small size.
5. Controlled phase separation induced by a change of solvent

5.1 Density
For a specific polymer/solvent system, phase separation could be induced by a change of
the solvent. This particular case of spontaneous macrophase separation leading to formation
of nano-sized droplets is frequently referred to as Ouzo effect (Ganachaud & Katz , 2005),
although it has a variety of names. Some authors call this process solvent shifting (Brick et
al., 2003; Van Keuren, 2004), solvent displacement(Potineni et al., 2003; Trimaille et al., 2003;
Lince et al., 2008; Chu et al., 2008; Vega et al., 2008; Nguyen et al., 2008; Beck-Broichsitter et
al., 2009) spontaneous emulsification (Gallardo et al., 1993; QuintanarGuerrero et al., 1997;
Baimark et al., 2007; Tan et al., 2008; Katas et al., 2009) or micro/nano precipitation
(Leroueil-Le Verger et al., 1998; Peracchia et al., 1999; Bilati et al., 2005; Leo et al., 2006;
Legrand et al., 2006). In our previous papers (Panek et al., 2011a; Panek et al., 2011b) we
have successfully tested this procedure: polymeric nanoparticles were prepared by mixing a
polymer - poly(methyl methacrylate) or polystyrene - dispersed in an organic solvent with
an aqueous solution of a surfactant (SDS). Since water is a bad solvent for either of the
polymers they start to precipitate but the presence of a surfactant terminates the phase
separation and nearly monodisperse nanoparticles appear with a typical size in the range of
50 to 300 nm. Finally the organic solvent is evaporated. We demonstrated that a variety of
parameters such as polymer molar mass, surfactant hydrophobicity, solution temperature
and composition influence the physico-chemical properties of nanoparticles formed in
solution (Panek et al., 2011a; Panek et al., 2011b). Nevertheless, detailed information on
nanoparticles structure is still missing.
Here we describe new experiments with static and dynamic light scattering that were
conducted to get further insight on the internal structure of the nanoparticles. Using a
combination of both methods, for the first time, we calculated such parameters as a structure
factor Rg/Rh and density of nanoparticles (ρ). Rg values were measured by static light
scattering. In contrast with Rh (Panek et al., 2011a) there is no detectable difference in the
factor =Rg/Rh of nanoparticles made from ionic and non-ionic surfactants (Fig. 7).
1.8
1.6
1.4
1.2
1.0

0.8
0.6
0.4
0.2
0.0
SDS (-) HDPC (-) CTAB (+) triton (n) B97 (n) B98 (n) F68 (n)
Fig. 7. Histogram of structure factor ρ=Rg/Rh obtained from SLS/DLS data for PMMA(1)
cP = 210-4 g mL-1 for various surfactants.
According to Burchard (Burchard, 1999) this generalized ratio  is of special interest for
establishing the particle architecture. It is varying in the range 0.8-1.4. The lowest value is
for a Triton surfactant, where the particle behaves as a hard sphere ( is close to 0.778). The
value of  for CTAB, SDS, Brij 97 and 98 is about 1.2-1.4. This is characteristic for several
models, in particular for branched polymers, soft spheres and dendrimers.
In contrast, the density of nanoparticles is very sensitive to the nature of a surfactant (Fig. 8).
The density of nanoparticles was calculated by dividing their mass obtained from static light
scattering by their volume based on the Rg. Nanoparticles composed of low molecular ionic
surfactants have almost two-fold higher density then the ones with polymeric non-ionic
surfactants. Since all polymeric surfactants are diblock copolymers, we can assume that
polymers can’t adopt maximum packing structure due to steric factors.
0.7
0.6
0.5
3
density, g/cm
0.4
0.3
0.2
0.1
0.0
SDS(-) HDPC(-) CTAB(+) B97(n) B98(n) F68(n)
288 g/mol 320 g/mol 384 g/mol 709 g/mol 1150 g/mol 8400 g/mol
Fig. 8. Histogram of density obtained from SLS/DLS data for PMMA(1) cPMMA = 210-4 g
mL-1 for various surfactants.
Obviously some voids should be inside. Such conclusion is in agreement with previous
SANS and Cryo-TEM (Panek et al., 2011a). Analysis of the SANS curves supports neither a
core-shell structure model of the nanoparticles nor a polymeric sphere with surfactant
inclusions. Nevertheless a closer inspection of some micrographs reveals the presence of
thin white hallo around a nanoparticle. Possible distribution of surfactant inside of a
nanoparticle is presented on Fig. 9. The permanent entrapment of a surfactant inside
nanoparticle may occur because the polymer (PMMA or PS) is in the glassy state.
Plausibility of such scenario has been proven by J. Kriz et al. (Kriz et al., 1996) who
demonstrated that the mobility of PS moieties in the core of polystyrene-block-
poly(methacrylic acid) (PS-PMAc) micelles is significantly decreased, which indicates that
the polymer including the surfactant inside a micelle is vitrified.
5.2 Influence of mixing rate

The effect of mixing rate (i.e. the rate at which the water solution of a surfactant is delivered
into the organic solution of a polymer) on the self-assembled nanoparticles formed in the
PS/SDS mixed solutions was also investigated (Fig. 10). The molecular weight of PS was
varied in the range 0.9 - 30 106 g mol-1. At low molecular weights of PS, the mixing rate has
Fig. 9. Possible distribution of a surfactant (red color) and polymer (black color) inside of a
nanoparticle by SANS data.
an important influence on the size of nanoparticles. Changing the mixing rate from 0.5
mL/min up to 2 mL/min makes two times smaller particles. At higher polymer molecular
weights the influence of mixing rate is smaller. We conclude that lower mixing rate reduces
the number of surfactant molecules in the neighborhood of polymeric nuclei formed after
solvent shifting. Smaller number of surfactant molecules slow down stabilization of
polymeric nuclei thus leading to forming bigger nanoparticles.
The difference in composition ratio is responsible for molecular weight dependence of
nanoparticle dimensions at constant mixing rate and polymer weight concentration (Fig. 10).
The bigger molecular weight of a polymer the smaller its molar concentration in mixed
solution that leads to a decrease in composition ratio which governs the nanoparticle
dimensions. At higher molecular weights of the polymer, the tendency is reverse, showing
the growth of sizes (Fig. 10). One of the possible explanations is that macromolecules with
550
500
hydrodynamic radius Rh/ nm
450
400
350
300
250
200
6 7
10 10
-1
MW/ g mol
Fig. 10. Dependence of hydrodynamic radius of nanoparticles on molecular weight of

polymer for PS cPS = 210-4 g mL-1 and SDS cSDS = 510-3 g mL-1 system at different mixing
rate. (■) 2 mL/min; (○) 1 mL/min; (▲) 0.5 mL/min
extra large molecular weight have very low diffusion which limits the probability of
surfactant molecules to find enough polymer molecules in surroundings. Fast diffusion of
water molecules into polymer interface during mixing forms a surfactant-abandoned layer.
In these conditions, it’s energetically more favorable for a polymer chain to merge with
other polymer molecules and form bigger nanoparticles in comparison with solutions of the
same surfactant concentration and mixing rate.
The results presented so far show that the self-assembly in the mixed polymer/surfactant
systems is rather complex. Mixing of the surfactant solutions with the polymer solutions in
organic solvent results in the formation of nanoparticles, whose size can be tuned by
changing the relative amounts of surfactant and polymer, as well as mixing rate.
6. Controlled phase separation induced by a change in pH

Changing of pH for a pH sensitive polymer is another way to construct polymeric
nanoparticles. The pH of the solution is gradually changed so that the polymer which is in
the beginning in an environment where it is molecularly soluble (i.e. in the mostly ionized
form), starts to precipitate. Adding a surfactant terminates the phase separation in a
controlled way leading to formation of well-defined nanoparticles with low polydispersity.
We have demonstrated this procedure using a pH-sensitive hydrophobic polymer – i.e.
poly(N-methacryloyl-L-valine) (pNMV), the extent of macrophase separation was controlled
by the amphiphilic molecule Brij98. We have shown previously (Filippov et al., 2008;
Filippov et al., 2010) that in a certain range of concentration and composition of the
polymer/amphiphile system very monodisperse particles with size ca. 50 nm could be
reproducibly prepared after a change of pH from 7 to 3.5. This change is reversible and the
nanoparticles can be repeatedly created and dissolved by variation in pH. This type of
particles can be very useful, since they may be able to solubilize hydrophobic drugs in large
amounts and release them after a change of pH. For example the pH of stomach is 1 to 3
(nanoparticles associated), while the pH of duodenum is 7 to 8 (particles dissolved, drug
released).
The nucleation of these nanoparticles has not yet been investigated. The early stages of
nucleation in such systems determine the nanoscopic structure of the particles that is so far
unknown, but important for their envisaged applications. Recently, new technical
possibilities to study the kinetics of self-assembly were developed. Primary, it concerns so-
called stopped-flow experiments combined with small-angle scattering equipments.
(Narayanan et al., 2001; Grillo et al., 2003; Panine et al., 2006). A variety of nanostructures
were tested by time-resolved light scattering, SAXS, and SANS. The kinetics of micelles-to-
vesicles (Schmolzer et al., 2002; Weiss et al., 2005; Weiss et al., 2008; Shen et al., 1989) and
lamellar-to-microemulsion (Deen et al., 2009; Tabor et al., 2009) phase transition was studied
in details. Another challenging areas for time-resolved experiments are the life time of
micelles (Lund et al., 2009) monomers-micelles exchange rate (Eastoe et al., 1998; Tucker et
al., 2009), and nucleation of gold (Abecassis et al., 2007; Abecassis et al., 2008) and mineral
nanoparticles. (Pontoni et al., 2002; Ne et al., 2003; Bolze et al., 2004). For further details on
this topic, the reader is referred to reviews on the application of stopped-flow technique in
SANS and SAXS. (Grillo et al., 2009; Gradzielski et al., 2003; Gradzielski et al., 2004)
We have exploited stopped-flow technique combined with SAXS to monitor early stages of
nucleation on the time scale of seconds (Fig. 11). The main difference from solvent-shifting
experiments described above is absence of macroscopic fluxes and solution inhomogenuities
caused by mixing. In stopped-flow experiments very fast mixing setup provides solution
with uniform density where nanoparticles are growing in time.
Fig. 11. The temporal evolution of the SAXS intensity for pNMGL (cp/csurf=2.0) system.
The aim of the experiment was to measure the kinetics of self-assembly of pH-sensitive
polymeric nanoparticles stabilized by surfactants. The four types of pH-sensitive
hydrophobic polymers that have been used in our research for the growth of nanoparticles
were: (a) poly(N-methacryloyl-L-valine) (pNMV); (b) poly(N-methacryloyl glycyl-L-
phenylalanyl-L-leucinyl-glycine) (pNMGPLG), and (c) poly(N-methacryloyl glycyl-L-
leucine) (pNMGL). The extent of macrophase separation was controlled by the surfactants
Brij 97, and Brij 98. The surfactants were different in the length of hydrophilic PEO chain.
6.1 The self-assembly of nanoparticles

Fig. 11 displays the intensity of scattered X-rays from the mixture of aqueous solution of Brij
98 surfactant and pNMGL (cp/csurf=2.0) solution as a function of time. The SAXS technique
is commonly used to extract information on molecular architecture and size of nano-objects
in solution that can be performed by the analysis of Kratky or Guinier plots.(Glatter &
Kratky , 1982) The scattering from nanostructures reveals three regions in the dependence of
scattering intensity on scattering vector, I ~ qα with different behaviors characteristic for the
various length scales. At low q-range, the “Guinier” regime (qRg < 1) is usually attained.
Middle q-range is usually sensitive to the shape of the scattering object; α = -4 stands for
hard spheres, -2 stands for planar objects, and α = -1 stands for rod-like structures. It was
proved experimentally that in some cases, the α value in middle q-range is not integral but
rather fractional. This situation corresponds to the so-called fractal structure. In the high q-
range, local stiffness of macromolecules (due to shorter length scales probed) can be
revealed with I(q) ~ q-1. Nanoparticles with sharp interface and smooth surface obey a q-4 law
that is usually referred to as „Porod“ behavior.
Several things should be noted. I(q) value at the lowest experimental q grows with time,
which is clearly an indication of particle growth (Fig. 11). For the highest composition ratio
cBrij98/cpNMGL =2.0, in the middle q-range, the exponent value α is growing from -2.2 at the
beginning up to -3.4 for the longer time (Fig. 12). The q-2.2 dependence of I(q) observed on
early stages of self-assembly is attributed to the scattering from a loose, fractal structure. In
contrast, α value of -3.4 suggests large compact objects. Thus using TRSAXS we can monitor
the self-assembly of nanoparticles when particles transform through fractal structure with
loose surface into hard spheres with sharp interface.
-1.2
-1.4
-1.6
-1.8
-2.0
-2.2
-2.4

-2.6
-2.8 cBrij98/cpNMGL=2.0
-3.6
0 1 2
10 10 10
time, sec
Fig. 12. The temporal evolution of the exponent value α for a pNMGL–Brij 98 system at
different composition ratio cBrij98/cpNMGL.
For the lowest composition ratio cBrij98/cpNMGL =0.25, the behavior changes greatly. I(q) value
at the lowest q as well as the α exponent do not evolve with time (Fig. 12). Obviously,
nanoparticles have been already formed prior to the first measurement. Those nanoparticles
do not have sharp boundaries and have fractal structure that is a characteristic for loose
entities. Surfactant molecules are not enough to cover the whole nanoparticles.
27
26
25
24
23
22
Rg, nm
21
20 cBrij97/cPNMV=2.0
cBrij97/cPNMV=1.0
19
cBrij97/cPNMV=0.5
18 cBrij97/cPNMV=0.25
0 50 100 150 200 250

time, sec
Fig. 13. The temporal evolution of the exponent value α for a pNMV –Brij 97 system at
different composition ratio cBrij97/cpNMV.
To extract further information on the kinetics of nanoparticle formation, the radius of

gyration was calculated and compared for different polymers and surfactants. The results
are shown in Fig. 13-15. We observe that the radius strongly depends on the composition
ratio. Moreover, two distinct regimes separated in time can be observed. During the first
seconds, there is a rapid increase in the Rg value. This behavior could be explained as a
nucleation regime when preliminary nuclei are formed. After a short period of time that
depends also on composition ratio, the Rg value of nanoparticles increases by consumption
of the remaining surfactant molecules in solution, thus defining the growth regime. The
higher the composition ratio, the growth regime is more expressive (Fig. 13, 14).
Nevertheless, sometimes a decrease in Rg is observed at the first seconds. We can assume
that such scenario could be realized when several aggregates of pearl-necklace micelles
disassembling prior to formation of original nuclei.
32
30
28
26
Rg, nm
24
22 cBrij98/cpNMGL=2.0
cBrij98/cpNMGL=1.0
20
cBrij98/cpNMGL=0.5
18 cBrij98/cpNMGL=0.25
0 100 200 300

t, sec
Fig. 14. The temporal evolution of the exponent value α for a pNMV–Brij 98 system at
different composition ratio cBrij98/cpNMGL.
The conclusion that the growth regime is governed by a surfactant only is further supported
from a comparison of kinetic curves of different polymers but the same composition ratio
(Fig. 15). The polymers of different nature but the same surfactant (Brij 98) and composition
ratio (1.0) could be arranged into a master-curve (inset of Fig. 15).
In contrast, the system with Brij 97 (red circles) is undoubtedly couldn’t be superimposed
into the master curve. We conclude that the number and hydrophobicity of monomeric units
of a polymer determine the final size of a nanoparticle whereas the growth nucleation rates
are controlled by the nature and amount of a surfactant.
27
26
25
24
23
22
25
21 24
20 23
22
19
Rg, nm
Rg, nm
21
cBrij98/cpNMV=1.0
18 20 cBrij97/cpNMV=1.0
cBrij98/cpNMGPLG=1.0
cBrij98/cpNMGL=1.0
17
19
18
16 100
time, sec
200
15 cBrij98/cpNMV=1.0
14
cBrij97/cpNMV=1.0
13
cBrij98/cpNMGPLG=1.0
12
cBrij98/cpNMGL=1.0
11
0 50 100 150 200 250 300

time, sec
Fig. 15. The temporal evolution of the exponent value α for a pNMV, pNMGL, and
pNMGPLG +Brij 98, 97 system at composition ratio 1.0. Inset: master curve.
7. General conclusions
We have systematically investigated nanoparticles prepared by controlled phase separation
approach. On the basis of our research we have established that the most important
parameter for steady-state nanoparticles dimensions is the composition ratio
c(surfactant)/c(polymer). Our study demonstrates that full grown nanoparticles have a
spherical shape. For the first time we have investigated the architecture of nanoparticles
prepared by the solvent shifting method. The density, and factor =Rg/Rh measurement
together with SANS experiment shows that nanoparticles are entities with uniform density
and without internal structure. Polymeric and surfactant molecules are evenly distributed
within a nanoparticle.
When macroscopic non-equilibrium hydrodynamic forces are involved into nanoparticle
formation, the nature of the surfactant, its hydrophobicity and charge, insignificantly
influences the nanoparticles sizes. A mixing rate is of primary importance for that case.
When hydrodynamic fluxes are eliminated by fast mixing again, the surfactant/polymer
composition ratio is of primary importance in nanoparticle formation, thus confirming
previous results. Excess of a surfactant results in much faster kinetics in comparison with
the solution where a polymer is in excess. Our results suggest that the formation of the
nanoparticles is a two stage process. In the beginning a nucleation stage occurs followed by
a growth regime. The hydrophilicity/hydrophobicity of surfactants plays an important role
in the formation of nanoparticles.
8. Acknowledgements
We gratefully acknowledge the European Synchrotron Radiation Facility (Grenoble, France)
for the provision of synchrotron beam time (SC2883 and SC3113). This work was supported
by the Grant Agency of the Czech Republic (202/09/2078) and also by Grant No.
IAA400500805 of the Grant Agency of the Academy of Sciences of the Czech Republic. Also,
we would like to thank Prof. Katarina Edwards and Dr. Goran Karlsson, Uppsala
University, Department of Physical and Analytical Chemistry for help with Cryo-TEM
experiments.
9. References
Abecassis, B., Testard, F., Spalla, O. & Barboux, P. (2007). Probing in situ the nucleation and
growth of gold nanoparticles by small-angle x-ray scattering. Nano Letters Vol. 7,
pp. 1723-1727.
Abecassis, B., Testard, F., & Spalla, O. (2008). Gold nanoparticle superlattice crystallization
probed in situ. Physical Review Letters, Vol. 100, pp. 115504.
Aseyev, V., Hietala, S., Laukkanen, A., Nuopponen, M., Confortini, O., Du Prez, F.E. &
Tenhu, H. (2005). Polymer, Vol. 46, pp. 7118-7131.
Aseyev, V., Tenhu, H. & Winnik, F. (2010). Non-ionic Thermoresponsive Polymers in Water,
Self Organized Nanostrcutures of Amphiphilic Block Copolymers. Springer Berlin
Heidelberg, pp. 1-61. (Advances in Polymer Science).
Baimark, Y., Srisaard, M., Threeprom J. & Narkkong, N. A. (2007). Colloid and Polymer
Science, Vol. 285, pp. 1521-1525.
Beck-Broichsitter, M., Gauss, J., Packhaeuser, C.B. , Lahnstein, K. , Schmehl, T. , W. Seeger, T.
Kissel & T. Gessler, (2009). International Journal of Pharmaceutics, Vol. 367, pp. 169-
178.
Bilati, U., Allemann, E. & Doelker, E. (2005). European Journal of Pharmaceutical Sciences, Vol.
24, pp. 67-75.
Bolze, J., Pontoni, D., Ballauff, M., Narayanan, T., & Colfen, H. (2004). Time-resolved SAXS
study of the effect of a double hydrophilic block-copolymer on the formation of
CaCO3 from a supersaturated salt solution. Journal of Colloid and Interface Science,
Vol. 277, pp. 84-94.
Brick, M. C., Palmer, H. J. & Whitesides T. H. ( 2003). Langmuir, Vol. 19, pp. 6367-6380.
Burchard, W. (1999) Adv Polym Sci, Vol. 143, pp. 113-194.
Chu, B. S. , Ichikawa, S. , Kanafusa S. & Nakajima, M. (2008). Journal of the Science of Food and
Agriculture, Vol. 88, pp. 1764-1769.
Deen, G.R., Oliveira, C.L.P. & Pedersen, J.S. (2009). Phase Behavior and Kinetics of Phase
Separation of a Nonionic Microemulsion of C12E5/Water/1-Chlorotetradecane
upon a Temperature Quench. Journal of Physical Chemistry B, Vol. 113, pp. 7138-
7146.
Eastoe, J., Dalton, J.S., Downer, A., Jones, G. & Clarke, D. (1998). Breakdown kinetics of
fluorocarbon micelles studied by stopped-flow small-angle X-ray scattering.
Langmuir, Vol. 14, pp. 1937-1939.
Filippov, S., Hruby, M., Konak, C., Mackova, H., Spirkova, M. Stepanek, P. (2008). Langmuir,
Vol. 24, pp. 9295- 9301.
Filippov, S., Starovoytova, L., Koňák, C., Hrubý, M., Macková, H., Karlsson, G. & Štěpánek,
P. (2010). Langmuir, vol. 26, pp. 14450–14457
Gallardo, M. , Couarraze, G. , Denizot, B., Treupel, L. , Couvreur P., and Puisieux, F. (1993).
International Journal of Pharmaceutics, Vol. 100, pp. 55-64.
Ganachaud, F. & Katz, J.L. (2005). Chemphyschem, Vol. 6, pp. 209-216.
Glatter, O. & Kratky, O. (1982) Small-Angle X-ray Scattering. London: Academic Press
Gradzielski, M. (2003). Kinetics of morphological changes in surfactant systems. Current
Opinion in Colloid & Interface Science, Vol. 8:, pp. 337-345.
Gradzielski, M. (2004). Investigations of the dynamics of morphological transitions in
amphiphilic systems. Current Opinion in Colloid & Interface Science, Vol. 9, pp. 256-
263.
Grillo, I., Kats, E.I. & Muratov, A.R. (2003). Formation and growth of anionic vesicles
followed by small-angle neutron scattering. Langmuir, Vol.19, pp. 4573-4581.
Grillo, I. (2009). Applications of stopped-flow in SAXS and SANS. Current Opinion in Colloid
& Interface Science,Vol 14, pp. 402-408.
Jakeš, J. (1995). Collect. Czech. Chem. C, Vol. 60, pp. 1781-1797.
Katas, H. , Cevher E. & Alpara H. O. (2009). International Journal of Pharmaceutics, Vol. 369,
pp. 144-154
Koňák, C., Pánek, J. & Hrubý, M. (2007). Colloid Polym Sci. Vol. 285, pp. 1433–1439.
Kriz, J., Masar, B., Pospisil, H., Plestil, J., Tuzar Z. & Kiselev, M.A. (1996). Macromolecules,
Vol. 29, pp. 7853-7858
Kujawa, P., Tanaka, F. & Winnik, FM. (2006). Macromolecules, Vol. 39, pp. 3048-3055
Kujawa, P., Aseyev, V., Tenhu, H. & Winnik, FM. (2006). Macromolecules , Vol. 39, pp. 7686-
7693
Lee, L.T. & Cabane, B. (1997). Macromolecules, Vol. 30, pp. 6559-6566
Lince, F., Marchisio D. L. & Barresi A. A. (2008). Journal of Colloid and Interface Science, Vol.
322, pp. 505-515.
Lund, R., Willner, L., Monkenbusch, M., Panine, P., Narayanan, T., Colmenero, J. & Richter,
D. (2009). Structural Observation and Kinetic Pathway in the Formation of
Polymeric Micelles. Physical Review Letters, Vol. 102, pp.188301
Leroueil-Le Verger, M., Fluckiger, L., Kim, Y. I. , Hoffman M. & Maincent, P. (1998).
European Journal of Pharmaceutics and Biopharmaceutics, Vol. 46, pp. 137-143.
Leo E., Scatturin, A., Vighi E., & Dalpia A. (2006). Journal of Nanoscience and Nanotechnology,
Vol. 6, pp. 3070-3079.
Legrand, P., Lesieur, S., Bochot, A., Gref, R., Raatjes, W., Barratt G. & Vauthier C. (2006).
Conference on New Trends in Drug Delivery Systems, Paris, FRANCE.
Narayanan, T., Diat, O. & Bosecke, P. (2001). SAXS and USAXS on the high brilliance
beamline at the ESRF. Nuclear Instruments & Methods in Physics Research Section a-
Accelerators Spectrometers Detectors and Associated Equipment, Vol. 467, pp. 1005-
1009
Ne, F., Testard, F., Zemb T, & Grillo, I. (2003). How does ZrO2/surfactant mesophase
nucleate? Formation mechanism. Langmuir, Vol.19, pp. 8503-8510.
Nguyen, J. , Steele, T. W. J., Merkel, O., Reul R. & Kissel, T. (2008). Journal of Controlled
Release, Vol. 132, pp. 243-251.
Pánek, J., Filippov, S.K. , Koňák, Č.,Nallet, F., Noirez, L., Karlsson, G. & Štěpánek, P. (2011).
Journal of Dispersion Science and Technology, Vol. 32, N. 6, pp. 888-897
Pánek, J., Filippov, S.K., Koňák, C., Steinhart, M. & Štěpánek, P. (2011). Journal of Dispersion
Science and Technology, Vol. 32, N. 8, pp. 1105-1110
Panine, P., Finet, S., Weiss, T.M. & Narayanan, T. (2006). Probing fast kinetics in complex
fluids by combined rapid mixing and small-angle X-ray scattering. Advances in
Colloid and Interface Science, Vol. 127, pp. 9-18.
Peracchia, M. T., Fattal, E., Desmaele, D. , Besnard, M., Noel, J. P. , Gomis, J. M. , Appel,
M. , d'Angelo J. & Couvreur P. (1999). Journal of Controlled Release, Vol. 60, pp.
121-128.
Potineni, A., Lynn, D. M., Langer R. & Amiji, M. M. (2003). Journal of Controlled Release, Vol.
86, pp. 223-234.
Pontoni, D., Narayanan, T., & Rennie AR (2002). Time-resolved SAXS study of nucleation
and growth of silica colloids. Langmuir, Vol. 18, pp. 56-59.
QuintanarGuerrero D., Allemann, E., Doelker E. & Fessi, H. (1997). Colloid and Polymer
Science, Vol. 275, pp. 640-647.
Schmolzer, S., Grabner, D., Gradzielski, M. & Narayanan T (2002). Millisecond-range time-
resolved small-angle x-ray scattering studies of micellar transformations. Physical
Review Letters, Vol. 88, pp. 258301
Shen, L., Du, J.Z., Armes, S.P. & Liu, S.Y. (1989). Kinetics of pH-induced formation and
dissociation of polymeric vesicles assembled from a water-soluble zwitterionic
diblock copolymer. Langmuir, Vol. 24, pp.10019-10025.
Siu, M.H., He, C. &Wu C. (2003). Macromolecules, Vol. 36, pp. 6588-6592
Tabor, R.F., Eastoe, J. & Grillo, I. (2009) Time-resolved small-angle neutron scattering as
a lamellar phase evolves into a microemulsion. Soft Matter, Vol. 5, pp. 2125-
2129.
Trimaille, T. , Chaix, C., Pichot C. & Delair, T. (2003). Journal of Colloid and Interface Science,
Vol. 258, pp. 135-145.
Tucker, I., Penfold, J., Thomas, R.K. & Grillo, L. (2009). Monomer-Aggregate Exchange Rates
in Dialkyl Chain Cationic-Nonionic Surfactant Mixtures. Langmuir, Vol. 25, pp.
2661-2666.
Van Keuren, E. R. (2004). Journal of Dispersion Science and Technology, Vol. 25, pp. 547-553.
Vega, E. , Gamisans, F., Garcia, M. L, Chauvet, A., Lacoulonche F. & Egea, M. A. (2008).
Journal of Pharmaceutical Sciences, Vol. 97, pp. 5306-5317
Weiss, T.M., Narayanan, T., Wolf, C., Gradzielski, M., Panine, P., Finet, S. & Helsby, W.I.
(2005). Dynamics of the self-assembly of unilamellar vesicles. Physical Review
Letters, Vol. 94, pp. 038303.
Weiss, T.M., Narayanan, T. & Gradzielski, M. (2008). Dynamics of spontaneous vesicle

formation in fluorocarbon and hydrocarbon surfactant mixtures. Langmuir, Vol. 24,
pp. 3759-3766.
Yan, C. H. , Yuan, X. B., Kang, C. S., Zhao, Y. H. , Liu, J., Guo, Y. S. , Lu, J. , Pu P. Y. & Sheng
J. (2008). Journal of Applied Polymer Science, Vol. 110, pp. 2446-2452.
0
11
Phase Separations in Mixtures of a Nanoparticle

and a Liquid Crystal
Akihiko Matsuyama
Department of Bioscience and Bioinformatics, Kyusyu Institute of Technology
Japan
1. Introduction
Liquid crystal suspensions including various micro- and nano-colloidal particles have recently
been received great attention for many practical applications such as nanosensors and devices,
etc. When large colloidal particles of micronscale are dispersed in a uniform nematic
liquid crystal phase, the colloidal particles disturb a long-range orientational order of the
nematic phase. For a strong anchoring between the colloidal surface and a liquid crystal,
different defect structures such as hedgehogs or Saturn rings can appear around a single
colloidal particle, due to strong director deformations.(Fukuda, 2009; Skarabot et.al., 2008;
Stark, 2001) Experiments have also shown two-dimensional crystalline structures of colloidal
particles.(Loudet et. al., 2004; Musevic et. al., 2006; Nazarenko et. al., 2001; Pouling et.al., 1997;
Yada et. al., 2004; Zapotocky et.al., 1999) On the other hand, under a weak surface anchoring
between the colloidal surface and a liquid crystal, the coupling to the orientational elasticity
of the liquid crystals tends to expel the colloidal particles and the suspension shows a phase
separation into an almost pure nematic phase coexisting with a colloidal rich phase.(Anderson
et.al., 2001; Pouling et. al., 1994) Such phase separations induced by a nematic ordering have
also been discussed in flexible polymers dispersed in a nematic liquid crystal.(Chiu & Kyu,
1999; Das & Ray, 2005; Dubaut et.al., 1980; Matsuyama & Kato, 1996; Shen & Kyu, 1995)
If the colloidal particles are ∼1-10nm in diameter, these "nanoparticles" are too small to
distort the nematic director and defects do not form. In this case, the system can show a
homogeneous single phase or phase separations,(Anderson et.al., 2001; Anderson & Terentjev,
2001; Caggioni et. al., 2005; Meeker et. al., 2000; Yamamoto & Tanaka, 2001) depending on
the interaction between a colloidal particle and a liquid crystal. Although the theoretical
progress on the description of a director around colloidal particles with strong anchoring
conditions has been noticeable,(Araki & Tanaka, 2004; Fukuda & Yokoyama, 2005; Kuksenok
et.al., 1996; Lubensky et. al., 1998; Yamamoto, 2001) little theoretical work exists in phase
separations.(Popa-Nita et. al., 2006; Pouling et. al., 1994)
In this chapter, we focus on nanoparticles dispersed in liquid crystals and discuss phase
separations and phase behaviors in mixtures of a nanoparticle and a liquid crystal. It is mainly
based on authors’ original theoretical works obtained within recent years. The nanoparticles
have a variety in the shape such as spherical and rodlike. In this chapter, we focus on (1)
mixtures of a liquid crystal and a spherical nanoparticle and (2) mixtures of a liquid crystal
and a rodlike nanoparticle, such as carbon nanotube. The topics are currently interested in the
advanced fields of nanoparticles and fundamental sciences.
242
Will-be-set-by-IN-TECH
When the nanoparticles are dispersed in isotropic solvents, the system may show phase
separations, or sodification, between a liquid and a crystalline phase, depending on
temperature and concentration, etc. These phase separations are induced by a balance
between steric repulsions and attractive dispersion forces. However, the nature of phase
separations of nanoparticles dispersed in liquid crystalline solvents is quite difference. The
key point is ordering of nanoparticles induced by liquid crystalline ordering. Depending
on the interaction between nanoparticles and liquid crystals, we have a variety of phase
separations.
The aim of this chapter is to introduce such a new kind of phase separations. We review
recent mean field theories to describe phase separations (or phase diagrams) in mixtures of
a nanoparticle and a liquid crystal and summarize the variety of phase separations in such
nanoparticle dispersions, where liquid crystalline ordering (nematic and smectic A phases)
and nanoparticle ordering compete. In Section 2, We discuss spherical nanoparticles dispersed
in liquid crystals. Nanotubes dispersed in liquid crystals are discussed in Section 3. The
effects of external forces, such as magnetic and electric fields, on the phase behaviors are also
discussed in Section 3.
2. Spherical nanoparticles dispersed in liquid crystals

2.1 Ferroelectric nanoparticles dispersed in nematic liquid crystals
Small nanoparticles do not significantly perturb the nematic director. However, it has
been recently discovered that ferroelectric nanoparticles can greatly enhance the physical
properties of nematic liquid crystals. Recent experimental(Copic et.al., 2007; Li et. al., 2006)
and theoretical(Kralj et.al., 2008; Lopatina & Selinger, 2009) studies have shown that low
concentrations of ferroelectric nanoparticles (BaTiO3 ) increase the orientational order of a
liquid crystal and increase the nematic-isotropic transition temperature, due to the coupling
between the ferroelectric nanoparticle with electric dipole moment and the orientational order
of liquid crystals.(Lopatina & Selinger, 2009)
Fig. 1. Nanoparticles dispersed in liquid crystal. (a) Nanoparticle with no electric dipole
moment, in an isotropic phase. (b) Ferroelectric particle with dipole moment, which produces
an electric field that interacts with orientational order of the nematic phase. Reproduced with
permission from (Lopatina & Selinger, 2009) . Copyright 2009 American Physical Society.
As shown in Fig. 1, the orientational distribution of the nanoparticle dipole moment interacts
with the orientational order of liquid crystals and stabilizes the nematic phase. The electric
Phase Separations
Phase Separations in Mixtures of in Mixtures
a Nanoparticle andof a Nanoparticle
a Liquid Crystal and a Liquid Crystal 2433
field generated by the nanoparticle interacts with the order parameter of the liquid crystal
through the free energy
Δρ NP p2
Fint = − S LC S NP , (1)
180π0 2 R3
where Δ is the dielectric anisotropy of the aligned liquid crystal, ρ NP is the number density of
nanoparticles, and p is the electric dipole moment, S LC (S NP ) is the scalar orientational order
parameters of the liquid crystals (nanoparticles). This free energy can predict the enhancement
in the isotropic-nematic transition temperature and in the response to an applied electric field.
The attractive interaction between the liquid crystal and the nanoparticle through the order
parameters is important to understand the phase behaviors. The next section we consider the
free energy to describe the phase separations.
2.2 Phase ordering in mixtures of a spherical nanoparticle and a liquid crystal

We consider mixtures of a spherical nanoparticle and a liquid crystal. By taking into account
the ordering of liquid crystals and nanoparticles, we can expect six possible phases in this
mixture. Figure 2 shows the schematically illustrated six phases. The isotropic (I) phase
means both liquid crystals and nanoparticles have no positional and orientational order. In
the nematic (N) phase, liquid crystals have an orientational order, while nanoparticles have no
positional order. Similarly, in the smectic A (A) phase, liquid crystals have a smectic A order,
while nanoparticles have no positional order. When the concentration of nanoparticles is high,
we may have a crystalline (C) phase of nanoparticles dispersed in an isotopic matrix of liquid
crystals. We can also expect a nematic-crystal (NC) phase and a smectic A-crystal (AC) phase,
where nanoparticles form a crystalline structure dispersed in a nematic and a smectic A matrix
of liquid crystals. To describe these phases, depending on temperature and concentration,
we take into account three scalar order parameters: an orientational order parameter for a
nematic phase, one-dimensional translational order parameter for a smectic A phase, and a
translational order parameter for a crystalline phase of nanoparticles.
2.3 Free energy of mixtures of a spherical nanoparticle and a liquid crystal

We consider a binary mixture of Nc spherical nano-colloidal particles of the diameter Rc
and Nr low-molecular weight liquid crystal molecules (liquid crystals) of the length l and
the diameter d. The volume of the liquid crystal and that of the nanoparticle are given by
vr = (π/4)d2 l and vc = (π/6) R3c , respectively. Let ρr (u, r) and ρc (r) be the number density
of liquid crystals and colloidal particles with an orientation u (or its solid angle Ω) at a position
r, respectively. The free energy F of the dispersion at the level of second virial approximation
is given by(Matsuyama & Hirashima, 2008a; Matsuyama, 2010a)

βF/V = ρr (r, u) βμr◦ + ln ρr (r, u) − 1 drdΩ

+ ρc (r) βμ◦c + ln ρc (r) − 1 dr

1
+ ρr (r, u)ρr (r , u ) β rr (r, u; r , u )drdΩdr dΩ ,
2

1
+ ρc (r)ρc (r ) β cc (r; r )drdr ,
2

+ ρc (r)ρr (r , u ) β cr (r; r , u )drdr dΩ , (2)
244
Fig. 2. Ordering of nanoparticles dispersed in liquid crystals. We here take into account three
scalar order parameters: an orientational order parameter for a nematic phase,
one-dimensional translational order parameter for a smectic A phase, and a translational
order parameter for a crystalline phase of nanoparticles.
where dΩ is the solid angle, μi◦ is the standard chemical potential of a particle i, j(= r, c),
β ≡ 1/k B T; T is the absolute temperature, k B is the Boltzmann constant, β ij ≡ 1 − exp[− βuij ]
is the Mayer-Mayer function, and uij is the interaction energy between two particles i and j.
Let f r (r, u) be the distribution function of liquid crystals and then the density can be expressed
as
ρr (r, u) = cr f r (r, u), (3)
where cr ≡ Nr /V is the average number density of liquid crystals. We here consider a nematic
and a smectic A phase of liquid crystals and use the decoupled approximation(Kventsel et.al.,
1985) for the distribution function:
f r (r, u) = f r (z̃r ) f r (u), (4)
where z̃r ≡ z/l, l is the average distance between smectic layers, f r (z̃r ) is the translational
distribution function of liquid crystals for a smectic A phase, and f r (u) is the orientational
distribution function of liquid crystals for a nematic phase. Similarly, using the translational
distribution function f c (r) of nanoparticles, the density of nanoparticles can be expressed as
ρ c ( r ) = c c f c ( r ), (5)
where cc ≡ Nc /V is the average density of nanoparticles. The total number Nr of liquid

crystals and Nc of nanoparticles must be conserved and then we have the normalization
conditions:
ρr (r, u)drdΩ = Nr /V, (6)
and
ρc (r)dr = Nc /V. (7)
Phase Separations
The orientational order parameter S of a nematic phase is given by(Maier & Saupe, 1958)

S= P2 (cos θ ) f r (θ )dΩ, (8)
where P2 (cos θ ) ≡ 3(cos2 θ − 1/3)/2. The translational order parameter σs of a smectic A

phase is given by(McMillan, 1971)
1
σs = cos(2π z̃r ) f r (z̃r )dz̃r . (9)
0
In the McMillan’s model,(McMillan, 1971) the order parameter for the smectic A phase is
given by P2 (cos(θ )) cos(2π z̃r ). In Eq. (4), we have used the decoupled approximation:
P2 (cos(θ )) cos(2π z̃r ) = Sσs . It has been reported that the decoupled model for the smectic A
phase is in quantitative agreement with the original McMillan’s theory.(Kventsel et.al., 1985)
In the decoupled model, the smectic A phase is defined by S = 0 and σs > 0.
For a crystalline phase, we here consider a face-centered cubic (fcc) structure of nanoparticles
for example. The translational order parameter for a fcc crystalline phase can be calculated
by(Kirkwood & Monroe, 1941)
1 1 1
σf = cos(2π x̃ ) cos(2π ỹ) cos(2π z̃) f c (r̃)dr̃, (10)
0 0 0
where L is the lattice size of a fcc crystal and we define x̃ ≡ x/L, ỹ ≡ y/L, z̃ ≡ z/L, and
dr̃ ≡ d x̃dỹdz̃. It is possible to consider the other crystalline structure such as a body-centered
cubic and a simple cubic, etc.(Matsuyama, 2006a;b)
When the interaction between liquid crystals is a short-range attractive interaction,
the anisotropic part of the interaction can be given by Fourier components of the
potential:(McMillan, 1971)

β rr −(vr l/d)νS 1 + γσs cos(2πz/l ) P2 (cos θ ) (11)
where we have retained the lowest order of the Fourier components. The ν(≡ Ua /k B T ) is the
orientational dependent (Maier-Saupe) interaction parameter between liquid crystals(Maier
& Saupe, 1958) and the γ shows the dimensionless interaction of a smectic phase(Matsuyama
& Kato, 1998; McMillan, 1971). According to the McMillan theory, the parameter γ is given
by γ = 2 exp[−(r0 /l )2 ], which can vary between 0 and 2, and increases with increasing the
chain length of alkyl end-chains of a liquid crystal. The smectic condensation is more favored
for larger values of γ. For the anisotropic interaction between nanoparticles in a fcc crystalline
phase, the anisotropic part of the interaction can be given by expanding β cc at the lowest order
of the Fourier components:(Kirkwood & Monroe, 1941)
β cc −(vc Rc /d) gσ f cos(2π x̃ ) cos(2π ỹ) cos(2π z̃), (12)
where the coefficient β cc is proportional to the total surface area (vc Rc ) of two particles.
The parameter g(≡ − β f 0 ) is the dimensionless interaction parameter between nanoparticles,
where the interaction energy f 0 consists of an entropic and enthalpic terms. In this paper, we
only consider short-range interactions between particles. The long-range interaction, due to
246
the presence of surface charges, is not taken into account. Similarly to Eq. (11), the anisotropic
interaction between a nanoparticle and a liquid crystal in a nematic and a smecticA phase is
given by
1
β cr (vc l/Rc )ωS 1 + ω1 σs cos(2πz/l ) P2 (cos θ ), (13)
2
where β cr is proportional to the surface area (vc /Rc ) of a nanoparticle(Stark, 1999). The ω ≡
w0 /k B T shows the dimensionless interaction parameter between a liquid crystal and a particle
surface. When ω > 0, or repulsive interaction between a liquid crystal and a nanoparticle,
doping nanoparticles disturb the orientational ordering of liquid crystals, or the orientational
elasticity of the liquid crystals tends to expel the particles to be lower the elastic free energy
of a nematic phase(Pouling et. al., 1994). In the mean field level, the elastic distortion cost of
a director is taken into account in the order of ωS2 . The negative values of ω (< 0) indicate
the attractive interactions between a liquid crystal and a nanoparticle and the particles tend
to disperse into a liquid crystalline matrix as indicated in Fig. 1. The last term ω1 (> 0) is the
coupling between a smectic liquid crystal and a colloidal surface.
We here assume the system is incompressible. Let φr = vr Nr /V and φc = vc Nc /V be the
volume fraction of a liquid crystal and a nano-colloidal particle, respectively. Using the axial
ratio nr (≡ l/d) of a liquid crystal and nc ≡ Rc /d, the volume of a particle is given by vr =
a3 nr and vr ( anc )3 , where we define a3 ≡ (π/4)d3 . To describe phase behaviors of the
incompressible blends, we calculate the free energy of mixing for the binary mixtures of a
liquid crystal and a nanoparticle:
ΔF = F ( Nc , Nr ) − F ( Nc , 0) − F (0, Nr ), (14)
where the F ( Nc , 0) and F (0, Nr ) are the reference free energy of the pure nanoparticles and the
pure liquid crystal in an isotropic phase, respectively. Substituting Eqs. (11)-(13) into (14), the
mixing free energy is given by
ΔF = Fmix + Fc + Fnem + Fsm + Fanc , (15)
where the each term is given as following.

The first term in Eq. (15) shows the free energy for mixing of colloids and liquid crystals in the
isotropic phase:
φr φc
a3 βFmix /V = ln φ p + 3 ln φc + χηc φr , (16)
nr nc
where the first and the second terms in Eq. (16) correspond to the entropy of isotropic mixing
for liquid crystals and colloidal particles, respectively. We here have added the third term
which shows the isotropic interaction parameter χ ≡ U0 /k B T related to the dispersion
force between a colloidal particle and a liquid crystal, where U0 is the interaction energy
between a colloid and a liquid crystal in an isotropic state. A positive χ denotes that the
colloid-liquid crystal contacts are less favored compared with the colloid-colloid and liquid
crystal-liquid crystal contacts. This interaction parameter is well known as the Flory-Huggins
parameter in polymer solutions.(Flory, 1953) For a colloidal particle, its surface only can
interact with the surrounding solvents and so the probability for the colloid-liquid crystal
contact is proportional to ηc φr , where the ηc is the surface fraction of colloidal particles and is
Phase Separations
given by
a2 n3c Nc φc
ηc ≡ = . (17)
a2 ( n r Nr + nc Nc )
3 nc
Then the dispersion interaction due to the mixing is given by χηc φr . On increasing the
diameter nc of a colloid, the interaction term decreases with a fixed φc . Eq. (16) corresponds to
the extended Flory-Huggins free energy for the isotropic mixtures of a liquid crystal, whose
the number of segments is nr , and a colloidal particle, whose the number of segments is
n3c . The second term in Eq. (15) shows the free energy for a crystalline ordering of colloidal
particles:
1 1 1
φc
a3 βFc /V = f (r̃) ln f (r̃)dr̃
n3c 0 0 0
1
− gηc2 σ2f , (18)
2
where the first term in Eq. (18) shows the entropy loss due to the crystalline ordering. When
the colloidal particles have no positional order, we have the distribution function f (r̃) = 1
and the free energy (Fc ) becomes zero. The third term in Eq. (15) shows the free energy for
nematic ordering of liquid crystals:

φr
a3 βFnem /V = f r (θ ) ln 4π f r (θ )dΩ
nr
1
− νφr2 S2 , (19)
2
where the first term in Eq. (19) shows the entropy change due to the nematic ordering. The
forth term in Eq. (15) shows the free energy for smectic A ordering of liquid crystals:
1
φr
a3 βFsm /V = f r (z̃r ) ln f r (z̃r )dz̃r
nr 0
1
− νγφr2 (Sσs )2 . (20)
2
The last term in Eq. (15) shows the anchoring interaction between a colloidal surface and a
liquid crystal:
ω
a3 βFanc /V = ηc φr S2 + ω1 (Sσs )2 . (21)
2
In a thermal equilibrium state, the distribution functions of nanoparticles and liquid
crystals are determined by minimizing the free energy (15) with respect to these functions:
(δF/δ f c (r̃)){ fr (θ ), fr (z˜r )} = 0, (δF/δ f r (θ )){ f c (r̃), fr (z˜r )} = 0, and (δF/δ f z (z˜r )){ f c (r̃), fr (θ )} = 0. The
order parameters S, σs , and σ f can be determined by Eqs. (8), (9), and (10), respectively. Using
these distribution functions and order parameters, we can calculate the free energy of our
systems. The chemical potentials of a nanoparticle and a liquid crystal can be obtained from
this free energy.
248
2.4 Phase transitions in nanoparticle/liquid crystal mixtures
In a mixture of a nanoparticle and a liquid crystal, we have some phase transitions, depending
on temperature and concentration(Matsuyama, 2009).
One is the nematic-isotropic phase transition of this mixture. The nematic-isotropic transition
(NIT) temperature is given by
◦
τN I = T/TN I = 1 − (1 + α a /nc ) φc , (22)
◦ shows the NIT temperature of a pure liquid crystal. We here define the ratio α
where TN I a
between the anchoring strength (w) and the nematic interaction (ν):
α a ≡ w/ν. (23)
The value of α a shows the anchoring strength. The negative sign represents attractive
interaction between a nanoparticle and a liquid crystal and thus the nanoparticles tend to
disperse in a liquid crystalline matrix. On the other hand, the positive sign represents the
repulsive interaction and the liquid crystals tend to expel the nanoparticles. The slope of the
NIT line on the T − φc plane depends on the value of α a /nc .
The smectic A−nematic phase transition (ANT) is given by
◦ ω1 α a
τAN = T/TN I = 2.27γ 1 − (1 + )φc S2 . (24)
nc γ
Since γ > 0 and ω1 > 0, the ANT temperature depends on the sign of α a . For larger negative
values of α a , the ANT temperature increases with increasing φc . It can also be obtained the
direct phase transition from an isotropic to a smectic A phase(Matsuyama, 2009).
We also have the isotropic fluid-crystal phase transition (ICT). The ICT temperature is given
by
◦ 0.58αc nc φc
τIC = T/TN I = , (25)
nr (1 − φc /φc∗ )
where
αc ≡ β|e0 |/ν, (26)
shows the strength of the attractive interaction between nanoparticles compared to the
nematic interaction parameter ν. When τ < τIC the crystalline phase is stable. The
ICT temperature increases with increasing φc and diverges at φc∗ . This corresponds to the
entropically driven-liquid-solid transition for hard spherical particles due to the excluded
volume interactions.(Alder & Wainwright, 1957; Cates & Evans, 2000)
Figure 3(a) shows the first-order phase transition lines for NIT (red dotted-line, Eq. (22)), ANT
(blue dotted-line, Eq. (24)), and ICT (black dotted-line, Eq. (25)) on the reduced temperature
(T/TN◦ )−concentration (φ ) plane. We set n = 3, n = 2, α =0.1, α = −2.5, α (≡ ν/χ )=5,
I c c r c a n
γ = 0.87, ω1 = 1 for a typical example. When φc = 0, or pure liquid crystals, the ANT
appears at T/TN ◦ ≈ 0.938, which is consistent with the result of the MacMillan theory. At high
I
temperatures and low concentrations, we have the isotropic (I) liquid phase. On decreasing
temperature, the N phase appears, where nanoparticles are in an isotropic liquid state but
liquid crystals are in a nematic state. Further decreasing temperature the smectic A phase
Phase Separations
(a) (b)
Fig. 3. (a) The first-order phase transition lines (the red dotted-line for NIT (Eq. (22)), the blue
dotted-line for ANT (Eq. (24)), and the black dotted-line for ICT (Eq. (25))) on the reduced
temperature (T/TN ◦ )−concentration (φ ) plane. (b) Order parameters plotted against the
I c
volume fraction of colloidal particles at T/TN ◦ =0.92 in Fig. 3(a).
I
appears, where nanoparticles are in an isotropic liquid state but liquid crystals are in a smectic
A phase. At high temperatures and high concentrations, we have the crystalline (C) phase
of colloidal particles. On decreasing temperature, the NC phase appears, where colloidal
particles are in a crystalline state and liquid crystals are in a nematic state. Further decreasing
temperature the AC phase appears, where colloidal particles are in a crystalline state and
liquid crystals are in a smectic A phase. The slope of the transition lines depends on the
anchoring energy (α a ) as discussed in Eq. (23). For larger negative values of α a , the slopes
of the NIT and ANT lines become positive on the temperature-concentration plane and the
nematic and smectic A phase appear at higher temperatures.
Figure 3(b) shows order parameters plotted against the volume fraction φc at T/TN ◦ = 0.92
I
in Fig. 3(a). On increasing φc , we find the first-order phase transition from the smectic A to
nematic (N) phase at φc 0.2, where the order parameters S and σs jump. At φc 0.5,
the first-order phase transition from the N to NC phase appears. Further increasing φc the
first-order phase transition from the NC to C phase appears at φc 0.55.
2.5 Phase diagrams of nanoparticle/liquid crystal mixtures
In this subsection we show some phase diagrams calculated from the free energy(15). The
coexistence curve (binodal) can be obtained by solving the two-phase coexistence conditions:
the chemical potentials of each component are equal in each phase. This binodal curve can
also be derived by a double tangent method where the equilibrium volume fractions fall on
the same tangent line to the free energy curve.
Figure 4 shows the phase diagrams for nr = 2, nc = 3, ω1 = 1, αc = 0.1, αn = 5, and
γ = 0.87 for an example. The value of α a is changed: (a) α a = 1; (b) α a = −2; (c) α a = −3.5.
250
We here discuss the effects of the anchoring strength α a on the phase behavior. The negative
values of α a mean that the nanoparticles prefer to disperse into liquid crystalline phases. The
solid curve shows the binodal curve. The red, blue, and black dotted lines show the NIT,
ANT, and ICT line, respectively (see Fig. 3(a)). When φc = 0, the smectic A phase appears at
T/TN ◦ = 0.94. When α = 1 [Fig. 4(a)], we have the broad nematic-isotropic (N + I) phase
I a
separation between 1 > T/TN ◦ > 0.94. Below T/T ◦ < 0.94, we have the smectic A-isotropic
I NI
(A + I) phase separation. The nematic and smectic A phase at the lower concentrations consist
of almost pure liquid crystals. The triple point (A + I + C) appears at T/TN ◦ = 0.89, where
I
the smectic A, isotropic, and crystalline phases can simultaneously coexist. Below the triple
point, we have the two-phase coexistence (A + C) between a smectic A and a crystalline phase.
Above the triple point, two-phase coexistence (I + C) between an isotropic and a crystalline
phase appears.
On decreasing the anchoring parameter α a the phase behavior is drastically changed. When
α a = −2 [Fig. 4(b)], the NIT (Eq. (22)) and ANT (Eq. (24)) lines shift to higher concentrations
and the stable single N and A phases appear at low concentrations of nanoparticles. Two tie
lines with arrows show the three-phase coexistence: A + N + I and A + I + C. Above the
triple point A + N + I, we have two-phase coexistence A + N and N + I. Below the triple
point A + N + I, we have A+I phase separation. Below the triple point A + I + C, we have
the broad A+C phase separation.
Further decreasing α a , Fig. 4(c), the nematic and smectic A ordering are promoted by adding
nanoparticles and the NIT and ANT lines shift to higher temperatures. This increase of the
NIT and ANT temperature indicates the attractive interactions between a liquid crystal and
a colloidal particle. For example, it has been observed that doping low concentrations of
ferroelectric BaTiO3 nanoparticles into liquid crystals increases NIT temperature(Li et. al.,
2006a). In this case, ferroelectric nanoparticle with electric dipole moment, which produces
an electric field, interacts with orientational order of liquid crystals and stabilizes the nematic
phase.(Lopatina & Selinger, 2009) This corresponds to negative anchoring energy in our
model. We also have three triple points: I + C + NC, N + NC + AC, and N + A + AC. Above
the I + C + NC triple point, we have the I + C and C + NC phase separations. Below the
I + C + NC triple point, the I + NC and NC + AC phase separations appear. Below the triple
point N + NC + AC, we have the I + N and N + AC phase separations. Below the triple point
N + A + AC we have N + A and A + AC phase separations. The anchoring energy between
liquid crystals and nanoparticles becomes an important parameter to derive a stable N, A,
NC, and AC phases in the mixture of nanoparticles and liquid crystals.
Anderson et al. have observed the phase ordering of colloidal (PMMA) particles dispersed in
a liquid crystal, 5CB or MBBA.(Anderson et.al., 2001) Particles are covered with chemically
grafted short chains, making hairy particles. In a nematic phase, the grafted chains
tend to provide a homeotropic (radial) director anchoring. In an isotropic liquid, these
particles behave like almost hard spheres and so the I + C phase separation takes place at
high concentrations of the colloidal particles. Such I + C phase separation, calculated in
Fig. 4, has been observed in colloidal dispersions(Pusey & van Megen, 1986) and protein
solutions(Tanaka et. al, 2020). At dilute concentrations of the colloidal particles, Anderson
et al. observed a decrease in the NIT temperature TN I as a function of φc , which follows a
linear law. This is consistent with Eq. (22). The N+I and N+C phase separations have also
been reported in Latex polyballs suspended in an isotropic micellar solution which exhibits
Phase Separations
11
(a) (b)
(c)
Fig. 4. Phase diagrams for αc = 0.1, αn = 5, γ = 0.87. The value of α a is changed: (a) α a = 1;
(b) α a = −2; (c) α a = −3.5.
a nematic phase at low temperature.(Pouling et. al., 1994) The observed phase diagram are
qualitatively consistent with Fig. 4(a).
The binodal lines calculated at high concentrations of nanoparticles may not be
experimentally observed because of high viscosity, however, it is important to understand
the phase ordering kinetics(Matsuyama et .al., 2000; Matsuyama, 2008b). The cooperative
phenomena between liquid crystalline ordering and crystalline ordering induce a variety of
phase separations.
252
3. Nanotubes dispersed in liquid crystals

Since the discovery of carbon nanotubes (CNTs)(Iijima, 1991), extensive studies of physical
and chemical properties of CNTs have been received great attention for many practical
applications such as nano-sensors and devices. Windle’s group first reported the nematic
liquid crystalline behavior of an aqueous suspension of CNTs above a certain concentration
and the isotropic-nematic phase separations.(Shaffer & Windle, 1999; Song et. al., 2003). Long
nanotubes segregate preferentially to the liquid crystalline phase, whereas shorter nanotubes
segregate preferentially to the isotropic phase(Zhang et.al., 2006). Recently such nanotubes as
liquid crystalline materials become an important to be used in biological applications such as
biosensors, biology imaging, artificial muscles, gene delivery, etc(Woltman et al., 2007).
In order to prepare CNT dispersions, strong van der Waals attractions between nanotubes
must be screen out. To do this, the surface of nanotubes can be modified by acid oxidation,
acid protonation, polymer or surfactant wrapping, etc.(Zhang & Kumar, 2008). For example,
a water-soluble polymer, biopolymers such as DNA, and surfactant molecules have been
used to wrap CNT and to increase the dispersibility in water(Badaire et. al., 2005). The
polymer-wrapped nanotubes can be dispersed in a solvent with a considerable concentration.
The excluded volume and electro-static repulsion between polymers can overcome the
intermolecular van der Waals attractions and therefore the polymer-wrapped CNT can
be dispersed in water. Thus it is possible to change the strength of the intermolecular
interaction between nanotubes by using polymer-wrapping and negative or positive charging
of nanotube surface, etc.
Alignment of such CNTs, or rigid-rodlike polymers (rods), with the aid of low
molecular-weight-liquid crystalline molecules is an alternative approach. Indeed
thermotropic(Basu & Iannacchione, 2008; Dierking et.al., 2005; Jayalakshmi & Prasad, 2009;
Lynch & Patrick, 2002; Russell et.al., 2006) as well as lyotropic nematic liquid crystals(Courty
et.al., 2003; Lagerwall et. al., 2007; Schymura et. al., 2009; Weiss et. al., 2006) have been applied
as nematic solvents for the alignment of nanotubes. Anisotropic interactions between the
nanotube and liquid crystal drastically change the alignments and physical properties of the
mixtures. Duran et.al. have observed the nematic-isotopic phase transition temperature (TN I )
is enhanced by the incorporation of a multi-wall CNT within a small composition gap(Duran
et.al., 2005).
In this section, we discuss phase separations in binary mixtures of a low
molecular-weight-liquid crystal and a nanotube, such as CNT. We discuss uniaxial and
biaxial nematic phases.
3.1 Nematic phases in mixtures of a nanotubes and a liquid crystal
We here consider the effect of the anisotropic interaction between a nanotube and a liquid
crystal and that between rods.(Matsuyama, 2010) Depending on the interaction between a
nanotube and a liquid crystal, we can expect various nematic phases. Figure 5 schematically
shows the four nematic phases, defined by using the orientational order parameter (S1 ) of
a liquid crystal and that (S2 ) of a nanotube. When the orientational order parameter of one
component is positive, determining a nematic director, and the orientational order parameter
of the second component is negative, we have planer nematic phase, where the second
Phase Separations
13
(a)
Fig. 5. Schematically illustrated four possible nematic phases. Four nematic phases are
defined using the orientational order parameter S1 of the liquid crystal and that S2 of the
nanotube: the nematic N0 phase with S1 > 0 and S2 > 0, the nematic N1 phase with S1 > 0
and S2 < 0, and the nematic N2 phase with S1 < 0 and S2 > 0. When an external field (E) is
applied along to the z axis for the particles of the dielectric anisotropy Δ1 < 0 and Δ2 < 0,
the N3 phase with S1 < 0 and S2 < 0 can appear: the nanotubes and liquid crystals are
randomly oriented on the plane perpendicular to the direction of the external field.
component is randomly oriented within in the perpendicular plane to the nematic director.
The nematic N0 phase shows the nanotube and the liquid crystal are parallel to each other:
S1 > 0 and S2 > 0. The nematic N1 phase is defined as that the nanotube and the liquid crystal
are perpendicular with each other: S1 > 0 and S2 < 0. In this phase, the nematic director (z
axis) can be defined by the orientational direction of the liquid crystals. These perpendicular
alignments can be obtained by modifying the surface of a nanotube, or CNT, with polymers
or surfactants. The nematic N2 phase is defined as the nanotube and the LC are perpendicular
each other with S1 < 0 and S2 > 0. In this phase, the nematic director (z axis) can be defined
by the orientational direction of the nanotube. Biaxial nematic phases are discussed in Section
3.3. When an external field (E) is applied along to the z axis for the particles of the dielectric
anisotropy Δ1 < 0 and Δ2 < 0, the N3 phase with S1 < 0 and S2 < 0 may appear, where
the nanotubes and liquid crystals are randomly oriented on the plane perpendicular to the
direction (z axis) of the external field.
3.2 Free energy of nanotube/liquid crystal mixtures
We consider a binary mixture of a liquid crystal of the length L1 and the diameter D1 and and a
nanotube of the length L2 and the diameter D2 : L1 < L2 . The volume of the liquid crystal and
254
that of the nanotube is given by v1 = (π/4) D12 L1 and v2 = (π/4) D22 L2 , respectively. We here
assume D ≡ ( D1 = D2 ). Let ρ1 (r, u) and ρ2 (r, u) be the number density of the liquid crystals
and the nanotubes with an orientation u (or its solid angle Ω) at a position r, respectively. The
free energy F of the dispersion at the level of second virial approximation is given by Eq. (2).
The volume fraction of liquid crystals is given by φ1 = v1 ρ1 and tat of nanotubes φ2 = v2 ρ2 .
As discussed in Eq. (14), we here consider the incompressible fluids: φ1 + φ2 = 1.
Consider a uniaxial nematic phase, which is spatially uniform but nonuniform for orientation.
Let f i (u) be the distribution function of the particle i (= 1, 2) and then the density can be
expressed as
ρi (r, u) = ci f i (u), (27)
where ci ≡ Ni /V is the average number density of the particle i . The total number N1
of the liquid crystals and N2 of the nanoparticles must be conserved and then we have the
normalization conditions:
ρi (r, u)drdΩ = Ni /V, (28)
where dΩ = 2π sin θdθ for a uniaxial nematic phase.

For the interaction between liquid crystals in Eq. (2), we take the attractive (Maier-Saupe)
interaction:
β 11 = −ν1 v1 P2 (cos θ ) P2 (cos θ ), (29)
where ν1 (≡ U1 /k B T > 0) and U0 is the anisotropic attractive (Maier-Saupe) interaction

between liquid crystals(Brochard et.al., 1984; Maier & Saupe, 1958). (The subscript symbols
c and r in Eq. (2) are changed to 1 and 2, respectively.) For the interaction between
nanotubes, we here take into account both the attractive interaction and excluded volume
one:(Matsuyama & Kato, 1996)
β 22 = 2L2 D |u × u | − ν2 v2 P2 (cos θ ) P2 (cos θ ), (30)
where the first term is the excluded volume interaction between nanotubes, or rods,(Onsager,
1949) and the ν2 (≡ U2 /k B T > 0) is the attractive (Maier-Saupe) interaction between
nanotubes. The interaction between a liquid crystal and a nanoparticle is given by
β 12 = −ν12 v12 P2 (cos θ ) P2 (cos θ ), (31)
where the anisotropic interaction ν12 (≡ U12 /k B T ) between a liquid crystal and a rod can
be positive or negative value. We here assume that the excluded volume interaction of a
liquid crystal can be negligible because the length of liquid crystal is short. The volume
v12 = (π/4) L1 L2 D is the average excluded volume between a rod and a liquid crystal in
an isotropic phase, Using Eqs. (29), (30), and (31), we can obtain the mixing free energy (15)
for nanotube/liquid crystal mixtures. We here define an interaction parameter between a
nanotube and a liquid crystal:
c12 = ν12 /ν1 , (32)
which becomes an important parameter in the phase behavior.
Phase Separations
15
3.3 Phase diagrams of nanotube/liquid crystal mixtures
In this subsection, we show some phase diagrams calculated from the free energy(Matsuyama,
2010).
3.3.1 Uniaxial nematic N0 phase
(a) (b)
(c)
Fig. 6. Phase diagrams for c12 =0 (a), c12 =0.3 (b), and c12 =0.4(c) with n1 = 2 and n2 = 10.
We first show the phase diagram for c12 = 0 (see Fig. 6(a)), where the excluded volume
interaction between nanotubes only prevails. The solid curve shows the binodal. The red
and blue dotted lines show the first-order NIT line of a liquid crystal and that of a nanotube,
◦
respectively. Above T/TN I = 1, the NIT of nanotubes takes place with increasing the
concentration of the nanotube due to the excluded volume interaction between nanotubes,
256
and we have the isotropic (I)-nematic (N) phase separation (I+N’), which has been obtained
by Onsager theory(Onsager, 1949) and Flory’s lattice theory(Flory, 1956; 1979). At the low
temperatures of the NIT line (red line) of liquid crystals, we have a nematic (N) phase, where
liquid crystals are in a nematic state but nanotubes are in an isotropic state. We predict
the chimney type phase diagram with a triple point (N+I+N’). Below the triple point, we
have the broad nematic-nematic (N+N’) phase separation. The nematic N phase at lower
concentrations consists of almost pure liquid crystals and the N’ phase are formed by the
orientational ordering of rods. Near T/TN ◦ < 1, we have the N+I phase separation.
I
Figure 6(b) shows the phase diagram for c12 = 0.3. On increasing the coupling constant
c12 , the NIT lines shift to higher temperatures and lower concentrations and two NIT curves
appeared in Fig. 6(a) merge. Below the NIT line (blue dotted line), we have a nematic N0
phase, where the rods and the liquid crystals are oriented to be parallel to each other (S1 > 0
and S2 > 0). The width of the biphasic region I+N0 decreases with decreasing temperature.
We find the triple point (N0 +I+N0 ), where the nematic N0 , isotropic(I), and nematic N0 phases
simultaneously coexist. The binodal line of the N0 phase shifts to higher concentrations and
that of the N0 phase shifts to lower concentrations with increasing c12 . Below the triple point
we have the phase separation N0 +N0 , where the two nematic N0 phases with the different
concentrations can coexist.
Figure 6(c) shows the phase diagram for c12 = 0.4. The binodal curve sprits into two
parts: one is the phase separation I+N0 with the lower critical solution temperature
(LCST) at T/TN ◦ = 1 and the other is the phase separation N +N with the upper critical
I 0 0
solution temperature (UCST). We have the stable nematic N0 phase between the LCST
and UCST. The length of a nanotube is also important to understand the phase diagrams.
On increasing the length of the nanotube, the biphasic regions are broadened. Such
LCST type phase diagram has been observed in mixtures of a main-chain nematic polyesters
(poly[oxy(chloro-1,4-phenylene)oxycarbonyl][(trifluoromethyl)-1,4-phenylene]carbonyl)(PTFC)
with a nematic liquid crystal (p-azoxyanisole)(PAAd14)(Ratto et.al., 1991). The theory can
qualitatively describe the observed phase diagram.
3.3.2 Uniaxial nematic N1 and N2 phases

When the coupling parameter c12 is negative, we can expect that the nanotubes and liquid
crystals are oriented to be perpendicular with each other.
Figure 7 shows the phase diagram for c12 = −0.2( a) and c12 = −0.5(b). The binodal
line (solid line) is similar to Fig. 6(a), however, the structure of the nematic phases is
different. In Fig. 7(a), the red dotted line at low concentrations shows the first-order nematic
(N1 )-isotropic phase transition (1st-N1 IT) and the red dotted line at high concentrations shows
the first-order nematic N1 -N2 phase transition (N1 N2 T). The blue broken line corresponds to
the second-order N1 -I phase transition (2nd-N1 IT), where the orientational order parameters
continuously change. We also find the tricritical point (TCP) at which the 1st-N1 IT meets the
2nd-N1 IT. The phase diagram shows the three phase coexistence between N1 , I and N2 phases
at T/TN ◦ ≈ 0.92. Above the triple point, the I+N and N +I phase separations appear. Below
I 2 1
the triple point, we have the N1 +N2 phase separation.
On decreasing c12 (< 0), the system favors more perpendicular alignment. Figure 7(b) shows
the phase diagram for c12 = −0.5. (Note that the phase diagram is only shown for low
Phase Separations
17
concentrations.) The two nematic-isotropic phase transitions: 1st-N1 IT and 2nd-N1 IT, shift
to higher temperatures and pass the binodal line of the isotropic phase in Fig. 7(a). The
2nd-N1 IT (blue broken line) appears at lower concentrations than the binodal line and we
have the homogeneous N1 phase. Near T/TN ◦ = 1, the narrow biphasic region N +I appears.
I 1
Inside the binodal region, we have the 1st-N1 IT line (red dotted line). This N1 +I phase
separation disappears at TCP. At higher concentrations, the N1 +N2 phase separation appears.
The binodal curve of the coexisting N2 phase exists at φ2 ≈ 0.7, although it is not depicted in
this figure. Further decreasing c12 (< 0), the 1st-N1 IT disappears and we have the 2nd-N1 IT
and the 2nd-N1 IT temperature increases with increasing φ2 .
(a) (b)
Fig. 7. Phase diagrams for c12 =-0.2 (a) and c12 =-0.5 (b).
Recent experimental studies of multi-wall carbon nanotube(CNT)/nematic liquid crystal

mixtures(Duran et.al., 2005) have observed the NIT temperature of the liquid crystal is
enhanced by the incorporation of CNT within a small composition gap and suggested that
this enhanced NIT temperature phenomenon is attributed to anisotropic alignment of liquid
crystals along the CNT bundles. Our model predicts two kind of phase behavior. When the
CNTs and liquid crystals are parallel, the system shows the first-order isotropic-nematic (N0 )
phase transition. On the other hand, if the CNTs and liquid crystals favor to be perpendicular
each other, we have the 1st- and 2nd-N1 IT. The appearance of these phase transitions is
strongly effected by the orientational order of nanotubes and liquid crystals.
3.3.3 Effect of external fields
To form a nematic N3 phase, external forces such as electric or magnetic fields will be
important. When the external magnetic or electric field E is applied to the nanotubes and
liquid crystals having a dielectric anisotropy Δi ≡ ||,i − ⊥,i (i = 1, 2), the free energy
changes due to the external field is given by(de Gennes & Prost, 1993)

a3 βFext /V = −φ1 βΔ1 (n · E)2 f 1 (u)dΩ − φ2 βΔ2 (l · E)2 f 2 (u)dΩ (33)
258
where n and l are the unit orientation vector of the liquid crystal and the nanotube,
respectively.
(a)
Fig. 8. Phase diagram under an external field for Δ1 = −1 and Δ2 = 1, where the liquid
crystals tend to align perpendicular to the electric field E, while the nanotubes tend to
parallel to E.
(a)
◦ = 0.98 in Fig. 8. We find the

Fig. 9. Order parameters S1 and S2 plotted against φ2 at T/TN I
phase transition from the N3 phase with S1 < 0 and S2 < 0 to the N0 phase with S1 > 0 and
S2 > 0.
We here consider the case of Δ1 < 0 and Δ2 > 0: the liquid crystals tend to align
perpendicular to the electric field E, while the nanotubes tend to parallel to E. We apply
the external field on Fig. 6(c), where the coupling c12 (= 0.4) between the liquid crystal and
nanotube is strong. Figure 8 shows the phase diagram under an external field for Δ1 = −1
and Δ2 = 1. The binodal line is broadened, compared with Fig. 6(c). We find the N3
phase at low concentrations of nanotubes, where most liquid crystals tend to perpendicular
Phase Separations
19
to the eternal field and nanotubes favor to be parallel to liquid crystals because of the strong
coupling c12 even Δ2 = 1. The blue dotted line shows the 1st-order N3 -N0 phase transition.
Figure 9 shows the order parameters plotted against φ2 at T/TN ◦ = 0.98. We also find the
I
phase separation between N3 and N0 phases. We emphasize that we can control the four
nematic phases by applying external fields.
3.4 Biaxial nematic ordering in nanotube/liquid crystal mixtures
Biaxial nematic phase has been first theoretically predicted by Freiser(Freiser, 1970). Since
then, it has been the subject of much experimental(Galerne & Marcerou, 1983; Madsen et.
al., 2004; Yu & Saupe, 1980), computational(Biscarini et. al., 1995; Hudson & Larson, 1993),
and theoretical(Alben, 1973; Palffy-Muhoray et. al., 1984; Sharma et. al., 1985; Straley, 1974)
work (see a recent review(Tschierske & Photinos, 2010)). Biaxiality occurs if anisotropic
particles orient along a second axis perpendicular to a main director of the particles(Singh,
2000). Recently it has been experimentally observed a biaxial phase in colloidal dispersions of
boardlike particles(van den Pol et. al., 2009). Such biaxiality is expected significant advantages
in display applications with a fast response.(Luckhurst, 2001)
(a)
Fig. 10. Uniaxial planar nematic phase (N1 ) and biaxial nematic phase (N1b ) in mixtures of a
long nanotube and a short liquid crystal, which favor perpendicular orientations with each
other. Nanotubes on an easy plane induce the additional ordering of nanotubes in the
direction m perpendicular to the director n and yield a biaxial nematic phase N1b .
As discussed in Section 3.1, when the order parameter of one component is positive,
determining the nematic director, and the order parameter of the second component is
negative, we have planar nematic phases (N1 and N2 ), where the second component is
randomly distributed within the perpendicular plane to the director. In these nematic phases
(N1 , N2 ), we can expect either a uniaxial or a biaxial nematic phase.
Figure 10 schematically shows a novel biaxial nematic in nanotube/liquid crystal mixtures,
where the two components favor a mutually perpendicular orientation.(Matsuyama, 2011)
The mutually perpendicular alignments of nanotubes and liquid crystals can be achieved
by wrapping polymers or surfactants on nanotube’s surface(Badaire et. al., 2005; Zhang &
260
Kumar, 2008). To form such mutually perpendicular alignments, the anisotropic interaction
(enthalpy) between a nanotube and a liquid crystal is needed. Moreover, in the planar nematic
N1 phase, on increasing concentration of nanotubes, we can expect that the excluded volume
interaction (entropy) between nanotubes on an easy plane induces the additional ordering of
nanotubes in the direction m (the second "minor" director) perpendicular to the director n
(the first "major" director) of liquid crystals and yields a biaxial nematic phase (N1b ). In the
N2 phase, we may have a biaxial nematic phase (N2b ), where the additional ordering of liquid
crystals appears in the direction m (minor director) perpendicular to the alignment n (major
director) of nanotubes. Such a biaxiality in mixtures of two types of rodlike molecules has
been first suggested by Alben(Alben, 1973). In this subsection, we introduce phase diagrams
including such biaxial nematic phases. The phase diagrams appeared in Fig. 7 are drastically
changed.
Using the distribution function f i (θ, ϕ) of the component i (= 1, 2), defined by a polar angle θ
and an azimuthal angle ϕ, the biaxial order parameter is given by

Δi = D (θ, ϕ) f i (θ, ϕ)dΩ, (34)
√
where D (θ, ϕ) ≡ ( 3/2) sin2 θ cos(2ϕ). Using the tensor order parameter
Si,αβ = (3/2)Si (nα n β − δαβ /3), (35)
(α, β = x, y, z), we have Δi = Si,yy − Si,xx and Si = Si,zz (Singh, 2000). Here Si,zz describes
alignment of molecules along the z axis (major director), whereas the nonzero value of Δi
describes ordering along the x or y axis. Using the order parameters, we can define an
isotropic (I) phase with Si = Δi = 0, a uniaxial N1 phase: S1 > 0, S2 < 0, Δi = 0, a uniaxial
N2 phase: S1 < 0, S2 > 0, Δi = 0, a biaxial N1b phase: S1 > 0, S2 < 0, Δi = 0, and a biaxial
N2b phase: S1 < 0, S2 > 0, Δi = 0. Using the additional theorem of a spherical harmonics in
Eqs. (29), (30), and (31), we have P2 (cos γ) = P2 (cos θ ) P2 (cos θ ) + D (θ, ϕ) D (θ , ϕ ) and can
calculate phase separations(Matsuyama, 2011).
Figure 11 shows the phase diagrams numerically calculated for c12 = −0.5 (a) and −0.8 (b).
Black lines show the binodal line. The red (blue) lines show a first (second)-order phase
transition, where the order parameters discontinuously (continuously) change. The biaxial
nematic phase N1b , which includes an unstable biaxial phase, a metastable biaxial, and a stable
biaxial phase , is indicated by the yellow area. In Fig. 11(a), at high temperatures, we have the
phase separation (I+N2 ) between an isotropic (I) phase at φ2 0.14 and a uniaxial N2 phase at
φ2 0.63. Such a chimney type’s phase diagram with a coexistence between I and N phases
is induced by the excluded volumes between long rods(Flory, 1956; 1979; Matsuyama & Kato,
1996; Onsager, 1949). Inside the binodal lines, we find the first-order isotropic-biaxial N1b
phase transition at φ2 0.22 and the first-order biaxial N1b -uniaxial N2 phase transition at
φ2 0.5. Above φ2 0.6, we have a stable uniaxial N2 phase. We also find the three phase
coexistence, or triple point (TP), between N1 +I+N2 at τ (≡ T/TN ◦ ) 0.98. Below the TP, we
I
have the N1 +N2 phase separation. At low concentrations, the N1 +I phase separation appears.
The biaxial nematic phase is hidden inside the binodal lines.
Further increasing c12 (Fig. 11(b)), the coupling between a liquid crystal and a nanotube
drastically changes the phase diagram. The biaxial regions shift to lower concentrations and
Phase Separations
21
(a)
(b)
Fig. 11. Phase diagrams on the temperature (τ ≡ T/TN ◦ )-volume fraction (φ ) plane for
I 2
c12 = −0.5 (a) and −0.8 (b). The black lines indicate the binodal. The red (blue) lines show a
first (second)-order phase transition, where the order parameters discontinuously
(continuously) change. The biaxial nematic phase N1b , which includes an unstable biaxial
phase, a metastable biaxial, and a stable biaxial phase, is indicated by the yellow area. The
stable biaxial phase N1b appears on (b).
262
the thermodynamically stable biaxial N1b phase appears between φ2 ∼ 0.4 and φ2 ∼ 0.6. We
find the phase separations: I+N1b , N1 +N1b , I+N1 , N1b +N2 , and the three phase coexistence
I+N1 +N1b at τ 1.03. Note that the coexistence region (N1b +N2 ) at φ2 0.6 is very narrow.
At low concentrations, the I-N1 phase transition temperature increases with increasing φ2 and
the TP shifts to higher temperatures. Note that the stable biaxial phase N1b appears on (b).
Duran et.al have observed in multiwall CNT/liquid crystal mixtures that the NIT temperature
of the liquid crystal is enhanced by the incorporation of CNT(Duran et.al., 2005). Our theory
demonstrates that this enhanced NIT temperature phenomena is attributed to anisotropic
coupling between CNTs and liquid crystals. A mutually perpendicular orientation between
rods and LCs can be achieved by wrapping surfactants on nanotube’s surface, like a
Langmuir-Blodgett film with liquid crystals(Barbero & Durand, 1996), where liquid crystals
in contact with the surfactants are oriented by steric interaction with the molecules on rods.
These modifications can change the strength of the interaction parameter ν12 in our model
and give a possibility of a novel biaxial phase in this mixture. The biaxial N2b phase does not
appear on the phase diagrams because the length of liquid crystal is too short to form the N2b
phase.
4. Summary
In this chapter we have reviewed the possible phase separations in mixtures of a nanoparticle
and a liquid crystal, based on the mean field theory. In Section 2, we have introduced mixtures
of a spherical nanoparticle and a liquid crystal. Ferroelectric spherical nanoparticles dispersed
in liquid crystal have a possibility of various phase separations, discussed in this chapter. In
Section 3, we have introduced phase diagrams in mixtures of a nanotube and a liquid crystal.
Novel uniaxial and biaxial nematic phases are theoretically predicted. We also discuss the
effect of external fields in nanotube/liquid crystal mixtures. Phase diagrams introduced in
this chapter have not been experimentally observed yet, however, it will be a challenging
subject from both an experimental and theoretical point of view.
5. Acknowledgment
These studies were supported by Grant-in Aid for Scientific Research (C) (Grant No. 23540477)
and that on Priority Area "Soft Matter Physics" from the Ministry of Education, Culture,
Sports, Science and Technology of Japan (Grant No. 21015025).
6. References
Alben, R. (1973).Liquid crystal phase transitions in mixtures of rodlike and
platelike molecules,J. Chem. Phys., Vol. 59, No. 3, (Oct. 1973) pp.4299-4304.
DOI:10.1063/1.1680625.
Alder, B. J.; Wainwright, T. E. (1957). Phase Transition for a Hard Sphere System,J. Chem. Phys.,
Vol. 27, No. 5, (Nov. 1957) pp.1208-1209. DOI:10.1063/1.1743957.
Anderson, V. J.; Terentjev, E. M.; Meeker,S.P.; Crain, J.; Poon, W. C. K. (2001). Cellular solid
behaviour of liquid crystal colloids 1. Phase separation and morphology.Eur. Phys. J.
E, Vol. 4, No. 1, (Jan. 2001) pp.11-20.
Phase Separations
23
Anderson, V. J.;Terentjev, E. M. (2001). Cellular solid behaviour of liquid crystal colloids 2.

Mechanical properties.Eur. Phys. J. E, Vol. 4, No. 1, (Jan. 2001) pp.21-28.
Araki, T.; Tanaka, H. (2004). Nematohydrodynamic Effects on the Phase Separation of a
Symmetric Mixture of an Isotropic Liquid and a Liquid Crystal,Phys. Rev. Lett., Vol.
93, No. 1, (Jun. 2004) pp.015702-1-015702-4. DOI:10.1103/PhysRevLett.93.015702.
Badaire, S.; Zakri, C.; Maugey, M.; Derre, A.; Barisci, J. N.; Wallace, G.; Poulin, P. (2005) Liquid
Crystals of DNA-Stabilized Carbon Nanotubes,Adv. Mater., Vol. 17, No. 13, (Jul. 2005)
pp.1673-1676. DOI:10.1002/adma.200401741.
Barbero, G. & Durand,G. (1996). Surface Anchoring of Nematic liquid Crystals, In: Liquid
Crystals in Complex Geometries, Crawford, G.P.; Zumer, S., (Ed.), pp.21-52, Taylor &
Francis, ISBN:0-7484-0464-3, London
Basu, R.; Iannacchione, G. S. (2008) Carbon nanotube dispersed liquid crystal: A
nano electromechanical system,Appl. Phys. Lett., Vol. 93, No. 18, (Nov. 2008)
pp.183105-1-183105-3. DOI: 10.1063/1.3005590.
Biscarini, F.; Chiccoli, C.; Pasini, P.; Semeria, F.; Zannoni, C. (1995) Phase Diagram and
Orientational Order in a Biaxial Lattice Model: A Monte Carlo Study,Phys. Rev. Lett.,
Vol. 75, No. 9, (Aug. 1995) pp.1803-1806. DOI: 10.1103/PhysRevLett.75.1803.
Brochard, F.; Jouffroy, J.; Levinson, P. (1984). Phase diagrams of mesomorphic
mixtures, J. de Phys., Vol. 45, No. 7, (Jul. 1984) pp.1125-1136. DOI:
10.1051/jphys:019840045070112500.
Cates, M. E.; Evans, M. R. (2000). Soft and Fragile Matter, Institute of Physics Publishing, ISBN:
0-7503-0724-2, Bristol.
Caggioni, M.; Giacometti, A.; Bellini, T.; Clark, N. A.; Mantegazza, F.; Maritan, A. (2005).
Pretransitional behavior of a water in liquid crystal microemulsion close to the
demixing transition: Evidence for intermicellar attraction mediated by paranematic
fluctuations.J. Chem. Phys., Vol. 122, No. 21, (Jun. 2005) pp.214721-1-214721-19.
DOI:10.1063/1.1913444.
Chiu, H. W.; Kyu, T. (1999). Spatio-temporal growth of nematic domains in liquid crystal
polymer mixtures.J. Chem. Phys., Vol. 110, No. 12, (Mar. 1999) pp.5998-6006.
DOI:10.1063/1.478502.
Copic, M.; Mertelj, A.; Buchev, O.;Reznikov, Y. (2007). Coupled director and polarization
fluctuations in suspensions of ferroelectric nanoparticles in nematic liquid
crystals, Phys. Rev. E, Vol. 76, No. 1, (Jul. 2007) pp.011702-1-011702-5.
DOI:10.1103/PhysRevE.76.011702.
Courty, S.; Mine, J.; Tajbakhsh, A. R.; Terentjev, E. M. (2003). Nematic elastomers with aligned
carbon nanotubes: New electromechanical actuators, Europhys. Lett., Vol. 64, No. 5,
(Dec. 2003) pp.654-660, DOI:10.1209/epl/i2003-00277-9.
Das, S. K.; Ray, A. D., (2005). Colloidal crystal formation via polymer-liquid-crystal
demixing. Europhys. Lett., Vol. 70, No. 5, (May 2005) pp.621-627. DOI:
10.1209/epl/i2005-10034-2.
de Gennes, P. G. & Prost, J. (1993). The Physics of Liquid Crystals, Oxford University Press, ISBN:
019-851785-8, New York.
Dierking, I.; Scalia, G.; Morales, P., (2005). Liquid crystal?carbon nanotube dispersions, J. Appl.
Phys., Vol. 97, No. 4, (Jan. 2005) pp.044309-1-044309-5. DOI: 10.1063/1.1850606.
264
Dubaut, A.; Casagrande, C.; Veyssie, M., Deloche, B., (1980). Pseudo Clearing Temperature
in Binary Polymer-Nematic Solutions. Phys. Rev. Lett., Vol. 45, No. 20, (Nov. 1980)
pp.1645-1648. DOI:10.1103/PhysRevLett.45.1645.
Duran, H.; Gazdecki,; Yamashita, A.; Kyu, T. (2005). Effect of carbon nanotubes on phase
transitions of nematic liquid crystals, Liq. Cryst., Vol. 32, No. 7, (Jul. 2005) pp.815-821.
DOI:10.1080/02678290500191204.
Flory, P. J. (1953). Principles of Polymer Chemistry, Cornell University, ISBN 0-8014-0134-8,
Ithaca, New York.
Flory, P. J. (1956). Statistical Thermodynamics of Semi-Flexible Chain Molecules, Proc. R. Soc.
London Ser. A, Vol. 234, No. 1196, (Jan. 1956) pp.60-73. DOI:10.1098/rspa.1956.0015.
Flory, P. J.; Ronca, G. (1979). Theory of Systems of Rodlike Particles: I. Athermal
systems, Mol. Cryst. Liq. Cryst., Vol. 54, No. 3, (Mar. 1979) pp.289-309.
DOI:10.1080/00268947908084861.
Freiser, M. J. (1970). Ordered States of a Nematic Liquid, Phys. Rev. Lett., Vol. 24, No. 19, (May
1970) pp.1041-1043. DOI:10.1103/PhysRevLett.24.1041.
Fukuda, J.; Yokoyama, H., (2005). Separation-Independent Attractive Force between Like
Particles Mediated by Nematic-Liquid-Crystal Distortions, Phys. Rev. Lett., Vol. 94,
No. 14, (Apr. 2005) pp.148301-1-148301-4. DOI:10.1103/PhysRevLett.94.148301.
Fukuda, J. (2009). Liquid Crystal Colloids: A Novel Composite Material Based on Liquid
Crystals, J. Phys. Soc. Jpn., Vol. 78, No. 4, (Apr. 2009) pp.041003-1-041003-9. DOI:
10.1143/JPSJ.78.041003.
Galerne, Y.; Marcerou, J.P. (1983). Temperature Behavior of the Order-Parameter Invariants
in the Uniaxial and Biaxial Nematic Phases of a Lyotropic Liquid Crystal, Phys. Rev.
Lett., Vol. 51, No. 23, (Dec. 1983) pp.2109-2112. DOI:10.1103/PhysRevLett.51.2109.
Hudson, S.D.; Larson, R.G. (1993). Monte Carlo simulation of a disclination core in
nematic solutions of rodlike molecules, Phys. Rev. Lett., Vol. 70, No. 19, (May 1993)
pp.2916-2919. DOI:10.1103/PhysRevLett.70.2916.
Iijima, S. (1991). Helical microtubules of graphitic carbon, Nature, Vol. 354, No. 6348, (Nov.
1991) pp.56-58. DOI:10.1038/354056a0.
Jayalakshmi, V.; Prasad, S. K. (2009). Understanding the observation of large electrical
conductivity in liquid crystal-carbon nanotube composites, Appl. Phys. Lett., Vol. 94,
No. 20, (May 2009) pp.202106-1-202106-3. DOI: 10.1063/1.3133352.
Kirkwood, G.; Monroe, E. (1941). Statistical Mechanics of Fusion, J. Chem. Phys., Vol. 9, No. 7,
(Jul. 1941) pp.514-526. DOI:10.1063/1.1750949.
Kralj, S.; Bradac, Z.; Popa-Nita, V. (2008). The influence of nanoparticles on the phase and
structural ordering for nematic liquid crystals, J. Phys.: Condens. Matter, Vol. 20, No.
24, (Jun. 2008) pp.244112. DOI:10.1088/0953-8984/20/24/244112.
Kuksenok, O. V.; Ruhwandl, R. W.; Shiyanovskii, S. V.;, Terentjev, E. M., (1996). Director
structure around a colloid particle suspended in a nematic liquid crystal, Phys. Rev.
E, Vol. 54, No. 5, (Nov. 1996) pp.5198-5203. DOI:10.1103/PhysRevE.54.5198.
Kventsel, G. F.; Luckhurst, G. R.; Zewdie, H. B. (1985). A molecular field theory of
smectic A liquid crystals, Molc. Phys., Vol. 56, No. 3, (Mar. 1985) pp.589-610. DOI:
10.1080/00268978500102541.
Lagerwall, J. P. F. ; Scalia, G.; Haluska, M.; Dettlaff-Weglikowska, U.; Roth, S.; Giesselmann,
F. (2007). Nanotube Alignment Using Lyotropic Liquid Crystals, Adv. Mater., Vol. 19,
No.3, (Feb. 2007) pp.359-364, DOI:10.1002/adma.200600889.
Phase Separations
25
Li, F.; Buchnev, O.; Cheon, C.; Glushchenko, A.; Reshetnyak, V.;Reznikov, Y.; Sluckin, T.
J.; West, J. L. (2006). Orientational Coupling Amplification in Ferroelectric Nematic
Colloids, Phys. Rev. Lett., Vol. 97, No.14, (Oct. 2006) pp.147801-1-147801-4, DOI:
10.1103/PhysRevLett.97.147801.
Li, F.; West, J.; Glushchenko, A.; Cheon, C. I.; Reznikov,Y. (2006). Ferroelectric
nanoparticle/liquid-crystal colloids for display applications, J. Soc. Info. Disp., Vol.
14, No. 6, (Jun. 2006), pp.523-527, DOI: 10.1889/1.2210802.
Lopatina, L. M.; Selinger, J. V. (2009). Theory of Ferroelectric Nanoparticles in Nematic
Liquid Crystals. Phys. Rev. Lett., Vol. 102, No.19, (May 2009) 197802-1-197802-4, DOI:
10.1103/PhysRevLett.102.197802.
Loudet, J. C.; Barois, P.; Auroy, P.; Keller, P.; Richard, H.; Pouling, P. (2004). Colloidal
Structures from Bulk Demixing in Liquid Crystals, Langmuir, Vol. 20, No.26, (Sept.
2004) pp.11336-11347, DOI: 10.1021/la048737f.
Lubensky, T. C.; Pettey, D.; Currier, N.;Stark, H. (1998). Topological defects and interactions
in nematic emulsions, Phys. Rev. E, Vol. 57, No.1, (Jan. 1998) pp.610-625, DOI:
10.1103/PhysRevE.57.610.
Luckhurst, G. R. (2001). Biaxial nematic liquid crystals: fact or fiction?, Thin Solid Films, Vol.
393, No.1, (Aug. 2001) pp.40-52, DOI: 10.1016/S0040-6090(01)01091-4.
Lynch, M. D.; Patrick, D. L. (2002). Organizing Carbon Nanotubes with Liquid Crystals, Nano
Lett., Vol. 2, No.11, (Nov. 2002) pp.1197-625, DOI: 10.1021/nl025694j.
Madsen, L.A.; Dingemans, T.J.; Nakata, M.; Samulski, E.T. (2004). Thermotropic
Biaxial Nematic Liquid Crystals, Phys. Rev. Lett., Vol. 92, No.14, (Apr. 2004)
pp.145505-1-145505-4, 10.1103/PhysRevLett.92.145505.
Maier, W.; Saupe, A. (1958). A simple molecular theory of the nematic liquid-crystalline state,
Z. Naturforsch, Vol. 13a, (Mar. 1958) pp.564-566.
Matsuyama, A. & Kato, T. (1996). Theory of binary mixtures of a flexible polymer and a liquid
crystal. J. Chem. Phys., Vol. 105, No.4, (Jul. 1996) pp. 1654-1660. DOI:10.1063/1.472024
Matsuyama, A.; Kato, T. (1998). Phase diagrams of polymer dispersed liquid crystals, J. Chem.
Phys., Vol. 108, No.5, (Feb. 1998), pp. 2067-2072, DOI: 10.1063/1.475585.
Matsuyama, A.; Evans, R. M. L.; Cates, M. E. (2000). Orientational fluctuation-induced
spinodal decomposition in polymer-liquid crystal mixtures. Phys. Rev. E, Vol. 61,
No.3, (Mar. 2000), pp. 2977-2986, DOI: 10.1103/PhysRevE.61.2977.
Matsuyama, A. (2006a). Mean Field Theory of Crystalline Ordering in Colloidal Solutions,
J. Phys. Soc. Jpn., Vol. 75, No.3, (Mar. 2006), pp. 034604-1-034604-9, DOI:
10.1143/JPSJ.75.034604.
Matsuyama, A. (2006b). Spinodal in a Liquid-Face Centered Cubic Phase Separation,
J. Phys. Soc. Jpn., Vol. 75, No.8, (Aug. 2006), pp. 084602-1-084602-10, DOI:
10.1143/JPSJ.75.084602.
Matsuyama, A. & Hirashima, R. (2008a). Phase separations in liquid crystal-colloid mixtures.
J. Chem. Phys., Vol. 128, No.4, (Jan. 2008) 044907-1-044907-11, DOI: 10.1063/1.2823737.
Matsuyama, A. (2008b).Morphology of spinodal decompositions in liquid crystal-colloid
mixtures. J. Chem. Phys., Vol. 128, No.22, (Jun. 2008) pp. (224907-1)-(224907-8), DOI:
10.1063/1.2936831.
Matsuyama, A. (2009). Phase separations in mixtures of a liquid crystal and a nanocolloidal
particle. J. Chem. Phys., Vol. 131, No.20, (Nov. 2009) 204904-1-204904-12, DOI:
10.1063/1.3266509.
266
Matsuyama, A. (2010). Theory of binary mixtures of a rodlike polymer and a liquid crystal. J.
Chem. Phys., Vol. 132, No.21, (Jun. 2010) 214902-1-214902-10, DOI: 10.1063/1.3447892.
Matsuyama, A. (2010a). Thermodynamics of flexible and rigid rod polymer blends, In:
Encyclopedia of polymer blends, Vol. 1: Fundamentals, Isayev, A. I., (Ed.), Chap.2,
pp.45-100, WILEY-VCH Verlag GmbH & Co. KGaA, ISBN: 978-3-527-31929-9,
Weinheim.
Matsuyama, A. (2011). Biaxial nematic phases in rod/liquid crystal mixtures. Liq. Cryst., Vol.
38, No.6, (Jun. 2011), pp. 729-736, DOI: 10.1080/02678292.2011.570795.
Meeker,S. P.; Poon, W. C. K.; Crain, J.; Terentjev, E. M. (2000). Colloid?liquid-crystal
composites: An unusual soft solid. Phys. Rev. E, Vol. 61, No.6, (Jun. 2000),
pp.R6083-R6086, DOI: 10.1103/PhysRevE.61.R6083.
McMillan, W. L. (1971). Simple Molecular Model for the Smectic A Phase of Liquid Crystals,
Phys. Rev. A, Vol. 4, No.3, (Sep. 1971), pp.1238-1246, DOI: 10.1103/PhysRevA.4.1238.
Musevic, I.; Skarabot, M.; Tkalec, U.; Ravnik, M.; Zummer, S. (2004). Two-Dimensional
Nematic Colloidal Crystals Self-Assembled by Topological Defects. Science, Vol. 313,
No.5789, (Aug. 2006), pp.954-958, DOI: 10.1126/science.1129660.
Nazarenko, V. G.; NychA. B.; Lev, B. I. (2001). Crystal Structure in Nematic
Emulsion. Phys. Rev. Lett., Vol. 87, No.7, (Jul. 2001), pp.075504-1-075504-4, DOI:
10.1103/PhysRevLett.87.075504.
Onsager, L. (1949). The Effects of Shape on The Interaction of Colloidal Particles, Ann. N. Y.
Acad. Sci., Vol. 51, (May 1949), pp.627-659, DOI:10.1111/j.1749-6632.1949.tb27296.x.
Palffy-Muhoray, P. ; Berlinsky, A. J.; De Bruyn, J. R.; Dunmur, D. A. (1984). Coexisting nematic
phases in binary mixtures of liquid crystals, Phys. Lett. A, Vol. 104, No.3, (Aug. 1984),
pp.159-162, DOI:10.1016/0375-9601(84)90367-0.
Popa-Nita, V.; van-der Schoot,P.; Kralj, S. (2006). Crystal Structure in Nematic Emulsion. Eur.
Phys. J. E, Vol. 21, No.3, (Nov. 2006), pp.189-198, DOI:10.1140/epje/i2006-10059-3.
Pouling, P.; Stark, H.; Lubenski, T. C.; Weitz, D. A. (1997). Novel Colloidal Interactions
in Anisotropic Fluids, Science, Vol. 275, No. 5307, (Mar. 1997), pp.1770-1773, DOI:
10.1126/science.275.5307.1770.
Pouling, P.; Raghunathan, V. A.; Richetti, P.; Roux, D. J. (1994). On the dispersion of latex
particles in a nematic solution. I. Experimental evidence and a simple model, J. Phys.
II , Vol. 4, No. 9, (Sept. 1994), pp.1557-1569, DOI: 10.1051/jp2:1994217.
Pusey, P. N.; van Megen, W. (1986). Phase behaviour of concentrated suspensions of nearly
hard colloidal spheres, Nature , Vol. 320, No. 6060, (Mar. 1986), pp.340-1569, DOI:
10.1038/320340a0.
Ratto, J. A.; Volino, F.; Blumstein, R. B. (2006). Phase behavior and order in mixtures
of main-chain nematic polyesters with small molecules: a combined proton and
deuterium NMR study, Macromolecules, Vol. 24, No. 10, (May 1991), pp.2862-2867,
DOI: 10.1021/ma00010a035.
Russell, M.; Oh, S.; Larue, I.; Zhou, O.; Samulski. E. T. (2006). Alignment of nematic liquid
crystals using carbon nanotube films, Thin Solid Films, Vol. 509, No. 1-2, (Jun. 2006),
pp.53-57, DOI: 10.1016/j.tsf.2005.09.099.
Skarabot, M.; Ravnik, M.; Zumer, S.; Tkalec, U.; Poberaj, I.; Babic, D.; Musevic, I. (2008).
Hierarchical self-assembly of nematic colloidal superstructures, Phye. Rev. E, Vol. 77,
No. 6, (Jun. 2008), pp.061706-1-061706-4, DOI: 10.1103/PhysRevE.77.061706.
Phase Separations
27
Shaffer, M. S. P.; Windle, A. H. (1999). Analogies between Polymer Solutions and Carbon
Nanotube Dispersions, Macromolecules, Vol. 32, No. 20, (Oct. 1999), pp.6864-6866,
DOI:10.1021/ma990095t.
Sharma, S.R.; Palffy-Muhoray, P.; Bergersen, B.; Dunmur, D.A. (1985). Stability of a biaxial
phase in a binary mixture of nematic liquid crystals, Phys. Rev. A, Vol. 32, No. 6, (Dec.
1985), pp.3752-3755, DOI:10.1103/PhysRevA.32.3752.
Shen, C.; Kyu, T., (1995). Spinodals in a polymer dispersed liquid crystal, J. Chem. Phys., Vol.
102, No. 1, (Jan. 1995), pp.556-562, DOI:10.1063/1.469435.
Singh, S., (2000). Phase transitions in liquid crystals, Phys. Rep., Vol. 324, No. 2, (Feb. 2000),
pp.107-269, DOI:10.1016/S0370-1573(99)00049-6.
Stark, H., (1999). Director field configurations around a spherical particle in a
nematic liquid crystal, Eur. Phys. J. B, Vol. 10, No. 2, (Jul. 1999), pp.311-321,
DOI:10.1007/s100510050860.
Stark, H., (2001). Physics of colloidal dispersions in nematic liquid crystals, Phys. Rep., Vol.
351, No. 6, (Oct. 2001), pp.387-474, DOI:10.1016/S0370-1573(00)00144-7.
Straley, J.P., (1974). Ordered phases of a liquid of biaxial particles, Phys. Rev. A, Vol. 10, No. 5,
(Nov. 1974), pp.1881-1887, DOI:10.1103/PhysRevA.10.1881.
Song, W.; Kinloch, I. A.; Windle, A. H. (2003). Nematic Liquid Crystallinity of
Multiwall Carbon Nanotubes, Science, Vol. 302, No. 5649, (Nov. 2003), pp.1363,
DOI:10.1126/science.1089764.
Schymura, S.; Enz, E.; Roth, S.; Scalia, G.; Lagerwall, J. P. F. (2009). Macroscopic-scale carbon
nanotube alignment via self-assembly in lyotropic liquid crystals, Synth. Mater., Vol.
159, No. 21, (Nov. 2009), pp.2177-2179, DOI:10.1016/j.synthmet.2009.08.021.
Tanaka, S.; Ataka, M.; Ito, K. (2002). Pattern formation and coarsening during metastable
phase separation in lysozyme solutions, Phys. Rev. E, Vol. 65, No. 5, (May 2020),
pp.051804-1-051804-6, DOI:10.1103/PhysRevE.65.051804.
Tschierske, C.; Photinos, D.J. (2010). Biaxial nematic phases, J. Mater. Chem., Vol. 20, No. 21,
(Apr. 2010), pp.4263-4294, DOI:10.1039/B924810B.
van den Pol, E.; Petukhov, A.V.; Thies-Weesie, D.M.E.; Byelov, D.V.; Vroege, G.J.
(2009). Experimental Realization of Biaxial Liquid Crystal Phases in Colloidal
Dispersions of Boardlike Particles. Phys. Rev. Lett., Vol. 103, No.25, (Dec. 2009),
pp.258301-1-258301-4, DOI:10.1103/PhysRevLett.103.258301.
Weiss, V.; Thiruvengadathan, R.; Regev, O. (2006). Preparation and Characterization of a
Carbon Nanotubea¿Lyotropic
˛ Liquid Crystal Composite, Langmure, Vol. 22, No. 3,
(Jan. 2006), pp.854-856, 10.1021/la052746m.
Woltman, S. J.; Jay, G. D.; Crawdord, G. P. (Eds.) (2007). Liquid Crystals, World Scientific
Publishing, ISBN: 10-981-270-545-7, Singapore.
Yada, M.; Yamamoto, J.; Yokoyama, H., (2004). Direct Observation of Anisotropic Interparticle
Forces in Nematic Colloids with Optical Tweezers, Phys. Rev. Lett., Vol. 92, No. 18,
(May 2004), pp.185501-1-185501-4, DOI:10.1103/PhysRevLett.92.185501.
Yamamoto, J.; Tanaka, H., (2001). Transparent nematic phase in a liquid-crystal-based
microemulsion, Nature, Vol. 409, (Jan. 2001), pp.321-325, DOI:10.1038/35053035.
Yamamoto, R. (2001). Simulating Particle Dispersions in Nematic Liquid-Crystal
Solvents, Phys. Rev. Lett., Vol. 87, No. 7, (Jul. 2001), pp.075502-1-075502-4,
DOI:10.1103/PhysRevLett.87.075502.
268
Yu, L. J.; Saupe, A. (1980). Observation of a Biaxial Nematic Phase in Potassium

Laurate-1-Decanol-Water Mixtures, Phys. Rev. Lett., Vol. 45, No. 12, (Sept. 1980),
pp.1000–1003, DOI:10.1103/PhysRevLett.45.1000.
Zapotocky, M.; Ramos, L.; Pouling, P.; Lubensky, T. C.; Weitz, D. A., (1999). Particle-Stabilized
Defect Gel in Cholesteric Liquid Crystals, Science, Vol. 283, No. 5399, (Jan. 1999),
pp.209-212, DOI: 10.1126/science.283.5399.209.
Zhang, S.; Kinloch, I. A.; Windle, A. H. (2006). Mesogenicity Drives Fractionation in Lyotropic
Aqueous Suspensions of Multiwall Carbon Nanotubes, Nano Lett., Vol. 6, No. 3, (Mar.
2006), pp.568-572, DOI: 10.1021/nl0521322.
Zhang, S.; Kumar, S. (2008). Carbon Nanotubes as Liquid Crystals, Small, Vol. 4, No. 9, (Sep.
2008), pp.1270-1283, 10.1002/smll.200700082.
12
Laser-Combined STM and Related Techniques

for the Analysis of Nanoparticles/Clusters
Hidemi Shigekawa1, Shoji Yoshida1,
Masamichi Yoshimura2 and Yutaka Mera3
1Universityof Tsukuba
2Toyota Technological Institute
3University of Tokyo
Japan
1. Introduction
Nanoscale particles and clusters have been attracting considerable attention from
researchers and engineers from fundamental and practical viewpoints owing to their high
potential for providing an extremely wide range of functional characteristics compared with
ordinary solid materials, such as chemical reactivity and electrical, magnetic, optical and
mechanical properties [1-5]. In fact, nanoparticles with novel functions have been realized in
various fields including catalysis, biology, plasmonics, electronic devices, magnetism and so
forth, on the basis of their wide range of properties. The modification of nanoparticle
surfaces is producing further advances in the development of functions including those of
composite materials.
For the further development of novel functions based on nanoparticles/clusters and to
optimize their use, it is essential to understand the physics and chemistry of such materials
in relation to their macroscopic functions. However, because nanoparticles/clusters are
generally defined as particles with diameters of 1-100 nm (1-10 nm in the field of
nanotechnology), conventional analysis techniques are considered to average the
information of nanostructures over the ensemble, limiting the understanding of individual
characteristics. Furthermore, using conventional methods, analysis of the effect of local
structures in each element such as atomic-scale defects, which are considered to determine
the overall characteristics of small materials, is difficult. Therefore, the introduction of new
methods for the analysis of these highly functional small materials is eagerly awaited.
Scanning tunneling microscopy (STM) is one of the most promising techniques for such
purposes. The characteristics of materials can be obtained at the atomic scale not only for
their surface but also for their inner structures including the transient dynamics.
Furthermore, external perturbation such as by thermal, mechanical or electromagnetic
excitation enables advanced measurements. Among the various STM techniques useful for
the study of nanoparticles/clusters, STM in combination with optical technologies, which
enables probing of the response of local electronic structures to optical treatment, is an
interesting approach for considering the future applications of such materials. On the other
hand, sample preparation is an important factor in the analysis of nanoscale materials.

Tunneling current and bias voltage can be used to modify target materials to obtain a deeper
understanding of their characteristic properties. In addition, the STM tip plays an essential
role in measurement. A Ag tip, for example, is used to enhance the effect of local excitation,
and a carbon nanotube (CNT) tip is an excellent probe for observing fine nanoscale
structures.
In this chapter, we review and discuss the STM-based techniques developed in combination
with optical technologies and their application to the analysis of nanoscale particles and
clusters.
2. Laser-combined STM and related techniques

2.1 Probing methods
In this section, we discuss probing methods of STM combined with optical technologies.
2.1.1 Photoabsorption spectroscopy

Photoabsorption spectroscopy is a major branch of optical spectroscopy used to explore the
electronic states of materials. Photoabsorption spectroscopy using STM (STM-PAS) provides
a high spatial resolution in STM and high spectral accuracy of optical spectroscopy
compared with scanning tunneling spectroscopy (STS). The detected signal in STM-PAS is
the current flowing through the STM tip in response to the modulation of spectroscopic
light. The simplest STM-PAS scheme is based on a lock-in (LI) technique with the intensity
modulation of light while the wavelength is swept. Spatially resolved photoabsorption
spectroscopy using STM was first demonstrated with a resolution of ～50 nm [6]. It was then
shown that STM-PAS enables the nanometer-scale imaging of isolated subsurface defects in
semiconductors through the absorption spectra associated with the defects [7].
Here we introduce two advanced STM-PAS schemes.
2.1.1.1 Fourier transform STM-PAS
The simplest STM-PAS scheme has two inherent technical problems. The first is the
spurious spectra that are often generated by temporal instabilities or positional drift of the
STM tip, which cause the tunneling current to change with time because acquisition for LI
detection requires a long time to sweep the wavelength of spectroscopic light. The second
problem is an undesirable excess component in the photomodulated tip current due to the
photothermal expansion of the tip material [8].
Fourier transform STM-PAS (STM-PAS-FT) based on the Fourier transformation technique
was devised to solve such technical problems [9]. This scheme is essentially the same as that
used in Fourier transform near-infrared spectroscopy (FT-NIR). Multiple lights modulated
with different frequencies corresponding to their wavelengths generate a tip current with an
interferogram caused by the superposition of current components modulated at the
different frequencies. The photoabsorption spectrum is computed from the interferogram
via Fourier transformation. In this case, the photothermal expansion is suppressed by the
simultaneous illumination of multiplexed lights.
Laser-Combined STM and Related Techniques for the Analysis of Nanoparticles/Clusters 271
Figure 1(a) shows a schematic diagram of the experimental setup of STM-PAS-FT. Figure
1(b) shows a typical photoabsorption spectrum obtained around the band gap of Si by the
STM-PAS-FT scheme (a) and the LI scheme (b). Although it took about 100 min to acquire
the spectrum for a single sweep of photon energy from 0.68 to 1.55 eV in the LI scheme, it
took only 16 min to obtain a. high quality STM-FT-NIR spectrum in the range of 0.25–1.85
eV (1s for each scan and 1000 scans totally) [9]. Compared with the long acquisition time for
the LI spectrum, that for a single STM-FT-NIR spectrum is much shorter (1 s), which enables
us to avoid acquiring spurious spectra.
(b)
(a)
Fig. 1. (a) Experimental setup of Fourier transform near-infrared measurement. (b) STM-FT-
NIR spectrum and LI spectrum of a Si substrate obtained at 94 K. The acquisition time was
16 min for FT-NIR measurement (1s for each scan and 1000 scans totally) and 100 min for LI
measurement (1 scan). The decrease in intensity above 1.3 eV in the LI spectrum is due to
the cutoff filter used in the grating monochromator. [9]*
Figure 2 shows an STM topographic image (a) and a two-dimensional map (b) of Si signals
integrated from 1.3 to 1.5 eV in the STM-PAS-FT spectra recorded in the framed area in (a) (8
spectra were measured and averaged at each pixel) [9]. The samples were hemispherical
Fig. 2. (a) STM image of GeSn nanodots/Si obtained at 98 K. (b) Map of STM-PAS-FT signal
integrated from 1.3 to 1.5 eV for the spectrum obtained from the framed area in (a). [9]*
Ge1-xSnx (x=0.1) nanodots epitaxially grown on Si substrates with an ultrathin SiO2 film. The
deposition of Ge and Sn was controlled to 24 monolayers to grow nanodots with diameters
of ~40 nm. After the samples were annealed at 770 K, the surface was terminated with
atomic hydrogen to suppress surface states. The region of bright contrast in (b) matches the
region without nanodots in (a) reasonably well, i.e., the expected part of the Si substrates.
The contrast indicates the spatial resolution of STM-PAS-FT to be ~10 nm.
Figure 3(a) shows a set of photoabsorption spectra obtained on different GeSn nanodots
with various lateral diameters [10]. The peak indicated in each spectrum by an arrow is
observed at an energy lower than the gap energy of Si (~1.2 eV) and exhibits a clear blue
shift with decreasing dot size, suggesting that the signal is induced by optical transitions
between discrete levels in the quantum dots. The photoabsorption energy of a spherical
nanodot with radius R is given by
 2 2 e2 e2
Eabs  Ebulk   1.786  0.248 (1)
2  R2 R 8 aB*
Here, aB*  4  2 /  e 2 represents the exciton Bohr radius,  is Planck’s constant,  is the
dielectric constant of the nanodot material, e is the electron charge and  is the reduced mass
of carriers. The first term Ebulk is the bandgap energy of the bulk crystal [11]. The solid
curve in Fig. 3 shows the theoretical curve calculated from Eq. (1). The energy position of the
Fig. 3. (a) STM-PAS-FT spectra obtained from individual GeSn nanodots of various sizes.
(b) Typical topographic STM image of Ge1-xSnx nanodots. The white arrow indicates the
position where the spectrum for d=30 nm was acquired. (c) Peak energy in (a) as a function
of the lateral diameter of the nanodots. The solid curve is calculated from Eq. (1). [10]
peak is in good agreement with the optical transition energy between discrete levels
theoretically predicted by the size dependence due to the quantum confinement effect.
2.1.1.2 Electric field modulation spectroscopy
Conventional electric field modulation spectroscopy (EFMS) techniques, such as
electroreflectance and photoreflectance, are established tools used for the accurate
measurement of interband transition energies in semiconductors [12]. The principle of EFMS
is based on the fact that applying an electric field to a semiconducting material causes an
oscillatory change in the optical absorption coefficient depending on the wavelength, i.e.,
the Franz-Keldysh effect [13]. The spectral line shape of EFMS is closely related to energy
derivatives of the unperturbed dielectric function, and represents features corresponding to
interband transitions. By combining EMFS with STM (STM-EFMS), we can perform EFMS
with nanometer spatial resolution [14].
Fig. 4. Schematic illustrations of STM-EFMS measurement: (a) OM scheme, (b) BM scheme.[15]*
Figure 4 illustrates schematics of STM-EFMS measurements using two different schemes for
electric field modulation: (a) optical modulation (OM) and (b) bias modulation (BM). In OM,
electric field modulation is achieved by an SPV periodically induced by chopped light
illumination with energy above the bandgap of the sample from a diode laser. In BM,
electric field modulation is achieved by applying a modulated bias voltage to the sample,
which directly modulates the tip-induced band bending beneath the tip. In STM-EFMS, the
change in  is detected as a change in the STM tip current, which is synchronized with the
modulation of the electric field.
Figure 5 shows a typical STM-EFMS spectrum (solid curve) and the spectrum obtained by
the conventional EFMS method (dashed curve). The STM-EFMS spectrum reproduces the
main features of the band structure. Two distinct structures observed at photon energies
approximately hv=1.41 and 1.78 eV are ascribed to the interband absorption edge of GaAs
and the spin split-off band absorption, respectively. It was demonstrated that the spatial
resolution of STM-EFMS measurements was of nanometer scale [15, 16]. A typical STM
topographic image of a -FeSi2 nanodot sample is shown in Fig. 6(a). The sample was
epitaxially grown on an n-Si(111) substrate covered with an ultrathin SiO2 film. After the
growth, the surface was terminated with atomic hydrogen. Figure 6(b) shows STM-EFMS
spectra at 96 K obtained by the two schemes in an energy range lower than the absorption
edge of Si [15].
Fig. 5. STM-EFMS spectrum obtained for a perfect (110) cleaved surface of GaAs. The broken
curve indicates the EFMS spectrum measured by the conventional electroreflectance method
applied to a macroscopic GaAs sample. E0 and E0+0 denote the interband absorption edge
of GaAs and to the spin split-off band absorption, respectively. [14]*
For epitaxially grown sufficiently strained -FeSi2 nanodots on Si, bandgap crossover, i.e.,
change from indirect band to direct band, is theoretically predicted [18], which, however,
has not been confirmed experimentally despite that the mechanism is of great importance
for application. The two spectra exhibit a common feature from 0.72 to 0.76 eV. The energy
positions of the signals, 0.72–0.76 eV, closely match the absorption thresholds detected by
macroscopic measurements of the photoabsorption coefficient for a bulk -FeSi2 crystal at
100 K [17] and the energy threshold is attributed to optical transitions across the indirect
bandgap. Therefore, these findings strongly indicate that the -FeSi2 nanodot sample
examined was an indirect-gap semiconductor, instead of the theoretical prediction.
Using the STM-EFMS scheme, the band structure of individual nanodots can be explored
with high accuracy.
Fig. 6. (a) Typical STM topographic image of -FeSi2 nanodot sample. Bright contrasts with
heights of 5-10 nm are H-terminated -FeSi2 nanodots grown on Si(111). (b) STM-EFMS
spectra measured on -FeSi2 nanodots by optical modulation (OM) and bias modulation
(BM). The common features near 0.72 – 0.76 eV agree well with the absorption thresholds
detected by macroscopic measurements of the photoabsorption coefficient in a bulk-FeSi2
crystal. [15]*
2.1.2 Light-emission spectroscopy

When carriers are injected from an STM tip to a sample, light emission（LE）is induced in
some cases. STM luminescence spectroscopy is a measurement scheme in which the emitted
light is collected to explore the local electronic properties of materials (Fig. 7) [19-22].
The mechanism of photon emission depends on the process of measurement such as
plasmon polariton (SPP) excitation in conductive samples, carrier recombination in
semiconductor samples and the HOMO-LUMO transition in molecular samples.
Information on molecular vibrations can be obtained by analyzing the spectrum [22], such
as by inelastic tunneling spectroscopy [23], which may be used for the analysis of composite
nanoparticles/clusters combined with organic materials.
Fig. 7. Schematic illustrations of LE-STM setup and basic mechanism.
Fig. 8. (a) is the STM light emission spectrum of a single R6G molecule. (b)
Photoluminescence (PL) spectrum of R6G on HOPG. The cutoff of the PL spectrum at 2.17
eV is due to the short-wavelength-cutoff filter inserted in the collection optics. [24]*
From the distribution of emission intensity on a sample surface (photon map), we can
investigate the geometry of the electronic structures of the sample. The photon map also
enables us to estimate the transport properties of minority carriers by considering the
* Reprinted with permission from each reference. Copyright American Institute of Physics.
diffusion length. When a local spectrum is analyzed as a photon map, more detailed
information such as the distribution of elements can be obtained. However, STM
luminescence spectra are affected by various factors other than sample properties, such as
the tip shape, tip material and the characteristics of the substrate used for the experiment;
thus, careful analysis is necessary to determine the physical properties of the target material
from the STM luminescence spectra. In the case of organic materials, damages due to carrier
injection must be avoided.
Figure 8(a) shows the STM luminescence spectrum obtained from a single rhodamine 6G
(R6G) molecule on an HOPG surface. The features of the spectrum are in good agreement with
the photoluminescence spectrum of a layer of rhodamine molecules on HOPG (Fig. 8(b)) [24].
2.1.3 Photoexcitation spectroscopy

Dynamical processes have often been studied by a laser pump-probe method where a pump
pulse excites a sample and a subsequently arriving probe pulse with a delay time of td is
used to track its temporal evolution [25, 26]. The temporal resolution attainable in such
experiments is limited only by the pulse width, which is generally in the femtosecond range.
However, the spatial resolution is determined by the optical diffraction limit, which is large
compared with the typical size of materials and devices currently being developed, and
therefore, the physical observables are obscured by ensemble averaging. Thus, high spatial
resolution in pump-probe experiments would provide new insights into nanoscale
structures and materials and unveil a rich variety of dynamical features of light-sensitive
phenomena in unexplored regimes such as charge transfer, phase transitions, electronic
transitions, carrier or spin transport and quantum coherence.
In contrast, STM easily provides atomic-scale spatial resolution despite its low temporal
resolution (typically worse than 100 kHz) [27-31]. Therefore, if the tunneling process directly
produced by optical excitation can be measured, high temporal and spatial sensitivity can be
simultaneously achieved with the atomic-scale resolution of STM [32-41]. A promising setup for
achieving this is pulse-pair-excited STM (PPX-STM), in which, in analogy with pump-probe
experiments, a sequence of paired laser pulses with a certain delay time td excites the sample
surface beneath the STM tip, and the tunneling current I is measured as a function of td. To
detect a faint time-resolved tunneling current with a high signal-to-noise ratio, the rectangular
modulation of delay time with a pulse-picking procedure is used (shaken-pulse-pair excited
STM: SPPX-STM), enabling the spatial mapping of time-resolved tunneling current [33].
Figure 9 shows the setup of SPPX-STM. When paired optical pulses arrive at a sample
beneath the STM tip, they generate pulses of raw tunneling current I*, reflecting the
excitation and relaxation of the physical properties of the sample. If these current pulses
decay rapidly compared with the time scale of the STM preamplifier bandwidth, they can be
temporally averaged in the preamplifier but cannot be detected directly in the signal I. Even
in this case, the relaxation dynamics can be probed through the td dependence of I. When td
is sufficiently long, paired optical pulses with the same intensity independently induce two
current pulses with the same I*. In contrast, when td is short and the second pulse
illuminates the sample in the excited state induced by the first pulse, the second current
pulse may have a different magnitude, depending on td. A typical process that can be
observed using this mechanism is absorption bleaching in semiconductors; when the
carriers excited by the first optical pulse remain in the excited state, the absorption of the
second optical pulse is suppressed. In such a case, the current I* induced by the second
current pulse decreases depending on td, reflecting the decay of the excited carriers
excitation by the first-pulse. Signal I also depends on td, because the magnitude difference of
the second current pulse changes the temporally averaged value of the tunneling current.
Accordingly, the relaxation dynamics of the excited carriers of the target material, namely,
the decay of carrier density after excitation by the first optical pulse, can be probed by STM
at the resolution of the pulse width, that is, in the femtosecond range.
Fig. 9. Schematic illustration of SPPX-STM
In SPPX-STM the sophisticated control of delay-time generation and modulation with a

pulse-picking procedure is essential. This enables the probing of nanometer-scale structures
with a wide range of relaxation lifetimes. Using the pulse-picking method, a large and
discrete modification of td can be realized by changing the selection of pulses that transmit
the pulse pickers, which is suitable for modulating td in SPPX-STM. In this method, the
delay time dependence of the tunneling current, I  td   I  td   I   , is accurately probed
with a high acquisition rate, where I(∞) is the tunneling current for a delay time sufficiently
long for the excited state to be relaxed. Accordingly, SPPX-STM has made it possible to
visualize the carrier dynamics in nanometer-scale structures with a wide range of relaxation
lifetimes. Figure 10 shows the capability of wide timescale measurement.
Fig. 10. SPPX-STM signals obtained for various samples. Upper spectra of LT-GaAs, GaNAs
and n-GaAs were obtained by optical pump-probe method (R: reflectivity of probe pulse).
As an example, SPPX-STM has been applied to the analysis of carrier dynamics in a Co

nanoparticle/GaAs(110) system. When Co is deposited on a GaAs, nanoparticles are
formed (Fig. 11(a)). In this system, photoexcited minority carriers (holes) captured at the
surface are recombined with electrons tunneling from the STM tip via the gap states
formed by Co as shown in Fig. 11(c). This is considered to be enhanced by the existence of
gap states at the Co nanoparticle sites. Understanding such a charge transport mechanism
through nanoparticles is of great importance not only for the development of nanoscale
electronic devices but also for their application to the finer control of chemical reactions in
catalysis.
Fig. 11. (a) STM image of Co/GaAs, (b) 2D map of decay constant, (c) schematic model of
recombination at gap states, (d) cross section along the line in (b), (e) decay constant as a
function of tunneling current, (f) decay constant as a function of Co particle size.
Figure 11(b) shows the overlap of the STM image in Fig. 11(a) with the map of the decay
constant obtained over the surface. The two-dimensional (2D) map of the decay constant
shown in color scale indicates the decay constant of the photoinduced carrier density at each
point. The positional agreement is good. As shown in the cross section in Fig. 11(d) obtained
along the line in Fig. 3(b), the decay is rapid in the Co regions. In such regions,
photoinduced holes trapped at the surface are recombined with electrons tunneling from the
STM tip at the gap states; thus, there are two limitations in this process: the tunneling
current and hole-capture rate. When the tunneling current is sufficient, the hole-capture rate
becomes the limiting factor of the recombination process. Figure 11(e) shows the relation
between the decay constant and tunneling current. As expected, the decay constant
decreases with increasing tunneling current and has a saturated value of 6.9 ns, which
corresponds to the hole-capture rate of this system. The decay process should depend on the
gap-state density. Figure 11(f) shows the decay constant as a function of the Co nanoparticle
size. The time constant increases with decreasing nanoparticle size as expected.
In SPPX-STM, the nonlinear interference between the excitations is essential, which depends
on the material we measure. In SPPX-STM applied to a semiconductor, tip-induced band
bending and surface photovoltage play important roles in the measurement. However, in
general, such as dipole formation, charge transfer, changes in conductance, and vibration
that causes the change in the tip-sample distance are possible mechanisms for producing
SPPX-STM signals. Therefore, SPPX-STM enables the nanoscale probing of transient
dynamics over a wide range of time scales, simultaneously with the observation of local
structures by STM.
Another promising technique is STM combined with synchrotron radiation (SR-STM),
which probes core-level photoemission, enabling the identification of atomic species of the
target materials [42]. The spatial resolution has been improved to ~10 nm, and therefore in
the near future, in addition to the analysis of isolated nanostructures, probing of the inner
structures of targets may become possible.
2.2 Manipulation for fine measurement

The tunneling current and bias voltage in STM, which are the basic parameters of STM
measurement, can be used for the modification of target materials. Probing, for example, the
effect of atomic-scale defects on local electronic structures enables the clarification of the
fundamental mechanism in each element and its relation to macroscopic functions. For
nanoparticles/clusters, such effects are essential for determining the characteristic
properties of their total systems.
Fig. 12. (a) STM image of current-injection-induced polymerized C60 molecules (dark
contrasts), (b) schematic of C60 polymerization, (c) nanoscale patterning of polymerized C60
molecules formed by scanning the tip along the longitudinal direction. [43]†
Figure 12(a) shows an STM image of a C60 crystalline film within a thickness of several
monolayers grown on an HOPG surfaces in ultrahigh vacuum (UHV). Before acquiring the
image, electrons were injected at the point indicated by a cross in Fig. 12(a) at a sample bias
voltage of Vs=+4.2 V. The dark contrasts around the point represent intracluster structures
with a stripe pattern, suggesting the frozen rotation of C60 molecules despite the room
temperature. Namely, the dark sites are C60 molecules polymerized with molecules in the
underlayer. The polymerization was induced by the injection of low-energy electrons from
the STM probe tip. Figure 12(c) shows a line structure consisting of polymerized C60 clusters
confined in a width as small as ~2 nm, which is a good example of nanoscale electron-beam
† Copyright The Japan Society of Applied Physics.

patterning [43]. When a template such as nanoscale cavity is used, individual C60 molecules
are stabilized in each cavity even at room temperature. Manipulation of a single C60
molecule using STM tunneling current was successfully carried out (Fig.13) [44.].
Fig. 13. (a) STM image of glycine-nanocavity array (template). (b) Schematic illustration of C60
molecule stabilized in a nanocavity. STM images of C60 molecules stabilized by a glycine
template before (c) and after (d) the injection of tunnel current on the molecule indicated by
arrow. (e) Change in tunnel current upon manipulation. (f) Cross sections along the line in (a).
Figures 14(b) and (c) show topographic STM images of a single-walled carbon nanotube
(SWNT). After acquiring the image in Fig. 14(b), the STM tip was fixed at the position
marked in Fig. 14(b), and a tunneling current of 0.1 nA with 7.0 V bias voltage was injected.
Figure 13(c) shows the defect generated at the probed site. The finite flat LDOS around the
Fermi level shown in Fig. 14(c), which was measured before defect generation, indicates that
Fig. 14. (a) Schematic illustration of tunnel current injection. (b) STM image of an SWNT
acquired with Vs=1.0 V and It=0.1 nA at 95 K. (c) dI/dV vs bias-voltage curve, obtained at
the position marked in (b), exhibiting the features of a metallic SWNT characterized by a
finite flat LDOS in the first van Hove gap. (d) STM image acquired after current injection at
the marked position. (e) dI/dV vs bias-voltage curve, obtained at the position marked in
(d), exhibiting a HOMO-LUMO gap of ~0.7 eV. [45]
the tube was initially metallic. Figure 14(e) shows the LDOS measured at the defect, which is
characterized by a HOMO-LUMO gap that opened across the Fermi level. The HOMO-
LUMO gap was observed to be over 2 nm along the long axis of the CNT and is considered
to act as a barrier to carrier transport along the metallic SWNT. This result indicates that we
can modify the local electronic properties of a single cluster in a controlled manner using the
STM modification technique [45, 46].
Another method of manipulation is mechanical deformation of clusters by an STM tip. For
example, the change in the HOMO-LUMO gap of C60 molecule due to deformation was
observed thorough the measurement of tunneling current under the compression of the
molecule by STM tip [47].
Combination of STM manipulations with optical techniques enables further analysis of
nanoscale materials.
2.3 Probe technology

For the STM measurement of nanoscale materials, choosing the most suitable STM tip
depending on the specific experiment is important. In this section, silver tips for optical
measurement, glass-coated tips for photoemission measurements, molecular tip for chemical
analysis and CNT probes for high resolution imaging will be described.
2.3.1 Insulator-coated metal tips for SR-STM

STM combined with a synchrotron radiation light source (SR-STM) has attracted
considerable attention owing to the possibility of elemental analysis at nanometer resolution
by detecting the core-level electrons of surface atoms. The fabrication of a tip coated with an
insulating thin film is the key to achieving high spatial resolution by reducing the
photoinduced current impinging to the side wall of the tip [48, 49]. For example, a W tip was
coated with glass except for the region less than 5 m from the tip apex using a focused ion
beam (FIB) technique [48]. Using this state-of-the-art STM tip, the photoinduced current was
dramatically reduced by a factor of ~40 compared with that of an untreated tip. Recently,
using this tip in combination with the Lock-in (LI) detection method, a spatial resolution of
as high as ~10 nm was demonstrated on checkerboard-patterned Ni and Fe samples [42].
2.3.2 Silver tips for TERS and STML

Tip-enhanced Raman spectroscopy (TERS) [50] is a promising method of chemical analysis
at the nanometer level. Under external illumination, a sharp tip is used to create a localized
light source and excite a specimen surface. According to classical electromagnetic theory, a
sharp metal tip is suitable for enhancing the Raman scattering of nearby molecules. It is
known that Ag produces greater enhancement than Au in the visible range because the
imaginary part of its permittivity is much smaller. The silver tip is also used in STM-
induced luminescence (STML), where STML intensities are enhanced by about one order of
magnitude compared with those obtained using tungsten tips [51]. There have been many
reports on the fabrication of Ag tips by electrochemical etching with various electrolytes
such as a mixture of perchloric acid and ethanol [52]. Using such a tip, single-molecule tip-
enhanced Raman spectra from brilliant cresyl blue (BCB) sub-monolayers deposited on a flat
Au surface were obtained [53]. A highly enhanced electric field was created in the gap of 1
nm between the tip and sample. For STM imaging, the tip apex should be free of oxidation
or contaminants. Atomically resolved STM imaging and STML spectra with a high signal-to-
noise ratio are obtained using an electrochemically etched Ag tip followed by tip cleaning
by Ar ion sputtering in UHV [54].
2.3.3 Molecular tips

Carboxyl-terminated SWNTs from solution phases can be attached onto Au tips through
self-assembed monolayers for using in STM [55. 56]. In addition to the high-resolution
imaging of molecules (such as diether) on a surface, these CNT tips enable chemically
selective observation due to electron tunneling through hydrogen-bond interactions
between the atached molecule and carboxyl groups at SWNTs. The differentiation of DNA
bases and chiral recognition on a single-molecule basis have also been demonstrated using
molecular tips [56]. In a similar way, voltage-induced chemical contrast in an STM image
was reported using chemically modified tips with hydrogen-bond donors [57]. Moreover,
molecular orbitals of metal phthalocyanines on metal surfaces have been clearly imaged
with an O2-functionalized STM tip, where the observations were supported by theoretical
calculations [58].
2.3.4 CNT probes

CNTs are one of the most intriguing materials in nanotechnology [59]. A CNT has a one-
dimensional cylindrical structure with sistinct physical characteristics such as a small
diameter, high aspect ratio, high stiffness, high conductivity and so forth. In view of the
shape and electric conductivity required for a high-resolution STM tip, these properties of
CNTs make them ideal as a tip material for probing extremely small objects such as
nanoclusters. [60]. Mechanical attachment, direct growth and dielectrophoresis are methods
employed to fabricate CNT-STM tips. A single CNT tip can be prepared by mechanical
attachment, which enables the high-resolution ghost-free imaging of nanoclusters. However,
this method is time-consuming, and the other methods (direct growth and
dielectrophoresis) are more suitable for the mass production of CNT tips.
(a) Mechanical attachment method
Following the first approach to fabricating CNT probes under an optical microscope [61]. a
more sophisticated method was proposed, where the attachment of a CNT onto a probe is
performed in two independent precise stages under SEM observation, where beam-deposited
amorphous carbon is used as a glue [62]. Although the thus mechanically prepared CNT-STM
tips exhibited atomic resolution on Au(111) reconstruction, the cleaning process of CNTs by
heating in UHV was necessary for stable observation. [63]. A metal coating method has been
proposed for improving the electric conductivity between a CNT and the supporting metal tip
[64]. Automotive exhaust catalysts consist of metal nanoclusters supported on metal oxide
surfaces. Since catalytic activity can be altered by controlling the size of the nanoclusters
because of its strong size dependence, the precise characterization of metal nanoclusters is
essential. High-resolution UHV-STM images of size-selected Pt(n) (n=4,7-10,15) clusters
deposited on TiO2(110)-(1x1) surfaces were obtained using a CNT tip (Fig. 15) [65]. Clusters of
Pt(7) (Fig.15(b)) and smaller were oriented flat on the surface with a planar structure, and a
planar-to-three-dimensional transition was observed at n=8 (Fig.15(c)). Color scale shows the
structures of the top layers. Individual Pt atoms are clearly identified, especially for (c) Pt(8)
and (d) Pt(9), indicating that the geometry of the clusters is atomically resolved and the details
can be analyzed with a CNT tip.
Fig. 15. STM images of TiO2(110) surface after deposition of size-selected Ptn+ (n = 4,7–10,15)
cluster ions. Images with uppercase letters are 20×20 nm2 views and those with lowercase
letters are 3.5×3.5 nm2 views of a cluster on the same surface. TiO2 surface after the
deposition of [(A), (a)] Pt4+, [(B)(b)] Pt7+, [(C)(c)(c′)] Pt8+, [(D)(d)(d′)] Pt9+, [(E)(e)] Pt10+, [(F)(f)]
Pt15+ [65].
(b) Direct growth method

This method is suitable for the mass production of CNT probes. Chemical vapor deposition
(CVD) is commonly used for the synthesis of CNTs [66]. Tips fabricated by the direct growth
method sometimes consist of numerous CNTs, and selective growth at the apex is required
for stable operation of the tip. For this purpose, several methods of pinpointing catalysis
have been reported [67, 68]. The growth direction of CNTs is also important in
measurements. Plasma CVD is suitable for controlling the alignment of CNTs [69]. By
optimizing the reaction at the sharp apex, CNT probes can be directly grown on the apex of
a tungsten probe without reducing its sharpness, as shown in Fig.16 [70]. Thin films of Fe or
Co (20–30 nm) are used as a catalyst, and the growth of CNTs with a diameter of ~40 nm has
been observed. Because the magnetic nanoparticles are located at the tip of CNTs, this type
of probe can also be utilized to study the magnetic properties of nanoclusters with higher
spatial resolution [71]. For spin-polarized STM measurement, a magnetic coating of Fe (10-
20 monolayers) on a cleaned tungsten tip is conventionally used [72], which may be
improved using a CNT tip.
Fig. 16. SEM and TEM images of a grown CNT-STM probe. Two CNTs are grown on the
apex of the STM tip. Black contrast corresponds to metal particles used as catalyst.
(c) Dielectrophoresis
When an alternating electric field (~MHz) is applied between asymmetric electrodes (for
example, a metal probe and counter plane electrode) immersed in CNT solution (where
solvent is water, alcohol, dichloroethane, etc.), the CNTs are polarized and become attached
to the probe (dielectrophoresis). [73]. The high-yield synthesis of conductive CNT tips for
the multiprobe microscope [74-76] was reported using the dielectrophoresis method [77].
After Pt-Ir coating, such a tip were successfully applied for electronic transport
measurement by multiprobe STM using the four-terminal method.
3. Summary
Laser-combined STM and related techniques have been reviewed and discussed focusing on
the analysis of nanoscale particles and clusters. The addition of optical technologies to STM
provides new approaches to the study of nanoscale-material physics and chemistry. Near-
field optical microscopy (NSOM) and other techniques [78-86], which have not been
discussed in this chapter, are expected to play complementary roles in understanding and
developing the physics and chemistry of new nanoparticles/clusters for realizing novel
functional devices.
4. References
[1] M. Haruta, Catal. Today 36, 153 (1997).
[2] P. Jena and A. W. Castleman (Eds), Nanoclusters, A Bridge across Disciplines, Elsevier
(2011).
[3] J. A. Alonso, Structure and Properties of Atomic Nanoclusters, Imperial College Press
(2006).
[4] J. P. Liu, E. Fullerton, O. Gutfleish and D. J. Sellmyer (Eds), Nanoscale Magnetic
Materials and Applications, Springer (2009).
[5] F. J. Owens and C. P. Poole (Eds), The Physics and Chemistry of Nanosolids, Wiley (2008).
[6] J. M. R. Weaver, L. M. Wapita, and H. K. Wickramasinghe, Nature 342 (1989) 783.
[7] A. Hida, Y. Mera, and K. Maeda, Appl. Phys. Lett. 78 (2001) 3190.
[8] S. Grafstrom, P. Schuller, J. Kowalski, and R. Neumann, J. Appl. Phys. 83 (1998) 3453.
[9] N. Naruse, Y. Mera, Y. Fukuzawa, Y. Nakamura, M. Ichikawa, and K. Maeda, J. Appl.
Phys., 102 (2007) 114301.
[10] N. Naruse, Y. Mera, Y. Nakamura, M. Ichikawa, and K. Maeda, Appl. Phys. Lett. 94
(2009) 093104.
[11] Y. Kayanuma, Phys. Rev. B 44 (1991) 13085.
[12] D. E. Aspnes, in Handbook on Semiconductors, edited by M. Balkanski (North-Holland,
Amsterdam, 1980) Vol.2, p. 109.
[13] D. E. Aspnes, Phys. Rev. 147 (1969) 554.
[14] A. Hida, Y. Mera, and K. Maeda, Appl. Phys. Lett. 78 (2001) 3029.
[15] N. Naruse, Y. Mera, Y. Nakamura, M. Ichikawa, and K. Maeda, J. Appl. Phys. 104 (2008)
074321.
[16] A. Hida, Y. Mera, and K. Maeda, Physica B 308-310 (2001) 1145.
[17] H. Udono et al., Thin Solid Films 461 (2004) 182.
[18] L. Miglio, V. Meregalli, and O. Jepsen, Appl. Phys. Lett. 75 (1999) 385.
[19] C. Thirstrup, M. Sakurai K. Stokbro, and M. Aono, Phys. Rev. Lett. 82 (1999) 1241.
[20] C. Chen, C. A. Bobisch, and W. Ho, Science 325 (2009) 981.

[21] A. Okada, K. Kanazawa, K. Hayashi, N. Okawa, T. Kurita, O. Takeuchi and H.
Shigekawa Appl. Phys. Exp. 3 (2010) 015201.
[22] C. Chen, P. Chu, C. A. Bobisch, D. L. Mills, and W. Ho, Phys. Rev. Lett. 105 (2010)
217402.
[23] Y. Sainoo, Y. Kim, T. Okawa, T. Komeda, H. Shigekawa, and M. Kawai, Phys. Rev. Lett.
95 (2005) 246102.
[24] Y. Uehara and S. Ushioda, Appl. Phys. Lett. 86 (2005) 181905.
[25] A. Othonos, J. Appl. Phys. 83 (1998) 1789 and references therein.
[26] J. Shah, Ultrafast Spectroscopy of Semiconductors and Semiconductor Nanostructures
(Berlin: Springer 1999).
[27] H. Mamin, H. Birk, P. Wimmer and D. Rugar, J. Appl. Phys. 75 (1994) 161.
[28] J. Wintterlin, J. Trost, S. Renisch, R. Schuster, T. Zambelli and G. Ertl, Surf. Sci. 394
(1997) 159.
[29] M. Rost et al., Rev. Sci. Instrum. 76 (2005) 053710.
[30] L. Petersen et al., Rev. Sci. Instrum. 72 (2001) 1438.
[31] U. Kemiktarak, T. Ndukum, K. Schwab, K. CandEkinci, Nature 450 (2007) 85.
[32] Y. Terada, S. Yoshida, O. Takeuchi and H. Shigekawa, J. Phys. Condens. Matter 22
(2010) 264008
[33] Y. Terada, S. Yoshida, O. Takeuchi and H. Shigeakawa: Nature photonics, 4 (2010) 869.
[34] H. Shigekawa, S. Yoshida, O. Takeuchi, M. Aoyama, Y. Terada, H. Kondo and H
Oigawa, Thin Solid Films, 516 (2008) 2348.
[35] Y. Terada, M. Aoyama, H. Kondo, A. Taninaka, O. Takeuchi and H. Shigekawa,
Nanotechnology 18 (2007) 044028.
[36] Y. Terada, S. Yoshida, O. Takeuchi and H. Shigekawa, Advances in Optical
Technologies 2011 (2011) 510186.
[37] S. Yoshida, Y. Terada, R. Oshima, O. Takeuchi and H. Shigekawa, Nanoscale 2012
(2012), DOI:10.1039/C2NR11551D.
[38] O. Takeuchi, M. Aoyama, R. Oshima, Y. Okada, H. Oigawa, N. Sano, H. Shigekawa, R.
Morita and M. Yamashita, Appl. Phys. Lett. 85 (2004) 3268.
[39] O. Takeuchi, R. Morita, M. Yamashita and H. Shigekawa: Jpn. J. Appl. Phys. 41 (2002)
4994.
[40] H. Shigekawa, O. Takeuchi, Y. Terada and S. Yoshida: Handbook of Nanophysics,
Edited by Klaus D. Sattler Taylor & Francis (2010), vol. 6, Principles and Methods.
[41] M. Yamashita, H. Shigekawa and R. Morita (Eds), Mono-Cycle Photonics and Optical
Scanning Tunneling Microscopy-Route to Femtosecond Angstrom Technology-
(Springer, 2005).
[42] T. Okuda et al., Phys. Rev. Lett. 102 (2009) 105503.
[43] Y. Nakamura, Y. Mera and K. Maeda, Jpn. J. Appl. Phys. 44 (2005) L1373.
[44] K. Kanazawa, A. Taninaka, H. Huang, N Nishimura, S. Yoshida, O. Takeuchi, and H.
Shigekawa, Chem. Commun. 47 (2011) 11312.
[45] K. Yamada, H. Sato, T. Komaguchi, Y. Mera, and K. Maeda, Appl. Phys. Lett. 94 (2009)
253103.
[46] M.Berthe, S.Yoshida, Y.Ebine, K.Kanazawa, A.Okada, A.Taninaka, O.Takeuchi, N.
Fukui, H. Shinohara, S.Suzuki, K.Sumitomo, Y. Kobayashi, B.Grandidier,
D.Stievenard and H.Shigekawa, Nano Lett. 7 (12) (2007) 3623-3627.
[47] C. Joachim, J. K. Gimzewski, R. R. Schlittler, and C. Chavy, Phys. Rev. Lett., 74 (1995) 2102.
[48] K. Akiyama et al., Rev. Sci. Instrum. 76 (2005) 083711.
[49] A. Saito et al., Surf. Sci. 601 (2007) 5294.

[50] R. M. Stockle, Y. D. Suh, V. Deckert and R. Zenobi, Chem. Phys. Lett. 318 (2000) 131.
[51] R. Berndt, J. K. Gimzewski, and P. Johansson, Phys. Rev. Lett. 71 (1993) 3493.
[52] M. Iwami, Y. Uehara and S. Ushioda, Rev. Sci. Instrum. 69 (1998) 4010.
[53] W. H. Zhang, B. S. Yeo, T. Schmid, R. Zenobi, J. Phys. Chem. C111 (2007) 1733.
[54] C. Zhang et al., Rev. Sci. Instrum. 82 (2011) 083101.
[55] T. Nishino, T. Ito and Y. Umezawa, Anal. Chem. 74 (2002) 4275.
[56] T. Nishino and Y. Umezawa, Anal. Sci. 26 (2010) 1023.
[57] D. Gingery and P. Bühlmann, Surf. Sci. 605 (2011) 1099.
[58] Z. Cheng et al., Nano Res. 4 (2011) 523.
[59] S. Iijima, Nature, 354, 56 (1991).
[60] J. M. Marulanda, 2011, Electronic Properties of Carbon Nanotubes, InTech.
[61] H. Dai, J. H. Hafner, A. G. Rinzler, D. T. Colbert, and R. E. Smalley, Nature 384 (1996) 147.
[62] S. Akita et al., J. Phys D: Appl. Phys. 32 (1999) 1044.
[63] W. Mizutani, N. Choi, T. Uchihashi and H. Tokumoto, Jpn. J. Appl. Phys. 40 (2001) 4328.
[64] T.Ikuno et al., Jpn. J. Appl. Phys. 43 (2004) L644.
[65] N. Isomura, X. Wu, and Y. Watanabe, J. Chem Phys. 131(16) (2009) 164707.
[66] W. Wongwiriyapan et al., Jpn. J. Appl. Phys. 45 (2006) 1880.
[67] C. L. Cheung, J. H. Hafner, and C. M. Lieber, PNAS 97 (2000) 3809.
[68] I. T. Clark, G. Rius, Y. Matsuoka, and M. Yoshimura, J. Vac. Sci. Technol. B28 (2010)
1148.
[69] M. Yoshimura, S. Jo and K. Ueda, Jpn. J. Appl. Phys. 42 (7B) (2003) 4841.
[70] K. Tanaka, M. Yoshimura, and K. Ueda, e-J. Surf. Sci. Nanotech. 4 (2006) 276.
[71] K. Tanaka, M. Yoshimura and K. Ueda, J. Nanomaterials 2009 (2009) 147204.
[72] J. E. Bickel, et al., Phys. Rev. B84 (2011) 054454.
[73] K. Ueda, M. Yoshimura, M. Ishikawa, T. Nagamura, Japan Patent: 3557589
[74] I. Shiraki, F. Tanabe, R. Hobara, T. Nagao, and S. Hasegawa, Surf. Sci. 493 (2001) 633.
[75] J. Onoe , T. Nakayama, M. Aono, and T. Hara, Appl. Phys. Lett. 82 (2003) 595.
[76] M. Ishikawa, M. Yoshimura and K. Ueda, Jpn. J. Appl. Phys. 44 (2005) 1502.
[77] H. Konishi, Y. Murata, W. Wongwiriyapan, M. Kishida, K. Tomita, K. Motoyoshi, S.
Honda, M. Katayama, S. Yoshimoto, K. Kubo, R. Hobara, I. Matsuda, S. Hasegawa
and M. Yoshimura, Rev. Sci. Instr. 78 (2007) 013703.
[78] Y. Terada, S. Yoshida, A. Okubo, K. Kanazawa, M. Xu, O. Takeuchi and H.
Shigekawa, Nano Lett. 8 (11), (2008) 3577-3581.
[79] S. Yoshida, Y. Kanitani, O. Takeuchi and H. Shigekawa, Appl. Phys. Lett. 92 (2008) 102105.
[80] S. Yoshida, Y. Kanitani, R. Oshima, Y. Okada, O. Takeuchi and H. Shigekawa, Phys.
Rev. Lett. 98 (2007) 026802.
[81] A. Hagen et al., Phys. Rev. Lett. 95 (2005) 197401.
[82] H. Watanabe, Y. Ishida, N. Hayazawa, Y. Inouye and S. Kawata, Phys. Rev. B 69 (1004) 1.
[83] S. Yasuda, T. Nakamura, M. Matsumoto and H. Shigekawa, J. Am. Chem. Soc. 125
(2003) 16430.
[84] D. Futaba, R. Morita, M. Yamashita, S. Tomiyama and H. Shigekawa, Appl. Phys. Lett.
83 (2003) 2333.
[85] S. Kawata, M. Ohtsu, M. Irie (Eds), Nano-Optics, Springer (2002).
[86] S. Grafstorm (o: umlaut), J. Appl. Phys. 91 (2002) 1717.
[87] S. Loth, M. Etzkorn, C. Lutz, D. Eigler and A. Heinrich, Science 24 (2010) 1628.
13
On the Optical Response of Nanoparticles:

Directionality Effects and Optical Forces
Braulio García-Cámara1, Francisco González1, Fernando Moreno1,
Raquel Gómez-Medina2, Juan José Sáenz2 and Manuel Nieto-Vesperinas3
1Grupo de Óptica, Departamento de Física Aplicada, Universidad de Cantabria
2Departamento de Física de la Materia Condensada, Universidad Autónoma de Madrid
3Instituto de Ciencias de los Materiales de Madrid, CSIC
Spain
1. Introduction
Nowadays, miniaturization is a general challenge for technology. Researchers in science and
technology claim to study ever smaller systems and develop ever smaller devices. The
nanometric range is, at present, an important focus of attention of scientists and engineers
following the famous prediction by Prof. Feynman: “There’s plenty of room at the bottom”.
Reduction of dimensions, at this level, involves that more specific and more complex tools
are needed.
Light has appeared as a convenient solution for these tasks because of its wavelength
(hundreds of nanometers) and the large amount of information it contains about systems
with which it interacts (Prasad, 2004). The interaction of light with small systems, either
particles or structures, gives rise to several scattering phenomena which are strongly
dependent on both the characteristics of the incident radiation (frequency, polarization) and
those of the object (size, shape, optical properties). These interactions can be used either to
obtain information about the interacting object (e.g. particle sizing) (Zhu et al., 2010) or to
produce light scattering phenomena “à la carte” by means of suitable nanoobjects.
At the nanoscopic level, the interaction between an incident beam and a metallic system
produces an interesting physical phenomenon which is the base of many technological
applications in diverse fields like medicine, biology, communications, information storing,
energy transformation, photonics, etc (Anker et al., 2008; Maier et al., 2003). This is the
excitation of localized surface plasmon resonances (LSPR) (Prasad, 2004). For these, the
electromagnetic field experiences a high localization in the scatterer and a strong
enhancement out of the scatterer.
These advances have stimulated new research devoted to obtain a greater control over how
light is scattered by these systems. Researchers have analyzed emerging structures (nanoholes
(Gao et al., 2010), nanocups (Mirin & Halas, 2009), etc). But, what it is more interesting, new
engineered materials, called metamaterials and whose optical properties can be manipulated,
have been developed (Boltasseva & Atwater, 2011). The possibility to obtain structures with
optical properties “à la carte” allows getting scattering phenomena never observed before in
natural media, for instance negative refraction (Shalaev, 2008). The main consequences of
negative refraction are the two interesting potential applications: cloacking (Pendry et al.,
2006) and perfect lens (Pendry, 2000; Nieto-Vesperinas & Garcia, 2003).
The control over the values of both the electric permittivity and the magnetic permeability
of an object gives us a control over the way it scatters light, and in particular, the angular
distribution of the scattered radiation. This control could involve a dramatic evolution on
the field of nanodevices. For this reason, the objective of this chapter is to analyze
directional effects on both light scattering and optical forces of a nanoparticle with
convenient optical constants. The structure of the chapter is as follows: while sections 2, 3
and 4 are devoted to the directional features on light scattering by nanoparticles, section 5
summarizes the main results on optical forces. Finally, the most important conclusions
about these results are recapitulated in section 6.
2. Light scattering by nanoparticles

2.1 Mie theory
The problem of the electromagnetic scattering from an isolated and spherical particle was
firstly solved in 1908 by Gustav Mie (Mie, 1908). However, this simple system still involves
interesting physical behaviors that are worthy of further study.
Mie theory considers a spherical particle of radius a and optical constants given by an
electric permittivity, pand a magnetic permeability, pimmersed in a homogeneous and
isotropic medium. This is illuminated by a linear polarized plane wave, as in Figure 1.
Without loss of generality, we assume that the surrounding medium is vacuum (s=s=1).
The scattered electromagnetic field (Es, Hs) can be expressed as a multipole expansion of
Vector Spherical Harmonics (VSH), called Mie expansion, as follows

Es   En(ianN(3) (3)
e ln  bnMo ln ) (1)
n 1

 En  ibnN(3)
o ln  anMe ln 
k (3)
Hs  (2)
 p n1
where k  m / c  m2 /  ,  being the incident wavelength in vacuum, m   p  p the

refractive index of the particle, c the speed of light in vacuum and the angular frequency
2n  1
of the incident wave. En is defined as En  E0i n , E0 being the amplitude of the
n(n  1)
incident plane wave. The series are characterized by the an and bn Mie coefficients which are
defined as (Bohren & Huffman, 1983)
 s m2 jn(mx ) xjn( x )   p jn( x )mxjn(mx )

' '
an  '
(3)
 s m2 jn(mx )  xhn(1)( x )   phn(1)( x )mxjn(mx )
'
 
On the Optical Response of Nanoparticles: Directionality Effects and Optical Forces 289
 pm2 jn(mx ) xjn( x )   s jn( x )mxjn(mx )

' '
bn  (4)
'
 pm jn(mx )  xhn(1)( x )   s hn(1)( x )mxjn(mx )
2 '
 
x being the size parameter, that is defined as
2 a
x  ka  , (5)

In addition, jn are the spherical Bessel functions and hn(1) the spherical Bessel functions of third kind
or Hankel functions. As the electric and magnetic dipolar contributions are weighted by
coefficients a1 and b1, respectively, the quadrupolar ones by a2 and b2 and so on, Mie
coefficients an are associated to the electric part of the scattered electromagnetic radiation,
while bn are associated to the magnetic one.
Fig. 1. Scheme of the geometry of the problem.
These coefficients contain the relevant information about essential scattering parameters as
the extinction, Cext, and scattering, Csca, cross sections. These can be written as

2 2 2
C sca 
k 2  (2n  1)( an  bn ) (6)
n 1

2
Cext 
k 2  (2n  1)Re(an  bn ) (7)
n 1
2.2 Details of Mie theory at the nanoscopic level

If particle size is very small compared with the incident wavelength, that is a/<<1, dipolar
contributions (n=1 in Eqs. (1)- (2)) clearly dominate and Mie coefficients of order higher than
1 can be neglected. Thus, the Mie expansion can be simplified and the previous parameters
have simple expressions
2 2 2
C sca  [3( a1  b1 )] (8)
k2
2
Cext  [3Re(a1  b1 )] (9)
k2
This is the case of a nanoparticle (a < 50 nm) when it is illuminated by an incident wave in
the visible or near infrared (NIR) part of the spectrum (>500 nm).
The predominant dipolar conduct, either electric or magnetic, of nanoparticles is usually
described by the electric and/or magnetic complex polarizabilities, e and m¸ respectively.
Both can also be expressed as a function of the two first Mie coefficients
 e(0) 3i
e   a1 (10)
2 2k 3
1 i k 3 e(0)
_
3
 m(0) 3i
m   b1 (11)
2 2k 3
1 i k 3 m(0)
_
3
where
 p_ 1
 e(0)  4 a3 (12)
p  2
p_ 1
 m(0)  4 a3 (13)
p  2
are the static polarizabilities, defined in the limit ka0.
3. Directional effects on light scattering by nanoparticles with

arbitrary values of  and .
3.1 Kerker’s theory
In the early eighties, M. Kerker and co-authors (Kerker et al., 1983) presented an interesting
study about the scattering properties, in the far field, of a spherical particle much smaller
than the incident wavelength, illuminated by a plane wave and without any restriction for
the values of its relative optical constants (and ). Some interesting electromagnetic
scattering effects were described in this work such as the zero-backward and the zero-
forward scattering. Although the idea of a magnetic permeability different from 1 in the
visible range was hypothetical and the described effects were thought to be impossible to be
observed when the work was presented, the engineered metamaterials have currently
revitalized these electromagnetic studies (Zhedulev, 2010).
In this section, the main theoretical aspects described by M. Kerker et al. are briefly
reviewed.
3.1.1 Zero-backward scattering: First Kerker’s condition

When we consider a system, like that of Figure 1, the scattered intensity in the scattering
plane can be described by means of two polarized components: ITE and ITM. While ITE
corresponds to an incident electric field parallel to the scattering plane, ITM corresponds to a
perpendicular one. These components can be written as (Bohren & Huffman, 1983)
2
2 2n  1
ITE 
4 r 2
 n(n  1) (an n  bn n ) (14)
n
2
2 2n  1
ITM 
4 r 2
 n(n  1) (an n  bn n ) (15)
n
where r is the distance from the particle to the observer (2r>>1) and n and n are angular
functions defined in (Bohren & Huffman, 1983). As we are considering a very small or
dipole-like particle (a0), only the two first Mie coefficients (a1 and b1) are introduced in the
expressions. In addition some approximations can be applied to these coefficients in such a
way that the scattered intensity components can be approximated by
2
 2x 6 2 6
2  x   _1 _1 
ITE   a1  b1 cos     ( )( ) cos 

(16)
4 r 2 4 r 2    2   2 
2
 2x 6 2  2x 6   _1 _1 
ITM   a1 cos  b1    ( )cos  ( ) (17)
4 r 2 4 r 2   2   2 
 being the scattering angle, defined as the angle between the incident and the scattered
directions (see Figure 1).
For the backward scattering direction (=180º) the previous expressions adopt the following
forms
2
2 6   _1 _  _1 
ITE (180 )  x  ( )( ) (18)

4 r 2   2  2 
2
 2 6  _  _1 _1 
ITM (180 )  x  ( ) ( ) (19)
4 r 2   2   2 
It easy to observe that when , or equivalently when e=m, the scattered intensity in the
backward direction is zero for both incident polarizations. This is the zero-backward scattering
condition and we shall call in the following the first Kerker’s condition. In Figure 2 the
scattering pattern of a dipole-like particle with relative optical properties,  = 3 is shown.
Only a TM polarization is considered because, from Eqs. (18) and (19), the scattered
intensity is equal for both polarizations under this condition.
Fig. 2. Scattering diagram of a dipole-like particle (a = 10-6) with relative optical properties
fulfilling the zero-backward condition and for a TM incident polarization
3.1.2 Zero-forward scattering: Second Kerker’s condition

For =0º (forward scattering direction), Eqs. (16)-(17) become
2
2 6   _1  _1 
ITE (0 )  x  ( )( ) (20)
4 r 2   2   2 
2
 2 6   _1 _1 
ITM (0 )  x  ( ) ( ) (21)
4 r 2   2   2 
In this case, the  relation which cancel ITE(0º) and ITM(0º) is not as evident as before.
However, Kerker et al. (Kerker et al., 1983) demonstrated that this happens when
4_ 
 (22)
2  1
which is equivalent to Re(e)= -Re(e) and Im(e)= Im(e). This is the zero-forward scattering
condition, that we shall call the second Kerker’s condition.
It is interesting to highlight that this condition is symmetric. This means that it remains
invariant by interchanging  and An example of the angular distribution of the scattered
intensity of a very-small particle satisfying this condition is shown in Figure 3 for a TM
polarized incident beam (TE polarization produces a similar result).
Fig. 3. Scattering diagram of a dipole-like particle (a = 10-6) with relative optical properties
fulfilling the zero-forward condition, () = (0.1429; 3), and TM incident polarization.
3.2 An analysis of Kerker’s conditions

Kerker’s theory was developed under the far-field approximation and for the very particular
case of dipole-like particles for which only the two first Mie coefficients (a1 and b1) are non
negligible. However, as particle size increases or the observer approaches, other multipolar
terms become important and the directional features, described previously, can be modified.
3.2.1 Size effects on the directionality conditions

One of the responsibles for the appearance of multipolar contributions is the size of the
particle, a. When this deviates from the condition a/<<1, orders in the Mie expansion
greater than 1 start to be non negligible. The purpose of this section is to analyze size effects
on the two Kerker’s conditions (García-Cámara et al., 2010a).
Zero-backward scattering condition can be extended even for large particle sizes. This is
possible because the  symmetry of Mie coefficients (Eqs. (3)-(4)) ensures that all the
electric and magnetic multipolar contributions are equal and with opposite sign at
backward direction. This produces a destructive interferential effect between both
contributions for every multipolar order and for a given particle size, a. Figure 4 shows the
scattering diagrams for several particles with different size (a) and optical properties
satisfying the zero-backward scattering condition ().
On the contrary, the zero-forward scattering condition is much more sensitive to size effects.
In fact, as a increases and multipolar terms, other than the dipolar ones, become important,
the electric and magnetic contributions in the forward direction do not interfere
destructively anymore, and the zero-forward-scattering tends to disappear. In spite of this, it
is possible to find pairs () which minimizes the scattered intensity in the forward
direction. In Figure 5, the distribution of the scattered intensity for spherical particles of
different sizes is plotted. The values of  and , which are included in the figure caption,
were chosen such that a minimum of the scattered intensity in the forward direction
appears. For the smallest value of a, the scattered intensity in the forward direction is
considerably lower compared to other angles. However, as a increases, this minimum
becomes less pronounced due to the influence of quadrupolar terms.
Fig. 4. Scattering diagrams, in logarithmic scale, for a spherical particle with relative optical
properties () = (-3;-3) and illuminated by a TE-polarized incident light.
Several particlesizes have been considered.
In a recent research (García-Cámara et al., 2010a), it was found that these optical constants
which minimize forward scattering don’t follow Kerker’s conditions but can be fitted to a
formally similar expression where fitting coefficients are dependent on particle size.
Fig. 5. Scattering diagrams, in logarithmic scale, for a spherical particle illuminated with a
TE linearly polarized incident beam. For each particle size, optical properties, in the
negative-negative range, are such that the scattered intensity is minimum in the forward
direction. In particular, =-4.55 for every particle size and =-1.06 (a=0.01=-1.07
(a=0.02), =-1.09 (a=0.03), =-1.11 (a=0.04) and =-1.13 (a=0.05).
3.2.2 Distance effects on the directionality conditions: From far to near-field

Kerker’s conditions, as have been remarked above, were deduced under the far-field
approximation, that is (2r/>>1). If the observer tends to approach (r), directional effects
on light scattering are affected. In a recent work (García-Cámara et al. 2010b), it has been
shown that directional effects on light scattering of nanoparticles with optical properties under
Kerker’s conditions tends to disappear as r decreases. Figure 6 shows the scattered intensity
measured on a line crossing a nanoparticle (a~0.01) from the backward to the forward
direction (Z-axis). Figure 6(a) is devoted to a particle satisfying the first Kerker’s condition,
while Figure 6(b) shows the same result when its relative optical constants fulfill the second
Kerker’s condition (eq. (22)). In both cases incident light is P-polarized (an orthogonal
polarization produces similar results) and the case of a particle with the same value of  and
=1 (non-directional case) is also plotted, for comparison purposes. For observation distances,
r>0.16, the directionality effects appears through a remarkable drop of the scattered intensity
in either the backward (Figure 6a) or the forward direction (Figure 6b). However, as the
observer approaches (r0.16), the evolution with the observation distance of the scattered
intensity of a nanoparticle with directional features tends to that of a nanoparticle which
optical constants do not satisfied any Kerker’s condition.
Fig. 6. Scattered intensity by a nanoparticle of radius a=0.01 and relative optical constants
satisfying a) the first Kerker’s condition (==3) or b) the second Kerker’s condition
(=3; =0.1429) as a function of the distance from the particle surface in a direction parallel to
the incident direction. For comparison, we have also included the case of a particle with
(= 3; = 1). In both cases the incident beam is polarized with the electric field parallel to the
scattering plane.
3.3 A generalization of the Kerker’s conditions

3.3.1 The zero-forward scattering condition and the optical theorem
In a recent research, Alù et al. (Alù & Engheta, 2011) stated that the zero-forward scattering
condition (Eq. 22) is incongruent with the Optical Theorem. This relates the extinction
efficiency (Qext) and the scattering amplitude in the forward direction [S(0º)] as follows
(Bohren & Huffman, 1983)
4
Qext  Re{ S (0 )} (23)
x2
When the zero-forward scattering condition holds, S(0º)=0 and then Qext=0. This would imply
that the particle would not scatter neither absorb electromagnetic radiation. However, in the
examples shown in Figures 3 and 5, while the absorption is null because the optical
constants are real, light scattering, and then the extinction efficiency, is non-zero at
scattering angles other than =0º.
A first attempt to solve this apparent paradox is found in (Chylek & Pinnick, 1979) where
they conclude that the dipolar approximation used by Kerker and co-workers is a non-
unitary approximation because Re(an)|an|2, Re(bn)|bn|2 are not satisfied, and therefore the
Optical Theorem cannot be applied. However, other more specific solutions to this paradox
have been proposed recently. Alù et al (Alù & Engheta, 2011) established that, for a correct
estimation of Qext it is crucial to include the radiative correction (Draine & Flatau, 1994) into
the two first Mie coefficients (a1 and b1). From these considerations, energy conservation is
warranted and, although the forward scattering is not zero, it is minimum with respect to
other scattering angles. In addition, if the radiative correction is also included in the
deduction of the zero-forward scattering condition (García-Cámara et al., 2011), a new
condition can be found where both the Optical Theorem and the zero scattering at =0º
hold. This condition follows the equation
 (4_  )_ iVk 3(  _ 1)
 (24)
 (2  1)_ iVk 3(  _ 1)
where V is the volume of the particle.
3.3.2 Directional effects at scattering angles other than forward and backward
directions
Previous analysis on the distribution of the scattered intensity by a nanoparticle at both the
forward and the backward direction can also be extended to other scattering angles. In a
previous work (García-Cámara, 2010a), it is shown that by choosing a certain scattering
angle different from 0º and 180º, there are pairs (), which produce minimum scattered
intensity within the scattering plane.
In Figure 7, we plot the scattering diagrams of a nanoparticle (a = 0.01) illuminated by a TE

polarized incident beam. The optical constants are such that the scattered intensity is
minimum at representative angles like 30º, 60º, 120º and 150º. Each diagram shows a double-
lobe structure with the position of the minimum depending on the particular values of the
relative electric permittivity () and the relative magnetic permeability (). Therefore, a
suitable tuning of the material optical constants serves to control the angular position of the
minimum of the scattered intensity.
Fig. 7. Scattering diagrams of a spherical particle with a = 0.01 and relative optical constants
in the negative-negative range (labeled in the figure) which produce a minimum scattering at
certain scattering angles. The particle is illuminated with a linearly polarized incident plane
wave with the electric field perpendicular to the scattering plane (TE polarization).
4. Directional effects on light scattering by dielectric particles

Previous analysis presented in this chapter about directional effects of light scattering have
been done for nanoparticles with arbitrary values of both the relative electric permittivity ()
and the relative magnetic permeability () which do not correspond to any real material. In
general, conventional materials do not show any stimulus to the magnetic field of
electromagnetic radiation in the visible or the near-infrared region of the electromagnetic
spectrum. For this reason, previous analyses have been considered an entelechy, as V.
Veselago did in his work to generate and enrich scientific knowledge (Veselago, 1968). Very
recently and looking for real situations, it has been shown that submicrometer particles
made of Silicon (Evlyukhin et al, 2010 ; García-Extarri et al., 2011) or Germanium (Gómez-
Medina et al, 2011b) present both effective electric and magnetic responses, corresponding
to the dipolar contributions characterized by their first-order Mie coefficients, in the near-
infrared range. Either of them can be selected by changing the illumination wavelength.
For this kind of nanoparticles, the spectral proximity of both dipolar electric and magnetic
responses allows the appearance of coherent effects between dipolar modes. Consequently,
under certain conditions, these scatterers are able to satisfy Kerker’s conditions. Following
the work made by Gómez-Medina et al. (Gómez-Medina et al, 2011b), in Figure 8, the
electric (e) and the magnetic (m) polarizabilities of a Ge nanoparticle of radius a=240nm are
plotted as a function of the wavelength () of the incident radiation. In the considered
spectral range, Germanium has a refractive index which can be well approximated by a real
constant m=4 (Palik, 1985). Also the spectral evolution of the extinction efficiency (Qext) has
been included in order to show the resonant behaviors that appear in a Ge nanoparticle. A
dipolar electric (DE) mode arises at =1823 nm, while a dipolar magnetic (DM) resonance is
located at =2193 nm. The vertical lines point the wavelengths at which either the first
(e=m) or the second (Re(e)=-Re(e) and Im(e)= Im(e)) Kerker’s condition are fulfilled.
Fig. 8. Real and imaginary parts of the electric (e) and the magneticm) polarizabilities for
a Ge nanoparticle (a=240nm). The refractive index of Germanium, in the considered range,
can be considered as real and constant, m 4+0i. The wavelengths at which the first and
second Kerker’s conditions (=2193nm and =1823 nm, respectively) are satisfied, are
identified with vertical lines. Also, for comparison purposes, the extinction efficiency is
plotted identifying the dipolar electric (DE) and the dipolar magnetic (DM) resonances.
The fact that a dielectric and non-magnetic particle (>0 and =1) presents both dipolar
electric and also dipolar magnetic modes is quite interesting and could be useful for
potential applications. For instance, this kind of resonances has been currently used for
several tasks in a wide range of fields, ranging from the design of nanodevices (Maier et al,
2003; Anker et al., 2008) to biomedical treatments (Zemp, 2009). Unfortunately, they were
observed only in metallic materials which present strong absorption losses. One of the
advantages of dielectric materials, like Germanium or Silicon, is that they show negligible
absorption in the considered range (Palik, 1985) and then losses are almost absent.
The position and shape of the dipolar resonances shown in Fig. 8 for Ge particles (similarly
for Si particles) produces interesting coherent effects between them and consequently a
natural way of reproducing Kerker’s conditions by means of real materials. In order to
verify that these directional features show up, Figure 9 plots the scattering diagrams of a Ge
nanosphere (a=240nm) when the incident wavelengths are those marked by vertical lines in
Figure 8. The zero-backward scattering condition is satisfied for =1823 nm, and there is no
scattered intensity in this direction (Figure 9a). However, the zero-forward scattering condition
is strongly affected by size effects (Figure 9b). As was described in Section 3.2.1, the size of
the particle prevents scattered intensity to be completely suppressed in the forward
direction. However, its value is very small compared with those at other scattering angles
and most part of the scattered intensity is located in the backward hemisphere ().
Fig. 9. Scattering diagrams for a Ge nanoparticles (a=240nm) illuminated by a linear

polarized plane wave. Both polarizations, with the incident electric field parallel (TM or P
polarization) or normal (TE or S polarization) to the scattering plane are considered. The
incident wavelength is labeled in the figure. From (Gómez-Medina et al., 2011b).
Previous results for Germanium can also be extended to Silicon nanoparticles. These
behaviors in Silicon could be even more interesting due to the wide range of applications of
this material. Silicon is the base of microelectronics due to its semiconductor character and
also to its abundance in Earth. For this reason, the industry of Silicon is very well developed.
These new scattering features in the nanometric range could be the base for the
development of new silicon applications as, for instance, optical nanocircuits.
5. Optical forces
Light carries energy and both linear and angular momenta that can be transferred to atoms,
molecules and particles. Demonstration of levitation and trapping of micron-sized particles
by radiation pressure dates back to 1970 and the experiments reported by Ashkin and co-
workers (Ashkin, 1970). Light forces on small particles are usually described as the sum of
two terms: the dipole or gradient force and the radiation pressure or scattering force
(Askhin et al., 1986; Neuman & Block, 2004; Novotny & Hecht, 2006; Chaumet & Nieto-
Vesperinas 2000b; Gómez-Medina et al., 2001; Chaumet & Nieto-Vesperinas, 2002; Nieto-
Vesperinas et al., 2004; Gómez-Medina & Saénz, 2004). There is an additional non-
conservative curl force arising in a light field of non-uniform ellipticity that is proportional
to the curl of the spin angular momentum of the light field (Albaladejo et al., 2009a; Nieto-
Vesperinas et al., 2010). In analogy with electrostatics, small particles develop an electric
(magnetic) dipole moment in response to the light electric (magnetic) field. The induced
dipole is then drawn by field intensity gradients which compete with radiation pressure due
to momentum transferred from the photons in the beam. By fashioning proper optical field
gradients it is possible to trap and manipulate small dielectric particles with optical tweezers
(Askhin et al, 1986; Neuman & Block, 2004) or create atomic arrays in optical lattices
(Verkerk et al., 1992; Hemmerich & H’ansch, 1993). Intense optical fields can also induce
significant forces between particles (Burns et al., 1989; Burns et al., 1990; Tartakova et al.,
2002; Chaumet & Nieto-Vesperinas, 2001; Gómez-Medina & Saénz, 2004). Some previous
work focused on optical forces on macroscopic media, either with electric (Mansuripur,
2004) or magnetic response (Kemp et al., 2005; Mansuripur, 2007), or particles with electric
response (Kemp et al., 2006a). Radiation pressure forces on dielectric and magnetic particles
under plane wave incidence have been computed for both small cylinders (Kemp et al.,
2006b) and spheres (Lakhtakia & Mulholland, 1993; Lakhtakia, 2008). The total force on an
electric and magnetic dipolar particle has been shown (Chaumet & Rahmani, 2009; Nieto-
Vesperinas et al., 2010; Nieto-Vesperinas et al., 2011; Gómez-Medina et al., 2011a; Gómez-
Medina et al., 2011b) to have a similarity with that previously obtained for electric dipoles.
Moreover, in the presence of both electric and magnetic responses, the force presents an
additional term proportional to the cross product of the electric and magnetic dipoles
(Chaumet & Rahmani, 2009; Nieto-Vesperinas et al., 2010; Nieto-Vesperinas et al., 2011;
Gómez-Medina et al., 2011a; Gómez-Medina et al., 2011b). The relevance and physical origin
of this electric-magnetic dipolar interaction term for a single particle has been recently
discussed (Nieto-Vesperinas et al., 2010; Nieto-Vesperinas et al., 2011; Gómez-Medina et al.,
2011a; Gómez-Medina et al., 2011b)
5.1 Force on a small particle with electric and magnetic response to an

electromagnetic wave
We consider a dipolar particle embedded in a non-dissipative medium with relative
dielectric permittivity  and magnetic permeability , subjected to an incident
electromagnetic field whose electric and magnetic vectors are E(i) and B(i), respectively. The
total time-averaged electromagnetic force acting on the particle is (Chaumet & Nieto-
Vesperinas, 2000; Jackson, 1998; Nieto-Vesperinas et al., 2010):
F 
1   1
 2
   (E  s)E*   1(B  s)B*   E   1 B
8  S  2
1 
 
s  dS  ,
 
(25)
where  stands for real part, dS denotes the element of any surface S that encloses the
particle.
The fields in Eq. (25) are total fields, namely the sum of the incident and scattered (re-
radiated) fields: E(i)+E(r), B(i)+B(r). s is its local outward unit normal. A time dependence e(-
iwt) is assumed throughout. For a small particle, within the range of validity of the dipolar
approximation, the scattered field corresponds to that radiated by the induced electric and
magnetic dipole moments, p and m, respectively. In this case, Eq. (25) leads to the
expression
1 
  
F   p   E *  m   B * -
2 
i i
3

2k 4 


p  m* 


 (26)
Equation (26) represents the generalization of the result of (Chaumet & Rahmani, 2009) for
the time-averaged force on a particle immersed in an arbitrary medium with refractive
index: m   . The wavenumber is k = m/c,  being the frequency. The symbol
 represents the dyadic product so that the matrix operation: W(  V ) has elements
W j  jV j for i, j = 1, 2 3. All variables in Eq. (26) are evaluated at a point r = r0 in the particle.
The first term of Eq. (26) is the force < Fe > exerted by the incident field on the induced
electric dipole, the second and third terms < Fm > and < Fem > are the force on the induced
magnetic dipole and the force due to the interaction between both dipoles (Chaumet &
Rahmani, 2009; Nieto-Vesperinas et al., 2010).
5.2 Optical theorem and forces on an electric and magnetic dipolar particle
The question of energy conservation has been recurrently addressed and debated as regards
small particles (Chýlek & Pinnick, 1979; Lock et al., 1995), especially in connection with
magnetic particles that produce zero-forward scattering intensity (Alù & Engheta, 2011;
Nieto-Vesperinas et al., 2011; García-Cámara et al., 2011; Gómez-Medina et al., 2011b). It is
thus relevant to explore the formal analogy between the force as momentum “absorption”
rate and the optical theorem expressing the conservation of electromagnetic energy. From
the Poynting’s theorem (Bohren & Huffman, 1983; Jackson, 1998), the rate –W(a) at which
energy is being absorbed by the particle is given by
S
 
-W     S  S(i ) sdS (27)

 

c
8 m  S

1
2
2
   (E  s)E*   1(B  s)B*   E   1 B
1
dS 

(28)
By introducing the incident field as a decomposition of plane wave components and taking
the sphere S in Eq. (27) so large that k r  r0   , and using Jones’ lemma based on the
principle of the stationary phase, (see Appendix XII of Bohren & Huffman, 1983), and the
source-free condition, we get the optical theorem for an arbitrary field (Nieto-Vesperinas et
al., 2010):

  
 
-W    -  p  E *  r0  -  m  B   r0  
a
2
i
2
i
m 3

c k 4 -1 2 2
 p  m .  (29)
The first two terms of Eq. (29), coming from the interference between the incident and
radiated fields, are the energy analogue of the electric and magnetic dipolar forces given by
first two terms in Eq. (26).
The third and fourth terms of Eq. (29) that come from the integral of the third and fourth
terms of Eq. (28), now yield the rate W(s) at which the energy is being scattered, which
together with the left hand side of this equation contributes to the rate of energy extinction
by the particle W(a)+W(s):
a s 
2
 i 
2
 i

W    W     p  E *  r0    m  B *  r0  .  (30)
Analogously as with the rate of scattered energy, the electric-magnetic dipolar interaction
term of the force (third term of Eq. (26)) corresponds to the rate at which momentum is
being scattered by the particle. We shall explore in some detail this analogy in order to
illustrate the physical origin of < Fem >. We notice that the power density of the scattered
field can be written as the sum of two terms (Nieto-Vesperinas et al., 2010)
S  dS 
r c 4 -1
8 m
 2 2
k  p  s   m  s s d 


c
4 m
k4

 
  s  p   m * sd . (31)
where the second term of Eq. (31) corresponds to the interference between the electric and
magnetic dipolar fields. After integration over the closed surface S, that second term does
not contribute to the radiated power, while it is the only contribution to the electric-
magnetic dipolar interaction term of the force in Eq. (26). Namely, < Fem > comes from the
interference between the fields radiated by p and m.
5.3 Forces on an electric and magnetic dipolar particle for plane wave incidence
In order to illustrate the relevance of the different terms in the optical forces, we shall next
 
consider the force from a plane wave E( i )  e( i ) e iks0 r , B( i )  b( i ) eiks0 r with e( i )  b( i )  s0 / m
on a small dielectric and magnetic spherical particle characterized by its electric and
magnetic polarizabilities e andm. When the induced dipole moments are expressed in
terms of the incident field, i.e.
p   e e   ; m   m b  .
i i
(32)
For plane wave incidence, the total force is given by (Nieto-Vesperinas et al., 2010):
F  Fe  Fm  Fem
k
2
 i i m
cS

 s0  p  e *  m  b * -  S(r ) dS (33)
 2k 3  
 
 s0 F0    -1 e   m -
3 
 
  e m*  , (34)
 
2
where F0   e(i ) / 2 . The first two terms, < Fe > and < Fm >, correspond to the forces on to
the sum of radiation pressures for a pure electric and a pure magnetic dipole, respectively.
The third term, < Fem >, is the time-averaged scattered momentum rate, and we shall see
below that it also contributes to radiation pressure (Nieto-Vesperinas et al., 2010; Gómez-
Medina et al., 2011a) and it is related to the asymmetry in the scattered intensity distribution
(Nieto-Vesperinas et al., 2011; Gómez-Medina et al., 2011b).
Fig. 10. Different contributions to the total radiation pressure versus the wavelength, for the
2
Ge particle of Figs. 8-9. Normalization is done by F0   e(i ) / 2 . The vertical lines mark the
first and second generalized Kerker’s conditions. Notice that when the first generalized
Kerker’s condition is fulfilled, i.e.,  e     m and  e    m  ,
F  Fe  Fm   Fem . From (Gómez-Medina et al. 2011b).
5.4 The generalized Kerker’s conditions on optical forces

From Eqs. (6) and (34), one derives for the radiation pressure force (Nieto-Vesperinas et al., 2011):
F  s0 F0
6k  d
 
1  dC sca  dC
 
3 
0  3 sca 180 - Cabs  .
d 2 
(35)
Equation (35) emphasizes the dominant role of the backward scattering on radiation
pressure forces.
At the first generalized Kerker’s condition, the interference term of Eqs. (34-35) cancels out
the magnetic contribution and we obtain < F > = < Fe >. At the second generalized Kerker’s
condition, where the backscattering is enhanced, < F > = 3< Fe >. Notice that at both
generalized Kerker’s conditions the scattering cross section is exactly the same; however, the
radiation pressures differ by a factor of 3. These properties are illustrated in Figure 10,
where we show the different contributions to the total time averaged force on a
submicrometer Ge particle.
The strong peak in the radiation pressure force is mainly dominated by the first “magnetic”
Mie resonance. This is striking and in contrast with all previous beliefs about optical forces
on dipolar dielectric particles, that assumed that these forces would solely be described by
the electric polarizability. It is also common to assume that for dielectric particles the real
part of the polarizability is much larger than its imaginary part. As a matter of fact, this is
behind the development of optical tweezers, in which gradient forces (that are proportional
to ( e ) ), dominate over the radiation pressure or scattering force contribution (which is
proportional to ( e ) ) (Volpe et al., 2006). However, as the size of the particle increases, and
for any dielectric particle, there is a crossover from electric to magnetic response as we
approach the first Mie resonance, the point at which the response is absolutely dominated
by the magnetic dipole. Moreover, just at the resonance, and in absence of absorption,
( m )  0 and ( m )  3/(  2k 3 ) . Then, the radiation pressure contribution of the magnetic
 2 
term dominates the total force F  Fm  S0   e(i ) / 2  3/ 2k 3  . Namely, in resonance the
radiation pressure force presents a strong peak,  
the maximum

force being independent of
both material parameters and particle radius.
6. Conclusion
In this chapter we have analyzed the main aspects of one of the most interesting phenomena
of light scattering by nanoparticles: the possibility to control its angular distribution
(directionality). As it has been shown, a general magneto-dielectric particle, with suitable
values of its relative optical constants (), could present directional effects resulting from a
coherent effect between real and imaginary parts of both electric and magnetic
polarizabilities. The control of this effect could improve the characteristics of many current
applications which employ nanoparticles. Also, it can be the base of new potential
applications related with light guidance in low dimensions, as for instance, intra- or inter-
chip optical communications (García-Cámara; 2011b). In addition, we showed that these
scattering effects also affect the radiation pressure on these small particles. Thus, the “non-
usual” scattering properties discussed before will strongly affect the dynamics of particle
confinement in optical traps and vortex lattices (Albaladejo et al., 2009b; Gómez-Medina et
al., 2011a; Albaladejo et al., 2011) governed by both gradient and curl forces.
Finally, we have showed that small dielectric particles made of non magnetic materials
present scattering properties similar to those previously reported for hypothetical magneto-
dielectric particles. In particular, it has been shown that submicrometer Germanium
particles present these directional phenomena in light scattering in the near-infrared range.
These studies could serve as a stimulus for new experiments which implement these non-
conventional phenomena.
7. Acknowledgment
This work has been supported by the EU NMP3-SL-2008-214107-Nanomagma, the Spanish
MICINN Consolider NanoLight (CSD2007-00046), FIS2010-21984, FIS2009-13430-C01-C02,
and FIS2007-60158, as well as by the Comunidad de Madrid Microseres-CM (S2009/TIC-
1476). B.G.-C. wants to express his gratitude to the University of Cantabria for his
postdoctoral fellowship. Work by R.G.-M. was supported by the MICINN “Juan de la
Cierva” Fellowship.
8. References
Albaladejo, S.; Marqués, M.I.; Laroche, M. & Sáenz, J.J. (2009). Scattering forces from the curl
of the spin angular momentum of a light field. Physical Review Letters Vol. 102, No.
11 (March 2009), pp. 113602, ISNN 0031-9007.
Albaladejo, S.; Marqués, M.I. & Sáenz, J.J. (2011). Light control of silver nanoparticle's
diffusion. NanoLetters, Vol. 9, No. 10 (October 2009), pp. 3527-3531, ISNN 1530-
6984.
Albaladejo, S.; Marqués, M.I. & Sáenz, J.J. (2011). Light control of silver nanoparticle's
diffusion. Optics Express, Vol. 19, No. 12 (June 2011), pp. 11471-11478, ISNN 1094-
4087.
Alù, A. & Engheta, N. (2011). How does forward-scattering in magnetodielectric
nanoparticles comply with the optical theorem? Journal of Nanophotonics, Vol. 4
(May 2010), pp. 041590, ISSN 1934-2608.
Anker, J.N.; Hall, W.P.; Lyandres, O.; Shan, N. C.; Zhao, J. & Van Duyne, R.P. (2008)
Biosensing with plasmonic nanosensors. Nature Materials, Vol. 7, No. 6, pp. 442-453,
ISSN 1476-1122.
Ashkin, A. (1970). Acceleration and Trapping of Particles by Radiation Pressure. Physical
Review Letters, Vol. 24, No. 4 (January 1970), pp. 156–159, ISNN 1079-7114.
Ashkin, A.; Dziedzic, J. M.; Bjorkholm, J. E. & Chu, S. (1986). Observation of a single-beam
gradient force optical trap for dielectric particles. Optics Letters, Vol. 11, No. 5 (May
1986), pp. 288–290, ISNN 0146-9592.
Bohren, C.F & Huffman, D.R. (Eds.). (1983). Absorption and Scattering of Light by Small
Particles, John Wiley& Sons, ISBN 0-471-05772-X, New York.
Burns, M.M.; Fournier, J.M. & Golovchenko, J.A. (1989). Optical Binding. Physical Review
Letters, Vol. 63, No. 12 (September 1989), pp. 1233–1236, ISNN 1079-7114.
Burns, M.M.; Fournier, J.M. & Golovchenko, J.A. (1990). Optical Matter: Crystallization and
Binding in Intense Optical Fields. Science, Vol. 249, No. 4970 (August 1990), pp.
749–754, ISNN 0036-8075.
Chaumet, P.C. & Nieto-Vesperinas, M. (2000). Coupled dipole method determination of the
electromagnetic force on a particle over a flat dielectric substrate. Physical Review B,
Vol. 61, No. 20 (May 2000), pp. 14119–14127, ISNN 1098-0121.
Chaumet, P.C. & Nieto-Vesperinas, M. (2000). Electromagnetic force on a metallic particle in
the presence of a dielectric surface. Physical Review B, Vol. 62, No. 16 (October 2000),
pp. 11185–11191, ISNN 1098-0121.
Chaumet, P.C. & Nieto-Vesperinas, M. (2001). Optical binding of particles with or without
the presence of a flat dielectric surface. Physical Review B, Vol. 64, No. 3 (June 2001),
pp. 035422–0354227, ISNN 1098-0121.
Chaumet, P.C.; Rahmani, A. and & Nieto-Vesperinas, M. (2002). Optical trapping and
manipulation of nano-objects with an apertureless probe. Physical Review Letters,
Vol. 88, No. 12 (March 2002), pp. 123601-123604, ISNN 1079-7114.
Chaumet, P.C. & Rahmani, A. (2009). Electromagnetic force and torque on magnetic and
negative-index scatterers. Optics Express, Vol. 17, No. 4 (February 2009), pp. 2224–
2234, ISNN 1094-4087.
Chýlek, P. & Pinnick, R.G. (1979). Nonunitarity of light scattering approximations. Applied
Optics, Vol. 18, No. 8 (April, 1979), pp.1123-1124, ISSN 1559-128X.
Draine, B.T. & Flatau, P.J. (1994). Discrete-dipole approximation for scattering calculations.
Journal of the Optical Society of America A, Vol. 11, No. 4 (April 1994), pp. 1491-1499,
ISSN 1084-7529.
Evlyyukhin, A.B.; Reinhardt, C.; Seidel, A.; Luk’yanchuk, B.S. & Chichkov, B.N. (2010).
Optical response features of Si-nanoparticle arrays. Physical Review B, Vol. 82, No. 4
(July 2010), pp. 045404, ISSN 1098-0121.
Gao, H.; Hyun, J.K.; Lee, M.H.; Yang, J.-C.; Lauhon, L.J. & Odom, T.W. (2010). Broadband
plasmonic microlenses based on patches of nanoholes. Nano Letters, Vol 10. No. 10
(September 2010), pp. 4111-4116, ISSN 1530-6984.
García-Cámara, B.; Saiz, J.M.; González, F. & Moreno, F. (2010). Nanoparticles with
unconventional properties: Size effects. Optics Communications, Vol. 283, No. 3
(February, 2010), pp. 490-496, ISNN 0030-4018.
García-Cámara B.; Saiz, J.M.; González, F. & Moreno, F. (2010). Distance limit of the
directionality conditions for the scattering of nanoparticles. Metamaterials, Vol. 4,
No. 1 (May 2010), pp. 15-23, ISSN 1873-1988.
García-Cámara, B.; Alcaraz de la Osa, R.; Saiz, J.M.; González, F. & Moreno, F. (2011).
Directionality in scattering by nanoparticles: Kerker’s null-scattering conditions
revisited. Optics Letters, Vol. 36, No. 5 (February, 2011), pp. 728-730, ISSN 0146-
9592.
García-Cámara, B. (2011), Inta-/Inter-chip optical communications: High speed and low
dimensions, In: Communication architecture for systems-on-chip, J.L. Ayala (Ed.), pp.
249-322, CRC Press, ISBN 978-1-4398-4170-9, Florida (USA).
García-Etxarri, A.; Gómez-Medina, R.; Froufe-Pérez, L.S.; López, C.; Chantada, L.; Scheffold
F.; Aizpurua, J.; Nieto-Vesperinas, M. & Sáenz, J.J. (2011). Strong magnetic response
of submicrometer silicon particles in the infrared. Optics Express, Vol. 19, No. 6
(February, 2011), pp. 4815-4826, ISSN 1094-4087.
Gómez-Medina, R.; San José, P.; García-Martín, A.; Lester, M.; Nieto-Vesperinas, M. &
Sáenz, J.J. (2001). Resonant radiation pressure on neutral particles in a waveguide
Physical Review Letters, Vol. 86, No. 19 (May 2001), pp. 4275-4277, ISNN 1079-7114.
Gómez-Medina, R. & Saénz J.J. (2004). Unusually Strong Optical Interactions between
Particles in Quasi-One-Dimensional Geometries. Physical Review Letters, Vol. 93,
No. 24 (December 2004), pp. 243602–243605, ISNN 1079-7114.
Gómez-Medina, R.; Nieto-Vesperinas, M. & Saénz J.J. (2011). Nonconservative electric and
magnetic optical forces on submicrometer dielectric particles. Physical Review A,
Vol. 83, No. 3 (March 2011), pp. 033825, ISSN 1050-2947.
Gómez-Medina, R.; García-Cámara, B.; Suárez-Lacalle, I.; González, F.; Moreno, F.; Nieto-
Vesperinas, M. & Saénz J.J. (2011). Electric and Magnetic dipolar response of
germanium nanospheres: interference effects, scattering anisotropy, and optical

forces. Journal of Nanophotonics , Vol. 5 (June, 2011), pp. 053512, ISSN 1934-2608.
Hemmerich A. & Hänsch, T.W. (1993). Two-dimesional atomic crystal bound by light.
Physical Review Letters, Vol. 70, No. 4 (January 1993), pp. 410–413, ISNN 1079-7114.
Jackson, J.D. (1998). Classical Electrodynamics, 3rd edition, John Wiley, New York.
Jessen, P.S.; Gerz, C.; Lett, P.D.; Phillips, W.D.; Rolston, S.L.; Spreeuw, R.J.C. & Westbrook,
C.I. (1992). Observation of quantized motion of Rb atoms in an optical field.
Physical Review Letters, Vol. 69, No. 1 (July 1992), pp. 49–52, ISNN 1079-7114.
Kemp, B.A.; Grzegorczyk, T.M. & Kong, J.A. (2005). Ab initio study of the radiation pressure
on dielectric and magnetic media. Optics Express, Vol. 13, No. 23 (November 2005)
pp. 9280-9291, eISNN 1094-4087.
Kemp, B.A.; Grzegorczyk, T.M. & Kong, J.A. (2006). Optical momentum transfer to
absorbing Mie particles. Physical Review Letters, Vol. 97, No. 13 (September 2006),
pp. 133902, ISNN 1079-7114.
Kemp, B.A.; Grzegorczyk, T.M. & Kong, J.A. (2006). Lorentz force on dielectric and magnetic
particles. Journal of Electromagnetics Waves and Applications, Vol. 20, No. 6 (June
2006), pp. 827–839, ISNN 0920-5071.
Kerker, M.; Wang, D. & Giles G. (1983). Electromagnetic scattering by magnetic spheres.
Journal of the Optical Society of America, Vol. 73, No. 6 (June, 1983), pp. 756-767, ISSN
0030-3941.
Lakhtakia, A. (2008) Radiation pressure efficiencies of spheres made of isotropic, achiral,
passive, homogeneous, negative-phase-velocity materials. Electromagnetics, Vol. 28,
No. 5 (June 2008), pp. 346–353, ISNN 0272-6343.
Lakhtakia A. & Mulholland, G.W. (1993). On two numerical techniques for light scattering
by dielectric agglomerated structures. Journal of Research of the National Institute
of Standards and Technology, Vol. 98, No. 6 (December 1993), pp. 699–716, ISNN
1044-677X.
Lock, J. A.; Hodges, J.T. & Gouesbet, G. (1995) Failure of the optical theorem for Gaussian-
beam scattering by a spherical particle. Journal of the Optical Society of America A,
Vol. 12, No. 12 (December 1995), pp. 2708–2715, ISSN 1084-7529.
Maier, S. A.; Kik, P. G.; Atwater, H. A.; Meltzer, S.; Harel, E.; Koel B. E. & Requicha, A. G.
(2003). Local detection of electromagnetic energy transport below the diffraction
limit in metal nanoparticle Plasmon waveguides. Nature Materials, Vol. 2, No. 4
(April 2003), pp. 229-232, ISSN 1476-1122.
Mansuripur, M. (2004). Radiation pressure and the linear momentum of the electromagnetic
field. Optics Express, Vol.12, No 22 (November 2004). pp. 5375–5401, eISNN 1094-
4087.
Mansuripur, M. (2007). Radiation pressure and the linear momentum of the electromagnetic
field in magnetic media. Optics Express, Vol. 15, No.21 (October 2007), pp. 13502-
13518, eISNN 1094-4087.
Mirin, N. A. & Halas, N. J. (2009).Light-bending nanoparticles. Nano Letters, Vol 9, No. 3
(February 2009), pp. 1255-1259, ISSN 1530-6984.
Neuman, K. C. & Block, S. M. (2004). Optical trapping. Review of Scientific Instruments, Vol.
75, No. 9 (September 2004), pp. 2787–2809, ISSN 0034-6748.
Nieto-Vesperinas, M. & García, N. Comment on “Negative refraction makes a perfect lens”.
Physical Review Letters, Vol. 91, No. 9 (August 2003), pp. 099702, ISSN 1079-7114.
Nieto-Vesperinas, M.; Chaumet, P.C. & Rahmani, A. (2004). Near field photonic forces.
Philosophical Transactions of the Royal Society of London A, Vol. 362, No. 1817
(February 2004), pp. 719–737, ISSN 1471-2962.
Nieto-Vesperinas, M.; Sáenz, J.J.; Gómez-Medina, R.; & Chantada, L. (2010). Optical forces
on small magnetodielectric particles. Optics Express, Vol. 18, No. 11 (May 2010), pp.
11428–11443, eISNN 1094-4087.
Nieto-Vesperinas, M.; Gómez-Medina, R. & Sáenz, J.J. (2011). Angle-suppressed scattering
and optical forces on submicrometer dielectric particles. Journal of the Optical Society
of America A, Vol. 28, No. 1 (December 2010), pp. 54–60, ISSN 1084-7529.
Novotny, L. & Hecht, B. (2006). Principles of Nano-Optics. Cambridge University Press,
Cambridge.
Palik, E.D. (Ed.). (1985), Handbook of Optical Constants of Solids, Academis Press, ISBN 0-12-
544420-6 , Orlando, Florida
Pendry, J.B.; Schuring D. & Smith D.R. (2006). Controlling electromagnetic fields. Science,
Vol. 312, N0. 5781 (June 2006), pp. 1780-1782, ISSN 0036-8075.
Pendry, J.B. (2000). Negative refraction makes perfect lens. Physical Review Letters, Vol. 85.
No. 18 (October 2000), pp. 3966-3969, ISNN 1079-7114.
Prasad, P. N. (2004). Nanophotonics, John Wiley& Sons, ISBN 0471649880, New York.
Shalaev, V.M. (2008). Transforming light. Science, Vol. 322, No. 5900 (October 2008), pp. 384-
386, ISSN 0036-8075.
Tatarkova, S.A.; Carruthers, A.E. & Dholakia, K. (2002). One-Dimensional Optically Bound
Arrays of Microscopic Particles. Physical Review Letters, Vol. 89, No. 28 (December
2002), pp. 283901–283904, ISNN 1079-7114.
Verkerk, P.; Lounis, B.; Salomon, C.; Cohen-Tannoudji, C.; Courtois, J.-Y. & Grynberg, G.
(1992). Dynamics and spatial order of cold cesium atoms in a periodic optical
potential. Physical Review Letters, Vol. 68, No. 26 (June 1992), pp. 3861–3864, ISNN
1079-7114.
Veselago, V. (1968). The electrodynamics of substances with simultaneously negative values
of  and SovietPhysics Uspekhi, Vol. 10, No. 4 (January 1968), pp. 509-514, ISNN
0038-5670.
Volpe, G. ; Quidant, R.; Badenes, G. & Petrov, D. (2006). Surface plasmon radiation forces.
Physical Review Letters, Vol. 96, No. 23 (June 2006), pp. 238101, ISNN 1079-7114.
Zemp, R. J. (2009) Nanomedicine:Detecting rare cancer cells. Nature Nanotechnology, Vol. 4,
No. 12 (December 2009), pp. 798-799, ISNN 1748-3387.
Zhedulev, N.I. (2010). The road ahead of metamaterials. Science, Vol. 328, No. 5978 (April,
2010), pp. 582-583, ISNN 0036-8075.
Zhu, J.; Ozdemir, S. K.; Xiao, Y.-F.; Li, L.; He, L.; Chen, D.- R. & Yang L. (2010). On-chip
single nanoparticle detection and sizing by mode splitting in an ultrahigh-Q
microresonator. Nature Photonics, Vol. 4, No. 1 (January, 2010), pp. 46-49, ISSN 1749-
4885.
14
Deexcitation Dynamics of a Degenerate

Two-Level Atom near (Inside) a Body
Gennady Nikolaev
1Institute of Automation and Electrometry, Siberian Branch,
Russian Academy of Sciences, Novosibirsk,
2Novosibirsk State University, Novosibirsk,
Russia
1. Introduction
It has long been known that atomic radiation processes near a macroscopic body differ from
those in free space substantially (Purcell, 1946). In particular, the lifetime of an excited state
of an atom or a molecule near surface (Arnoldus & George, 1988a;b; Barnes, 1998; Chance
et al., 1978; Drexhage et al., 1968; Ford et al., 1984; Fort & Grésillon, 2008; Garrett et al.,
2004; Hellen & Axelrod, 1987; Kreiter et al., 2002; Lukosz & Kunz, 1977; Macklin et al., 1996;
Milonni & Knight, 1973; Snoeks et al., 1995; Steiner et al., 2005; Yeung & Gustafson, 1996)
or in the vicinity of (or inside) a nanoparticle (Chew, 1987; 1988; Das & Metiu, 1985; Dung
et al., 2000; Gersten & Nitzan, 1981; Klimov, Ducloy & Letokhov, 1996; Klimov et al., 2001;
Klimov, Ducloy, Letokhov & Lebedev, 1996; Ruppin, 1982) may be increased or decreased
depending on specific conditions. This lifetime change is theoretically calculated in many
papers. These calculations made in a variety of ways. Nevertheless all of these papers can be
divided into two classes. The first class includes the papers that represent an excited atom as
a three-dimensional damped oscillator (Chance et al., 1978; Chew, 1987; 1988; Das & Metiu,
1985; Hellen & Axelrod, 1987; Klimov, Ducloy & Letokhov, 1996; Klimov, Ducloy, Letokhov &
Lebedev, 1996; Ruppin, 1982). The second class includes the papers that consider an excited
atom by means of quantum mechanics (Agarwal, 1975a;b; Arnoldus & George, 1987; 1988a;b;
Barnes, 1998; Dung et al., 2000; Wylie & Sipe, 1984; 1985; Yeung & Gustafson, 1996).
It is shown in the papers that are in the first class that the atomic oscillator rate of damping
take a different value in the case of radial and tangential orientation of the oscillating atomic
electric dipole. The magnitude of the rate of damping lies between these values in the case of
another atomic dipole orientation. However the atomic or molecule decay rate is measured by
the fluorescence detection after light pulse excitation of the atom or molecule. So, fluorescence
is two-step process, and hence, orientation of the oscillating atomic dipole in general is not the
same as exciting light polarization.
In the second class papers the problem of the atomic dipole orientation is either no discussed
explicitly or reduced to partitioning of the dipole matrix element on radial and tangential
parts as in the case of the classic atomic oscillator. The ratio between these two parts is either
no evaluated or assumed to be in the ratio 1:2 as in the case of free space. This approach
310
one cannot consider as correct because of anisotropy of the atomic surroundings. The remark
about fluorescence as two-step process mentioned above refers equally to the papers.
To rigorous description of the vector nature of the atomic dipole moment it is necessary to
take into account the atomic angular degrees of freedom, that is degeneracy of atomic levels.
As far as we know, it was done only in the papers (Arnoldus & George, 1987; 1988a;b). In
the papers the steady-state fluorescence of the atom near an axial symmetrical surface was
theoretically investigated and influence of the surface was expressed in terms of electric field
correlation function.
The purpose of the chapter is to present the correct description of deexcitation dynamics of a
degenerate two-level atom in the vicinity of arbitrary body.
We start with a quantum mechanical expression for the atomic deexcitation probability
expressed in terms of the normal correlation function of the atomic dipole moment operator
and the antinormal correlation function of the electric field strength operator. Then the
antinormal correlation function is expressed in terms of the field susceptibility by use of the
fluctuation-dissipation theorem. The atomic dipole moment operator as well as the atomic
density matrix operator is expressed in terms of irreducible tensor operators. Finally, it is
shown that the atomic deexcitation rate at the instant immediately after pulse excitation
is proportional to a linear combination of the products of the so-called atomic polarization
moments, population and alignment, and anisotropic relaxation matrix.
To find out deexcitation dynamics, a master equation for atomic density matrix is derived from
an evolution equation for the total density matrix describing both atom and field. A consistent
system of linear first-order ordinary differential equations for the atomic polarization
moments is obtained from the master equation. Components of the anisotropic relaxation
matrix describing the consistent system are expressed in terms of the field susceptibility
tensor. Symmetries of the anisotropic relaxation matrix are found. It is shown that atomic
deexcitation in general is multi-exponential. The simple exponential decay of the excited
energy level takes place only if its total angular momentum is less then one. Deexcitation
dynamics is considered in more detail for the case when the total angular momenta of the
upper and lower levels are equal to 1 and 0 respectively. It is shown that in this case
deexitation dynamics also may be exponential at certain polarizations of the exciting light.
In conclusion, an intriguing issue that is why the simple model of classical oscillating dipole
for description of fluorescence is in good agreement with observational evidence(Amos &
Barnes, 1997; Chance et al., 1978; Drexhage et al., 1968; Fort & Grésillon, 2008; Kreiter et al.,
2002; Snoeks et al., 1995; Vallée et al., 2001), is clarified.
2. Atomic transition rate of a degenerate two-level atom in the vicinity of a material

body
To investigate deexcitation of a degenerate two-level atom in the vicinity of a nanoparticle we
consider more general problem of deexcitation of the atom in the vicinity of a material body
at first.
Our approach to the problem is based on using correlation functions that appear in
linear-response theory. It is about the same as used in number of works (Agarwal, 1975a;
Wylie & Sipe, 1984) concerning the quantum electrodynamics and life time of a non-generate
atom near an interface. It is most of all close to approach developed in (Klyshko, 2011).
Deexcitation
Deexcitation DynamicsDynamics
of a Degenerate of a Degenerate
Two-Level Two-Level
Atom Near (Inside) a Body Atom near (Inside) a Body 3113
2.1 Transition rate in dipole approximation vs atomic and fluctuating electric field
correlation functions
We will assume that both the atom and the electromagnetic field are quantized.
Let the atom and the field be independent at the initial time moment t0 . Therefore at that
instant the quantum state of the system |mk i is equal to |m|k i , where |m, |k i are the initial
states of the atom and field, respectively. In the first order of the perturbation theory, the
amplitude cnk (t) of the transition into some state |nk is proportional to the matrix element
of the interaction operator V̂, nk|V̂ |mk i , where |n, |k are states of the atom and field at the
ˆ
final time moment t, respectively. In the dipole approximation, V̂ = −d(t)Eˆ (t), so,
t
1 ˆ
cnk = − dt nk|d(t )Eˆ (t )|mk i , (1)
ih̄
t0
ˆ
where the operators of the atomic dipole moment d(t) and the electric field strength Eˆ (t) are
considered in the interaction picture, i.e., without the account for the perturbation.
In the rotating-wave approximation (Allen & Eberly, 1975), we have
ˆ ˆ
− V̂ (t)≈d(−) (t)Eˆ (+) (t) + d(+) (t)Eˆ (−) (t), (2)
ˆ ˆ
where d(+) and Eˆ (+) are the positive-frequency parts of the operators, whereas d(−) and Eˆ (−)
are negative-frequency ones. At t − t0 ≡ T 1/ω̄, fast oscillating (with approximately twice
ˆ ˆ
the mean frequency ω̄) products d(+) Eˆ (+) and d(−) Eˆ (−) have no contribution into the integral
(1).
The initial atomic state |m has more high energy than the final atomic state |n for the
deexcitation process under consideration. That is why only the second term in (2) gives a
nonzero contribution for this process. Hence, the probability of the atomic deexcitation is
given by
t t
1 (−) (+)
P(nk |mk i ) = dt dt ∑m|dˆα (t )|nn|dˆβ (t )|m
h̄2 αβ
t0 t0
(+) (−)
× k i | Êα (t )|kk| Êβ (t )|k i , (3)
where we have used the equality r | Â(+) |s= s| Â(−) |r ∗ for the matrix element of an
operator Â between states |r and |s. We also have used the Greek letters in subscripts for the
notation of the Descartes’s components of the vector operators.
One should sum the expression (3) over all possible states |nk if we are not interested in what
specific state the system under consideration has came. These states constitute the complete
set and satisfy the completeness condition
∑ |nk nk| = I.ˆ (4)

nk
312
Thus we can represent the total probability of the atomic deexcitation in the following way
t t (−)
(+)
P = h̄−2 dt dt ∑ f αβ t , t gαβ t , t , (5)
t0 t0 αβ
where
(+) (−) (+)
f αβ t , t ≡ dˆα (t )dˆβ (t ) ,
(6)
(−) (+) (−)
gαβ t , t ≡ Êα (t ) Êβ (t )
are normally and anti-normally ordered correlation function (CF) of the atomic dipole
moment and the electric field strength in an initial state, respectively. The initial state may
be pure as well as mixed, of course.
We suppose that initial unperturbed states of both interacting systems are stationary. In this
case correlation functions (6) depend only on the difference of their arguments:
∗
(±) (±) (∓) (±) (±)
f αβ (τ ) ≡ f αβ (t, t + τ ) = dˆα (0)dˆβ (τ ) = f βα (−τ ) , (7)
∗
(±) (±) (∓) (±) (±)
gαβ (τ ) ≡ gαβ (t, t + τ ) = Êα (0) Êβ (τ ) = g βα (−τ ) . (8)
Hence, the total probability of the atomic deexcitation (5) becomes
T
(+) (−)
P = h̄−2 dτ ( T − τ ) ∑ f αβ (τ ) gαβ (τ ) + (τ → −τ ) , (9)
0 αβ
where T ≡ t − t0 is observation time. When it is much more then the atomic and field
correlation time, the total probability of the atomic deexcitation (9) becomes proportional to
T. So, atomic transition rate W ≡ P/T independent on time one may introduce
∞
(+) (−)
W = h̄−2 dτ ∑ f αβ (τ ) gαβ (τ ) , (10)
−∞ αβ
where limits of integration ± T are extended to ±∞. It is convenient rewrite (10) in terms of
the Fourier components of the correlation functions in the following way
∞
(+) (−)
W = 1/2πh̄2 dω ∑ f αβ (ω ) gαβ (−ω ) , (11)
−∞ αβ
where the Fourier transform A (ω ) of a function A (τ ) is defined by
∞
A (ω ) = dτ eiωτ A (τ ) . (12)
−∞
Deexcitation
Two-Level Two-Level
2.2 Transition rate in terms of electric field susceptibility

It is known that total correlation function is represented as a sum of normally and
anti-normally ordered correlation function in the case of stationary process. Indeed, the total
correlation function of the electric field strength may be written as

(+) (−) (+) (−)
gαβ (t, t + τ ) ≡ Êα (t) + Êα (t) Êβ (t + τ ) + Êβ (t + τ )

(s ) (s)
= ∑ Êα (t) Êβ (t + τ ) (13)
s ,s=±1
(s ) (s)
Expressing Êα (t) and Êβ (t + τ ) in terms of Fourier transforms, we obtain
∞ ∞
(s ) (s)
gαβ (t, t + τ ) ≡ (2π )−2 dω dωe−iωτ e−i(ω +ω )t ∑ Êα (ω ) Êβ (ω ) . (14)

s ,s=±1
−∞ −∞
Note, that
(s)
Êα (ω ) ≡ θ (sω ) Êα (ω ) (15)
by definition, where θ (ω ) is step function.
It is clear that (14) is independent on t only when expression in the angle brackets is
proportional to Dirac function:

(s ) (s) (s)
Êα (ω ) Êβ (ω ) ≡ 2πgαβ (ω ) δ ω + ω , (16)
(+)
where spectral density of the normally ordered correlation function gαβ (ω ) and
(−)
anti-normally ordered one gαβ (ω ) are introduced respectively. In turn, (16) and (15) imply
s = −s. Hence, in (14) only two terms are nonzero, and we have
(+) (−)
gαβ (τ ) = gαβ (τ ) + gαβ (τ ) . (17)
(±) (±)
Note that from (14), (16), and (17) it is follows that relationship between gαβ (ω ) and gαβ (τ )
(±)
is given by the ordinary formula (12). It is clear also that ordered correlation functions gαβ (ω )
are expressed in terms of the ordinary correlation function gαβ (ω ) similar to relation (15):
(±)
gαβ (ω ) = θ (±ω ) gαβ (ω ) (18)
At thermal equilibrium the correlation function gαβ (τ ) is simply related with symmetrized
correlation function { g}αβ (τ ) defined by
1 1
{ g}αβ (τ ) ≡ Êα (0) Êβ (τ ) + Êβ (τ ) Êα (0) = gαβ (τ ) + g βα (−τ ) . (19)
2 2
There is a simple Kubo-Martin-Schwinger’s boundary condition
g βα (−τ ) = gαβ (τ + ih̄ξ ) , (20)

314
where ξ ≡ 1/ (kT ), k and T are Boltzmann’s constant and temperature respectively. It is easily
proofed by using the invariance of the trace under a cyclic permutation of the operators:

g βα (−τ ) = Êβ (τ ) Êα (0) ≡ tr ρ̂0 ei Ĥτ/h̄ Êβ e−i Ĥτ/h̄ Êα

= Z −1 tr e−ξ Ĥ ei Ĥτ/h̄ Êβ e−i Ĥτ/h̄ Êα (21)

= Z −1 tr Êα ei(iξ +τ/h̄) Ĥ Êβ e−i(iξ +τ/h̄) Ĥ e−ξ Ĥ = gαβ (τ + ih̄ξ ) ,

where ρ̂0 = Z −1 e−ξ Ĥ is the thermal equilibrium density operator, Z = tr e−ξ Ĥ , and Ĥ is
unperturbed Hamiltonian of the system.
Using (20), we rewrite relation (19) as follows
1
{ g}αβ (τ ) = gαβ (τ ) + gαβ (τ + ih̄ξ ) . (22)
2
In turn, taking the Fourier transform, we obtain
1
{ g}αβ (ω ) = 1 + eh̄ωξ gαβ (ω ) . (23)
2
The Fourier transform of symmetrized correlation function { g}αβ (r,r ; ω ) is related with
dynamical value Gαβ (r,r ; ω ), the Fourier transform of the electric field susceptibility
Gαβ (r,r ; τ ), by the fluctuation-dissipation theorem as follows (Bernard & Callen, 1959; Callen
et al., 1952; Callen & Welton, 1951; Landau & Lifshitz, 1980)

1 ∗
h̄ωξ
{ g}αβ r,r ; ω = ih̄ Gβα r ,r; ω − Gαβ r,r ; ω coth , (24)
2 2
where tensor Gαβ (r,r ; ω ) relates Fourier transforms of the electric dipole dˆβ (r ; ω ) and
induced electric field Êα (r; ω ) as follows

Êα (r; ω ) = ∑ Gαβ r,r ; ω dˆβ (r ; ω ), (25)
β
and the electric field susceptibility tensor Gαβ (r,r ; τ ) is defined by
i

Gαβ r,r ; τ ≡ θ (τ ) Êα (τ ), Êβ (0) . (26)
h̄
Note that the same tensor Gαβ (r,r ; ω ) relates classical, not quantum, values Eα (r; ω ) and
d β (r ; ω ) by the same way (25). So it can be found from the solution of the classical
electrodynamic problem in the same condition.
Using (18), (23), and (24), we obtain

(−) 1 h̄ωξ ∗
gαβ (−ω ) = ih̄θ (ω ) 1 + coth Gβα r ,r; ω − Gαβ r,r ; ω , (27)

2 2
Deexcitation
Two-Level Two-Level
When there is no external magnetic field, tensor Gαβ (r,r ; ω ) is symmetrical one, and its
imaginary part is odd in ω. In this case (27) goes over into (Agarwal, 1975a)1

(−) h̄ωξ
gαβ (−ω ) = h̄θ (ω ) 1 + coth Gαβ r ,r; ω , (28)

2
We are interesting in only local field response because of point atom approximation used.
Substituting (28) in (11) we find
∞
(+) h̄ωξ
W = (1/2πh̄) dω ∑ f αβ (ω ) 1 + coth r0 ,r0 ; ω ) ,
Gαβ ( (29)
αβ
2
0
where r0 is radius vector of the atom.
2.3 Transition rate of a degenerate two-level atom

(+)
The explicit form of the atomic CF f αβ (ω ) depends on the atomic model used. Here we
consider a degenerate two-level atom. Its energy levels are degenerate on the total angular
momentum projection on any axis. Suppose the excited upper energy level m and lower one n
have quantum numbers Jm Mm and Jn Mn respectively, where Jj and M j label the total angular
momentum of the level j and its projection on the z-axis , respectively.
It is convenient describe vector or tensor values in terms of the circular components instead
of the Descartes’s one. The circular components vσ of a vector v, where σ = 0,±1, are related
with the Descartes’s one vi as follows (Varshalovich et al., 1988):
v0 = vz,
√
v±1 = ∓ v x ± vy / 2. (30)
The circular components of the atomic dipole operator can be expressed according to the
K ( J J ) in
Wigner-Eckart theorem in terms of the so-called unit irreducible tensor operators T̂Q m n
the following way (Biedenharn & Louck, 1981; Blum, 1996; Fano & Racah, 1959; Varshalovich
et al., 1988):
(+) dnm
dˆσ (t) = √ T̂σ1 ( Jn Jm ) exp(−iωmn t) ,
3
†
(−) (+)
dˆ σ (t) = (−1)σ dˆ −σ (t) , (31)
where dmn and ωmn are reduced matrix element of the atomic dipole moment and resonant
K ( J J ),
frequency of the atomic transition, respectively. The irreducible tensor operator T̂Q m n
where K and Q are its rank and component (−K Q K ) correspondingly, is defined as
(Biedenharn & Louck, 1981; Blum, 1996; Fano & Racah, 1959; Varshalovich et al., 1988)
K
T̂Q ( Jm Jn ) = ∑ (−1) Jn − Mn Jm Mm Jn − Mn |KQ| Jm Mm Jn Mn |, (32)
Mm ,Mn
where Jm Mm Jn − Mn |KQ is the vector coupling (Clebsch-Gordan) coefficient. Quantities Jm ,

Jn , and K of the coefficient obey triangle unequality, so | Jm − Jn | K Jm + Jn .
1 Definition of the ordered correlation functions in this paper differs from ours one by sign of the
argument τ and, hence in sign of ω.
316
2.3.1 Properties of irreducible tensor operators and density matrix multipole components
K ( J J ) are orthonormal in the following sense
The operators T̂Q

K†
K
tr T̂Q ( J J ) T̂Q ( J J ) ≡ ∑ J M |T̂QK ( J J )| J M J M|T̂QK† ( J J )| J M = δK K δQ Q , (33)
MM
K† ( J J ) is expressed in terms of T̂ K ( J J ) as follows

where the Hermitian conjugate operator T̂Q Q

T̂Q ( J J ) ≡ (−1) J − J −Q T̂−
K† K
Q ( J J ). (34)
Set of the operators T̂Q K ( J J ) is complete. So, density operator can be decomposed into
irreducible parts as follows

K
ρ̂ = ∑ ρKQ J J T̂Q ( J J ). (35)
J JKQ
In turn, coefficients ρKQ ( J J)

known as multipole components are expressed in terms of
K ( J J ) and density operator by using (33) and (32) in the following way
T̂Q

ρKQ J J = tr ρ̂ T̂Q
K†
( J J) = ∑ (−1) J − M J M J − M|KQ J M |ρ̂| J M. (36)
M M
It is seen that multipole components ρKQ ( J J ) satisfy the following relations similar to
relations (34):
∗
ρKQ J J = (−1) J − J −Q ρK −Q J J , (37)
so multipole components ρK0 ( J J ) is real. Note also that ρKQ ( J J ) transform under rotations
K† ( J J ) , and hence, are contravariant to T̂ K ( J J ) because of property (34).
like T̂Q Q
We are interesting only in states of the excited level m, so the relevant density operator ρ̂ ( Jm )
is
ρ̂ ( Jm ) = ∑ ρKQ ( Jm Jm ) T̂Q
K
( Jm Jm ). (38)
KQ
In this decomposition the rank K is in the range 0 K 2Jm as was noted after definition
(32). All multipole components ρKQ ( Jm Jm ) have clear physical sense (see, for example,
(Biedenharn
√ & Louck, 1981; Blum, 1996; Omont, 1977; Varshalovich et al., 1988)). In particular,
2Jm + 1ρ00 ( Jm Jm ) is equal to the total population of the level m, the ρ1Q ( Jm Jm )’s are the
three standard components of what is generally called “orientation” proportional to the mean
magnetic dipole of the state, and the ρ2Q ( Jm Jm )’s are the five standard components of the
“alignment” proportional to the mean electric quadrupole moment of the state.
2.3.2 Transition rate and material body symmetry

Finally, after some manipulation using the relations (7), (31), and (38), and also properties of
irreducible tensor operators, one can represent relation (29) in the form

1 h̄ωmn ξ
W=
2
1 + coth
2 ∑ γQK ρKQ ( Jm Jm ) , (39)
KQ
Deexcitation
Two-Level Two-Level
where
|dmn |2 1 1 K K
K
γQ ≡2 (−1) Jm + Jn G ( r0 ,r0 ; ωmn ) Q (40)
h̄ Jm Jm Jn

1 1 K
is irreducible relaxation tensor of the multipole ρKQ ( Jm Jm ), is 6 − j coefficient,
Jm Jm Jn
and [G (
K
r0 ,r0 ; ωmn )] Q is irreducible spherical tensor of the imaginary part of the electric field
susceptibility in the ω −representation. Irreducible spherical tensor GQ r0 ,r0 ; ωmn ) is related
K (
with circular components Gσσ ( r0 ,r0 ; ωmn ) as follows

K
GQ r0 ,r0 ; ωmn ) ≡
( ∑ 1σ1σ |KQGσσ (r0 ,r0 ; ωmn ). (41)
σσ
It is follows from properties of the Clebsch-Gordan coefficient 1σ1σ |KQ that 0 K 2.

Furthermore, symmetry of the tensor Gσσ ( r0 ,r0 ; ωmn ) under the interchange σ σ requires
that K have to be even, so K = 0, 2. In other words, deexcitation rate depends on the total
population of excited level (K = 0) and its alignment (K = 2). Their relative contribution
depends according to (39) and (40) on quantum numbers of combining levels m and n, on
the excitation type determining the value of ρKQ ( Jm Jm ), and on the atom surroundings by
GQ r0 ,r0 ; ωmn ). Let us consider these factors in more detail.
K (
As was noted after (38), K is in the range of values defining by 0 K 2Jm . Consequently,
if the total momentum Jm of the the excited level is equal to 0, or 1/2, there is no alignment
of the level. So, deexcitation is governed only by γ00 and does not depend on excitation type.
In the case of Jm > 1/2, the ratio of two deexcitation rates corresponding to some two fixed
excitation types, differing in initial values of ρKQ ( Jm Jm ), is not universal but depends on Jm ,
Jn .
One can diagonalize symmetrical tensor Gαβ ( r0 ,r0 ; ωmn ). Let us label its principal axes of
coordinate by X, Y, Z. In this proper basis only the following irreducible components of the
tensor G are not zero:
1 1
G00 = − √ tr (G) = − √ ( GXX + GYY + GZZ ) , (42)
3 3

2 1
G02 = GZZ − ( GXX + GYY ) , (43)
3 2
1
2 = ( G − GYY ) .
2
G± (44)
2 XX
As is seen from (44), components G± 2 = 0 if surroundings of the atom is axial symmetric
2
(symmetry axis along Z). In particular, this case is realized when atom is near a half-space
boundary or near a spherical particle.
When surroundings of the atom is isotropic, the only nonzero component of the tensor G is
G00 one. It is just the case of an isotropic infinite medium (in particular, vacuum) or when

1 1 0
atom is in the center of spherical particle or cavity. In this case (−1) Jm + Jn =
Jm Jm Jn

−1/ 3 (2Jm + 1) in (40). So, using relations (42), (40) we obtain from (39)

Jm
2 |dmn |2
Wis =
3 h̄ (2Jm + 1)
∑ Gii ∑ Jm Mm |ρ̂| Jm Mm . (45)
i = X,Y,Z M =− J m m
318
Since we are here interested primarily in atomic transition energies on the order of a Rydberg
h̄ωmn ξ
that implies 1 at room temperature, we have replaced the expression in square
2
brackets in Eq. (39) by 2. The total population of the upper level
Jm
∑ Jm Mm |ρ̂| Jm Mm = 1
Mm =− Jm
because we suppose that atom is excited on level m at the initial time. For free space (Barash,
1988; Lifshitz & Pitaevskii, 1980; Nikolaev, 2006), we have

ω 3
∑ Gii = 2 c
mn
. (46)
i = X,Y,Z
Substituting these two expressions in Eq. (45) we immediately obtain the well-known
expression for the radiative decay rate of the excited state of an isolated atom (see, i.e.,
(Berestetskii et al., 2008; Sobelman, 1972)) :
4 |dmn |2 ωmn 3
W0 = . (47)
3 h̄ (2Jm + 1) c
It should be noted that Eq. (39) describes deexcitation rate at the initial time moment just
following the excitation. Density matrix multipole components ρKQ ( Jm Jm ) will be changed
with the passage of time. It is reasonable to suggest that the expression opposite in sign to
the right-hand side of Eq. (39) describes the decrease of the upper level population per unit
of time. To prove the suggestion let us consider more general problem of the dynamics of the
density matrix multipole components caused by interaction of the atom with quantized field.
3. Master equations for the excited density matrix multipole components

3.1 Integro-differential equation for total density matrix operator
Let us consider a large isolated system consisting of an atom, material body and interacting
with them quantum electromagnetic field. Atomic surrounding, electromagnetic field and
material body that interact among themselves, we will treat as a large subsystem referred to
as the thermostat. In the interaction picture representation, the density matrix R̂ of the total
isolated system obeys the Liouville equation:
d R ˆ(t)
ih̄ = V̂ (t) , R̂ (t) , (48)
dt
where V̂ is the atom-field interaction operator that in the rotating-wave approximation is
given by Eq. (2). It is known that this equation can be rewritten in the integro-differential
form that is suitable for perturbation technique. Indeed, formal integrating this equation in
time, we obtain the integral equation:
t
R̂ (t) = R̂ (0) − (i/h̄) dt V̂ t , R̂ t . (49)
0
Deexcitation
Two-Level Two-Level
11
Substituting this expression into Eq. (48), we get the equation for the total density matrix
operator in the following form:
t
d R̂(t)
= (−i/h̄) V̂ (t) , R̂ (0) + (−i/h̄)2 dt V̂ (t) , V̂ t , R̂ t . (50)
dt
0
In Eqs. (49) and (50) the lower limit we took 0 since it is assumed that the thermostat and the
atom did not interact before this time moment because the atom was unexcited. Consequently,
until this moment the thermostat and the atom were uncorrelated, so the total density matrix
R̂ was equal to the direct product of the density matrices of the system:
R̂(0) = ρ̂(0)ρ̂th (0), (51)
where ρ̂ and ρ̂th are the density matrix operator of the atom and thermostat, respectively.
3.2 Large thermostat approximation

Following the paper (Fano & Racah, 1959) (see also (Blum, 1996)), we will suppose that
thermostat is always in the state of the thermal equilibrium because it has a large number of
degrees of freedom and, hence, atom almost do not changes its state. The supposition implies
that the total density matrix is always equal to the direct product of the density matrices of
the system:
R ˆ(t) = ρ̂(t)ρ̂th (0) (52)
This relation is referred to as the main condition of the irreversibility.
Substituting (52) in (50) and taking trace over thermostat variables, we get the equation for
the reduced atomic density matrix operator, ρ̂(t) ≡ trth R̂ (t),
t
dρ̂(t)
= −(i/h̄)trth V̂ (t) , ρ̂(0)ρ̂th (0) − (1/h̄)2 dt trth V̂ (t) , V̂ t , ρ̂(t )ρ̂th (0) . (53)
dt
0
3.3 Integro-differential equation for atomic multipole components

To obtain dynamics equation for atomic multipole components, we make use of relation (36).
K† ( J J ) and take trace over atomic variable.
Precisely, let us multiply both sides of (53) by T̂Q m m
So, we get
dρKQ ( Jm Jm ) (t)
= −(i/h̄)trall T̂QK† ( Jm Jm ) V̂ (t) , ρ̂(0)ρ̂th (0)
dt
t
−(1/h̄) 2
dt trall T̂Q
K†
( Jm Jm ) V̂ (t) , V̂ t , ρ̂(t )ρ̂th (0) , (54)
0
where trall stands for the trace over all isolated system variables including atomic and
thermostat one.
We will now transform this equation in such a way that terms include the trace of the product
of ρ̂(t )ρ̂th (0) by an operator.
320
To do this, we make use of the identity (Il’inskii & Keldysh, 1994)

tr Â Â1 , Â2 , · · · Âk , B̂ · · · = tr · · · Â, Â1 , Â2 · · · Âk B̂ (55)
which holds for arbitrary operators Â, Â1 , Â2 , · · · , B̂.

Using identity (55) and the atomic density matrix decomposition (35), we can rewrite (54) as
dρKQ ( Jm Jm ; t) i

=− ∑ ρK Q K†
J J; 0 trall T̂Q ( Jm Jm ), V̂ (t) T̂QK ( J J )ρ̂th (0)
dt h̄ J JK Q

t

1
− ∑ dt ρK Q J J; t trall K†
T̂Q ( Jm Jm ), V̂ (t) , V̂ t T̂QK ( J J )ρ̂th (0) . (56)
h̄2 J JK Q 0

Substituting in (56) the interaction Hamiltonian (2), using (31), and also taking into account
that scalar product dÊ in the circular basis (30) has the form ∑σ (−1)σ dσ E−σ , we obtain
t
dρKQ ( Jm Jm ; t) dmn dnm (−)
=− ∑ dt ρK Q J J; t ∑{eiωmn (t−t ) gαβ t − t Aαβ
dt 3h̄2 J JK Q 0
αβ

(+) (t−t ) (−) (+)

− gαβ t − t Bαβ + e−iωmn gαβ t − t Cαβ − gαβ t − t Bαβ }, (57)
(±)
where gαβ (τ ) are the ordered correlation functions of the fluctuating electromagnetic field
(8),

Aαβ ≡ ∑ (−1)σ+σ α|1 − σ β|1 − σ tr T̂Q K†
( Jm Jm ) T̂σ1 ( Jm Jn ) T̂σ1 ( Jn Jm ) T̂QK ( J J ) , (58)
σσ

Bαβ ≡ ∑ (−1)σ+σ α|1 − σ β|1 − σ tr T̂σ1 ( Jn Jm ) T̂QK† ( Jm Jm ) T̂σ1 ( Jm Jn ) T̂QK ( J J ) , (59)
σσ

Cαβ ≡ ∑ (−1)σ+σ α|1 − σ β|1 − σ tr T̂σ1 ( Jm Jn ) T̂σ1 ( Jn Jm ) T̂QK† ( Jm Jm ) T̂QK ( J J ) . (60)
σσ
In the definitions (58) – (60) symbols α|1 − σ and β|1 − σ are transformation matrices
from the circular components to the Descartes’s one, that are inverse of that given by (30), and
symbol tr {· · · } from now on stands for trace over atomic variables. Note that the linear on
V̂ (t) term in (56) vanishes
in our case because of the average fluctuated field is zero at the
thermal equilibrium: trth Êα ≡ Êα = 0.
(+) (−)
It should be noted that ratio of | gαβ (t − t )| to |gαβ (t − t )| is proportional to the mean
number of photons in the thermal equilibrium, n ph ∼ kT/h̄ωmn 1. Therefore terms that
(+)
proportional to gαβ (t − t ) can be ignored in (57).
3.4 Master equation for multipole components in Markov-type approximation

(±)
Fluctuating field correlation functions gαβ (t − t ) are nonzero only for the sufficiently small
time difference |τ | ≡ |t − t | comparable with the typical field correlation time τc . We will
Deexcitation
Two-Level Two-Level
13
assume following (Loisell, 1973) that this correlation time is much less then typical variation
times of the atomic multipole components. Thus, in the case of free space the lifetime of

the atomic excited state much more than τc ≈ 1/ωmn . So, we can replace ρK Q ( J J; t ) by

ρK Q ( J J; t) and to take it out of the integral in (57). It is so-called Markov-type approximation.

K ( J J ) incoming in (58) and (60) are nonzero only if J = J =
It is also important to note that T̂Q
Jm because of its definition (32) and invariance of the trace under a cyclic permutation of the
operators.
Taking into account assumptions mentioned above, property (8), and by making the change
of variable τ ≡ t − t in integration, we can represent (57) as
dρKQ ( Jm Jm ; t) dmn dnm

∗
dt
=−
3h̄2
∑

∑ Iβα (ωmn ) Aαβ + Iαβ (ωmn ) Cαβ ρK Q ( Jm Jm ; t) , (61)
K Q αβ
where
∞
(−)
Iαβ (ωmn ) ≡ dτgαβ (τ )e−iωmn τ . (62)
0
(±)
In (62) we extended upper limit from t to ∞ because of gαβ (τ ) is in fact zero at τ τc . The
error of this replacement is negligible in Markov-type approximation.
Now we will show that integral (62) is expressed in terms of retarded Green function
(−)
Gαβ (r,r ; ωmn ). To prove that, let as consider Fourier transform gαβ (−ωmn ) of the function
(−)
gαβ (τ ) defined by (12):
∞
(−) (−)
gαβ (−ωmn ) = dτgαβ (τ ) e−iωmn τ (63)
−∞
Let us split this integral into two parts
0 ∞
(−) (−) −iωmn τ (−)
gαβ (−ωmn ) = dτgαβ (τ ) e + dτgαβ (τ ) e−iωmn τ . (64)
−∞ 0
Making the change of variable in integration τ → −τ in the first integral and utilizing relation
(8), we can rewrite (64) as
∞ ∗ ∞
(−) (−) (−)
gαβ (−ωmn ) = dτ g βα (τ ) eiωmn τ + dτgαβ (τ ) e−iωmn τ . (65)
0 0
The second integral in (65) is just equal to Iαβ (ωmn ), and the first one to its complex
conjugation. So, (65) can be rewritten as follows
(−) ∗
gαβ (−ωmn ) = Iαβ (ωmn ) + Iβα (ωmn ) . (66)
322
Now comparing right-hand sides of (66) and (27), we obtain desired relation

1 h̄ωmn
Iαβ (ωmn ) = −ih̄ 1 + coth Gαβ r,r ; ωmn (67)
2 2kT
It is yet mentioned after (37) that multipole components ρKQ ( J J ) transform under rotations
K ( J J ). It is convenient to introduce co-variant multipole components
contravariant to T̂Q

Q ( J J ) by convention
ρK

∗
J − J −Q K−Q
Q J J ≡ (−1)
ρK ρ J J = ρKQ J J . (68)
In these notations, making use of (67) and explicitly calculating traces in (58) and (60), one can
finally represent (61) as follows 2
Q (t)
dρK
dt
= −γ0 ∑

QQ ρ Q ( t ) ,
ΓKK K
(69)
KQ
where
4 |dmn |2 ωmn 3
γ0 = W0 = (70)
3 h̄ (2Jm + 1) c
is radiation decay rate of the excited degenerate state of the atom in vacuum, dimensionless

relaxation tensor ΓKK
QQ can be represented as follows:

QQ = γQQ + iΔ QQ ,
ΓKK KK KK
(71)

where γQQ
KK and ΔKK are in general complex.
QQ

Geometrical part of γQQ
KK and ΔKK is represented by Clebsch-Gordan coefficient and
QQ
dynamical one is proportional to retarded Green function:

∑ K Q LM|KQG M KK L γ(KK L, Jm Jn ),
L
=
KK
γQQ (72)
LM

QQ =
ΔKK ∑ K Q LM|KQGM
L
KK L γ(KK L, Jm Jn ), (73)
LM
L (KK L) are
where scalar coefficient γ(KK L, Jm Jn ) and irreducible tensors G M (KK L) and G
L
M

3
γ(KK L, Jm Jn ) = (−1)K + Jn − Jm (2Jm + 1) (2K + 1) (2L + 1) (74)
2

K K L 1 1 L
× ,
Jm Jm Jm Jm Jm Jn
L
G M KK L = ∑ 1σ1σ | LM1σ|α1σ | β G αβ KK L , (75)
αβσσ

L KK L =
G ∑ 1σ1σ | LM1σ|α1σ | βGαβ KK L , (76)
M
αβσσ
2 hereinafter for simplicity we omit the dependence of ρKQ on Jm : ρKQ (t) ≡ ρKQ ( Jm Jm ; t)
Deexcitation
Two-Level Two-Level
15
and
1

ω 3
G αβ KK L = Gβα (ωmn ) + (−1)K +K − L Gαβ
mn
(ωmn ) / , (77)
2 c

αβ KK L = 1 G (ωmn ) − (−1)K +K − L G (ωmn ) / ωmn .
3
G βα αβ (78)
2 c
Symbol G and G in (77) and (78) denotes real and imaginary part of G, respectively, and
symbols 1σ|α and 1σ | β are transformation matrices from the Descartes’s components to
the circu lar one, that given by (30).
3.4.1 Relaxation matrix symmetry
Note that G αβ (KK L) and G αβ (KK L), and consequently, G LM (KK L) and G L (KK L), are
M

symmetrical with respect to K and K . As for the scalar γ(KK L, Jm Jn ), it changes upon
permutation of K and K as follows

2K + 1
γ(KK L, Jm Jn ) = (−1)K −K γ(K KL, Jm Jn ) (79)
2K + 1
because of invariance of 6 − j symbol as regard to permutation of its columns.
Although tensor G αβ in general has no symmetry with respect to permutation of subscripts,
αβ (KK L) have one, as one can see from (77) and (78),
tensors G αβ (KK L) and G

G αβ KK L = (−1)K +K − L G βα KK L , (80)

αβ KK L = − (−1)K +K − L G
G βα KK L . (81)
L
Irreducible tensors G M (KK L) and G L (KK L) in general are complex. Using relation
M
∗ σ
1σ|α = (−1) 1 − σ|α and Clebsch-Gordan coefficients symmetry, one can show that

∗
L
G M KK L = (−1) L+ M G − M KK L ,
L
(82)

∗
L KK L
G M = (−1) L+ M GL
− M KK L . (83)
This relations allow to find the following symmetry of the relaxation matrix components

∗
KK KK
γQQ = (−1)K −K +Q−Q γ− Q− Q , (84)
∗

KK
ΔKK
QQ = (−1)K −K +Q−Q Δ− Q− Q . (85)
On the other hand, from hermiticity of density matrix and equation (69) it is easy to obtain

∗
KK
ΓKK
QQ = (−1)Q−Q Γ− Q− Q , (86)

that can be rewrite in terms of γQQ
KK and ΔKK as follows
QQ

∗
KK KK
γQQ = (−1)Q−Q γ− Q− Q , (87)

∗
KK
ΔKK
QQ = − (−1)Q−Q Δ− Q− Q . (88)
324

KK is different from zero only for even K + K . Similarly,
Comparing (84) and (87) shows that γQQ

QQ is different from zero only for odd K + K .
comparing (85) and (88) shows that ΔKK
These properties can be find more straightforward from symmetries (80) and (81) and
definitions (75) and (76) that yield
L L
G M KK L = (−1)K +K G M KK L , (89)

L KK L = (−1)K +K +1 G
G L KK L . (90)
M M
Taking into account these properties that we can reformulate as K + K is even for G αβ (KK L)
and odd for G αβ (KK L), one can see from (80) and (81) that part of G αβ which is symmetrical
with respect to permutation of subscripts makes a contribution to G αβ (KK L) and to
αβ (KK L), and hence to ΓKK , only when L is even. As for antisymmetrical part of Gαβ ,
G QQ

it contributes to ΓKK
QQ only when L is odd.
When tensor Gαβ is symmetrical (i.e., no external magnetic field), the form of tensor
αβ (KK L) is simplified
G αβ (KK L) as well of tensor G
3
c
G αβ KK L = δL,2l δK +K ,2n
Gαβ , (91)
ωmn
3
c
αβ KK L = δL,2l δK +K ,2n+1
G Gαβ
, (92)
ωmn
L L (KK L) are also simplified
where n and l are integer. As a consequence, G M (KK L) and G M
3
L c L
G M KK L = δL,2l δK +K ,2n G M, (93)
ωmn
3
c L
L KK L = δL,2l δK +K ,2n+1
G G M. (94)
M
ωmn
As stated above (see Eqs. (42) -(44) ), in this case there are only four nonzero components of
L in the proper coordinate system.
GM

There is additional symmetry of the relaxation tensor ΓKK
QQ in the case. Using the fact that
L L (KK L) are symmetrical with respect to K and K , evenness of L, relation
G M (KK L) and G M
(79) and also Clebsch-Gordan coefficient symmetry K Q LM |KQ = (−1) L+ M 2K 2K +1
+1 K −
QLM|K − Q , one can obtain

K −K + Q− Q K K
QQ = (−1)
ΓKK Γ − Q − Q (95)
that we can rewrite using (86) as follows

∗
K −K
QQ = (−1)
ΓKK ΓK K
Q Q . (96)

This is just the symmetry of ΓKK
QQ relative to time reversal (Omont, 1977) that is natural in the
absence of magnetic field.
Deexcitation
Two-Level Two-Level
17
In case of the atomic surroundings is axial symmetrical in addition, there are only two nonzero
components of G M L in the proper coordinate system, G0 and G2 . Therefor, only irreducible
0 0
L
tensors G0 (KK L) and G L (KK L) are nonzero and real in the system (see relations (82) and
0

(83), and (93) and (94)). Consequently, only γQQ
KK and ΔKK are also nonzero and real (see
QQ
relations (72 and (73)), hence,
KK
QQ = δQ,Q Γ QQ .
ΓKK (97)

QQ is real for even K + K , imaginary for odd K + K and
So, in this case ΓKK

KK
Γ00 =0 (98)
for odd K + K because of the following Clebsch-Gordan coefficient symmetry

K 0L0|K0 = (−1)K + L−K K 0L0|K0. (99)
4. Deexcitation dynamics
Deexcitation of upper level is given by (69) with K = Q = 0
dρ00 (t) K
= −γ0 ∑ Γ0K 0Q ρ Q ( t ) . (100)
dt K Q

Hereinafter we suppose that there is no external magnetic field. In this case γ0 Γ0K 0Q =
√
K / 2J + 1, where γK is defined by (40), multiplier (−1) Q transforms covariant
(−1)Q γ− Q m − Q
√
component ρK into contravariant one ρK −Q and denominator 2Jm + 1 reflect the fact that
Q
√
the right-hand side of (100) is variation in time of ρ00 , not of population that is 2Jm + 1ρ00
as in (39). To obtain temporal variation of the deexcitation, it is necessary to solve consistent

differential equations, involving along with Eq. (100) also differential equations for ρK Q ( t ),
incoming in its right-hand side.
Let us restrict themselves to the case of axial symmetrical atomic surroundings.
As it mentioned above, this case include half-space boundary and spherical particle. From
(97), (98), (100), and also (99), it is follows that consistent differential equations, describing
deexcitation dynamics in the proper coordinate system, include only multipole components
with even K and Q = 0. The number of such components is [ Jm ] + 1 because of 0 K 2Jm
as noted above (symbol [ Jm ] here and further denotes the integer part of Jm ). As the relevant
KK are real in our case, from (96) we obtain that they are symmetrical relative to K and K
Γ00

KK
Γ00 = Γ00
KK
. (101)

KK is ([ J ] + 1) × ([ J ] + 2) /2.
Hence, the number of different relevant components Γ00 m m
As is known , the general solution of [ Jm ] + 1 consistent linear homogeneous differential

equations is given by a linear combination of [ Jm ] + 1 their eigen vectors, each of them varies
in time exponentially with its own rate. The rates are eigen values of the consistent equations.
The number of the eigen values is also in general equal to [ Jm ] + 1. So, the atomic deexcitation
is also usually expressed as a linear sum of [ Jm ] + 1 exponentials.
326
In fact, the eigenvalues are relaxation rates of populations of magnetic sublevels | Jm ± M

in the case under consideration. Indeed, relevant multipole components ρ0K incoming in the
consistent differential equations, describing deexcitation dynamics, are linear combination
of the populations of the sublevels | Jm M (see (36)). In addition, the sublevels | Jm M and
| Jm − M are transformed one into another (with the sign (−1) P , where P is parity of the
level m) under reflection in any plane through the symmetry axis (Landau & Lifshitz, 1977).
Consequently, the relaxation rates of these sublevels are equal. So, the number of different
relaxation rates is [ Jm ] + 1 as stated above with respect to the eigenvalues.
4.1 Deexcitation dynamics in the case of Jm = 1, Jn = 0

Let us consider in more detail the case when the angular momentums are Jm = 1 and Jn = 0.
In the case under study, deexcitation dynamics is described by only two equations
dρ00 (t)
00 ρ0 ( t ) + Γ00 ρ0 ( t ) ,
= −γ0 Γ00 0 02 2
(102)
dt
dρ20 (t)
00 ρ0 ( t ) + Γ00 ρ0 ( t ) .
= −γ0 Γ02 0 22 2
(103)
dt
The eigen values γ± of the consistent equations are
γ± = γ0 [Γ+ ± Γ] , (104)
and fundamental solution matrix are

⎛ ⎞
Γ− − γ− t + 1 + Γ − e − γ+ t Γ02 −γ t
1 − e 00
− e − + e − γ+ t
1⎜ Γ Γ Γ ⎟
S(t) = ⎜ ⎝ ⎟,
⎠
2 Γ00
02 Γ− Γ−
− e − γ− t + e − γ+ t 1+ e − γ− t + 1 − e − γ+ t
Γ Γ Γ
(105)
where dimensionless Γ± and Γ are defined as
1 00
Γ± = Γ00 ± Γ22
00 , (106)
2

2
Γ = (Γ− )2 + Γ0200 . (107)
Specific solution column of the consistent equations (102)-(103), corresponding to initial

conditions given by column c = col (ρ00 (0) , ρ20 (0)) , is obtained by multiplication of
fundamental solution matrix on the right by column c.
It is known that the excited atomic states that are produced by the absorption of anisotropic
resonance light are strongly polarized (Alexandrov et al., 1993; Happer, 1972; Omont, 1977).
This atomic polarization results from the directionality or polarization of the light beam. So,
immediately after excitation there are nonzero both ρ00 (0) and ρ20 (0).
However, let us consider the simplest case of isotropic excitation, when there is only
population ρ00 (0) on the upper level at the instant after excitation. So, the solution column
Deexcitation
Two-Level Two-Level
19
in the case is given by

⎛ ⎞
Γ− − γ− t + 1 + Γ − e − γ+ t
1⎜
1 − e ⎟ 0
ρ00 (t) , Γ Γ
= ⎜ ⎟ ρ (0) . (108)
ρ20 (t) , 2⎝ Γ02 − γ − γ
⎠ 0
00
−e − t +e + t
Γ
In the case under consideration that is Jm = 1, Jn = 0, dimensionless√ relaxation matrix
elements are following: Γ00 = ( 1/2 )( c/ω ) 3 tr( G ), Γ02 = −( 2/2)( c/ω )3 ( G − G ),
√ 00 mn 00 mn ZZ XX
00 = Γ00 − Γ00 / 2. So, relevant dimensionless Γ± and Γ are
Γ22 00 02
3
3 c
Γ+ = GZZ + GXX , (109)
4 ωmn
3
1 c
Γ− = − GZZ − GXX , (110)
4 ωmn
3
3 c
Γ= GZZ − GXX . (111)
4 ωmn
Substituting (109)-(111) into (105), we obtain
−γ t − γ+ t
√ −γ t − γ+ t

√ 2e −γ t+ e −γ t 2−eγ t − −e γ t
1 − −
S(t) = . (112)
3 2 e − −e + e − + 2e +
Eigen values γ± in the case are

3
3 c
γ+ = GZZ , (113)
2 ωmn
3
3 c
γ− = GXX . (114)
2 ωmn
In the case under consideration (i.e., Jm = 1, Jn = 0) it is possible such excitation conditions
that upper level deexcitation is pure exponential. Such cases only three.
In the first case the atom is excited by light with linear polarization that is collinear to the
symmetry axis. Such light excites only one upper sublevel with angular momentum projection
on the symmetry axis JmZ = 0. In this case the initial conditions column is given by
0
ρ0 (0) 1 1
√
c0 ≡ = √ ρ00 (0),
ρ20 (0) 3 − 2
where ρ00 (0) is population of the sublevel mentioned above. If we multiply fundamental
solution matrix (112) on the right by column c0 , we get the variation in the time of the
population and alignment of the upper level:
0
ρ0 ( t )
= c0 e − γ + t
ρ20 (t)
In the second case the atom is excited by circular polarized light that propagates along
symmetry axis. Now the only upper sublevel with angular momentum projection on the
328
symmetry axis JmZ = +1 (or JmZ = −1 for the opposite circular polarization) is excited.
Initial conditions column in the case is given by
0
ρ0 (0) 1 1√
c1 ≡ = √ ρ11 (0), (115)
ρ0 (0)
2
3 1/ 2
where ρ11 (0) is population of the exited sublevel. The solution corresponding to this column
is 0
ρ0 ( t )
= c1 e − γ − t . (116)
ρ20 (t)
Lastly, in the third case the atom is excited by light with linear polarization that is orthogonal
to the symmetry axis. It has been known that such polarization can be represented by the
sum of the opposite circular polarization with the same amplitude, rotating in the plane that
is orthogonal to the symmetry axis. This case is reduced to the previous one because of only
two upper sublevels with angular momentum projection on the symmetry axis JmZ = ±1
are excited independently with equal probability, and hence ρ11 (0) = ρ−1−1 (0). The rates of
decay of the both excited sublevels into the only low state are equal due to axial symmetry.
Deexcitation dynamics in the case also given by (116).
These three exceptional cases of simple exponetial deexcitation can be physically interpreted
as follows. In every case the excited state transforms to the only low state by means of one
channel. The decay itself is induced by the optical transition oscillating dipole that arises
due to interaction of the excited atom with the electric field quantum oscillations. Both the
direction of the dipole oscillation and the direction of the exciting light polarization are the
same due to the one and the same channel of excitation and deexcitation (see Fig. 1).
(a) Exciting light is linear polarized along (or (b) Exciting light is circular polarized and
transversely to) the symmetry axis passing propagates along the symmetry axis that is
through the atom and body; Z – axis is along Z – axis
(or transversely to) this axis
Fig. 1. Exceptional polarizations of the exciting light that led to the pure exponential decay of
the excited atomic state (ω and ω f are frequencies of the exciting light and fluorescence
respectively)
Precisely owing to this fact, experimental results of the measurement of the decay of the
fluorescence signal (Amos & Barnes, 1997; Chance et al., 1978; Drexhage et al., 1968; Fort &
Grésillon, 2008; Kreiter et al., 2002; Snoeks et al., 1995; Vallée et al., 2001) are in good agreement
Deexcitation
Two-Level Two-Level
21
with the simple model of the classic scattering dipole, in spite of the fact that fluorescence is
the two-step process, rather than scattering.
It should be noted that consistent equations (102)-(103) describe deexcitation dynamics also in
the case Jm = 1, Jn = 1, or Jm = 1, Jn = 2, and also in the case Jm = 3/2, Jn = 1/2, and either
Jm = 3/2, Jn = 3/2, or Jm = 3/2, Jn = 5/2. Of course, specific values of the dimensionless
00 , Γ00 , and Γ00 in these cases differ from considered above.
Γ00 02 22
It should be pointed out too that in the case Jm = 3/2 and Jn = 1/2 there is the only
exciting light polarization, namely linear polarization along symmetry axis, that leds to the
pure exponential decay of the excited state because of the relaxation rate equality of the excited
sublevels (JmZ = ±1/2) due to the axial symmetry.
5. Conclusions
In the chapter we have proposed a general approach to the problem of deexcitation of a
degenerate two-level atom near (inside) a body. On the basis of the approach the master
equation for density matrix in the polarization moments representation was obtained.
We have shown that relaxation dynamics of a polarization moment is described in general by
a consistent linear equations for all 2Jm + 1 polarization moments of the excited level, where
Jm is the total momentum of the level. We have expressed relaxation matrix elements of the
consistent linear equations in terms of the field response tensor that can be found as the electric
field of the classic oscillating unit dipole situated near the body.
We have found symmetry of the relaxation matrix.
An additional relaxation matrix symmetry is recognized in the case when there is no external
quasistatic magnetic field, and as a result, the field response tensor is symmetrical one.
Therefore, the tensor may be diagonalized. We have shown that relaxation matrix depends
only on the trace of the field response tensor, on the difference between the most principal
value of the diagonal response tensor and the half-sum of two others, and also on the
difference between these two.
Axial symmetric atomic surroundings gives rise to one more additional symmetry of the
relaxation matrix. In this case it depends only on the trace of the field response tensor and
on the difference between its two principal values.
We have shown that deexcitation dynamics of the degenerate two-level atom in the conditions
under consideration represents multiexponential decay. In the case of the axial symmetric
atomic surroundings, the number of the exponential is equal to [ Jm ] + 1, where [ Jm ] is the
integer part of Jm . So, the simple exponential decay of the atomic excitation is possible only in
two cases, namely, when Jm = 0 or Jm = 1/2. We have shown that simple exponential decay of
the atomic excitation is also possible in the case of Jm = 1, Jn = 0 and on special polarizations
of exciting light, namely on the linear polarization that is collinear or orthogonal to the axial
symmetry axis, and on the circular polarizations rotating in the plane that is orthogonal to the
symmetry axis. In this exceptional cases both the excitation and decay of the corresponding
upper states follow the one and the same respective channel. Simple exponential decay of
the atomic excitation is possible too in the case Jm = 3/2 and Jn = 1/2 when exciting light
polarization is linear oriented along symmetry axis.
Our analysis have carried out in the absence of hyperfine structure on the combine energy
levels. However, it can be easily expanded straightforward on general case by expanding
330
quantum states irreducible basis of the total momentum, including both the total electronic
momentum and the nuclear spin, into the direct product of states irreducible bases of the
the nuclear spin and the electronic momentum. Just the late basis is involved into the
electromagnetic interaction in the course of the allowed optical transition.
We have considered situation when degenerate two-level atom is situated in the vicinity of a
body. Nevertheless, it is clear from the consideration that our treatment is more general and
results obtained are true for an atom embedded in any anisotropic medium.
6. References
Agarwal, G. S. (1975a). Quantum electrodynamics in the presence of dielectrics and
conductors. I. electromagnetic-field response functions and black-body fluctuations
in finite geometries, Phys. Rev. A 11(1): 230–242.
Agarwal, G. S. (1975b). Quantum electrodynamics in the presence of dielectrics and
conductors. IV. general theory for spontaneous emission in finite geometries, Phys.
Rev. A 12: 1475–1497. URL: http://link.aps.org/doi/10.1103/PhysRevA.12.1475
Alexandrov, E. B., Chaika, M. P. & Khvostenko, G. I. (1993). Interference of atomic states,
Springer-Verlag, Berlin, New York.
Allen, L. & Eberly, J. H. (1975). Optical Resonance and Two-Level Atoms, John Wiley and Sons,
New York—London—Sydney—Toronto.
Amos, R. M. & Barnes, W. L. (1997). Modification of the spontaneous emission rate of Eu3+
ions close to a thin metal mirror, Phys. Rev. B 55: 7249–7254.
URL: http://link.aps.org/doi/10.1103/PhysRevB.55.7249
Arnoldus, H. F. & George, T. F. (1987). Quantum theory of atomic fluorescence near a metal
surface, J. Chem. Phys. 87(8): 4263–4272. URL: http://dx.doi.org/10.1063/1.452884
Arnoldus, H. F. & George, T. F. (1988a). Spontaneous decay and atomic fluorescence near a
metal surface or an absorbing dielectric, Phys. Rev. A 37: 761–769.
URL: http://link.aps.org/doi/10.1103/PhysRevA.37.761
Arnoldus, H. F. & George, T. F. (1988b). Symmetries of spontaneous decay for atoms near any
surface, Surface Science 205(3): 617–636.
URL: http://www.sciencedirect.com/science/article/pii/0039602888903056
Barash, S. (1988). Van der Waals Forces, Nauka, Moscow. [in Russian].
Barnes, W. L. (1998). Fluorescence near interfaces: The role of photonic mode density, Journal
of Modern Optics 45(4): 661–699.
URL: http://www.tandfonline.com/doi/abs/10.1080/09500349808230614
Berestetskii, V., Lifshitz, E. & Pitaevskii, L. (2008). Quantum Electrodynamics,
Butterworth-Heinemann, Oxford.
Bernard, W. & Callen, H. B. (1959). Irreversible thermodynamics of nonlinear processes and
noise in driven systems, Rev. Mod. Phys. 31(4): 1017–1044.
Biedenharn, L. C. & Louck, J. D. (1981). Angular Momentum in Quantum Physics. Theory and
Application, Addison-Wesley, Massachusetts.
Blum, K. (1996). Density Matrix Theory and Applications, 2nd edn, Plenum Press, New York.
Callen, H. B., Barasch, M. L. & Jackson, J. L. (1952). Statistical mechanics of irreversibility,
Phys. Rev. 88: 1382–1386. URL: http://link.aps.org/doi/10.1103/PhysRev.88.1382
Callen, H. B. & Welton, T. A. (1951). Irreversibility and generalized noise, Phys. Rev. 83: 34–40.
URL: http://link.aps.org/doi/10.1103/PhysRev.83.34
Deexcitation
Two-Level Two-Level
23
Chance, R. R., Prock, A. & Silbey, R. (1978). Molecular fluorescence and energy transfer near
interfaces, in I. Prigogine & S. A. Rice (eds), Advances in Chemical Physics, Vol. 37,
Wiley, New York, pp. 1–65.
Chew, H. (1987). Transition rates of atoms near spherical surfaces, The Journal of Chemical
Physics 87(2): 1355–1360. URL: http://link.aip.org/link/?JCP/87/1355/1
Chew, H. (1988). Radiation and lifetimes of atoms inside dielectric particles, Phys. Rev. A
8(7): 3410–3416.
Das, P. & Metiu, H. (1985). Enhancement of molecular fluorescence and photochemistry by
small metal particles, J. Phys. Chem. 89(22): 4680–4687.
Drexhage, K., Kuhn, H. & Schafer, F. (1968). Variation of fluorescence decay time of a molecule
in front of a mirror, Berichte Der Bunsen-Gesellschaft Fur Physikalische Chemie 72(2): 329.
Dung, H. T., Knöll, L. & Welsch, D.-G. (2000). Spontaneous decay in the presence of dispersing
and absorbing bodies: general theory and application to a spherical cavity, Phys. Rev.
A 62: 053804. URL: http://link.aps.org/doi/10.1103/PhysRevA.62.053804
Fano, U. & Racah, G. (1959). Irreducible Tensorial Sets, Academic Press, New York.
Ford, G. W., & Weber, W. H. (1984). Electromagnetic interactions of molecules with metal
surfaces, Phys. Rep. 113: 195.
Fort, E. & Grésillon, S. (2008). Surface enhanced fluorescence, Journal of Physics D: Applied
Physics 41(1): 013001.
URL: http://stacks.iop.org/0022-3727/41/i=1/a=013001
Garrett, S. H., Wasey, J. A. E. & Barnes, W. L. (2004). Determining the orientation of the
emissive dipole moment associated with dye molecules in microcavity structures,
Journal of Modern Optics 51(15): 2287–2295.
Gersten, J. & Nitzan, A. (1981). Spectroscopic properties of molecules interacting with small
dielectric particles, The Journal of Chemical Physics 75(3): 1139–1152.
URL: http://link.aip.org/link/?JCP/75/1139/1
Happer, W. (1972). Optical pumping, Rev. Mod. Phys. 44: 169–249.
URL: http://link.aps.org/doi/10.1103/RevModPhys.44.169
Hellen, E. H. & Axelrod, D. (1987). Fluorescence emission at dielectric and metal-film
interfaces, J. Opt. Soc. Am. B 4(3): 337–350.
URL: http://josab.osa.org/abstract.cfm?URI=josab-4-3-337
Il’inskii, Y. A. & Keldysh, L. V. (1994). Electromagnetic Response of Material Media, Plenum Press,
New York.
Klimov, V. V., Ducloy, M. & Letokhov, V. S. (1996). Spontaneous emission rate and level shift
of an atom inside a dielectric microsphere, J. Modern Opt. 43(3): 549–563.
Klimov, V. V., Ducloy, M. & Letokhov, V. S. (2001). Spontaneous emission of an atom in the
presence of nanobodies, Quantum Electron. 31(7): 569–586.
Klimov, V. V., Ducloy, M., Letokhov, V. S. & Lebedev, P. N. (1996). Radiative frequency shift
and linewidth of an atom dipole in the vicinity of a dielectric microsphere, J. Modern
Opt. 43(11): 2251–2268.
Klyshko, D. (2011). Physical Foundations of Quantum Electronics, World Scientific Publishing
Company.
Kreiter, M., Prummer, M., Hecht, B. & Wild, U. P. (2002). Orientation dependence of
fluorescence lifetimes near an interface, J. Chem. Phys 117(20): 9430–9433.
URL: http://dx.doi.org/10.1063/1.1515732
Landau, L. D. & Lifshitz, E. M. (1977). Quantum Mechanics: Non-Relativistic Theory, third edn,
Pergamon Press, Ltd., New York.
332
Landau, L. D. & Lifshitz, E. M. (1980). Statistical Physics, part 1, third edn, Pergamon Press,
Ltd., New York.
Lifshitz, E. M. & Pitaevskii, L. (1980). Statistical physics : pt. 2: theory of the condensed state, Vol. 9
of Course of Theoretical Physics, third edn, Pergamon Press, Ltd., New York.
Loisell, W. H. (1973). Quantum Statistical Properties of Radiation, Wiley, New York.
Lukosz, W. & Kunz, R. E. (1977). Light emission by magnetic and electric dipoles close to a
plane interface. i. total radiated power, J. Opt. Soc. Am. 67(12): 1607–1615.
URL: http://www.opticsinfobase.org/abstract.cfm?URI=josa-67-12-1607
Macklin, J. J., Trautman, J. K., Harris, T. D. & Brus, L. E. (1996). Imaging and time-resolved
spectroscopy of single molecules at an interface, Science 272(5259): 255–258.
URL: http://www.sciencemag.org/content/272/5259/255.abstract
Milonni, P. & Knight, P. (1973). Spontaneous emission between mirrors, Optics Communications
9(2): 119 – 122.
URL: http://www.sciencedirect.com/science/article/pii/0030401873902393
Nikolaev, G. N. (2006). Effective transfer of light energy to a nanoparticle by means of a
resonance atomic lens, JETP 102(3): 394–405.
Omont, A. (1977). Irreducible components of the density matrix: application to optical pumping, 5
in Progress in quantum electronics, Pergamon Press, pp. 69–138 .
URL: http://books.google.com/books?id=TmrRQgAACAAJ
Purcell, E. M. (1946). Spontaneous emission probabilities at radio frequencies, Phys. Rev.
69(11-12): 681.
Ruppin, R. (1982). Decay of an excited molecule near a small metal sphere, J. Chem. Phys.
76(4): 1681.
Snoeks, E., Lagendijk, A. & Polman, A. (1995). Measuring and modifying the spontaneous
emission rate of erbium near an interface, Phys. Rev. Lett. 74: 2459–2462.
URL: http://link.aps.org/doi/10.1103/PhysRevLett.74.2459
Sobelman, I. I. (1972). Introduction to the theory of atomic spectra, Vol. 40 of International series of
monographs in natural philosophy, Pergamon Press, Oxford, New York.
Steiner, M., Schleifenbaum, F., Stupperich, C., Failla, A. V., Hartschuh, A. & Meixner,
A. J. (2005). Microcavity-controlled single-molecule fluorescence, Chem. Phys. Chem.
6: 2190 – 2196.
Vallée, R., Tomczak, N., Gersen, H., van Dijk, E., García-Parajó, M., Vancso, G. & van Hulst,
N. (2001). On the role of electromagnetic boundary conditions in single molecule
fluorescence lifetime studies of dyes embedded in thin films, Chemical Physics Letters
348(3–4): 161–167.
URL: http://www.sciencedirect.com/science/article/pii/S0009261401011198
Varshalovich, D. A., Moskalev, A. N. & Khersonskii, V. K. (1988). Quantum Theory of Angular
Momentum, World Scientific Pub Co Inc.
Wylie, J. M. & Sipe, J. E. (1984). Quantum electrodynamics near an interface, Phys. Rev. A
30(3): 1185–1193.
Wylie, J. M. & Sipe, J. E. (1985). Quantum electrodynamics near an interface. II, Phys. Rev. A
32(4): 2030–2043.
Yeung, M. S. & Gustafson, T. K. (1996). Spontaneous emission near an absorbing dielectric
surface, Phys. Rev. A 54: 5227–5242.
URL: http://link.aps.org/doi/10.1103/PhysRevA.54.5227
Part 3
Properties and Applications

0
15
Thermal Property Measurement

of Al2 O3 -Water Nanofluids
Fei Duan
School of Mechanical and Aerospace Engineering, Nanyang Technological University
Singapore
1. Introduction
Fluids have been applied in the cooling in the most important industries including
microelectronics, manufacturing, metrology, etc. With increasing thermal loads that require
advances in cooling the new higher power output devices with faster speeds and smaller
feature, the conventional heat transfer fluids, such as water, engine oil, ethylene glycol,
etc., demonstrate the relative low heat transfer performance. The use of solid particles as
an additive suspended in the base fluid is a potential alternative technique for the heat
transfer enhancement, i.e. thermal conductivity of metallic or nonmetallic solids might
have two orders of magnitude higher than the conventional fluids. The enhancement
of thermal conductivity of conventional fluids with the suspension of solid particles,
such as micrometer-sized particles, has been well known for more than 100 years (Choi,
1995). However, the conventional micrometer-sized particle liquid suspensions require high
concentrations (>10%) of particles to achieve such an enhancement. Because they have the
rheological and stability problems such as sedimentation, erosion, fouling, and pressure drop
in flow channels, the fluids with the micrometer-sized particle have not been of interest for
practical applications. The recent advance in materials technology has made it possible to
produce nanometer-sized particles that can overcome these above problems. The innovative
fluids suspended with nanometer-sized solid particles can change the transport and thermal
properties of the base fluid, and make the fluid stable.
Modern nanotechnology can produce materials with average particle sizes below 50 nm. All
solid nanoparticles with high thermal conductivity can be used as additives of nanofluids.
These nanoparticles that have been usually used in the nanofluids include: metallic particles
(Cu, Al, Fe, Au, Ag, etc.), and nonmetallic particles (Al2 O3 , CuO, Fe3 O4 , TiO2 , SiC,
carbon nanotube, etc.). The base media of nanofluids are usually water, oil, acetone,
decene, ethylene glycol, etc. (Li et al., 2009). A 40% increase in thermal conductivity was
found in the Cu oil-based nanofluids with 0.3% volume concentration, while the Al2 O3
water-based nanofluids exhibited a 29% enhancement of thermal conductivity for the 5%
volume concentration nanofluids (Eastman et al., 1997).
The Al2 O3 nanoparticles were selected to prepare the water-based nanofluids in this study
due to their chemical stability. Preparation of nanofluids is the key step in the use of
nanoparticles for stable nanofluids. Two kinds of methods have been employed in producing
nanofluids: the single-step method and the two-step method. The single-step method is
a process combining the preparation of nanoparticles with the synthesis of nanofluids, for
which the nanoparticles are directly prepared by the physical vapor deposition technique
336
or the liquid chemical method (Choi, 1995; Eastman et al., 1997). The processes of drying,
storage, transportation, and dispersion of nanoparticles can be avoided, so the aggregation
of nanoparticles is minimized and the stability of fluids is increased. But a disadvantage
of the method is that only low vapor pressure fluids are compatible with the process. It
limits the applications of the method. The two-step method for preparing nanofluids is a
process by dispersing nanoparticles into base liquids. Eastman et al. (1997), Lee et al. (1999),
and Wang et al. (1999) used this method to produce the Al2 O3 nanofluids. Nanoparticles
used in the method are firstly produced as a dry powder by inert gas condensation, chemical
vapor deposition, mechanical alloying, or the other suitable techniques before the nano-sized
powder is then dispersed into a fluid in the second processing step. This step-by-step method
isolates the preparation of the nanofluids from the preparation of nanoparticles. As a result,
aggregation of nanoparticles may take place in both the steps, especially in the process
of drying, storage, and transportation of nanoparticles. The aggregation would not only
result in the settlement and clogging, but also affect the thermal properties. The techniques
such as ultrasonic agitation or the addition of surfactant into the fluids are often used to
minimize particle aggregation and improve dispersion behavior. Since nanopowder synthesis
techniques have already been commercialized, there are potential economic advantages in
using the two-step synthesis method. But an important problem that needs to be solved is the
stabilization of the suspension to be prepared.
Nanofluids are a new class of solid-liquid composite materials consisting of solid
nanoparticles, with sizes typically in the order of 1 - 100 nm, suspending in a heat transfer
liquid. Nanofluids are expected to have superior properties compared to conventional
heat transfer fluids. The much larger relative surface area of nanoparticles should not
only significantly improve heat transfer capabilities (Xie et al., 2001), but also increase
the stability of the suspensions. In addition, nanofluids can improve abrasion-related
properties as compared to the conventional solid/fluid mixtures. Successful applications of
nanofluids would support the current trend toward component miniaturization by enabling
the design of smaller but higher-power heat exchanger systems (Keblinski et al., 2005). The
thermal properties including thermal conductivity, viscosity, and surface tension have been
investigated.
1.1 Thermal conductivity of nanofluids

Since the model reported by Maxwell (1892), the classical models have been derived by
Hamilton & Crosser (1962), Bruggeman (1935), and Xuan & Li (2000) for predicting the
effective thermal conductivity of a continuum mixture with the assumed well-dispersed
solid particles in the base fluid. The Maxwell model was developed to determine the
effective thermal conductivity of liquid-solid suspensions for a low volumetric concentration
of spherical particles. This model is applicable to statistically homogeneous low volume
fraction liquid-solid suspensions with randomly dispersed and uniform spherical particles
in size. For non-spherical particles, the thermal conductivity of the nanofluids depends
not only on the volume fraction of the particles, but also on the shape of the particles.
Hamilton & Crosser (1962) modified the Maxwell model to determine the effective thermal
conductivity of nonspherical particles by applying a shape factor for the effective thermal
conductivity of two-component mixtures. The Hamilton-Crosser model considers the
nanoparticle aggregation. For spherical particles, the Hamilton-Crosser model reduces to
the Maxwell model. In the Bruggeman model, the mean field approach is used to analyze
the interactions among the randomly distributed particles (Bruggeman, 1935). The model by
Xuan & Li (2000) is not specified for any particular shape of particles. However, the classical
Thermal Property
Measurement of Al2O3-Water Nanofluids
of Al2 O3 -Water Nanofluids 3373
models were found to be unable to predict the anomalously high thermal conductivity of
nanofluids. This might be because these models do not include the effects of particle size,
interfacial layer at the particle/liquid interface, and the Brownian motion of particles (Jang
& Choi, 2004; Keblinski et al., 2002; Wang et al., 1999; Yu & Choi, 2003). Recently, Yu & Choi
(2003) proposed a modified Maxwell model to account for the effect of the nano-layer by
replacing the thermal conductivity of solid particles with the modified thermal conductivity
of particles, which is based on the so called effective medium theory (Schwartz et al., 1995).
The model can predict the presence of thin nano-layers less than 10 nm in thickness. Yu & Choi
(2004) proposed a modified Hamilton-Crosser model to include the particle-liquid interfacial
layer for nonspherical particles. The model can predict the thermal conductivity of the carbon
nanotube-in-oil nanofluids reasonably well. However, it fails to predict the nonlinear behavior
of the effective thermal conductivity of general oxide and metal based nanofluids. Xue (2003)
presented a model for the effective thermal conductivity of nanofluids considering the effect
of the interface between the solid particles and the base fluid based on the Maxwell model
and the average polarization theory. Xue (2003) demonstrated that the model predictions
were in a good agreement with the experiments of the nanotube oil-based nanofluids at high
thermal conductivity and nonlinearity. However, Yu & Choi (2004) found that the predicted
values from the model by Xue are inaccurate by using two incorrect parameters, as same
as the finding of Kim et al. (2004). Xue & Xu (2005) obtained an equation for the effective
thermal conductivity based on the Bruggeman model (Bruggeman, 1935). The equation takes
account of the effect of interfacial shells by replacing the thermal conductivity of nanoparticles
with the assumed value of the "complex nanoparticles", which introduces interfacial shells
between the nanoparticles and the base fluids. The model can explain the size dependence
of the thermal conductivity of nanofluids (Xuan & Li, 2000). Xie et al. (2001) considered
the interfacial nano-layer with the linear thermal conductivity distribution and proposed
an effective thermal conductivity model to account for the effects of nano-layer thickness,
nanoparticles size, volume fraction, and thermal conductivities of fluids, and nanoparticles.
They claimed that the calculated values could agree well with some available experimental
data.
Temperature is one of the important factors influencing the thermal conductivity of nanofluids
(Das et al., 2003; Li & Peterson, 2006; Yang & Han, 2006). Xuan et al. (2003) considered
the Brownian motion of suspended nanoparticles on the basis of the Maxwell model. The
prediction from the model is in an agreement with the experiment results, especially when the
effect of nanoparticle aggregation is taken into account. But the model may be not accurate
for the second term in the equation. Wang et al. (2003) proposed a fractal model for predicting
the thermal conductivity of nanofluids based on the effective medium approximation and
the fractal theory, developed firstly by Mandelbrot (1982). It can describe the disorder
and stochastic process of clustering and polarization of nanoparticles within the mesoscale
limit. A comprehensive model considering a large enhancement of thermal conductivity in
nanofluids and its strong temperature dependence was deduced from the Stokes-Einstein
formula by Kumar et al. (2004). The thermal conductivity enhancement takes into account of
the Brownian motion of the particles. However, the validity of the model in the molecular size
regime has to be explored and it may not be suitable for a large concentration of the particles
where interactions of particles become important. Bhattacharya et al. (2004) developed a
technique to compute the effective thermal conductivity of a nanofluid using the Brownian
motion simulation. They combined the liquid conductivity and particle conductivity. The
model showed a good agreement of the thermal conductivity of nanofluids. Jang & Choi
(2004) combined four modes of energy transport in the nanofluids, collision between base
fluid molecules, thermal diffusion of nanoparticles in fluids, collision between nanoparticles
338
due to the Brownian motion, and thermal interaction of dynamic nanoparticles with the base
fluid molecules in their model, which considered the effects of concentration, temperature,
and particle size. The predictions from this model agree with the experimental data of Lee et
al. (1999) and Eastman et al. (2001). However, it may not be suitable in the high temperature
since the Brownian motion effect was neglected. Prasher et al. (2005) proposed that the
convection caused by the Brownian motion of nanoparticles is primarily responsible for the
enhancement in the effective thermal conductivity of nanofluids. By introducing a general
correlation for the heat transfer coefficient, they modified the Maxwell model by including
the convection of the liquid near the particles due to the Brownian motion. The result showed
that the model matched well with the experimental data under different fluid temperature
in a certain range. A model for nanofluids, which takes account the effects of particle size,
particle volume fraction and temperature dependence as well as properties of the base fluid
and the particle subject to the Brownian motion, developed by Koo & Kleinstreuer (2004).
Although many models have been proposed, no theoretical models are available for
predicting the thermal conductivity of nanofluids universally up to now. More experimental
data are required. Such data should include more studies of the effects of size and shape
of the nanoparticles, the interfacial contact resistance between nanoparticles and base fluids,
the temperature dependence, the effect of the Brownian motion, or the effect of clustering of
particles.
Experimental works have been reported on the thermal conductivity of nanofluids. The
main techniques are the transient hot wire (THW) method (Kestin & Wakeham, 1978), the
temperature oscillation technique (Wang et al., 1999), and the steady-state parallel-plate
method (Das et al., 2003). Among them, the TWH method has been used most extensively.
Since most nanofluids are electrically conductive, a modified hot-wire cell with an electrical
system was proposed by Nagasaka & Nagashima (1981). The advantage of the method is its
almost complete elimination of the effect of natural convection. The measuring principle of
the THW technique is based on the calculation of the transient temperature field around a thin
hot wire as a line source. A constant current is supplied to the wire to raise its temperature.
The heat dissipated in the wire increases the temperature of the wire as well as that of the
nanofluids. This temperature rise depends on the thermal conductivity of the nanofluids in
which the hot wire is at the center. Therefore, the thermal conductivity value of the fluid
can be determined. The oscillation method was proposed by Roetzel et al. (1990) and further
developed by Czarnetzki & Roetzel (1995). In principle, the thermal diffusivity of a fluid
can be measured very accurately by considering amplitude attenuating of thermal oscillation
from the boundary to the center of the fluid. However, for direct measurement of thermal
conductivity one has to consider the influence of the reference materials as well. Since the
defects of the reference materials might bring out the uncertainty in the thermal conductivity
measurement, a direct evaluation of the thermal conductivity of the fluid is less accurate.
The apparatus for the steady-state parallel-plate method can be constructed on the basis of
the design by Challoner & Powell (1956). The steady-state parallel-plate method needs to
measure the temperature increase accurately in each thermocouple (Das et al., 2003). The
difference in temperature readings needs to be minimized when the thermocouples are at the
same temperature. In this method, it has to follow the assumption that there is no heat loss
from the fluid to the surrounding. As a result, guard heaters would be applied to maintain a
constant temperature in the fluid. However, it is challenging to control the conditions in which
no heat radiated to the surrounding from the fluid. Thus, the TWH method was selected for
this study.
Thermal Property
1.2 Viscosity of nanofluids

Viscosity of nanofluids is an important parameter in the fluid transporting. However, the data
collected showed that no theoretical models (Batchelor, 1977; Brinkman, 1952; Einstein, 1906;
Frankel & Acrivos, 1967; Graham, 1981; Lundgren, 1967) succeed in predicting the viscosity
of nanofluids accurately until now. A few theoretical models were used to estimate particle
suspension viscosities. Almost all the formulae were derived from the pioneering work of
Einstein (1906), which is based on the assumption of a linearly viscous fluid containing the
dilute, suspended, and spherical particles. The Einstein formula is found to be valid for
relatively low particle volume fractions less than 0.01. Beyond this value, it underestimates
the effective viscosity of the mixture. Later, many works have been devoted to the "correction"
of his formula. Brinkman (1952) has extended the Einstein formula for use with moderate
particle concentration. Lundgren (1967) proposed an equation under the form of a Taylor
series. Batchelor (1977) considered the effect of the Brownian motion of particles on the bulk
stress of an approximately isotropic suspension of rigid and spherical particles. Graham
(1981) generalized the work of Frankel & Acrivos (1967), but the correlation was presented
for low concentrations. Almost no model mentioned could predict the viscosity of nanofluids
in a wide range of nanoparticle volume fraction so far. According to these correlations the
effective viscosity depends only on the viscosity of the base fluid and the concentration
of the particles, whereas the experimental studies show that the temperature, the particle
diameter, and the kind of nanoparticle can also affect the effective viscosity of a nanofluid.
A good understanding of the rheological properties and flow behavior of nanofluids is
necessary before nanofluids can be commercialized in the heat transfer applications. These
factors influencing the viscosity include concentration, size of nanoparticles, temperature of
nanofluids, shear rate, etc. Thus, more thorough investigations should be carried out on the
viscosity of nanofluids.
In the measurement, the rotational rheometer, the piston-type rheometer, and the capillary
viscometer are the most popular tools used to measure the viscosity of nanofluids. Rotational
rheomters use the method that the torque required to turn an object in a fluid is a function of
the viscosity (Chandrasekar et al., 2010). The relative rotation determines the shear stress
under different rates. The advantage of this type of measurement is it is not affected by
the flow rate of the fluids. The operation is simple and high repeatable. The piston type
rheometer is based on the Couette flow inside a cylindrical chamber (Nguyen et al., 2007). It
composes the magnetic coils installed inside a sensor body. These coils are used to generate
a magnetically-induced force on a cylindrical piston that moves back and forth over a very
small distance, imposing shear stress on the liquid. By powering the coils with a constant
force alternatively, the elapsed time corresponding to a round trip of the piston can then
be measured. Since the measurement of the piston motion is in two directions, variations
due to gravity or flow forces are minimized. Because of the very small mass of the piston,
the induced magnetic force would exceed any disturbances due to vibrations. However, the
piston type viscometer is that the duration of the heating phase necessary to raise the fluid
sample temperature is relative long, especially under the elevated temperature condition,
some base fluids may be evaporated. The capillary viscometer is introduced in U-shaped
arms (Li et al., 2007). The capillary viscometer is submerged in a glass water tank. A water
tank is maintained at a prescribed constant temperature for the capillary viscometer by the
water circulation. The vertical angle of the viscometer is accurately controlled with a special
tripod. Li et al. (2007) pointed out that the capillary tube diameter may influence the apparent
viscosity and result in inaccurate in the nanofluids at higher nanoparticle mass fractions,
especially at a lower temperature. In addition, nanoparticles might stain at the inner wall of
340
the bore. Because of the narrow diameter, cleaning is difficult if the nanoparticles are left. In
our study, we adopted the rotational rheometer to measure the viscosity of nanofluids because
of its simplicity and repeatability.
1.3 Surface tension of nanofluids

Interfacial properties such as surface tension play an important role for the fluids having
a free surface, however, the studies of the interfacial properties of nanofluids are limited.
An understanding of nanofluid properties is essential so that we can optimize the usage of
nanofluids and understand their limitations. The temperature dependence of surface tension
of the liquid is crucial in the bubble or droplet formation. Wasan & Nikolov (2003) studied the
spreading of nanofluids on solid surfaces and found that the existence of nanoparticles near
the liquid/solid contact line can improve its spreading. Vafaei et al. (2009) investigated the
effects of size and concentration of nanoparticles on the effective gas-liquid surface tension of
the aqueous solutions of the bismuth telluride nanoparticles. Kumar & Milanova (2009) found
that the single-walled carbon nanotube suspensions in a boiling environment can extend the
saturated boiling regime and postpone catastrophic failure of the materials even further than
that previously reported if the surface tension of the nanofluids is carefully controlled. The
surface tension of a liquid strongly depends on the presence of contaminants or dispersion
agents such as surfactants.
Pendant droplet analysis is a convenient way to measure surface tension of fluids. It is
assumed that the droplet is symmetric and the drop is not in motion. The advantage of the
technique is that the calibration is straightforward, only based on the optical magnification.
This can lead to a high accuracy. Another advantage is that the cleanliness requirement is not
high. Surface tension is determined by fitting the shape of the droplet to the Young-Laplace
equation which relates surface tension to droplet shape. Pantzali et al. (2009) used the pendant
droplet method to measure the surface tension of the CuO water-based nanofluids. The other
common method to measure surface tension is the capillary method (Golubovic et al., 2009).
The main component of the device is a capillary tube in which the liquids would show a
significant rise with a meniscus due to the surface tension in order to balance the gravity force.
The disadvantage of the capillary method is that cleaning is difficult if the nanoparticles are
left in the small diameter capillary. Thus, the pendant drop technique was selected in this
study.
In sum, the reported thermal property measurement are scattered, and lack of agreement with
the models. It might be due to various factors such as the measuring technique, particle size,
base fluid, volume fraction of nanoparticles in fluids, temperature, etc. The lack of reliable
experimental data is one of the main reasons for no universal theoretical or empirical models.
Therefore, we investigated the thermal properties of the Al2 O3 water-based nanofluids. The
thermal conductivity, viscosity, and surface tension were measured. The effects of particle
volume fraction, temperature and particle size were discussed at the end of experiments.
2. Experimental procedure
2.1 Preparation of Al2 O3 nanofluids
As discussed by Kwek et al. (2010), different sizes of the Al2 O3 nanoparticles and
the surfactant, Cetyltrimethylammonium Bromide (CTAB), were purchased from Sigma
Nanoamor and Aldrich respectively. During the experiments, we dispersed the Al2 O3
nanoparticles with an average diameter of 25 nm and particle density of 3.7 g/cm3 into 100
Thermal Property
ml of the de-ionized water to prepare the different volume concentrations (1%, 2%, 3%, 4%,
and 5%). Oxide-particle volume concentrations are normally below 5% in order to maintain
moderate viscosity increases. To investigate the particle size effect on the thermal conductivity
and viscosity, additional four sets of nanofluids each with a constant volume concentration of
5% but with different particle sizes (10 nm, 35 nm, 80 nm and 150 nm) were prepared. Sample
preparation is carried out by using a sensitive mass balance with an accuracy of 0.1 mg. The
volume fraction of the powder is calculated from the weight of dry powder using the density
provided by the supplier and the total volume of the suspension.
m/ρ
vol% = (1)
100mlwater + m/ρ
where m and ρ are the mass and density of the Al2 O3 nanoparticles respectively.
The surfactant, CTAB with the density is 1.3115 g/cm3 at volume percentage of around
0.01-0.02 can stabilize the nanofluids (Sakamoto et al., 2002). The amount of 0.01 vol % CTAB
was added into the Al2 O3 water-based nanofluids to keep the nanoparticles well dispersed in
the base fluid, water.
The nanofluid was then stirred by a magnetic stirrer for 8 hours before undergoing
ultrasonicfication process (Fisher Scientific Model 500) for one and a half hours. This is to
ensure uniform dispersion of nanoparticles and also to prevent the nanoparticles from the
aggregation in the nanofluids.
2.2 Thermal conductivity measurement of Al2 O3 nanofluids

In the study, we adopted the THW technique for measuring thermal conductivity, as shown
in Fig. 1. The setup consists of a direct current (DC) power supply, a Wheatstone bridge
Switch PC
Vs
R2 (50Ω) R3 (2.7Ω)
R
R4 (5.62Ω)
Wheatstone
DC
o
Power DAQ
Stabililzer
Vg
bridge
Rw
R1 (100Ω)
Ω) (2.37Ω)
Thermostat
water bath
Fig. 1. Schematics of the THW setup (Kwek et al., 2010).

circuit, and a thin platinum wire surrounded by a circular nanofluid container, which is
maintained by a thermostat bath. The DC power supply provides a constant voltage source to
the Wheatstone bridge circuit at a constant rate to allow a uniform increment of temperature
with respect to time. As the resistors used in this experiment have low values of resistance,
Vs is adjusted to a value of between 0 to 2.5V. A data acquisition unit (Yokogawa Electric
Corporation, DaqMaster MW100) is applied to capture the readings, recorded in a computer.
The voltage supplied by the stabilizer, the voltage supplied in the Wheatstone circuit, the
342
voltage for the platinum wire and the voltage across bridge (Vg ) can be monitored during the
experiments. The main experimental cell is a part of the Wheatstone bridge circuit since the
wire is used as one arm of the bridge circuit. Teflon spray is used for coating a platinum (Pt)
wire to act as an electric insulation because the Al2 O3 nanofluids are electrically conductive.
The Pt wire has good resistance as a function of temperature over a wide temperature range.
The resistance-temperature coefficient of the Pt wire is 0.0039092 ◦ C (Bentley, 1984). The
Pt wire of 100 μm in diameter and 180 mm in length was used in the hot-wire cell whose
electric resistance was measured. The dimensions of the nanofluid container are chosen to be
sufficiently large to be considered as infinite in comparison with the diameter of the Pt wire.
The volume and diameter of the nanofluid container are 100 ml and 30 mm respectively.
5.0
All experimental data
4.5
Selected data to satisfy R2>0.993
Voltage change, Vg (mV)
4.0
3.5
3.0
2.5
2.0
Vg = 0.5749 ln t + 2.6014
1.5 R² = 0.9966
1.0
-2 -1 0 1 2 3
ln t
Fig. 2. Vg as a function of (ln t) with the linear fitting curve.
To investigate the effect of temperature from 15 to 55 ◦ C on the thermal conductivities of
the nanofluids, the nanofluid container was enclosed with an acrylic container connected
to a thermostat bath. Different temperatures of nanofluids can be reached during the
measurement process. The nanofluid temperature was monitored with a thermocouple. In
the measurement of the thermal conductivity of the Al2 O3 nanofluids, the cylindrical shaped
nanofluid container was filled with 100 ml of the Al2 O3 water-based nanofluid. The required
temperature was set at the thermostat to maintain a uniform temperature in the nanofluid.
Then the DC power source was switched on with the input voltage (Vs ) being adjusted to 0.5
V while the switch in the circuit remained on the stabilizer resistor (R4 in Fig. 1) circuit.
Thereafter, the switch was turned to the Wheatstone bridge circuit and V g (Fig. 1) was
balanced by adjusting manually the variable resistor in circuit. Once there was no voltage
change, the circuit was considered as being balanced. Again, it was switched back to the
stabilizer resistor circuit and input voltage Vs was then set to the desired value of 2.0 V
before the switch was set back to the Wheatstone bridge circuit. The unbalanced voltage
change (Vg ) occurring in the hot wire was recorded for 10 seconds in the computer via a
data acquisition unit. The input voltage to the circuit was also recorded for each run. This
measured unbalanced voltage over the natural logarithm of time was plotted in Fig. 2 by
using Equation (2) (Kwek et al., 2010). The thermal conductivity is then calculated from the
Thermal Property
slope and intersect.

R3 Vs q 4α
Vg = ( βRw ) (ln t + ln 2 ) (2)
( R 3 + R w )2 4πk a C
where Vg can be obtained directly from the Wheatstone bridge circuit, Vs is the voltage
supplied, Rw is the known resistance of the Pt wire, R3 is the resistance along same branch
of Wheatstone circuit, q is the heat rate per unit length, α is the thermal diffusivity of the
surrounding medium, β is the resistance-temperature coefficient of the wire, k is the thermal
conductivity to be determined, and C = exp(0.5772).
Figure 2 shows a sample of the unbalanced voltage (V g ) as a function of the natural logarithm
of time. The best fitting with R2 >0.993 was applied to determine the thermal conductivity.
The average thermal conductivity was then determined.
Before the experiments of nanofluids, the THW setup was calibrated with the de-ionized
water, the procedure was as same as the experimental process for measuring the thermal
conductivity of nanofluids. The calibration showed that the accuracy of the measured thermal
conductivity values is in ±2% from the documental data.
2.3 Viscosity measurement of Al2 O3 nanofluids
Fig. 3. The image of the controlled shear rate rheometer (Contraves LS 40).
As shown in Fig. 3, the controlled shear rate rheometer (Contraves LS 40) was applied to
measure the viscosity of the Al2 O3 nanofluids. The rheometer has a cup and bob geometry.
The bob is connected to the spindle drive while the cup is mounted onto the rheometer. As the
cup is rotated, the viscous drag of the fluid against the spindle is measured by the deflection of
the torsion wire. The cup and bob geometry requires a sample volume of around 5 ml, hence,
the temperature equilibrium can be achieved quickly within 5 minutes. The spindle type
and speed combination would produce satisfactory results when the applied torque is up to
100% of the maximum permissible torque. In the measurement, the cup was placed onto the
rheometer while the bob was inserted into the top shaft. The nanofluids were then transferred
to the cup in preventing any bubbles forming. Afterwards, the bob was lowered down until
344
it was completely inserted into the cup and immersed in the nanofluids. The lever knob was
then adjusted until the bob and cup were concentric. After the measuring settings such as
the minimum and maximum shear rates were set, the experiment was run. The viscosity as a
function of the shear rate was plotted.
For the temperature effect, the rheological property of the nanofluids was measured by
the viscometer with the thermostat, which controls temperature in Fig. 3. The viscosity
measurement was started at 15 ◦ C, and temperature was gradually increased to 55 ◦ C at an
interval of 10 ◦ C. The nanofluid temperature was also measured by using a thermocouple. All
the viscosity measurements were recorded at steady state conditions.
Before the measurement of nanofluids, the viscometer was calibrated with the de-ionized
water, having an error within ± 1%.
2.4 Surface tension measurement of Al2 O3 nanofluids
(b)
(a)
Fig. 4. Surface tension measurement for Al2 O3 water-based nanofluids, (a) FTA 200 system;
(b) a pendant droplet of the fluid for measurement.
The surface tension of the Al2 O3 water-based nanofluids under different volume
concentrations was measured with First Ten Angstroms (FTA) 200, illustrated in Fig. 4a. The
precision syringe pumps (KD Scientific Inc., USA) was used to drive the Al2 O3 water-based
nanofluids to form a pendant droplet as shown in Fig. 4b. An epi-fluorescent inverted
microscope with a filter set (Nikon B-2A, excitation filter for 450 - 490 nm, dichroic mirror for
505 nm and emission filter for 520 nm) was used to monitor the hanging droplet . A sensitive
interline transfer CCD camera (HiSense MKII, Dantec Dynamics, Denmark) was employed
for recording the droplet shape.
Thermal Property
11
In the experiments, the Al2 O3 nanofluids with a certain volume concentration were filled into
the syringe, which was held at the loading platform as shown in Fig. 4a. Once a pendant
nanofluid droplet was formed, the image of droplet was taken. The surface tension, the
droplet volume, and the surface area were then computed.
The calibration was conducted with the de-ionized water before the surface tension of
nanofluid was measured. It was found that the surface tension of pure water was 72.93 ± 1.01
mN/m at room temperature. The value is very close to the standard value at 71.97 mN/m
(Vargaftik et al., 1983).
3. Results and discussion

3.1 Thermal conductivity of Al2 O3 nanofluids
3.1.1 Effect of volume concentration on thermal conductivity
Hamilton-Crosser Model
1.30
Bruggeman Model
Yu & Choi Model
1.25
This study
Eastman et al. 1997
1.20 Das et al. 2003
Li &Peterson 2006
keff /kf
1.15
1.10
1.05
1.00
0 0.02 0.04 0.06
Parcle volume fracon
Fig. 5. Thermal conductivity enhancement as a function of volume concentrations of Al2 O3

water-based nanofluids at 25 ◦ C.
Each of the experimental data represents the average of six measurements at a specific
concentration under room temperature. As shown in Fig. 5, the effective thermal conductivity
ratio (ke f f /k f ) of the nanofluids is plotted as a function of nanoparticle volume fraction
for a series of the Al2 O3 nanofluids prepared from 25 nm Al2 O3 powders and measured
at 25 ◦ C. ke f f is the measured thermal conductivity of the nanofluids and k f is the thermal
conductivity of pure water. Figure 5 also illustrates the data reported by Eastman et al. (1997)
(33 nm), Das et al. (2003) (38.4 nm), Li & Peterson (2006) (36 nm), and the prediction from
the Hamilton-Crosser model (Hamilton & Crosser, 1962), Bruggeman model (Bruggeman,
1935), and the modified model by Yu & Choi (2003). Direct quantitative comparisons are
not possible in this case as the particle size used by the other researchers differs from this
experimental results (25 nm). It can be noted that the previous experimental results, the
predicted thermal conductivity, and the measured values in the study increase with an
346
increase of nanoparticle concentration in a distinct linear fashion. However, the slopes are
not same. From our experimental results, it is found that a small volume percentage at 1 - 5%
addition of the Al2 O3 nanoparticles in the water significantly increases the effective thermal
conductivity of the Al2 O3 water-based nanofluids by 6 to 20% respectively. If we disregard the
minor differences in the particles size, clear discrepancies were found between the previous
experimental data and ours on the amount of enhancement in Fig. 5. This difference may be
caused by the various factors such as the different particle preparation, the particle source,
or even the measurement technique. Up to now, there are no standard guidelines on the
preparation of nanofluids such as the amount and type of surfactant added, the time duration
for ultrasonification process, the measurement method and procedures, and the size and
shape of nanoparticles in use. All these might add up to account for the difference in the
experimental data.
By comparing the percentage difference in the effective thermal conductivity ratio with the
measured values, our data are more consistent with the predicted values of the Yu & Choi
correlation than those of the other correlations, especially at a high volume concentration
where the percentage difference at 0.04 and 0.05 volume fraction is around 0.4 % and 1
% respectively. Thus, the conventional models underestimate the thermal conductivity
enhancement when compared against the measured values. The reason may be that the
present proposed models did not take into account the additional mechanisms such as the
interfacial layer, the Brownian motion, the size and the shape of nanoparticles, and the
nanoparticle aggregation. At this stage, most of these aforementioned mechanisms are neither
well established nor well understood. Therefore, more experimental works are required
before the concrete conclusions can be inferred from the thermal behavior of nanofluids.
3.1.2 Effect of temperature on thermal conductivity

This study (1 vol %) Das et al. (4 vol %)
1.35 This study (3 vol %) Chon et al. (1 vol %)
This study (5 vol %) Chon et al. (4 Vol %)
1.30 Das et al. (1 vol %)
1.25
keff /kf
1.20
1.15
1.10
1.05
1.00
0 20 40 60
Temperature (oC)
Fig. 6. Temperature dependence of thermal conductivity enhancement for the Al2 O3

water-based nanofluids.
The effective thermal conductivity ratio (ke f f /k f ) is expressed with a reference of the
measured value of water at the related temperatures. The measurement was made
for the Al2 O3 water-based nanofluids with the given particle concentrations at different
temperatures. Figure 6 shows the enhancement of thermal conductivity of Al2 O3 nanofluids
with temperature. There is a considerable increase in the enhancement from 15 to 55 ◦ C in
Thermal Property
13
the nanofluids of 1 vol %, 3 vol %, and 5 vol %. With 1 vol % particles at about 15 ◦ C,
the enhancement is only about 1.7 %, but about 16 % at 55 ◦ C. The present measurement
shows that a higher enhancement can be achieved in the nanofluid having small volume ratio
of nanoparticles in the fluids at a higher temperature. The measurement of 3 vol % and 5
vol % nanofluids shown in Fig. 6 demonstrates the enhancement goes from 6 % to 24 %
and 15 % to 34 % respectively as a function of temperature from 15 to 55 ◦ C. The average
rate of enhancement in these cases is higher compared with that of 1 vol % nanofluids. The
increasing slope of the fitted line of the 1 vol %, 3 vol %, or 5 vol % nanofluids has a gradient of
0.003575, 0.0045 or 0.00475 respectively. Thus it can be said that the enhancement of thermal
conductivity with increases of temperature depends on the concentration of nanoparticles.
The above trends are also explained by the experimental results of Das et al. (2003) (38.4 nm)
and Chon et al. (2005) (47 nm) in Fig. 6. From the data of Das et al., the increasing rates are
0.002 and 0.005 for 1 vol % and 4 vol %, whereas the results of Chon et al. show the increasing
rates of 0.001 and 0.003 for the nanofluids at 1 vol % and 4 vol %. The increasing trends
observed are quite similar.
1.35 This study 15 °C
This study 25 °C
This study 35 °C
1.30 This study 45 °C
This study 55 °C
Hamilton-Crosser model
1.25
Bruggeman model
keff/kf
1.20
1.15
1.10
1.05
1.00
0 0.01 0.02 0.03 0.04 0.05 0.06
Parcle Volume Fracon
Fig. 7. Enhancement of thermal conductivity of the Al2 O3 water-based nanofluids against
particles concentration and comparison with models.
Figure 7 shows that there is a close agreement between the measured thermal conductivity
and the Hamilton-Crosser and the Bruggeman models at 15 ◦ C. However, this agreement
is only at the low temperature. At higher temperature, the experiments of the Al2 O3
water-based nanofluids disagree with the models. It is suggested that the present models
cannot reflect on the effective conductivity with temperature. Das et al. (2003) stated that the
main mechanism of the thermal conductivity enhancement in nanofluids can be thought as
the stochastic motion of nanoparticles, and that the Brownian motion would depend on the
fluid temperature. This enhancement in our experiments can be supported by the results
of Das et al. (2003) and Chon et al. (2005). Their data have the maximum enhancements
of 25 % and 19 % for 4 vol % at 55 ◦ C whereas the Hamilton-Crosser model (Hamilton &
Crosser, 1962) and the Bruggeman model (Bruggeman, 1935) predict only 12 % and 13 %,
regardless of the temperature effect. At the low temperature, the Brownian motion was less
significant. Thus the present results indicate that it is possible to have a threshold temperature
at which the effective thermal conductivity of nanofluids starts deviating from that of the
usual suspension and the enhancement through the stochastic motion of the particles starts
348
dominating. The measurement of the thermal conductivity with the given concentrations at
the different temperatures in Fig. 7 indicates the necessity for a better theoretical model for
the entire range of temperature.
3.1.3 Effects of particle size on thermal conductivity

1.45 This results (5 vol
%)
1.40
Beck et al. (4 vol %)
1.35
Jang & Choi model (3
1.30 vol %)
Chen et al. model
keff /kf
1.25
(3 vol %)
1.20
1.15
1.10
1.05
1.00
0 100 200 300
Parcle size (nm)
Fig. 8. Effect of diameter of nanoparticle on effective thermal conductivity of the Al2 O3

water-based nanofluids.
As shown in Fig. 8, the experimental data in the study are compared with the predictions
from the thermal conductivity model by Jang & Choi (2004), and a good agreement was
found for 10 nm, 25 nm and 35 nm Al2 O3 water-based nanofluids. Our experimental data
indicate that the effective thermal conductivity decreases quickly with the decreasing size of
nanoparticles from 10 nm to 35 nm, however as the nanoparticle size increases, the thermal
conductivity deviates from the Jang & Choi model. As the nanoparticle diameter is reduced,
the effective thermal conductivity of nanofluids becomes larger. Jang & Choi (2004) explained
that this phenomenon is based on the Brownian motion, and that the smaller nanoparticles
in average might produce a higher velocity of the Brownian motion in the fluid. As a result,
the heat transfer by the convection would be enhanced, the effective thermal conductivity of
nanofluids increases. However, if the particles approach to the micrometer size, they might
not remain well suspended in the base fluid. Thus, large microparticles do not have the
Brownian motion any more, and there would be no enhancement of the effective thermal
conductivity. Our experimental results for the nanofluids with the 80 nm and 150 nm Al2 O3
nanoparticles did not show a similar trend as described in the model of Jang & Choi (2004).
Instead our experimental data shows that the thermal conductivity of the Al2 O3 nanofluids
increases as the particle size increases above 35 nm, similar to the data of Beck et al. (2009)
above 50 nm. When the particles become larger, it can be better explained by the model of
Chen (1996),
0.75d p /l p
k p = k bulk (3)
0.75d p /l p + 1
where k p , d p , l p and kbulk are the thermal conductivity of nanoparticle, the characteristic
length of nanoparticles, the mean free path of nanoparticle, and the thermal conductivity of
bulk materials respectively. The correlation of Chen (1996) is built on solving the Boltzmann
Thermal Property
15
transport equation. The solution approaches the prediction of the Fourier law when the
particle radius is much larger than the heat-carrier mean free path of the host medium, which
implies that the diffusive heat transport is dominant. The model shows a trend of the thermal
conductivity enhancement as the particle size increases. In sum, there may be a threshold
in particle size where either the Brownian motion or the diffusive heat transport is more
dominant.
3.2 Viscosity of Al2 O3 nanofluids

3.2.1 Effect of volume concentrations on viscosity
0.0016
0.0015
0.0014
0.0013
Viscosity (Pa.S)
0.0012
0.0011
0.0010 1 vol % 4 vol %

2 vol % 5 vol %
0.0009
3 vol %
0.0008
0.0007
0 20 40 60 80 100 120
Shear rate (1/s)
Fig. 9. Viscosity as a function of shear rate for the Al2 O3 nanofluids at different volume
concentrations.
The viscosity is illustrated in Fig. 9 as a function of the shear rate. The viscosity of the
well-mixed Al2 O3 -water nanofluid is independent from the shear rate. The naofluids exhibit a
Newtonian behavior. Figure 10 shows that the effective viscosity ratio increases as the volume
concentrations increase. The results of Masoumi et al. (2009) (28 nm) and Nguyen et al. (2007)
2.0 This study
1.9 Masoumi et al.
Nguyen et al.
1.8 Einstein Model
1.7 Brinkman Model
Batchelor Model
1.6
ηeff /ηf
Graham Model
1.5
1.4
1.3
1.2
1.1
1.0
0 0.02 0.04 0.06
Fig. 10. Relative viscosity of the Al2 O3 nanofluids as a function of volume concentration.
350
(36 nm) show a similar trend. From our experiments, the measured viscosity of the Al2 O3
nanofluids is significantly higher than the base fluid by about 20% and 61% at 1 vol % and 5
vol % respectively. The results of Masoumi, Nguyen and ours are much higher than those of
predicted values using the Einstein, Brinkman, Batchelor and Graham equations, as shown in
Fig. 10. It is suggested that these equations have underestimated the nanofluid viscosities. The
Einstein formula, and the others originating from it, were obtained based on the theoretical
assumption of a linear fluid surrounded by the isolated particles. Such a model may worked
under the situation of a liquid that contains a small number of dispersed particles. However,
for higher particle concentrations the departure of these formulae from our experimental
data is considerable, indicating that the linear fluid theory may be no longer appropriate to
represent the nanofluids. Even the Batchelor formula, considering the Brownian effect, also
performs poorly. A possible explanation is mentioned by Chandrasekar et al. (2010), the large
difference may be a result of the hydrodynamic interactions between particles which become
important at higher volume concentrations. Hence the conventional models cannot explain
the high viscosity ratio. Noted that there are also discrepancies between our experimental
results and the previous studies in Fig. 10. Although the nanofluids prepared have slight
differences in the size of particles, it is inappropriate to account for such a large difference in
the viscosity ratio. It is difficult to draw any conclusive remarks for such results, unless this
intriguing behavior may be attributed to the various factors such as nanofluid preparation
methods and how the experiment is conducted.
3.2.2 Effect of temperature on viscosity

0.0018
This study (0 vol %)
0.0016 This study 1 vol %
This study 2 vol %
0.0014 This study 3 Vol %
Viscosity (Pa.s)
Nguyen et al. (1 vol %)

0.0012 Nguyen et al. (4.5 vol %)
0.0010
0.0008
0.0006
0.0004
0 20 40 60 80
Temperature (°C)
Fig. 11. Viscosity as a function of temperature for Al2 O3 nanofluids.
The viscosities were measured for the nanofluids as a function of temperature. The viscosity
under the particle volume fraction ranging at 1% , 2%, and 3% from 15 to 55 ◦ C is shown
in Fig. 11, the nanofluid viscosity decreases with an increase in temperature. The increasing
temperature would weaken the inter-particle and inter-molecular adhesion forces. For all
the nanofluids measured, the temperature gradient of viscosity is generally steeper at the
temperature from 15 to 30 ◦ C. Such the viscosity gradient is particularly more pronounced
as the particle volume concentration increases. This observation is supported by Nguyen
et al. (2007) results if we compare the gradient from 15 to 30 ◦ C at 1 vol % and 4.5 vol %.
The results suggest that the temperature effect on the particle suspension properties may be
Thermal Property
17
different for high particle fractions and for low ones. With an increase of temperature, the
measured viscosity data have shown a gentle decrease with an increase of temperature. In
our experiments, we have attempted to measure viscosity at the temperature higher than
55 ◦ C, but a critical temperature has been observed, above the temperature, an ‘erratic’
increase of nanofluid viscosity was observed. The phenomenon may be resulted from the fast
evaporation of nanofluids in the related small volume at a relative high temperature. Another
possibility is that beyond the critical temperature, the surfactant might be broken down
and accordingly the performance was considerably reduced or even destroyed, affecting the
suspension capabilities. Thus, the particles have a tendency to form aggregation, resulting in
the observed unpredictable increase of the nanofluid viscosity.
1.6
1.5
1.4
ηeff /ηf
This study (1 vol %)

This study (2 Vol %)
1.3 This study (3 vol %)
Nguyen et al. (1 vol%)
Nguyen et al. (4.5 vol%)
1.2 Masoumi et al. (4.5 vol%)
1.1
10 20 30 40 50 60
Temperature (°C)
Fig. 12. Relative viscosity as a function of temperature for various concentrations of the
Al2 O3 -water nanofluids.
As known, the water viscosity decreases with an increase of temperature. The viscosity
values of the different concentration nanofluids measured from 15 to 55 ◦ C are compared
with a reference of the viscosity of water at these temperatures. As seen from Fig. 12, the
effective viscosity under the different volume concentrations shows similar trends. For a
given nanofluid and a particle fraction, the effective viscosity decreases at first and starts
to increase at a certain temperature. This value implies that there should be an optimum
temperature whereby when temperature increases, the decrease in viscosity is not effective.
This observation can be substantiated by Nguyen et al. (2007) and Masoumi et al. (2009).
3.2.3 Effect of particle size on viscosity

From Fig. 13, our experimental results show that as the particle sizes increase, the effective
viscosity decreases significantly and reaches an almost constant value at the end. This trend is
similar to the results of other researchers shown in Fig. 13 except for particle size greater than
100 nm. Timofeeva et al. (2007) suggested the small particle size can form larger aggregates.
The Krieger model (Krieger & Dougherty, 1959) can be used to estimate the relative viscosity
between a nanofluid (n f ) and its base fluid ( f ),
ηn f φa −2.5φm
= (1 − ) (4)
ηf φm
352
2.8 This study (5 vol %)

2.6 Lu et al. (5 vol%)
2.4 Masoumi et al.(2.85%)
2.2 Prasher et al. (3 vol%)
ηeff /ηf
2.0
1.8
1.6
1.4
1.2
1.0
0 50 100 150
Parcle size (nm)
Fig. 13. Relative viscosity as a function of diameter of the Al2 O3 nanoparticles in the base
fluids.
where 2.5 is the intrinsic viscosity of spherical particles, φa is the volume fraction of
aggregates, φm is the volume fraction of densely packed spheres and the volume fraction of
aggregates is expressed as φa = φ( dda )3−d f , in which d a is the diameter of aggregates, d is the
nominal diameter of particle, d f is the fractal dimension of the aggregates, φ is the volume
fraction of the well-dispersed individual particles. For well-dispersed individual particles, φa
is equal to φ, and the Krieger model reduces to the Einstein model. This is a very ideal case
where there is zero aggregation. However, none of the researches is able to obey fully the
Einstein model until now. The reason may be that it is unlikely to eliminate the aggregation
completely (Duan et al., 2011). When nanoparticle size increases, the magnitude of dda
decreases, thus the volume fraction of the aggregates decreases and relative viscosity ratio
decreases. In addition, due to aggregation, the shape of the aggregate is no longer spherical.
Theoretically, Einstein obtained the intrinsic viscosity at 2.5 for spherical particles, however
the intrinsic viscosity would be greater than 2.5 for the other shapes (Rubio-hernandez et al.,
2006) as the aggregate shape becomes disordered. This can also account for the increase of
viscosity ratio as the particle diameter decreases.
Slight aggregation is likely to remain in our nanofluids measured just after preparation since
the measurements are made for different particle sizes at a constant 5 % volume concentration,
which is considered high. Based on Equation (4), the viscosity ratio would be higher after
aggregation.
3.3 Surface tension measurements of nanofluid

Figure 14 shows the surface tension as a function of the volume concentration. The results
demonstrate that the surface tensions of the Al2 O3 water-based nanofluids are significantly
lower than those of the base fluid, pure water. At each point, the error bars are too small to be
observed. However, as the volume concentration increases, the surface tension remains almost
unchanged in the Al2 O3 nanofluids. Hence we can deduce that particle volume concentration
does not have a major effect on the surface tension of the nanofluids. The experimental results
of Golubovic et al. (2009) and Kim et al. (2007) have shown that the surface tensions of the
Al2 O3 nanofluids without surfactant is independent on concentration and has the same values
as that of pure water. In our prepared nanofluids, the surfactant, CTAB was added to obtain
Thermal Property
19
a well-dispersed suspension. The addition of a small amount of surfactant into the liquid
reduced the surface tension (Binks, 2002; Bresme & Faraudo, 2007).
80
70
Surface tension (mN/m) 60

50
40
30
20
10
0
0 0.01 0.02 0.03 0.04 0.05 0.06
Fig. 14. Surface tension measurement of the Al2 O3 nanofluids as a function of the volume
concentration.
4. Conclusion
The thermal conductivity, viscosity, and surface tension of the Al2 O3 water-based nanofluids
were measured. It is found the thermal conductivity increases significantly with the
nanoparticle volume fraction. With an increase of temperature, the thermal conductivity
increases for a certain volume concentration of nanofluids, but the viscosity decreases. The
size of nanoparticle also influences the thermal conductivity of nanofluids. It is indicated
that existing classical models cannot explain the observed enhanced thermal conductivity
in the nanofluids. Similarly, the viscosity increases as the concentration increases at room
temperature. At the volume concentrations of 5%, the viscosity has an increment of 60%. The
effect of particle sizes on the viscosity is limited. The addition of surfactant is believed to
be the reason behind the decrease in surface tension in comparison with the base fluid. The
significant deviation between the experimental results and the existing theoretical models is
still unaccounted for. More comprehensive models therefore need to be developed. Particles
sizes, particle dispersions, clustering, and temperature should be taken into account in
the model development for nanofluids. Hence, to reach universal models for the thermal
properties, more complete experiments involving a wide range of nanoparticle sizes would
be conducted in future.
5. Acknowledgments
The research mainly depends on the experimental work of Mr. D. Kwok under the support of
NTU-SUG and AcRF Tier 1 funding. The author would like to thank Profs. Kai Choong Leong
and Charles Yang for their generosity in sharing their HWT and surface tension equipment.
The author would also like thank to Dr. Liwen Jin for sharing his knowledge on the thermal
conductivity measurement.
6. References
Batchelor, G.K. (1977). The effect of Brownian motion on the bulk stress in the suspension of
spherical particles. J. Fluid Mech., 83, 97-117.
354
Beck, M.P.; Yuan, Y.; Warrier, P. & Teja, A.S. (2009). The effect of particle size on the thermal
conductivity of alumina nanofluids. J. Nanopart. Res., 11, 1129-1136.
Bruggeman, D.A.G. (1935). Calculation of various physics constants in heterogenous
substances. I. Dielectricity constants and conductivity of mixed bodies from isotropic
substances. Ann. Phys. (Paris), 24, 636-664.
Bentley, J.P. (1984). Temperature sensor characteristics and measurement system design. J.
Phys. E, 17, 430-439.
Bhattacharya, P.; Saha, S.K.; Yadav, A.; Phelan, P.E. & Prasher, R.S. (2004). Brownian dynamics
simulation to determine the effective thermal conductivity of nanofluids. J. Appl.
Phys., 95, 6492-6494.
Binks, B. (2002). Particles as surfactants - similarities and differences. Curr. Opin. Colloid
Interface Sci., 7, 21-41.
Bresme, F. & Faraudo, J. (2007). Particles as surfactants - similarities and differences. J. Phys.:
Condens. Matter, 19, 375110.
Brinkman, H.C. (1952). The viscosity of concentrated suspensions and solution. J. Chem. Phys.,
20, 571.
Chandrasekar, M.; Suresh, S. & Chandra Bose, A. (2010). Experimental investigations and
theoretical determination of thermal conductivity and viscosity of Al2O3/water
nanofluid. Exp. Therm. Fluid Sci., 34, 210-216.
Challoner, A.R. & Powell. R.W. (1956). Thermal conductivity of liquids: new determinations
for seven liquids and appraisal of existing values. Proc. R. Soc. Lond., 238, 90-106.
Chen, G. (1996). Nonlocal and nonequilibrium heat conduction in the vicinity of nanoparticles.
ASME J. Heat Transfer, 118, 539-545.
Choi, S.U.S. (1995). Enhancing thermal conductivity of fluids with nanoparticles, In:
Developments and Applications of Non-Newtonian Flows, Sinfiner, D.A. & Wang, H.P.,
PP 99-105, ASME, FED-vol.231 MD-vol.66, USA.
Chon, C.H.; Kihm, K.D.; Lee, S.P. & Choi, S.U.S. (2005). Empirical correlation finding the
role of temperature and particle size for nanofluid (Al2O3) thermal conductivity
enhancement. Appl. Phys. Lett., 87, 1-3.
Czarnetzki, W. & Roetzel W. (1995). Temperature oscillation techniques for simultaneous
measurement of thermal diffusivity and conductivity. Int. J. Thermophys., 16, 413-422.
Das, S.K.; Putta, N.; Thiesen, P. & Roetzel W. (2003). Temperature dependence of thermal
conductivity enhancement for nanofluids. J. Heat Transfer, 125, 567-574.
Duan, F; Kwek D & Crivoi A. (2011). Viscosity affected by nanoparticle aggregation in
Al2O3-water nanofluids. Nanoscale Res. Lett., 6, 248.
Eastman, J.A.; Choi, S.U.S.; Li, S.; Thompson, L.J. & Lee, S. (1997). Enhanced thermal
conductivity through the development of nanofluids. Mater. Res. Soc. Symp. Proc.,
457, 3-11.
Eastman, J.A.; Choi, S.U.S.; Li, S.; Yu, W. & Thompson, L.J. (2001). Anomalously increased
effective thermal conductivities of ethylene glycol-based nanofluids containing
copper nanoparticles. Appl. Phys. Lett., 78, 718-720.
Einstein, A. (1906). A new determination of the molecular dimensions. Ann. Phys., 19, 289-306.
Frankel, N.A. & Acrivos, A. (1967). On the viscosity of a concentrated suspension of solid
spheres. Chem. Eng. Sci., 22, 847-853.
Golubovic, M.N.; Madhawa Hettiarachchi, H.D.; Worek, W.M. & Minkowycz, W.J. (2009).
Nanofluids and critical heat flux, experimental and analytical study. Appl. Therm.
Eng., 29, 1281-1288.
Graham, A.L. (1981). On the viscosity of suspension of solid spheres. Appl. Sci. Res., 37,
275-286.
Thermal Property
21
Hamilton, R.L. & Crosser, O.K. (1962). Thermal conductivity of heterogeneous two component
systems. Ind. Eng. Chem. Fundam., 1, 187-191.
Jang, S.P. & Choi, S.U.S. (2004). Role of Brownian motion in the enhanced thermal conductivity
of nanofluids. Appl. Phys. Lett., 84, 4316-4318.
Keblinski, P.; Eastman, J.A. & Cahill, D.G. (2005). Nanofluids for thermal transport. Mater
Today, 8, 36-44.
Keblinski, P.; Phillpot, S.R.; Choi, S.U.S. & Eastman, J.A. (2002). Mechanisms of heat flow
in suspensions of nano-sized particles (nanofluids). Int. J. Heat Mass Transfer, 45,
855-863.
Kestin, J. & Wakeham W.A. (1978). A contribution to the theory of the transient hot-wire
technique for thermal conductivity measurements. Physica A, 92, 102-116.
Kim, J.; Kang, Y.T. & Choi, C.K. (2004). Analysis of convective instability and heat transfer
characteristics of nanofluids. Phys. Fluids, 16, 2395-2401.
Kim, S.J.; Bang, I.C.; Buongiorno, J. & Hu, L.W. (2007). Surface wettability change during pool
boiling of nanofluids and its effect on critical heat flux. Int. J. Heat Mass Transfer, 50
(2007) 4105-4116.
Koo, J. & Kleinstreuer, C. (2004). A newthermal conductivity model for nanofluids. J. Nanopart.
Res., 6, 577-588.
Krieger, I.M. & Dougherty, T.J. (1959). A mechanism for non-newtonian flow in suspensions
of rigid spheres. Trans. Soc. Rheology, 3, 137-152.
Kumar, D.H. Patel, H.E.; Kumar, V.R.R.; Sundararajan, T.; Pradeep, T. & Das, S.K. (2004).
Model for heat conduction in nanofluids. Phys. Rev. Lett., 93, 1-4.
Kumar, R. & Milanova, D.(2009). Effect of surface tension on nanotube nanofluids. Appl. Phys.
Lett., 94, 073107.
Kwek, D.; Crivoi, A. & Duan, F. (2010). Effects of temperature and particle size on the thermal
property measurements of Al2O3-water nanofluids. J. Chem. Eng. Data, 55, 5690-5695.
Lee, S.; Choi, S.U.S.; Li, S. & Eastman, J.A. (1999). Measuring thermal conductivity of fluids
containing oxide nanoparticles. J. Heat Transfer, 121, 280-289.
Li, C.H. & Peterson G.P.(2006). Experimental investigation of temperature and volume
fraction variations on the effective thermal conductivity of nanoparticle suspensions
(nanofluids). J. Appl. Phys., 99, 1-8.
Li, X.; Zhu, D. & Wang X. (2007). Evaluation on dispersion behaviour of the aqueous copper
nano-suspensions. J. Colloid Interface Sci., 310, 456-463.
Li, Y.; Zhou J.; Tung, S.; Schneider, E. & Xi, S. (2009). A review on development of nanofluid
preparation and characterization. Powder Technol., 196, 89-101.
Lundgren, T.S. (1972). Slow flow through stationary random beds and suspensions of spheres.
J. Fluid Mech., 51, 273-299.
Maxwell, J.C. (1892). A Treatise on Electricity and Magnetism, 3rd ed., Oxford University Press,
London.
Mandelbrot; B.B. (1982). The Fractal Geometry of Nature, W.H. Freeman Press, San Francisco.
Masoumi, N.; Sohrabi, N. & Behzadmehr, A. (2009). A new model for calculating the effective
viscosity of nanofluids. J. Phys. D: Appl. Phys., 42, 055501.
Nagasaka, Y. & Nagashima A. (1981). Absolute measurement of the thermal conductivity
of electrically conducting liquids by the transient hot-wire method. J. Phys. E, 14,
1435-1440.
Nguyen, C.T.; Desgranges, F.; Roy, G.; Galanis, N.; Mare, T.; Boucher, S. & Angue Mintsa,
H. (2007). Temperature and particle-size dependent viscosity data for water-based
nanofluids - hysteresis phenomenon. Int. J. Heat Fluid Flow, 28, 1492-1506.
356
Pantzali, M.N.; Kanaris, A.G.; Antoniadis, K.D.; Mouza, A.A. & Paras, S.V. (2009). Effect of
nanofluids on the performance of a miniature plate heat exchanger with modulated
surface. Int. J. Heat Fluid Flow, 30, 691-699.
Prasher, R.; Bhattacharya, P.; Phelan, P.E. & Das, S.K. (2005). Thermal conductivity of
nanoscale colloidal solutions (nanofluids). Phys. Rev. Lett., 94, 025901.
Roetzel, W.; Prinzen, S. & Xuan Y. (1990). Measurement of thermal diffusivity using
temperature oscillations, In: Measurement of conductivity 21, Cremers C.J. & Fine,
H.A., Ed., 201-207, Plenum Press, New York.
Rubio-hernandez, F.J.; Ayucar-Rubio, M.F.; Velazquez-Navarro J.F. & Galindo-Rosales, F.J.
(2006). Intrinsic viscosity of SiO2, Al2O3 and TiO2 aqueous suspensions. J. Colloid
Interface Sci., 298, 967-972.
Sakamoto, M.; Kanda, Y.; Miyahara, M. & Higashitani, K. (2002). Origin of long-range
attractive force between surfaces hydrophobized by surfactant adsorption. Langmuir,
18, 5713-5719.
Schwartz, L.; Garboczi, E. & Bentz, D. (1995). Interfacial transport in porous media:
application to dc electrical conductivity of mortars. J. Appl. Phys., 78, 5898-5908.
Timofeeva, E.V.; Gavrilov, A.N.; McCloskey, J.M. & Tolmachev, Y.V. (2007). Thermal
conductivity and particle agglomeration in alumina nanofluids: Experiment and
theory. Phys. Rev. E, 76, 061203.
Vafaei, S.; Purkayastha, A.; Jain, A.; Ramanath, G. & Borca-Tasciuc, T. (2009). The effect of
nanoparticles on the liquid-gas surface tension of Bi2Te3 nanofluids. Nanotechnology,
20, 185702.
Vargaftik, N.B.; Volkov, B.N. & Voljak, L.D. (1983). International tables of the surface tension
of water. Phys. Chem. Ref. Data, 12, 817.
Wang, B.X. Zhou, L.P. & Peng, X.F. (2003). A fractal model for predicting the eeffective thermal
conductivity of liquid with suspension of nnanoparticles. Int. J. Heat Mass Transfer, 46,
2665-2672.
Wang, X.; Xu, X. & Choi, S.U.S. (1999). Thermal conductivity of nanoparticle - fluid mixture. J.
Thermophys. Heat Tr., 13, 474-480.
Wasan, D.T. & Nikolov, A.D. (2003). Spreading of nanofluids on solids. Nature, 423, 156-159.
Xie, H.; Fujii, M. & Zhang, X. (2005). Effect of interfacial nanolayer on the effective thermal
conductivity of nanoparticle-fluid mixture. Int. J. Heat Mass Transfer, 48, 2926-2932.
Xuan Y. & Li, Q. (2000). Heat transfer enhancement of nanofluids. Int. J. Heat Fluid Flow, 21,
58-64.
Xuan, Y.; Li, Q. & Hu, W. (2003). Aggregation structure and thermal conductivity of
nanofluids. AICHE J., 49, 1038-1043.
Xue, Q. (2003). Model for effective thermal conductivity of nanofluids. Phys. Lett. A, 307,
313-317.
Xue, Q. & Xu, W.-M. (2005). A model of thermal conductivity of nanofluids with interfacial
shells. Mater. Chem. Phys., 90, 298-301.
Yang, B. & Han, Z.H. (2006). Temperature-dependent thermal conductivity of nanorod based
nanofluids. Appl. Phys. Lett., 89, 1-3.
Yu, W. & Choi, S.U.S. (2003). The role of interfacial layers in the enhanced thermal conductivity
of nanofluids: a renovated Maxwell model. J. Nanopart. Res., 5, 167-171.
Yu, W. & Choi, S.U.S. (2004). The role of interfacial layers in the enhanced thermal conductivity
of nanofluids: a renovated Hamilton-Crosser model. J. Nanopart. Res., 6, 355-361.
16
Magnetic Nanoparticles: Its Effect on

Cellular Behaviour and Potential Applications
Hon-Man Liu1 and Jong-Kai Hsiao2
1National Taiwan University, Department of Radiology
2Tzu-Chi University, Department of Radiology
Taiwan
1. Introduction
With the advancement of nanotechnology and the development of molecular medicine,
molecular and imaging becomes one of the most popular researches in the latest medicine.
Molecular imaging can be defined as the imaging of targeted molecules non-invasively and
repetitively in living organisms and cellular imaging can be defined similarly as the imaging
of cells or cellular process non-invasively and repetitively in living organisms. At present,
the common imaging tools for clinical study include ultrasound, computed tomography
(CT), and magnetic resonance imaging (MRI). However, MRI is superior to CT for its better
in soft tissue contrast, more sensitive in pathology detection, and lack of ionization
irradiation.
In clinical practice, gadolinium-contained compound is the commonest contrast medium
used in MRI study. Molecular imaging differs from traditional imaging in that contrast
agents are typically used to help identify particular biomarkers or pathways with high
sensitivity and selectivity (Achilefu, 2010). However, gadolinium (Gd) is not proper for the
molecular imaging and cellular imaging due to its low relaxivity, that further decrease upon
cellular internalization; not biocompatible and potential toxicity following cellular
dechelation over time. Iron oxide (IO) nanoparticle contrast medium is another contrast
medium used in clinical study. They provide the most significant signal change per unit of
metal atom, especially on T2* MR imaging. Iron oxide nanoparticle are made of thousands
of iron atoms in Fe3O4 or γ-Fe2O3 form so that they can increase the contrast-to-noise ratio
and make its sensitivity superior to Gd contrast agent on MR examination. Their main
component, oxidized iron, can be metabolized in liver and recycled as important component
of red blood cells. Iron oxide nanoparticle have a relatively long circulation time and low
toxicity (Bradbury and Hricak 2005; Funovics et al., 2004; Harisinghani et al., 2003; Jain et al.,
2005; Montet et al., 2006). Their surfaces coating may strategically contain chemical linkage
of functional groups and ligands for multimodal imaging purpose (Rogers & Basu, 2005).
They can be easily detected by light and electron microscopy. Iron oxide nanoparticle posses
some novel properties not seen with the other macromolecules. They can be manipulated by
conjugating both targeting ligands or peptide and therapeutic components such as
photosensitizer to help in diagnosis and treatment. Iron oxide nanoparticles can be used to
monitor cellular migration, molecular events, and signal pathway associated with different
pathological status. Owing to its magnetic character, iron oxide nanoparticle can be
manipulated magnetically and altered their magnetic character according to size of core and
the condition of the coating. In this assay, we are going to review the characteristic and
types of magnetic nanoparticles (MNP), especially the IO nanoparticles, the mechanism of
internalization of MNP into the cell, the impact to cellular and other behaviour of
macrophage and stem cell after labelling with MNP, and the future of application of MNP in
nanomedicine.
2. Magnetic resonance imaging and magnetic nanoparticles

When we put a body into a strong magnetic field and then apply an external radiofrequency
(RF) for a period. The RF may causes disturbance of the thermal equilibrium in the body
system. After the RF stopped, MR imaging detects the different signals due to the different
proton relaxation times (T) of hydrogen atom of the tissue in different body part. This makes
MR offers great contrast between different soft tissues in the body. There are two types of
MR imaging mechanisms: T1-weighted and T2-weighted.
T1, the ‘‘longitudinal’’ (spin-lattice) relaxation time is defined as the time required for a
substance to regain the 63% of its original longitudinal magnetization after an RF pulse. It
represents the correlation of frequency between molecular motions and the Larmor
frequency. The frequencies of small molecule (e.g. water) and large molecule (e.g. protein)
are significantly different from the Larmor frequency and thereby have long T1 and
present as low signal intensity (dark) on T1-weighted images. The motion frequency of
medium-sized molecule such as cholesterol close to those used for MR imaging, thereby it
has a short T1 relaxation time and thus appear high signal intensity (bright) on T1-
weighted images. T1 relaxation time can be shortened from the interaction between the
unpaired electrons in the paramagnetic iron such as Gd ions in contrast medium and the
protons in water. This makes those pathology with pooling of Gd contrast agent appear
bright on T1-weighted images.
T2 is the ‘‘transverse’’ (spin-spin) relaxation time. Following a 90 degree RF pulse, the
protons lose their coherence and transverse magnetization. The tissue inhomogeneity causes
fluctuations of the magnetic field randomly, leading to variations in the precession
frequency of different spins on x-y plane. Consequently, the net x-y magnetization is lost
since the initial phase coherence is lost. This results in T2 relaxation. Thus T2 relaxation is a
measure of how long the resonating protons of a substance can be changed from coherent to
de-coherent and then back to coherent stage following 90 degree RF pulse in x-y plane. T2
relaxation time is defined as the time needed for the transverse magnetization decreases to
37% of its original magnitude after a 90 degree RF pulse. Generally, T2 relaxation is much
less dependent on the magnetic field strength than T1 relaxation time. However, the
magnetic field is not homogenous, and the process is depending on the exact location of the
molecules in the magnet. In such circumstances, a special transverse relaxation time
constant is defined as T2*, which is usually much smaller than T2 and highly sensitive to
magnetic field strength.
The MR contrast medium can be divided into positive and negative contrast media
according to their characteristic appearance on T1- weighted or T2-weighted images.
Magnetic Nanoparticles: Its Effect on Cellular Behaviour and Potential Applications 359
Positive contrast media appear brighter on MR images owing to a reduction in T1 relaxation

time. They include those containing Gd, manganese or iron ions. Negative contrast agents
appear dark on MR imaging due to shortening T1, T2, and T2* relaxation times. Iron oxide is
the most common negative contrast medium used clinically.
As mentioned before, gadolinium agent is not suitable for molecular or cellular imaging. In
the last 10 years, most research of molecular imaging using MRI is focused on the
application of IO nanoparticle.
Compared to larger particles of the same chemical composition, nanoparticles can pass some
biological barriers such as capillaries. Human albumin, a circulatory macromolecule, is
similar to nanoparticles with a diameter of 5-10 nm (Wiwanitkit, 2006). Enzymes and
receptors are also ranged in the similar size (Rawat, 2006). A nanoparticle of such size can
have in excess of 1500 potential sites for chemical modification (Debbage et al., 2008; Harris
et al., 2003) without loss of biological functionality. It is 150 times more than an antibody
has. The high capacity for nanoparticle modification has led to their use as amplifiers for in
vivo imaging. Both the surface properties and size of nanoparticles are important for their
interaction with biological systems and therefore for their distribution in the circulation.
In considering the use in in vivo imaging, the ideal IO nanoparticles is with small size (5–150
nm) (table 1), high mass magnetization value, and great surface functionality. If the
diameter of the MNPs is larger than 200 nm, they are usually taken up by the liver, spleen,
and reticuloendothelial system and resulting in decreased blood circulation times. If their
diameters are less than 5 nm, they are rapidly removed through the kidney (Gupta & Gupta,
2005). Different sizes of IO nanoparticles including SPIO (superparamagnetic IO, 60–150
nm), USPIO (ultrasmall SPIO, 10–50 nm), and MION (monocrystalline IO, 5–10 nm) can lead
to different magnetic properties and function differently in various applications (Choi et al.,
2006; Corot et al., 2006; de Vries et al., 2005; Thorek et al., 2006; Wang et al. 2001;).
The magnetism of MNP and its effect on MR imaging can depend significantly on their
morphology, crystal structure, size and uniformity. The crystal structure of SPIO
nanoparticle has the general formula of Fe3+O3M2+O, where M2+represents a divalent metal
ion (i.e., iron, manganese, nickel, cobalt or magnesium) (Kateb et al., 2011). The ferric iron
(Fe3+) makes the complex magnetic (Daldrup-Link et al., 2003; Wang et al., 2001) and large,
unpaired, thermodynamically independent spines (single domain particles) makes the
complex superparamagnetic. Single domain particles or magnetic domains have a net
magnetic dipole. External magnetic fields can cause the magnetic domain to re-orient. The
signal intensity of these MNP is related to the size of the particle, its position, its
concentration within a given voxel, data acquisition parameters, the magnetic field, and
dosage of the SPIO (Wang et al., 2001). In order to achieve higher relaxivity, types of MNPs
have also been designed and included those doped with alternative metals such as CoFe2O4,
NiFe2O4, MnFe2O4, Gd2O3 and gold-coated cobalt nanoparticles (Bouchard, et al., 2009;
Bridot et al., 2007; Lee et al., 2007). Magnetism in MNPs is highly sensitive to its size because
it arises from the collective interaction of atomic magnetic dipoles. At a critical size, MNPs
will change from a state that has multiple magnetic domains to only a single domain. Below
this critical size, the thermal energy becomes comparable to what is needed for spins to flip,
and the magnetic dipoles are in status of rapid randomization. Such MNPs do not have
permanent magnetic moments in the absence of an external field but can quickly respond to
an external magnetic field and are referred to as superparamagnetic.
Name Coating Size Relaxivity Relaxivity

(nm) (mM-1sec -1) r1 (mM-1sec -1) r2
Feridex/Endorem, Dextran T10
120-128 10.1 120
Ferumoxides AMI-25
Resovist, Ferucarbotran Carboxydextran
60 9.7 189
SHU-555 A
Combidex/ Sinerem Dextran T10, T1
Ferumoxtran-10 15-30 9.9 65
AMI-227
Supravist SHU- 555 C Carboxydextran 21 10.7 38
Clariscan, Feruglose Pegylated starch
20 n.a. n.a.
NC-100150
Table 1. Examples of available SPIO and USPIO agents. Modified from Corot et al., 2006.
MION has a magnetically labeled cell probe MR imaging agent with size about 5-10nm. It
has monocrystallinity and can be used for receptor-directed MR imaging. Its small size
make MION can easily pass through capillary endothelium without changing its
supermagnetism. It has been stated that it is possible to be detected by MR imaging at
concentration as low as 1 ug Fe/g tissue. Though it is still in the experimental state, the
preliminary targeted MR imaging with MION prove to be a powerful tool for cellular and
molecular MR imaging in the future.
Many different chemical methods can be used for synthesizing magnetic nanoparticles. The
most commonly used are precipitation-based approaches, either by co-precipitation or
reverse micelle synthesis (Nitin et al., 2004; Shen et al., 1993). MNP without any surface
coating are not stable in aqueous media, readily aggregate, and precipitate. For in vivo
applications via intravenous route, these particles aggregates in blood frequently and are
recognized and phagocytosed by macrophages (Lee et al., 2006). Therefore, the surface of
MNP should be coated with a variety of different moieties that can eliminate or minimize
their aggregation under physiological conditions. Usually, two main approaches are used
for coating MNP, including in situ coatings and post-synthesis coatings (Berry et al., 2004;
Horak et al., 2007; Jodin et al., 2006). With in situ coating, the MNP are coated during the
synthesis process. This coating approach involves a co-precipitation process in the presence
of the polysaccharide dextran and a cross linked chemically to increase its stability. This
particular coating approach has been very successful in producing dextran SPIOs which are
biocompatible and water – soluble. Other coatings in this class include carboxydextran
coating, starch-based coating, and dendrimer-based coatings. The post-synthesis coatings
can be used for coating MNP with a variety of materials, including, monolayer ligands,
polymers, combinations of polymers and biomolecules such as phospholipids and
carbohydrates, and silica.
Multiple MNP can also be encapsulated in liposomes to create magnetoliposomes (De
Cuyper & Joniau, 1988). Polyethylene glycol (PEG)-modified, phospholipid micelles coating
is favourable since this can results in satisfactory solubility and stability in aqueous
solutions, well biocompatibility, and also with prolonged blood circulation time when they
are delivered intravenously. The PEG can be modified for bioconjugation of various
moieties such as antibody, oligonucleotides, and peptides and may allow for molecular
specific intracellular targeting of specific proteins and nucleic acid (Gupta & Gupta, 2005;
Kohler et al., 2004; Kumagai et al., 2007; Lee et al., 2006, 2007a; Mikhaylova et al., 2004; Nitin
et al., 2004; Veiseh et al., 2005). PEG-coated MNP has the disadvantage such as limited
binding sites available for further ligand binding (Gupta & Gupta, 2005), and the coating
thickness can significantly affect their relaxivity (Laconte et al., 2007). In addition to PEG
coating, other materials such as antibiofouling poly(TMSMA-r-PEGMA) (Lee et al., 2006),
hyaluronic acid layers (Kumar et al., 2007) and carboxylfunctionalized poly(amidoamine)
dendrimers of generation 3 (Shi et al., 2007) have also been used to coat the surface of IO
nanoparticles for either increasing circulation time in the blood or delivering peptides at
high efficiency.
3. Impact of magnetic nanoparticles in immunologic cell

For most of the clinical imaging application on magnetic nanoparticles, the delivery route is
intravenous injection. The human immune system, mostly reticuloendothelial system,
recognizes these magnetic nanoparticles and ingests them. The size and surface charge of
the magnetic nanoparticles determine which kind of cells that interact with magnetic
nanoparticles (Moghimi & Bonnemain 1999) For particles larger than 20 nm, macrophage
and Kuppfer cell is the corresponding cells that deal with MNP (Moghimi & Hunter 2001,
2005). If the MNPs are less than 20 nm, these MNPs have greater opportunity to reside in
lymph nodes, after they extravasate into interstitial spaces (Moghimi & Bonnemain 1999).
Currently clinical approved iron oxide nanoparticles for MR images ranged mostly from 50-
100 nm, in which macrophages play important roles in ingestion of these MNPs.
Macrophages are cells that prevent invading bacteria, viruses by phagocytosis of these
microbes. It initiates inflammatory change by secreting cytokines such as tumor necrosis
factor-alpha and interleukin 2-beta which recruits more circulating cells for repairing
damaged tissue. Recent studies reveal macrophages also play important roles in tumor
invasion. Consequently, alteration of macrophage behaviour has potential influence on
human immunity, inflammatory process and cancer invasion. Understanding of impacts of
macrophages toward ingested magnetic nanoparticles is herein clinically important.
Two different MNPs are now under clinical use. Ferucarbotran is composed of both Fe3O4
(magnetite) and g-Fe2O3 (maghemite) and coated with carboxydextran that is negatively
charged. Ferumoxides is also composed of iron oxide that coated with dextran. Protamine
sulfate is usually added in cell culture for more efficient ferumoxides labelling (Arbab et al.,
2006).
Studies on clinically used MNPs, ferucarbotran, toward murine macrophage cell line
revealed MNPs ingestion stimulates TNF-alpha and IL-2 Beta secretion. The migratory
ability of MNPs laden macrophage increased but the phagocytotic activity of macrophages
decreased (Hsiao et al., 2008) However, these findings are based on 100 ug Fe/mL MNP
concentration that is 11 times higher than plasma concentration (Metz et al., 2004). Similar
findings could be observed on murine peritoneal macrophage cultured with 100 ug Fe/mL
MNPs. The secretion of TNF-alpha, IL-2 Beta and Nitric oxide, a bactericidal chemical, are
all increased in conjunction with the promotion of macrophage migration ability (Yeh et al.,
2010).
Long term exposure to MNPs has significant influence on macrophages. Research on human
macrophages treated with ferucarbotran show increased apoptosis after 120 hours of
incubation even at the concentration of 1 ug Fe/mL. Human macrophage also shows
apoptotic change when facing smaller MNPs, supravist, a smaller particle of 20.8 nm in
diameter, for 120 hours at the concentration of 0.1 ug Fe/mL (Lunov et al., 2010a). The
apoptotic event is inducted by N-terminal kinase (JNK) pathway that is activated by reactive
oxygen species (Lunov et al., 2010a; 2010b). There is evidence that elevated TNF-alpha
induce human macrophage apoptosis after these macrophages expose to ferucarbotran for
3- 5 days. However, there is no evidence that support ferucarbotran stimulate TNF-alpha
secretion on human macrophage. All of studies performed above are in vitro experiments
that intravenous injection of MNPs and collecting of circulating macrophage are still
pending. Moreover, under intravenous injection condition, all of clinical MNPs are
eliminated by reticuloendothelial system within 30 minutes in which no toxic event are
observed.
Human monocyte cell line, THP-1, is a precursor of macrophage and it has been evaluated
for its interaction with ferumoxides. The ferumoxides has been mixed with 1mg/mL of
protamine sulfate for higher labeling efficiency. Under incubation concentration of 4.5 ug
Fe/mL of ferumoxides-protamine complex for 2 hours, there is no significant TNF-alpha
secretion level change upon lipopolysaccharide stimulation (Janic et al., 2008). The CD-54
and CD-83 is not upregulated in response to lipopolysaccharide.
Lymphocytes are important immune cells that regulate both cellular and humoral immunity
against invading organism and cancer cells. Although lymphocytes are not easily labeled
with MNPs, it is still possible by modifying surface of MNPs with tat peptide, a HIV
membrane translocating peptide that is specific to CD4+ lymphocytes (Garden et al., 2006).
The synthesized Tat linked MNPs are 31.3± 8.5nm which is slightly larger than original
MNPs that is 25.7± 6.1 nm. Under TEM, these particles located at both cytoplasm and
nucleus, which is different from other MNPs that only located at lysosomes. There is neither
proliferation ability nor IL-2 secretion capability change of CD4+ CD25+ lymphocytes after
labelling with tat-linked MNPs (Garden et al., 2006). Dendritic cells are antigen presenting
cells that express antigens to other immune cells, mostly lymphocytes, to continue immune
response. Labelling of dendritic cells allows monitoring migration of these cells in vivo
(Tavaré et al., 2011; Noh et al., 2011) The mouse dendritic cells were labelled with endorem,
a clinically proved MNPs in Europe with corresponding product named ferumoxide in
USA. There is no drastic effect of labelled dendritic cells such as T lymphocyte proliferation,
in vivo growth rate of lymph nodes after labelled or unlabeled dendritic cells labelling.
Under B16 melanoma lung metastatic model, both labelled and unlabeled dendritic cells
show protective effect upon pulmonary metastasis (Tavaré et al., 2011).
In conclusion, the effects of MNPs toward immune cells are diverse, the cell type, particle
size, charge and labelling amount all contribute to cell behaviour change. Although some
reports show immunological response change after MNPs labelling, most of the MNPs
exceeds the daily clinical practice. However, systemically analysis of MNPs and immune
cells interaction is important and this study may have potential impact on immune therapy.
4. Impact of magnetic nanoparticles in stem cell

Stem cells play promising roles in tissue regeneration and engineering. They could be used
for tissue transplantation and it is now understand that stem cells also interact with cancer
cells. Some of the stem cell promotes the growth of cancer cells whereas some animal model
shows stem cell suppresses the tumor growth.
There are different types of stem cells. Embryonic stem cells are pluripotent, which means
the cells could differentiate into almost all cells. However, the ethics concern and current
stem cell technology progress makes it less interesting for cell labelling. Mesenchymal stem
cells are multi-potent cells that could differentiate into different kinds of cells of medical
interest such as bone tissue and cartilage.
Bone marrow derived mesenchymal stem cells are capable of differentiating into many
tissue that is essential for tissue repair. However, when these cells delivered into damaged
tissue, it is hard to differentiate where these cells are. Labelling cells with MNPs are then
important to monitor the location, migration in vivo. It has been proved that MNPs labelled
mesenchymal stem cells can be visualized for implantation into damaged cardiac tissue in
porcine model (Kraitchman et al., 2002). In the study, ferumoxides incorporated with poly-
L-lysine were incubated with swine mesenchymal stem cells and injected into
myocardiocytes under X-ray guidance. Post-mortem histology shows injected cells resides
in designated myocardial tissue. The labelled mesenchymal stem cells are also applied for
monitoring the repair of lipopolysaccarides induced damaged brain tissue in rat model by
using MNPs-tat peptide conjugate. The result shows cell migratory behaviour into the
damaged brain (Jackson et al., 2010). For understanding of interaction between
mesenchymal stem cells and tumor, labelled mesenchymal stem cells is also monitored for
its interaction with glioma in mouse model by using ferucarbontran in conjunction with
protamine sulfate and proved that mesenchymal stem cells reduce glioma growth and
mesenchymal stem cells is capable of migration into glioma tissue (Chien et al., 2010).
The mechanism of MNPs uptake by different kinds of stem cells are not fully investigated
but recent study shows endocytosis by clathrin receptor is one of the mechanisms (Huang et
al., 2005; Lu et al., 2007). These study shows inhibitor of clathrin receptor, phenylarsine
oxide, can block the ingestion of mesoporous iron oxide nanoparticles into human
mesenchymal stem cells. Macropinocytosis also play significant role once if protamine
sulfate is used. It is also proved that tat peptide linked MNPs enter cell by macropinocytosis
(Arbab et al., 2006).
Most of stem cell labelling for MR imaging is based on T2 weighted contrast. However,
some efforts aiming on T1 contrast agent such as gadolinium based chelates conjugating into
mesoporous silica nanoparticles has been proved for its imaging capability in animals
injected with human mesenchymal stem cells. The viability and differentiating capacity of
these mesenchymal stem cells are preserved (Hsiao et al., 2008; Tsai et al., 2008). The
mesoporous nanoparticles has also been labelled with fluorescent dyes that monitoring the
cells with fluorescent imaging modality is also possible.
In addition to cell viability, labelled mesenchymal stem cells has been verified for its
mitochondrial potential and reactive oxygen species, both of which represents intracellular
stress. Neither mitochondrial potential nor reactive oxygen species change under
ferucarbotran incubation at the concentration of 100 ug Fe/mL for 24 hours (Hsiao et al.,
2007). Long term incubation up to 72 hours has also been investigated and shows no adverse
effect upon mesenchymal stem cells (Yang et al., 2011). Similar results are found on
ferumoxide-polylysine and ferumoxides-protamine sulfate complex toward mesenchymal
stem cells (Arbab et al., 2003; Pawelczyk et al., 2006).
Stem cells are valuable for its differentiation capacity. Concerns for preserving its
differentiating capacity are essential. For clinical used MNPs such as ferucarbotran for
directly labelling, it has been showed that labelled mesenchymal stem cells is still capable of
differentiating to adipose tissue, and bone tissue at the labelling period of 24 hours (Hsiao et
al., 2007). The long term effect has also been evaluated for its cartilage differentiation
capacity (Yang et al., 2011). The activity of chondrogenesis of ferucarbontran labelled
mesenchymal stem cells decreased as iron content increases (Hinning et al., 2009). Similar
finding upon osteogenesis is also found. Dose dependent osteogenesis inhibition is observed
on human mesenchymal stem cells (Chen et al., 2010). The labelling dose is consequently
very important.
Labelling of mesenchymal stem cells with ferumoxides in conjunction with transfection
agent is also popular. The differentiation capacity has also been studied. The adipogenesis
and osteogenesis capacity is preserved but there is debate upon chondrogenesis (Kostura et
al., 2004; Arbab et al., 2005). The model of ferumoxides-polylysine shows inhibition of
chondrogenesis whereas ferumoxide-protamine sulfate shows no inhibitory effect. Although
there is no study comparing these two labelling method, the ferumoxide-protamine sulfate
and ferumoxide-polylysine complex, labelling mesenchymal stem cells with ferumoxide-
protamine sulfate might be better for further investigation. Besides, labelling dose of MNPs
should be suitable for preserving imaging capability and differentiating capacity.
In conclusion, labelling of stem cells for imaging is medically important that could be used
for cell trafficking and potentially tumor inhibition. Although imaging capability of these
labelled mesenchymal stem cells is concerned, the differentiation capacity of these cells
should be preserved. Meanwhile, no satisfactory methods or consensus about labelling stem
cell with MNP established though direct labelling using ferucarbotran or labelling
ferumoxides with protamine sulfate are popular. Efforts on designing novel MNPs for cell
labelling is still demanding.
5. Bifunctional, multi-functional, and theragnostic magnetic nanoparticles

Nanoparticles have advantages for their multi-conjugating capability that makes it possible
to exhibit imaging and therapeutic character in one particle. The capability of imaging is
mostly rely on the core that is magnetic. Either the shell or the core itself exhibit therapeutic
effect. The therapeutic effects include gene delivery, hyperthermia, chemotherapy and
photodynamic therapy. The benefits of theragnostic design are based on the following
advantages. First, the magnetic core plays both imaging and magnetic guidance character.
Targeting to specific organ or tissue is theoretically possible once if a guiding magnetic is
applied. Secondly, the location where MNPs resides and acts as therapeutic agent can be
visualized. Unlike most drugs that are small molecules, MNPs has different, specific organ
and cell distribution that makes it possible for different treatment strategy. Lastly, MNPs
can traverse vasculature barrier and go into intercellular space or even cell surface once if
recognizing molecules has been conjugated at the MNPs surface.
Hyperthermia with MNPs is based on the fact that tumor cells are more liable toward
temperature change. It have been investigated that temperature between 41°C and 42°C can
induce tumor cell death by destruction of cell membrane (Sellins & Cohen, 1991). The
enzymatic system is also influenced. The hyperthermia is achieved by alternating current
magnetic field system around the frequency of 100 KHz at the magnetic field intensity in
30.6 kA/m (Silva et al., 2011). Limited clinical trial was done and showed controversial
effect (Maier-Hauff et al., 2007; 2011). In one study, 66 patients of glioblastoma, a high grade
brain tumor, were enrolled and MNPs were injected into tumor of these patient.
Hyperthermia associated with radiotherapy was done and there is statistical difference
between hyperthermia group and traditional radiotherapy group. The survival after first
diagnosis is 8.6 months longer in hyperthermia group compared with conventional
treatment group. In addition, the adverse effect of hyperthermia is not significant according
to the observation of the study (Maier-Hauff et al., 2011).
Photodynamic therapy is one of the cancer treatment methods that have also been used for
theragnostic purpose. The mechanism of photodynamic therapy is based on synthesis of
singlet oxygen at the expense of photon activation of photosensitizer. The produced singlet
oxygen is capable of destruct adjacent cells by oxidation. Some of the photosensitizers are
clinically available. Efforts trying to conjugate MNPs with photosensitizers have potential
benefits such as understanding the location of drugs accumulation and MNPs can also be
guided by magnetic fields. The model of multi-functional MNPs has been proved possible in
vitro. Hela cells can be imaged and killed by iridium complexes conjugated iron oxide
nanoparticles (Lai et al., 2008). The iridium complexes have been also conjugated to MnO
based mesoporous silicate nanoparticles that exhibit T1 weighted contrast enhancement. The
photodynamic therapy effect is proved efficacious at in vitro HeLa cell model (Peng et al.,
2011).
Gene therapy is at the edge of new strategy for cancer therapy. MNPs is capable of serving
gene delivery carrier and also used for magnetic guidance. Studies focused on cancer related
gene such as E1A has been successfully delivered into HeLa cells after E1A gene
incoporated with iron oxide nanoparticles. Intratumoral injection of the plasmid-MNPs
complex results in tumor size reduction compared with control group, whereas only
radiation therapy was done (Shen et al., 2010).
In conclusion, multifunctional MNPs are at the initial stage of development. The benefits of
biodistribution and magnetic character make theragnostic strategy different from other
treatment. However, more efforts upon toxicity and therapeutic range should be done
before it has been used widely in the clinical medical fields.
6. Future
Cellular Imaging can be an application of MNP as cellular marker for imaging of
macrophage activity and as cellular marker for imaging of cell migration and cell trafficking.
With the advancement of modern molecule design, we can also have the capability of design
a MNP with the role of both diagnostic and treatment.
A major limitation of IO MNP is the loss of signal on T2-weighted MRI and creating ‘black
holes’ on images; that (1) prevent direct anatomical MR evaluation of the tissue in question
(requiring comparison of pre- and post-contrast images), and (2) make it difficult to
discriminate between targeted cells and image artefacts (i.e. as caused by susceptibility
artifacts or imperfect pulse sequences).One such approach could be the use of a ‘white
marker’ MR T1-weighted sequence, that creates positive MNP contrast. For cellular imaging,
as labelling is not permanent and self-replicable like reporter genes, with dilution of label
upon cell division, iron oxide detection may rapidly become impossible. Finally, careful iron
oxide titration and cellular differentiation studies need to be performed. Short- and long-
term toxicity studies are warranted. It needs a comprehensive study on the fate of the
particles in vivo following biodegradation; quantify the number of iron oxide labelled
molecules or cells per voxel and to increase the specificity of detection of iron oxides.
Perhaps the least studied limitation is the potential acute and chronic systemic toxicity of the
particles themselves. Toxicity can result from the MNP themselves or the individual
components of the MNP that can be released during degradation in vivo. Nanomaterials
may influence a living organism through different biological pathways (Nel et al., 2006).
From previous limited report IO MNP and gold colloids seem to be less of a concern in
terms of toxicity and IO can be cleared from the body via various routes with minimal
toxicity (Briley-Saebo et al., 2004; Corot et al., 2006; Jain et al., 2008). Different types of
nanoparticles have been shown to be cytotoxic to human cells (Lewinski et al., 2008), induce
oxidative stress (Long et al., 2006), or elicit an immune response (Dobrovolskaia et al., 2007).
After administration, nanoparticles must traverse a complex and often hostile environments
that have evolved to seek out and exclude foreign material (Minchin et al., 1999). The first
few steps of this dangerous journey include the interacting with plasma proteins and
accumulating in macrophages or the reticuloendothelial system of the liver, spleen, or
lymph nodes. The types of proteins that absorb to the surface are affected by size, shape,
and surface characteristics. Importantly, there is now strong evidence that the proteins that
surround the nanoparticles play a critical role in determining their fate in vivo (Kreuter et
al., 2002; Owens et al.; 2006, Lynch et al., 2006). Dextran is clinically approved for modifying
IO MNP but liver accumulation is still evident. Silica nanoparticles have been evaluated for
potential hepatoxicity because of their propensity to be taken up by the liver (Nishimori et
al., 2009).Whereas large particles (>300nm) showed little adverse effects, particles less than
100 nm induced acute liver damage and cytokine release.
7. Conclusion
The nanotechnology offer great opportunities for molecular imaging and future medicine.
However, they are difficulty in designing and administration. The possible acute or chronic
toxicity associated with the nanoparticle is still under investigated. The implementation of
nanotechnology in medicine will depend on more understand and depth knowledge about
them.
8. References
Arbab, A.S., Bashaw, L.A., Miller, B.R., Jordan, E.K., Lewis, B.K., Kalish, H., & Frank, J.A.
(2003). Characterization of biophysical and metabolic properties of cells labeled
with superparamagnetic iron oxide nanoparticles and transfection agent for cellular
MR imaging. Radiology, 229(3),838-846.
Arbab, A.S., Yocum, G.T., Rad, A.M., Khakoo, A.Y., Fellowes, V., Read, E.J., & Frank J.A.
(2005). Labeling of cells with ferumoxides-protamine sulfate complexes does not
inhibit function or differentiation capacity of hematopoietic or mesenchymal stem
cells. NMR in Biomed, 18(8), 553-559.
Arbab, A.S., Liu, W., & Frank, J.A. (2006).Cellular magnetic resonance imaging: current
status and future prospects. Expert Rev Med Devices, 3(4), 427-439.
Achilefu, S. (2010) Introduction to concept and strategies for molecular imaging. Chem. Rev.
110, 2575–2578
Berry, C.C., Wells, S., Charles, S., Aitchison, G., & Curtis, A.S. (2004). Cell response to
dextranderivatised iron oxide nanoparticles post internalisation. Biomaterials, 25,
5405–5413.
Bouchard, L.S., Anwar, M.S., Liu, G.L., Hann, B., Xie, Z.H., Gray, J.W., Wang, X., Pines, A., &
Chen, F.F. (2009). Picomolar sensitivity MRI and photoacoustic imaging of cobalt
nanoparticles. Proc. Natl. Acad. Sci. 106, 4085–4089
Bradbury, M. & Hricak, H. (2005). Molecular MR imaging in oncology. Magn Reson Imaging
Clin N Am, 13,225–240.
Bridot, J.L., Faure, A.C., Laurent, S., Rivière, C., Billotey, C., Hiba, B., Janier, M., Josserand,
V., Coll, J.L., Elst, L.V., Muller, R., Roux, S., Perriat, P., & Tillement, O. (2007).
Hybrid gadolinium oxide nanoparticles: multimodal contrast agents for in vivo
imaging. J. Am. Chem. Soc. 129, 5076–5084
Briley-Saebo, K., Bjørnerud, A., Grant, D., Ahlstrom, H., Berg, T., & Kindberg, G.M. (2004).
Hepatic cellular distribution and degradation of iron oxide nanoparticles following
single intravenous injection in rats: implications for magnetic resonance imaging.
Cell Tissue Res. 316, 315–323.
Chen, Y.C., Hsiao, J.K., Liu, H.M., Lai, I.Y., Yao, M., Hsu, S.C., Ko, B.S., Chen, Y.C., Yang,
C.S., & Huang, D.M. (2010). The inhibitory effect of superparamagnetic iron oxide
nanoparticle (Ferucarbotran) on osteogenic differentiation and its signaling
mechanism in human mesenchymal stem cells. Toxicology and Applied Pharmacology,
245(2), 272-279.
Chien, L.Y., Hsiao, J.K., Hsu, S.C., Yao, M., Lu, C.W., Liu, H.M., Chen, Y.C., Yang, C.S., &
Huang, D.M. (2011). In vivo magnetic resonance imaging of cell tropism, trafficking
mechanism, and therapeutic impact of human mesenchymal stem cells in a murine
glioma model. Biomaterials, 32(12), 3275-3284.
Choi, S.H., Han, M.H., Moon, W.K., Son, K.R., Won, J.K., Kim, J.H., Kwon, B.J., Na, D.G.,
Weinmann, H.J., & Chang, K.H. (2006). Cervical lymph node metastases: MR
imaging of gadofluorine M and monocrystalline iron oxide nanoparticle-47 in a
rabbit model of head and neck cancer. Radiology, 241 (3), 753–762.
Corot, C. Robert, P., Idée, J.M., & Port, M. (2006) Recent advances in iron oxide nanocrystal
technology for medical imaging. Adv. Drug Deliv. Rev. 58, 1471–1504.
Daldrup-Link, H.E., Rudelius, M., Oostendorp, R.A., Settles, M., Piontek, G., Metz, S.,
Rosenbrock, H., Keller, U., Heinzmann, U., Rummeny, E.J., Schlegel, J., & Link,
T.M., (2003). Targeting of hematopoietic progenitor cells with MR contrast agents.
Radiology, 228, 760–767.
Debbage, P., & Jaschke,W. (2008). Molecular imaging with nanoparticles: giant roles for
dwarf actors. Histochem Cell Biol, 130,845–875.
De Cuyper, M., & Joniau, M. (1988). Magnetoliposomes. Formation and structural
characterization. Eur Biophys J, 15,311–319.
de Vries, I.J., Lesterhuis, W.J., Barentsz, J.O., Verdijk, P., van Krieken, J.H., Boerman, O.C.,
Oyen, W.J., Bonenkamp, J.J., Boezeman, J.B., Adema, G.J., Bulte, J.W., Scheenen,
T.W., Punt, C.J., Heerschap, A., & Figdor, C.G., (2005). Magnetic resonance tracking
of dendritic cells in melanoma patients for monitoring cellular therapy. Nat.
Biotechnol, 23 (11), 1407–1413.
Dobrovolskaia, M.A., & McNeil, S.E. (2007). Immunological properties of engineered
nanomaterials. Nat Nanotechnol, 2,469–478.
Funovics, M.A., Kapeller, B., Hoeller, C., Su, H.S., Kunstfeld, R., Puig, S., & Macfelda, K.
(2004). MR imaging of the her2/neu and 9.2.27 tumor antigens using
immunospecific contrast agents. Magn Reson Imaging, 22,843–850.
Garden, O.A., Reynolds, P.R., Yates, J., Larkman, D.J., Marelli-Berg, F.M., Haskard, D.O.,
Edwards, A.D., & George, A.J. (2006). A rapid method for labelling CD4+ T cells
with ultrasmall paramagnetic iron oxide nanoparticles for magnetic resonance
imaging that preserves proliferative, regulatory and migratory behaviour in vitro.
Journal of Immunological Methods, 314(1-2), 123-133.
Gupta, A.K., & Gupta, M. (2005). Synthesis and surface engineering of iron oxide
nanoparticles for biomedical applications. Biomaterials, 26, 3995–4021.
Harisinghani, M.G., Barentsz, J., Hahn, P.F., Deserno, W.M., Tabatabaei, S., van de Kaa,
C.H., de la Rosette, J., & Weissleder, R. (2003). Noninvasive detection of clinically
occult lymph-node metastases in prostate cancer. N Engl J Med, 348,2491–2499.
Harris, L.A., Goff, J.D., Carmichael, A.Y., Riffle, J.S., Harburn, J.J., St. Pierre, T.G., &
Saunders, M. (2003) Magnetite nanoparticle dispersions stabilized with triblock
copolymers. Chem Mater, 15,1367–1377.
Henning, T.D., Sutton, E.J., Kim, A., Golovko, D., Horvai, A., Ackerman, L., Sennino, B.,
McDonald, D., Lotz, J., & Daldrup-Link, H.E. (2009). The influence of ferucarbotran
on the chondrogenesis of human mesenchymal stem cells. Contrast media &
molecular imaging, 4(4),165-173.
Horak, D., Babic, M., Jendelova, P., Herynek, V., Trchová, M., Pientka, Z., Pollert, E., Hájek,
M., & Syková, E. (2007). D-mannose-modified iron oxide nanoparticles for stem cell
labeling. Bioconjug Chem, 18,635–644.
Hsiao, J.K., Tai, M.F., Chu, H.H., Chen, S.T., Li, H., Lai, D.M., Hsieh, S.T., Wang, J.L., & Liu,
H.M. (2007). Magnetic nanoparticle labeling of mesenchymal stem cells without
transfection agent: cellular behavior and capability of detection with clinical 1.5 T
magnetic resonance at the single cell level. Magn Reson Med, 58(4),717-724.
Hsiao, J.K., Chu, H.H., Wang, Y.H., Lai, C.W., Chou, P.T., Hsieh, S.T., Wang, J.L., & Liu,
H.M. (2008). Macrophage physiological function after superparamagnetic iron
oxide labeling. NMR Biomed, 21(8),820-829.
Hsiao, J.K., Tsai, C.P., Chung, T.H., Hung, Y., Yao, M., Liu, H.M., Mou, C.Y., Yang, C.S.,
Chen, Y.C., & Huang, D.M. (2008). Mesoporous silica nanoparticles as a delivery
system of gadolinium for effective human stem cell tracking. Small, 4(9),1445-1452.
Huang, D.M., Hung, Y., Ko, B.S., Hsu, S.C., Chen, W.H., Chien, C.L., Tsai, C.P., Kuo, C.T.,
Kang, J.C., Yang, C.S., Mou, C.Y., & Chen, Y.C. (2005). Highly efficient cellular
labeling of mesoporous nanoparticles in human mesenchymal stem cells:

implication for stem cell tracking. FASEB J., 19(14),2014-2016.
Jackson, J.S., Golding , J.P., Chapon, C., Jones, W.A., & Bhakoo, K.K. (2010) Homing of stem
cells to sites of inflammatory brain injury after intracerebral and intravenous
administration: a longitudinal imaging study. Stem Cell Res Ther. 1(2),17.
Jain, K.K. (2005). Role of nanobiotechnology in developing personalized medicine for cancer.
Technol Cancer Res Treat, 4,645–650.
Jain, T.K. Reddy, M.K., Morales, M.A., Leslie-Pelecky, D.L., & Labhasetwar, V. (2008).
Biodistribution, clearance, and biocompatibility of iron oxide magnetic
nanoparticles in rats. Mol. Pharm., 5, 316–327.
Janic, B., Iskander,,A.S., Rad, A.M., Soltanian-Zadeh, H., & Arbab, A.S. (2008). Effects of
Ferumoxides – Protamine Sulfate Labeling on Immunomodulatory Characteristics
of Macrophage-like THP-1 Cells. PLoS ONE, 3(6), e2499.
Jodin, L., Dupuis, A.C., Rouviere, E., & Reiss, P. (2006). Infl uence of the catalyst type on the
growth of carbon nanotubes via methane chemical vapor deposition. J Phys Chem B,
110,7328–7333.
Kateb, B., Chiu, K., Black, K.L., Yamamoto, V., Khalsa, B., Ljubimova, J.Y., Ding, H. , Patil,
R., Portilla-Arias, J.A. , Modo, M. , Moore, D.F., Farahani, K., Okun, M.S., Prakash,
N., Neman, J., Ahdoot, D., Grundfest, W., Nikzad, S., & Heiss, J.D. (2011).
Nanoplatforms for constructing new approaches to cancer treatment, imaging, and
drug delivery: What should be the policy? NeuroImage, 54, S106–S124
Kohler, N., Fryxell, G.E., & Zhang, M. (2004). A bifunctional poly(ethylene glycol) silane
immobilized on metallic oxide-based nanoparticles for conjugation with cell
targeting agents. J Am Chem Soc, 126,7206–7211.
Kostura, L., Kraitchman, D.L., Mackay, A.M., Pittenger, M.F., & Bulte, J.W. (2004). Feridex
labeling of mesenchymal stem cells inhibits chondrogenesis but not adipogenesis or
osteogenesis. NMR in Biomed, 17(7),513-517.
Kraitchman, D.L., Heldman, A,W,, Atalar, E,, Amado, L.C., Martin, B.J., Pittenger, M.F.,
Hare, J.M.,& Bulte, J.W. (2003). In Vivo Magnetic Resonance Imaging of
Mesenchymal Stem Cells in Myocardial Infarction. Circulation, 107(18), 2290-2293.
Kreuter, J., Shamenkov, D., Petrov, V., Ramge, P., Cychutek, K., Koch-Brandt, C., &
Alyautdin, R. (2002). Apolipoprotein-mediated transport of nanoparticle-bound
drugs across the blood-brain barrier. J Drug Target, 10,317–325.
Kumagai, M., Imai, Y., Nakamura, T., Yamasaki, Y., Sekino, M., Ueno, S., Hanaoka, K.,
Kikuchi, K., Nagano, T., Kaneko, E., Shimokado, K., & Kataoka, K. (2007). Iron
hydroxide nanoparticles coated with poly(ethylene glycol)-poly(aspartic acid)
block copolymer as novel magnetic resonance contrast agents for in vivo cancer
imaging. Colloids Surf B Biointerfaces, 56,174–81.
Kumar, A., Sahoo, B., Montpetit, A., Behera, S., Lockey, R.F., & Mohapatra, S.S. (2007).
Development of hyaluronic acid-Fe2O3 hybrid magnetic nanoparticles for targeted
delivery of peptides. Nanomedicine, 3,132–137.
Laconte, L.E., Nitin, N., Zurkiya, O., Caruntu, D., O'Connor, C.J., Hu, X., & Bao, G. (2007).
Coating thickness of magnetic iron oxide nanoparticles affects R(2) relaxivity. J
Magn Reson Imaging, 26,1634–41.
Lai, C.W., Wang, Y.H., Lai, CH., Yang, M.J., Chen, C.Y., Chou, P.T., Chan, C.S., Chi, Y.,
Chen, Y.C., & Hsiao, J.K. (2008). Iridium-complex-functionalized Fe3O4/SiO2
core/shell nanoparticles: a facile three-in-one system in magnetic resonance

imaging, luminescence imaging, and photodynamic therapy. Small, 4(2), 218-224.
Lee, H., Lee, E., Kim, do K., Jang, N.K., Jeong, Y.Y., & Jon, S. (2006). Antibiofouling polymer-
coated superparamagnetic iron oxide nanoparticles as potential magnetic
resonance contrast agents for in vivo cancer imaging. J Am Chem Soc, 128,7383–
7389.
Lee, J.H., Huh, Y.M., Jun, Y.W., Seo, J.W., Jang, J.T., Song, H.T., Kim, S., Cho, E.J., Yoon,
H.G., Suh, J.S., & Cheon, J. (2007) Artificially engineered magnetic nanoparticles for
ultra-sensitive molecular imaging. Nat. Med. 13, 95–99.
Lee, H., Yu, M.K., Park, S., Moon, S., Min, J.J., Jeong, Y.Y., Kang, H.W., & Jon, S. (2007).
Thermally cross-linked superparamagnetic iron oxide nanoparticles: synthesis and
application as a dual imaging probe for cancer in vivo. J Am Chem Soc, 129,12739–
12745.
Lewinski, N., Colvin, V., & Drezek, R. (2008). Cytotoxicity of nanoparticles. Small, 4,26–49.
Long, T.C., Saleh, N., Tilton, R.D., Lowry, G.V., & Veronesi, B. (2006). Titanium dioxide
(P25) produces reactive oxygen species in immortalized brain microglia (BV2):
implications for nanoparticle neurotoxicity. Environ Sci Technol, 40,4346–4352.
Lu, C.W., Hung, Y., Hsiao, J.K., Yao, M., Chung, T.H., Lin, Y.S., Wu, S.H., Hsu, S.C., Liu,
H.M., Mou, C.Y., Yang, C.S., Huang, D.M., & Chen, Y.C. (2007). Bifunctional
magnetic silica nanoparticles for highly efficient human stem cell labeling. Nano
Lett, 7(1), 149-154.
Lunov, O., Syrovets, T., Büchele, B., Jiang, X., Röcker, C., Tron, K., Nienhaus, G.U., Walther,
P., Mailänder, V., Landfester, K., & Simmet, T. (2010a). The effect of
carboxydextran-coated superparamagnetic iron oxide nanoparticles on c-Jun N-
terminal kinase-mediated apoptosis in human macrophages. Biomaterials,
31(19),5063-5071.
Lunov, O., Syrovets, T., Röcker, C., Tron, K., Nienhaus, G.U., Rasche, V., Mailänder, V.,
Landfester, K., & Simmet, T. (2010b). Lysosomal degradation of the carboxydextran
shell of coated superparamagnetic iron oxide nanoparticles and the fate of
professional phagocytes. Biomaterials, 31(34), 9015-9022.
Lynch, I., Dawson, K.A., & Linse, S. (2006). Detecting cryptic epitopes created by
nanoparticles. Sci STKE, 2006, pe14
Maier-Hauff, K., Rothe, R., Scholz, R., Gneveckow, U., Wust, P., Thiesen, B., Feussner, A.,
von Deimling, A., Waldoefner, N., Felix, R., & Jordan, A. (2007). Intracranial
thermotherapy using magnetic nanoparticles combined with external beam
radiotherapy: results of a feasibility study on patients with glioblastoma
multiforme. Journal of Neuro-Oncology, 81(1), 53-60.
Maier-Hauff, K., Ulrich, F., Nestler, D., Niehoff, H., Wust, P., Thiesen, B., Orawa, H.,
Budach, V., & Jordan, A. (2011). Efficacy and safety of intratumoral thermotherapy
using magnetic iron-oxide nanoparticles combined with external beam
radiotherapy on patients with recurrent glioblastoma multiforme. Journal of Neuro-
Oncology, 103(2), 317-24.
Metz, S., Bonaterra, G., Rudelius, M., Settles, M., Rummeny, E.J., & Daldrup-Link, H.E.
(2004). Capacity of human monocytes to phagocytose approved iron oxide MR
contrast agents in vitro. Eur Radiol, 14(10), 1851-1858.
Mikhaylova, M., Kim, D.K., Bobrysheva, N., Osmolowsky, M., Semenov, V., Tsakalakos, T.,
& Muhammed, M. (2004). Superparamagnetism of magnetite nanoparticles:
dependence on surface modification. Langmuir, 20,2472–2477.
Minchin, R.F., Orr, R.J., Cronin, A.S., & Puls, R.L. (1999) The pharmacology of gene therapy.
Croat Med J 40,381–391.
Moghimi, S.M. & Bonnemain, B. (1999). Subcutaneous and intravenous delivery of
diagnostic agents to the lymphatic system: applications in lymphoscintigraphy and
indirect lymphography. Advanced Drug Delivery Reviews, 37(1-3), 295-312.
Moghimi, S.M. & Hunter, A.C. (2001). Recognition by Macrophages and Liver Cells of
Opsonized Phospholipid Vesicles and Phospholipid Headgroups. Pharmaceutical
Research, 18(1), 1-8.
Moghimi, S.M., Hunter, A.C., & Murray, J.C. (2005). Nanomedicine: current status and
future prospects. Faseb J., 19(3),311-330.
Montet, X., Montet-Abou, K., Reynolds, F., Weissleder, R., & Josephson, L. (2006).
Nanoparticle imaging of integrins on tumor cells. Neoplasia, 8,214–222.
Nel, A., Xia, T., Mädler, L., & Li, N. (2006). Toxic potential of materials at the nanolevel.
Science 311, 622–627.
Nishimori, H., Kondoh, M., Isoda, K., Tsunoda, S., Tsutsumi, Y., Yagi, K. (2009) Silica
nanoparticles as hepatotoxicants. Eur J Pharmaceut Biopharmaceut, 72,496–501.
Nitin, N., LaConte, L.E., Zurkiya, O., Hu, X., Bao, G. (2004). Functionalization and
peptidebased delivery of magnetic nanoparticles as an intracellular MRI contrast
agent. J Biol Inorg Chem, 9,706–712.
Noh, Y.-W., Jang, Y.S., Ahn, K.J., Lim, Y.T., & Chung, B.H. (2011). Simultaneous in vivo
tracking of dendritic cells and priming of an antigen-specific immune response.
Biomaterials, 32(26), 6254-6263.
Owens, 3rd D.E., & Peppas, N.A. (2006). Opsonization, biodistribution, and
pharmacokinetics of polymeric nanoparticles. Int J Pharmaceut, 307,93–102.
Pawelczyk, E., Arbab, A.S., Pandit, S., Hu, E., & Frank, J.A. (2006). Expression of transferrin
receptor and ferritin following ferumoxides-protamine sulfate labeling of cells:
implications for cellular magnetic resonance imaging. NMR in Biomed, 19(5), 581-
592.
Peng, Y.K., Lai, C.W., Liu, C.L., Chen, H.C., Hsiao, Y.H., Liu, W.L., Tang, K.C., Chi, Y.,
Hsiao, J.K., Lim, K.E., Liao, H.E., Shyue, J.J., & Chou, P.T. (2011). A new and facile
method to prepare uniform hollow MnO/functionalized mSiO core/shell
nanocomposites. ACS nano, 5(5), 4177-4187.
Rawat, M., Singh, D., Saraf, S., & Saraf, S. (2006). Nanocarriers: promising vehicle for
bioactive drugs. Biol. Pharm. Bull., 29, 1790–1798.
Rogers, W.J. & Basu, P. (2005). Factors regulating macrophage endocytosis of nanoparticles:
implications for targeted magnetic resonance plaque imaging. Atherosclerosis, 178,
67–73.
Sellins, K.S. & Cohen, J.J. (1991). Hyperthermia induces apoptosis in thymocytes. Radiation
Research, 126(1), 88-95.
Shen, L.-F., Chen, J., Zeng, S., Zhou, R.R., Zhu, H., Zhong, M.Z., Yao, R.J., & Shen, H. (2010).
The Superparamagnetic Nanoparticles Carrying the E1A Gene Enhance the
Radiosensitivity of Human Cervical Carcinoma in Nude Mice. Molecular Cancer
Therapeutics, 9(7), 2123-2130.
Shen, T., Weissleder, R., Papisov, M., Bogdanov, A. Jr, & Brady, T.J. (1993). Monocrystalline
iron oxide nanocompounds (MION): physicochemical properties. Magn Reson Med,
29,599–604.
Shi, X., Thomas, T.P., Myc, L.A., Kotlyar, A., & Baker, J.R. Jr. (2007). Synthesis,
characterization, and intracellular uptake of carboxyl-terminated
poly(amidoamine) dendrimer-stabilized iron oxide nanoparticles. Phys Chem Chem
Phys, 9, 5712–5720.
Silva, A.C., Oliveira, T.R., Mamani, J.B., Malheiros, S.M., Malavolta, L., Pavon, L.F., Sibov,
T.T., Amaro, E. Jr, Tannús, A., Vidoto, E.L., Martins, M.J., Santos, R.S., & Gamarra,
L.F. (2011). Application of hyperthermia induced by superparamagnetic iron oxide
nanoparticles in glioma treatment. International journal of nanomedicine, 6, 591-603.
Tavaré, R., Sagoo, P., Varama, G., Tanriver, Y., Warely, A., Diebold, S.S., Southworth, R.,
Schaeffter, T., Lechler, R.I., Razavi, R., Lombardi, G., & Mullen, G.E. (2011).
Monitoring of in vivo function of superparamagnetic iron oxide labelled murine
dendritic cells during anti-tumour vaccination. PLoS ONE, 6(5), e19662.
Thorek, D.L., Chen, A.K., Czupryna, J., & Tsourkas, A. (2006). Superparamagnetic iron oxide
nanoparticle probes for molecular imaging. Ann Biomed Eng, 34,23–38.
Tsai, C.P., Hung, Y., Chou, Y.H., Huang, D.M., Hsiao, J.K., Chang, C., Chen, Y.C., & Mou,
C.Y. (2008). High-contrast paramagnetic fluorescent mesoporous silica nanorods as
a multifunctional cell-imaging probe. Small, 4(2),186-191.
Veiseh, O., Sun, C., Gunn, J., Kohler, N., Gabikian, P., Lee, D., Bhattarai, N., Ellenbogen, R.,
Sze, R., Hallahan, A., Olson, J., & Zhang, M. (2005). Optical and MRI
multifunctional nanoprobe for targeting gliomas. Nano Lett, 5,1003–1008.
Wang, Y.X., Hussain, S.M., & Krestin, G.P. (2001). Superparamagnetic iron oxide contrast
agents: physicochemical characteristics and applications in MR imaging. Eur.
Radiol., 11, 2319–2331.
Wiwanitkit, V. (2006). Glomerular pore size corresponding to albumin molecular size, an
explanation for underlying structural pathology leading to albuminuria at
nanolevel. Renal Fail, 28,101.
Yang, C.Y., Hsiao, J.K., Tai, M.F., Chen, S.T., Cheng, H.Y., Wang, J.L., & Liu, H.M. (2011).
Direct labeling of hMSC with SPIO: the long-term influence on toxicity,
chondrogenic differentiation capacity, and intracellular distribution. Mol Imaging
Biol. 13(3), 443-451.
Yeh, C.-H., Hsiao, J.K., Wang, J.L., & Fuu Sheu, F. (2010). Immunological impact of magnetic
nanoparticles (Ferucarbotran) on murine peritoneal macrophages. Journal of
Nanoparticle Research, 12(1), 151-160.
17
Thermal Effects on the Ferromagnetic

Resonance in Polymer Composites with
Magnetic Nanoparticles Fillers
Mirosãaw R. Dudek1, Nikos Guskos2,3 and Marcin KoĤmider1
1Institute of Physics, University of Zielona Góra, Zielona Góra
2Solid State Physics Section, Department of Physics,
University of Athens, Panepistimiopolis

3Institute of Physics,West Pomeranian University of Technology, Szczecin
1,3Poland
2Greece
1. Introduction
Magnetic nanopowders placed in the nonmagnetic polymer matrices become a new
type of smart materials which combine mechanical properties of temperature responsive
polymer matrix and magnetic response of nanoparticles. These properties are used in
some biotechnological and medical applications like hyperthermia treatment, nanocolloids,
magnetic nanocapsules for drug targeting, magnetic resonance imaging (MRI), intracellular
manipulation etc. (e.g. (Gao & Xu, 2009; Liu et al., 2009)), in the processes of mechanical
and electrical micropower generation, in nanoelectromechanical systems as MEMS/NEMS
devices (e.g. (Zahn, 2001)), electromagnetic interference suppression (Wilson et al., 2004).
Recently, the unusual polymer/magnetic nanoparticles systems with a negative Poisson’s
ratio (e.g. ferrogels Dudek & Wojciechowski (2008); Wood & Camp (2011)) have begun to
be studied. They belong to the so-called auxetic materials Evans et al. (1991); Lakes (1987);
Smith & Wojciechowski (2008).
Ferromagnetic resonance experiment (FMR) (Vleck, 1950) is one of the basic tools to
study the magnetic properties of magnetic agglomerates in viscoelastic nonmagnetic
polymer matrix. As a particular example, we consider the FMR experiment with the
γ-Fe2 O3 (maghemite) ferrimagnetic nanoparticles embedded in a multiblock poly(ether-ester)
copolymer nonmagnetic matrix which has been studied both experimentally (Guskos et al.,
2006; 2008) and theoretically (Dudek et al., 2010). However, the obtained results are general
and applicable to other nanoparticles and other viscous materials. Note that in medical
applications magnetic iron oxides are used due to their low toxicity to human. Their saturation
magnetization is practically equal to the bulk value at high temperatures, with negligible
coercivity and no exchange bias below the blocking temperature. These properties of the
iron oxide magnetic nanoparticles suggest nearly perfect nanocrystals without significant
structural disorder (Dutta et al., 2004).
374
Fig. 1. SEM picture: an example of stucking a single magnetic nanoparticle in a pore - here, a
carbon coated nickel nanoparticle in the porous sodium borosilicate glass.
The peculiar feature of the synthesized PEN-block-PTMO copolymer is that the magnetic
fillers form agglomerates numbering from several to tens of nanoparticles. In the
agglomerates the interparticle dipole - dipole magnetic interaction becomes important as well
as the interaction of the magnetic nanoparticles with a non-magnetic matrix. Although the
agglomerates are uniformly dispersed in the matrix their FMR spectra show additional peaks
in low temperatures which originate from the orientational anisotropy of the frozen polymer
blocks. The orientational dependence of the FMR spectra has been found earlier by Owens
(Owens, 2003) for a colloidal suspension of γ-Fe2 O3 nanoparticles which have been solidified
in a static magnetic field (dc magnetic field). Similar observation has been found theoretically
in a recent paper by Sukhov et al. (Sukhov et al., 2008). There is very instructive discussion on
the shape of the ferromagnetic resonance spectra for the ensemble of the randomly distributed
magnetic anisotropy axes as well as the discussion of the dependence of these spectra on
temperature in terms of a stochastic model. The model is restricted to the case when the
orientation of each anisotropy axis is frozen during computer simulation but it shares many
features common with the experimental results, like the broadening of the FMR signal for the
randomly distributed magnetic anisotropy axes as compared to the magnetic nanoparticles
which all have the same orientation of the magnetic anisotropy. In paper (Dudek et al., 2008)
it has been shown directly that blocking the rotational freedom of the magnetic nanoparticles,
e.g. when the nanoparticles are stuck in the pores as it is suggested in Fig. 1, can produce
additional resonance peaks in the FMR spectrum. In the latter case stochastic equations were
used both for the magnetic nanoparticles magnetization and the rotational oscillations of the
magnetic nanoparticles as a whole. The influence of the magnetic anisotropy orientation and
temperature on the FMR spectra of magnetic agglomerates in polymer matrix was discussed
in (Dudek et al., 2010). The most important property of the FMR spectrum depending on
temperature will be discussed in the sections below.
Thermal Effects on the Ferromagnetic Resonance
in Polymer
Thermal Effects on Composites with Magnetic
the Ferromagnetic Resonance Nanoparticles
in Polymer Composites Fillers Fillers
with Magnetic Nanoparticles 3753
2. Modeling ferromagnetic resonance experiment

Theoretical basis of ferromagnetic resonance can be found in the paper by van Vleck (Vleck,
1950) in which a magnetic resonance condition (Kittel’s formula) for ferromagnetic materials
has been derived with the help of a simple quantum model. It has been noted in the
paper the importance of the effect of magnetic anisotropy on the resonance frequency. In
our considerations we restrict to the case when an uniaxial anisotropy is the dominating
magnetic anisotropy of the magnetic nanoparticles (Shliomis, 1975). Then, the term magnetic
anisotropy axis is substituted for the easy axis of magnetization. The magnetization of
magnetic nanoparticles changes after an external magnetic field is switched on and there are
two mechanisms of this change: the reorientation process of magnetic nanoparticle as a whole
(Brownian motion) and the Néel relaxation process of the magnetization itself. A magnetic
nanoparticle, and by this the magnetic anisotropy axis, can rotate freely in a liquid carrier,
but not in the case when the nanoparticle is part of a large agglomerate or its surrounding is a
solid phase. The dominant interparticle interactions in the agglomerate are dipole interactions
unless the nanoparticles do not form dense agglomerates where exchange interactions become
important. So if we take into account the FMR experiment and we consider the agglomerate
consisting of N single-domain magnetic nanoparticles, each of them experiences an effective
−
→
magnetic field H eff,i of the form (Füzi, 2006):
−
→ −
→ −
→ Ha −→ − → − → − →
H eff,i = H dc + H ac + − → ( M i · n i ) n i + H i,dipole (1)
| Mi|
−
→ −
→ −
→
where H dc is the external direct current (dc) magnetic field, H ac = H 0ac cos(2π f t) is the
−
→
external alternating current (ac) magnetic field of frequency f , H i,dipole represents dipolar
magnetic field produced by the magnetic nanoparticles of the agglomerate
−
→ −→ → −
−
→ 1 N Mj ( Mj · −
r ji ) →
r ji
H i,dipole = −
4π ∑ r3ij
−3
r5ji
, (2)
j =1,j = i
−
→
M i denotes magnetization of the nanoparticle i (M = Ms V for the nanoparticle of volume
V and saturation magnetization Ms ), rij is the distance between nanoparticles i and j, Ha
represents the magnetic anisotropy field which is defined as
2K a
Ha = (3)
μ0 Ms
where K a is magnetic anisotropy constant, and μ0 is constant of permeability. The symbol −→

ni
in Eq. (1) is a unit vector along the magnetic anisotropy direction of the nanoparticle i with
the components
n x,i = sin( ϕi ) cos(θi ), (4)

n y,i = sin( ϕi ) sin(θi ), (5)
n z,i = cos( ϕi ). (6)
and ϕi and θi are the angles vector −

→
n i makes with the z-axis and x-axis, respectively.
376
−
→ −
→
A rotating external magnetic field H ac is transverse to H dc . We assume that the external dc
magnetic field is oriented in the z-direction and the external ac magnetic field in the x-direction
(Jung et al., 2002). Then, for the effective magnetic field defined in Eq. (1) the ferromagnetic
resonance condition can be expressed as follows:
γ
f = H (7)
2π eff
where γ = 2.21 × 105 s−1 ( A/m)−1 denotes the gyromagnetic ratio. In practice, the
spectrometers EPR/FMR are built for one value of frequency f and then the dc magnetic field
becomes a parameter to be changed to get the resonance condition. In our case the ac magnetic
field frequency f = 9.37 GHz. Note that even in the case of a single magnetic nanoparticle
(N=1) its resonance frequency strongly depends on the orientation of the magnetic anisotropy
axis with respect to the dc magnetic field direction.
It turns out that the magnetic nanoparticle’s magnetization dynamics can be modeled with
the help of the classical spin model which represents stochastic version of the Landau-Lifshitz
equation ((Gilbert, 1955; Landau & Lifshitz, 1953)) :
−→
d Mi −→ −
→ −→ γ −→ −→ −
→ −→
= − γ M i × [ H eff,i + B i ] − α M × ( M i × [ H eff,i + B i ]), (8)
dt Ms V i
−
→
where i = 1, 2, . . . , N, and α denotes the damping constant. The symbol B i represents the
white-noise field fluctuations (e.g. (Jönsson, 2003), (Usadel, 2006)). Then the thermal averages
−
→
of B i = ( Bx,i , By,i , Bz,i ) fulfill the relations:
Bq,i (t) = 0, q = x, y, z, (9)
2αk B T
Bq,i (t) B p,i (t ) = δq,p δ(t − t ), p = x, y, z. (10)
γMs V
The magnetic properties of the magnetic nanoparticles can be described with the help of
−
→
the solutions M i (t) of this set of equations.They strongly depend on the magnetic anisotropy
axis orientation. In particular, the shape of the magnetic hysteresis loop can change from
the almost square like to the case when it vanishes depending on the orientation of the
external dc magnetic field with respect to the orientation of the magnetic anisotropy axis.
This can be seen in Fig. 2 and Fig. 3 in which the magnetic hysteresis loops are presented
for the z-component of the nanoparticle’s magnetization in the case when the anisotropy
axis orientation oscillations are close to the z-direction (parallel to dc magnetic field) and
close to the x-direction (transverse to dc magnetic field), respectively. The hysteresis loops,
which are shown in the figures, result from the computer simulation of a simplified model
of a carbon coated magnetic nanoparticle where the coating is represented by C60 molecule.
In the model, the magnetic nanoparticle is represented by magnetic anisotropy axis and
its magnetization follows the Landau-Lifshitz equation (Eq. (8)). The carbon atoms in C60
molecule vibrate according to the molecular dynamics method. The rotational oscillations of
a fullerene (and by this the magnetic anisotropy axis rotations) are harmonically bonded to
the z-direction and x-direction, respectively, with a given spring constant. The latter means
that the magnetic nanoparticle cannot rotate freely. The larger temperature is the larger
the rotational oscillations are. Besides the spring force the anisotropy axis experiences the
in Polymer
0.5
Mz(H)/Ms
-0.5
-1
-0.4 -0.2 0 0.2 0.4
μ0H (Tesla)
Fig. 2. Magnetic hysteresis loop of the z-component of the magnetic nanoparticle’s

magnetization in the case when the orientation of the magnetic anisotropy axis undergoes
the small oscillations around the z-direction (parallel to the external dc magnetic field). Some
parameters of the computer simulation: demagnetizing factor in shape anisotropy D = 0.15
(K a = μ0 (1 − 3D ) M2s /4), α = 0.066, R = 2nm, Ms = 450kA/m, T=10K.
0.5
M z (Hdc)/Ms
-0.5
-1
-0.4 -0.2 0 0.2 0.4
Hdc (Tesla)
Fig. 3. The same as in Fig. 2 but the magnetic anisotropy axis orientation oscillates around
the x-direction (transverse to the external dc magnetic field).
378
magnetic torque which is represented by two opposite point forces (Dudek et al., 2010) applied
to the anisotropy axis with the strength
−
→ 1
| F |= | K a V sin(2Ψ) | (11)
R
where R is the fullerene’s radius, and the greater the angle Ψ between the easy axis,
−
→
represented by vector −
→
n , and magnetization M, the greater the magnetic torque. The model
of the magnetic nanoparticles used in the computer simulations has been shown in Fig. 4 in
the case when the magnetic anisotropy axis is, respectively, parallel and perpendicular to the
external dc magnetic field.
Fig. 4. Model of carbon coated magnetic nanoparticle in the case when the coating is
represented by C60 molecule. The magnetic nanoparticle is represented by the anisotropy
axis which, in the model, passes through the center of the fulleren and the carbon atom
painted green, in the figure. The magnetic nanoparticle was not drawn with clarity reasons.
The cartesian coordinate system has been plotted and the blue axis represents the z-direction
which is the direction of the external dc magnetic field and the white axis represents the
x-direction.
The same features of the magnetic hysteresis loops as those presented in Fig. 2 and Fig. 3
can be observed in magnetic nanowires, e.g. (Sorop et al., 2004), where the similar
relationship between the shape anisotropy of a nanowire and the external dc magnetic
is observed. In low temperatures, much below 100K, the large agglomerates of the
γ-Fe2 O3 (maghemite) ferrimagnetic nanoparticles embedded in a multiblock poly(ether-ester)
copolymer nonmagnetic matrix Guskos et al. (2006; 2008) are practically frozen into the matrix
with a random orientation of the magnetic anisotropy axes. Then, the observed magnetic
hysteresis loop represents the averaged one which is approximately a mixture of the cases
discussed in Fig. 2 and Fig. 3. It is worth to add that in high temperatures, where the block
copolymer is dissolved, the magnetic properties resemble the properties of ferrofluids and
there is no observed magnetic hysteresis loop.
Much more information on the magnetic properties of the polymers filled with nanoparticles
can be get from the analyses of the absorption lines in FMR experiment. They can be
represented by the imaginary part of the dynamic magnetic susceptibility
χ = χ − iχ , (12)
in Polymer
where χ denotes total hysteresis losses per volume of magnetic nanoparticle through a
cycle of the magnetization. For the chosen magnetic fields Hz = Hdc and Hx = Hac the
components of the complex ac susceptibility (Eq. (12)) can be calculated by performing the
Fourier transform on the time averaged x-component of the magnetization, i.e.,
τ
1
χ= dtM x (t)e−i2π f t , (13)
τHac
0 0
where τ = 1/ f . In the case of theoretical modeling , the values M x (t) can be obtained from the
Landau-Lifshitz equation (Eq. 8). In real FMR experiments, the absorption lines derivatives,
dχ /dHdc (the derivative of the out-of-phase susceptibility) are measured instead of direct
measuring χ . In Fig. 5 there are presented the absorption lines derivatives obtained for the
200 200
100 100
d χ "/dHdc
0 0
-100 -100
-200 -200
0 0.2 0.4 0.6 0.8 1 0 0.2 0.4 0.6 0.8 1
Hdc (Tesla) Hdc (Tesla)
Fig. 5. Absorption lines derivatives, dχ /dHdc resulting from the computer simulations in
the case when the magnetic anisotropy axis orientation oscillates around the direction
parallel and transverse to the external dc magnetic field. The parameters of the computer
simulation are the same as in Fig. 2.
model of the carbon coated nanoparticles shown in Fig. 4 in the case when their magnetic
anisotropy axis oscillations are controlled by the harmonic forces applied to the ends of the
axis and the forces are coupled with the z-direcion and x-direction, respectively. Note that if
the magnetic anisotropy axis is linked to the direction which is tranverse to the direction of
Hdc then the corresponding resonance magnetic field Hr becomes shifted to higher values of
Hdc compared with the case when it is linked to the direction which is parallel. At the value
of Hdc = Hr the dynamic susceptibility χ takes its maximum value. It is worth emphasizing
that the energy absorbed by the magnetic nanoparticles from the external AC magnetic field
380
is proportional to χ . After the energy is converted into heat there is observed an increase ΔT
of temperature which can be estimated at each cycle of the applied AC magnetic field with a
given frequency ω = 2π f as follows (Sellmyer & Skomski, 2006):
μ0 V H02
ΔT = fχ (14)
c mferro
where c is the average specific heat of carbon and magnetic nanoparticle c = (ccarbon +
cferro )/2, mferro represents mass of magnetic nanoparticle. The remote heating of the magnetic
nanoparticles can be important in viscous materials in low temperatures for reorientation
processes among the magnetic nanoparticles. This particular feature of the magnetic
nanoparticles to posses the different values of Hr for different orientations of their magnetic
anisotropy axis (Fig. 5) becomes another interesting property of materials filled with magnetic
nanoparticles where the static magnetic field Hdc can be used as a remote switcher for the
local heating different groups of nanoparticles.
3. Temperature dependence of the spectral lines in viscous magnetic materials

In the case when the magnetic nanoparticles are placed in a viscous material for which
the viscosity varies significantly depending on temperature, magnetic properties of such
materials are also beginning to significantly depend on temperature. This special property
of viscous magnetic materials has been studied experimentally for maghemite nanoparticles
embedded in a multiblock poly(ether-ester) copolymer nonmagnetic matrix Guskos et al.
(2006; 2008). The experiments were performed in a wide range of temperatures, 3.5-288
K. In addition to the experimental results were also carried out theoretical studies Dudek
et al. (2010). Several examples of spectral lines discussed in Dudek et al. (2010) are
presented in Fig. 6 for concetration of 0.1% of γ-Fe2 O3 nanoparticles dispersed in the
polymer matrix. The figure shows the completely different FMR spectra in the range of low
temperatures and high temperatures. These two ranges of temperatures are also evident in the
resonance field Hr (Fig. 7) as a function of temperature, where at low temperatures a marked
decrement of Hr is observed. In the latter case the experimental results for two different
concentrations of magnetic nanoparticles are presented and up to 50 K there is no signicant
difference between them. This could mean that the thermal properties of non-magnetic
matrix, in this case of a multiblock poly(ether-ester) copolymer, are of decisive importance
for the magnetic properties of the magnetic agglomerates and not the reorientation processes
between magnetic nanoparticles.
In low temperature region we have solid-like nonmagnetic matrix where magnetic relaxation
takes place through the process of magnetization relaxation (Neél relaxation). Once the
magnetic anisotropy axes are oriented randomly some additional peaks appear on the
spectral lines at the higher values of Hdc . This property of spectral lines is shown in the
previous section on the example of a single magnetic nanoparticle. The presence of many
magnetic agglomerates consisting of different numbers of magnetic nanoparticles is one of
the mechanisms for observing the broadening of the spectral lines. At higher temperatures
the magnetic relaxation takes place both through the magnetization relaxation and rotation of
the whole nanoparticle in a nonmagnetic surrounding and the additional peaks observed on
spectral lines at low temepratures do vanish.
A simplified theoretical model was constructed in (Dudek et al., 2010) where a cluster
consisting of N magnetic nanograins is placed randomly into a non-magnetic polymer matrix.
in Polymer
0.004 224 K
absorption derivative (arbitrary units)
80 K
0.002
60 K
0
10.5 K
-0.002 35 K
3.5 K
-0.004
0 0.1 0.2 0.3 0.4 0.5 0.6

Hdc (T)
Fig. 6. The temperature dependence of dχ /dHdc for 0.1% γ-Fe2 O3 dispersed in
PEN-block-PTMO matrix.
0.4
0.1%
0.3%
0.35
Hr (Tesla)
0.3
0.25
0.2
0 50 100 150 200 250 300
temperature (K)
Fig. 7. An example of the dependence of the resonance field Hr on temperature for magnetic
nanoparticles γ-Fe2O3 in PEN-block-PTMO matrix. The plots correspond to two
concentrations of nanoparticles of 0.1% and 0.3%.
382
They occupy a permanent position but may rotate. Each of the magnetic nanograins i =
1, 2, . . . , N has magnetization Mi which dynamics is described with the help of the stochastic
version of the Landau-Lifshitz equation in Eq. (8). The rotational dynamics of magnetic
nanoparticles is described with the help of the Langevin equations for the magnetic anisotropy
axis orientation. These equations take the following form (Dudek et al., 2010; 2008):
dϕi 2 K 1
=− | K a V sin(2ψi )| sin( ϕi − ϕi ) − el sin( ϕi − ϕ0,i ) + λ ϕi , (15)
dt Rξ ξ ξ
dθi 2 K 1
=− | K a V sin(2ψi )| sin(θi − θi ) − el sin (θi − θ0,i ) + λθi . (16)
dt Rξ ξ ξ
in the diffusion limit, where ξ represents the friction of the i-th nanoparticle in the elastic
non-magnetic polymer matrix and λ ϕ,i and λθ,i represent the white-noise driving torque
(Coffey et al., 1984; Gardiner, 1983) for i-th nanoparticle, and Kel represents the spring constant
which controls the rotational oscillations of the magnetic anisotropy axis. In the above
stochastic equations the thermal rotational fluctuations of the i-th magnetic nanoparticle are
characterized by temperature T and λ ϕi and λθi and they fulfill the relations:
λq (t) = 0 (17)
λq (t)λq (t ) = 2k B Tξδ(t − t ), (18)

−→
where q = ϕi , θi . The angles ϕ and θ represent the angles which the magnetization M makes
with z-axis and x-axis, and the angles ϕ0 and θ0 are the initial angles of the easy axis after the
magnetic nanoparticle has been built into polymer matrix. The numerical scheme applied to
the stochastic equations in (Dudek et al., 2010) is the Euler-Maruyama method. The theoretical
model introduced in (Dudek et al., 2010) reproduces qualitatively the results of the experiment
(Guskos et al., 2006; 2008). In particular, the FMR spectrum and the dependence of Hr on
temperature have qualitatively the same properties. It is evident from Fig. 8 and Fig. 9 if we
compare them with Fig. 6 and Fig. 7.
The results of the theoretical model have been obtained by two assumptions. The first one is
assuming an empirical model for the viscosity parameter ν, the Arrhenius law,
ν( T ) = ν0 eE/kB T (19)
where E is the activation energy. In the model, the viscosity parameter ν( T ) is related to the
rotational friction parameter ξ of magnetic nanoparticles in a polymer surounding (used in
Eqs. (15) and (16)), as follows:
ξ = 8πν( T )r3 , (20)
where r = R/2 denotes the radius of a sphere representing magnetic nanoparticle and its
polymer coating. Hence the simple assumption in Eq. (19) and not the presence of a phase
transition is responsible for the qualitatively different behavior of Hr in the low and high
temperatures in the theoretical model ( Fig. 9).
The second assumption is introducing the Bloch law approximation
δ
T
M s ( T ) = M0 ( 0 ) 1 − (21)
T0
in Polymer
11
0.004 10 K
100 K
120 K
d χ"/dHdc (arbitrary units)
0.002
0.000
-0.002
-0.004
0 0.1 0.2 0.3 0.4 0.5

Hdc (Tesla)
Fig. 8. Computer simulations of the temperature dependence of dχ /dHdc calculated for
N=30 magnetic nanoparticles in the case when their magnetic anisotropy axes are randomly
oriented (Dudek et al., 2010). The parameters of the computer simulation are the same as in
Fig. 2.
N=30, 70% with bias

N=30, no bias
0.18 N=1, with bias
Hr (Tesla)
0.17
0.16
20 40 60 80 100 120 140

temperature (K)
Fig. 9. Computer simulations of the dependence of the resonance field Hr on temperature for
agglomerates of magnetic nanoparticles (Dudek et al., 2010). The agglomerates consisting of
N = 30 magnetic nanoparticles represent two cases: when all magnetic nanoparticles are
randomly oriented and when 70% of them is aligned with the dc magnetic field. In the case
of a single magnetic nanoparticle (N=1) its magnetic anisotropy axis is aligned with the dc
magnetic field.
384
for the magnetization of the magnetic nanoparticles where T is temperature, δ = 1/3 and T0
is some constant. The value of α is a parameter of the model under consideration. Another
value of α can be also found in publications on magnetic materials.
The complexity of the FMR spectral lines can be seen in the example in Fig. 10 where the
absorption lines derivatives dχ /dHdc have been plotted for a single magnetic nanoparticle
in the case when its easy magnetic axis oscillates around the direction perpendicular to the
external dc magnetic field in a surrounding with temperature-dependent viscosity ν( T ). In
low temperatures the magnetic resonance field Hr moves towards the lower values of Hdc
with increasing temperature instead to move towards the higher values of Hdc as it is in
the case of magnetic nanoparticles oscillating around the direction of the dc magnetic field.
Only above a certain temperature there is no qualitative difference in the FMR spectrum
for magnetic nanoparticles with magnetic easy axis oriented parallel or perpendicular to the
external dc magnetic field.
0.0004
T = 10 K
T = 105 K
T = 120 K
0.0002
d χ"/dHdc (arbitrary units)
-0.0002
-0.0004
0 0.1 0.2 0.3 0.4 0.5
Hdc (Tesla)
Fig. 10. Absorption lines derivatives, dχ /dHdc in theoretical model (Dudek et al., 2010) for a
single (N = 1) magnetic nanograin in the case when its magnetic anisotropy axis oscillates
around the direction transverse to the direction of the external dc magnetic field. The plotted
curves correspond to temperatures T = 10, 105, 120K, respectively. In low temperatures the
magnetic resonance field Hr moves towards the lower values of Hdc with increasing
temperature and only above a certain temperature it begins to move toward the higher
values of Hdc .
In the case of magnetic agglomerates dispersed in a viscous medium and which consist of a
large number of magnetic nanoparticles with randomly oriented axes relative to the field Hdc
the mechanism shown in Fig. 10 can be important in low temperatures.
4. Conclusions
Both the discussion in section 2 and FMR spectrum in Fig. 5 show that the static magnetic field
Hdc can be used as a remote switcher for the local heating different groups of nanoparticles
in Polymer
13
corresponding to different orientations of their magnetic easy axis. This property of the
dependence of a maximum of χ on the orientation of the magnetic anisotropy axis with
respect to the external dc magnetic field may be useful in designing new materials such
as multi-functional magnetic nanocapsules. The thermal effects on the FMR spectrum in
polymer composites filled with magnetic nanoparticles provide additional information about
the magnetic structure of the material.
5. Acknowledgments
Some of the computer simulations have been performed in Wroclaw Centre for Networking
and Supercomputing, Poland.
6. References
Coffey, W., Evans, M. & Grigolini, P. (1984). Molecular Diffusion and Spectra, Wiley, New York.
Dudek, M., N.Guskos, Senderek, E. & Rosłaniec, Z. (2010). Temperature dependence of the fmr
absorption lines in viscoelastic magnetic materials, J. Alloy Compd. Vol.504: 289–295.
Dudek, M. R., Guskos, N., Grabiec, B. & Maryniak, M. (2008). Magnetization dynamics
in landau-lifshitz-gilbert formulation. fmr experiment modeling, J. Non-Cryst. Solids
Vol.354: 4146–4150.
Dudek, M. & Wojciechowski, K. (2008). Magnetic films of negative poisson’s ratio in rotating
magnetic fields, J. Non-Cryst. Solids Vol.354: 4304–4308.
Dutta, P., Manivannan, A., Seehra, M. S., Shah, N. & Huffman, G. P. (2004). Magnetic
properties of nearly defect-free maghemite nanocrystals, Phys. Rev. B Vol.70: 174428.
Evans, K., Nikansah, M., Hutchinson, I. & Rogers, S. (1991). Molecular network design, Nature
Vol.353: 124.
Füzi, J. (2006). Magnetic characteristics of dipole clusters, Physica B Vol.372: 239–242.
Gao, J. & Xu, B. (2009). Applications of nanomaterials inside cells, Nano Today Vol.4: 37–51.
Gardiner, C. (1983). Handbook of Stochastic Methods for Physics, Chemistry and the Natural
Sciences, Springer-Verlag.
Gilbert, T. (1955). A lagrangian formulation of the gyromagnetic equation of the magnetization
field, Phys. Rev. Vol.100: 1243.
Guskos, N., Glenis, S., Likodimos, V., Typek, J., Maryniak, M., Rosłaniec, Z., Kwiatkowska,
M., Baran, M., Szymczak, R. & Petridis, D. (2006). Matrix effects on the magnetic
properties of γ-fe2 o3 nanoparticles dispersed in a multiblock copolymer, J. Appl. Phys.
Vol.99: 084307.
Guskos, N., Likodimos, V., Glenis, S., Maryniak, M., M.Baran, Szymczak, R.,
Roslaniec, Z., Kwiatkowska, M. & Petridis, D. (2008). Magnetic properties
of γ-fe2 o3 /poly(esther-ester) copolymer nanocomposites, Nanosci. Nanotech.
(No.8): 2127.
Jönsson, P. E. (2003). Superparamagnetism and spin glass dynamics of interacting magnetic
nanoparticle systems, arXiv:cond-mat/0310684v2 .
Jung, S., Ketterson, J. & Chandrasekhar, V. (2002). Micromagnetic calculations of
ferromagnetic resonance in submicron ferromagnetic particles, Phys. Rev. B
Vol.66: 132405.
Lakes, R. (1987). Foam structures with a negative poisson’s ratio, Science Vol.235: 1038–1040.
Landau, L. & Lifshitz, E. (1953). On the theory of the dispersion of magnetic permeability in
ferromagnetic bodies, Phys. Z. Sowjetunion Vol.8: 153.
386
Liu, T.-Y., Hu, S.-H., Liu, D.-M., Chen, S.-Y. & Chen, I.-W. (2009). Biomedical nanoparticle
carriers with combined thermal and magnetic responses, Nano Today Vol.4: 52–65.
Owens, F. J. (2003). Ferromagnetic resonance of magnetic field oriented fe3o4 nanoparticles in
frozen ferrofluids, J. Phys. Chem. Solids Vol.64: 2289–2292.
Sellmyer, D. & Skomski, R. (2006). Advanced Magnetic Materials, Springer Science+Business
Media, Inc., Place of publication.
Shliomis, M. I. (1975). Magnetic fluids, Sov. Phys. Usp. Vol.17: 153–169.
Smith, C. & Wojciechowski, K. (2008). Preface: phys. stat. sol. (b), Phys. Status Solidi b
Vol.245: 486–488.
Sorop, T., Nielsch, K., Göring, P., Kröll, M., Blau, W., Werspohn, R., Gösele, U. & de Jongh, L.
(2004). Study of the magnetic hysteresis in arrays of ferromagnetic fe nanowires as a
function of the template filling fraction, J. Magn. Magn. Mater. Vol.272-276: 1656–1657.
Sukhov, A., Usadel, K. & Nowak, U. (2008). Ferromagnetic resonance in an ensemble of
nanoparticles with randomly distributed anisotropy axes, J. Magn. Magn. Mater.
Vol.320: 31–35.
Usadel, K. D. (2006). Temperature-dependent dynamical behavior of nanoparticles as probed
by ferromagnetic resonance using landau-lifshitz-gilbert dynamics in a classical spin
model, Phys. Rev. B Vol.73: 212405.
Vleck, J. V. (1950). Concerning the theory of ferromagnetic resonance absorption, Phys. Rev.
Vol.78: 266–274.
Wilson, J., Poddar, P., Frey, N., Srikanth, H., Mohomed, K., Harmon, J., Kotha, S. &
Wachsmuth, J. (2004). Synthesis and magnetic properties of polymer nanocomposites
with embedded iron nanoparticles, J. Appl. Phys. Vol.95: 1439–1443.
Wood, D. & Camp, P. (2011). Modeling the properties of ferrogels in uniform magnetic fields,
Phys. Rev. E Vol.83: 011402.
Zahn, M. (2001). Magnetic fluid and nanoparticle applications to nanotechnology, J. Nanopart.
Res. Vol.3: 73–78.
18
Nanoparticle Dynamics in Polymer Melts

Giovanni Filippone and Domenico Acierno
Dept. of Materials and Production Engineering, University of Naples Federico II
Italy
1. Introduction
Adding solid particles to polymeric materials is a common way to reduce the costs and to
impart desired mechanical and transport properties. This makes polymers potential
substitutes for more expensive non-polymeric materials. The advantages of filled
polymers are normally offset by the increased complexity in the rheological behaviour of
the resulting composite. Usually, a compromise has to be made between the benefits
ensured by the filler, the increased difficulties in melt processing, the problems in
achieving a uniform dispersion of the solid particulate, and the economics of the process
due to the added step of compounding [Shenoy, 1999]. Filled polymers can be described
as a suspension of particles and particle aggregates dispersed in the polymer matrix.
Interactions between individual particles or aggregates and the matrix, as well as between
particles, hinder the material deformability modifying both the solid- and melt-state
behaviour of the host polymer. In polymer-based microcomposites, these effects only
become significant at relatively high filler contents, i.e. when the filler particles are
sufficiently close to each other to form a network that spans large sections of the polymer
matrix. Over the last fifteen years, the same reinforcing and thixotropic effects have been
observed with the use of very small amounts of inorganic nanoparticles, which has
resulted in extensive research in the field of polymer-based nanocomposites (PNCs)
[Usuki et al., 1993; Kojima et al., 1993]. In order to fully understand the exceptional
properties of PNCs, the morphological and structural implications stemming from the
nanometric sizes of the filler have to be taken into account. With respect to traditional
microcomposites, nanocomposites show very high specific interface area, typically of
order of ~102 m2 g-1. The matrix properties are significantly affected in the vicinity of the
reinforcement, varying continuously from the interface towards the bulk polymer. As a
consequence, the large amount of reinforcement surface area means that a relatively small
amount of nanoscale reinforcement can have remarkable effects on the macroscale
properties of the composite material.
A noticeable consequence of the nanometric dimensions of the filler is the extremely high
numerical density of particles, or alternatively the very small inter-particles distances. If N
monodisperse spherical particles with radius r are randomly distributed in a volume V, the
distance between the centres of the particles can be approximated to h=(V/N)1/3.
Introducing the particle volume fraction Φ=Nv/V, where v=4πr3/3 is the volume of the
single particle, the wall-to-wall distance between contiguous particles is:
 4 
h  3  2 r (1)
 3 
Once fixed the filler content, h linearly scales with r. In addition, we observe that, for diluted
systems (Φ<0.1) such those we are interested in, Eq. 1 gives h~2r. This means that, if the
filler particles are well dispersed within the host polymer, nanometric inter-particles
distances are expected for nanocomposites. In such systems a large fraction of polymer is in
contact with the filler. At the most, if the particle radius is of the same order as the mean
radius of gyration of host polymer chains, Rg, each single chain potentially interacts with
more than one nanoparticle, and there is no bulk polymer [Jancar & Recman, 2010]. Two
scenarios are possible when inter-particles distances are so small: if a good affinity exists
between the polymer and the filler, then a polymer-mediated transient network between the
particles set up [Ozmusul et al., 2005; Saint-Michel et al., 2003; Zhang & Archer, 2002]; on
the other hand, if the polymer-filler interactions are weak, the nanoparticles aggregate
forming flocs, which eventually assemble into a space-spanning filler network [Filippone et
al. 2009; Inoubli et al., 2006; Ren et al., 2000]. In both cases, the presence of a three-
dimensional mesostructure has a profound effect on the composite rheology.
The formation of the network, either polymer-mediated or formed by bare nanoparticles,
originates from local rearrangements of the filler occurring in the melt both during flow and
at rest. Nanoparticles, in fact, are subjected to relevant Brownian motion even in highly
viscous mediums such as polymer melts. To get an idea about the relevance of such a
phenomenon, we estimate the self-diffusion time of a spherical particle of radius r, τs, that is
the time required for the particle moves of a length equal to its radius [Russel et al., 1989]:
6sr 3
s  (2)
kBT
Here ηs is the viscosity of the suspending medium, kB is the Boltzmann’s constant and T is
the temperature. For a simple low viscosity (ηs~10-2 Pa*s) Newtonian liquid at room
temperature, Eq. 2 gives the well-known result that particles of a few microns in size
experience appreciable Brownian motions. Setting T=400°K and ηs~103 Pa*s as typical values
for melted polymers, we obtain the noteworthy result that particles of a few tens of
nanometers display Brownian motions on timescales of order of a 101÷102 seconds. Such
durations are typically accessed in many transforming processes of the polymer industry, as
well as during rheological analyses. The result is that, unlike polymer microcomposites,
PNCs can be depicted as “living systems”, in which the particles are free to move and
rearrange in the melt, both in flow and even at rest, towards more favourable
thermodynamic states. In this sense, PNCs are reminiscent of colloidal suspensions.
Therefore, these simpler systems can be considered as the natural starting point to
understand the much more complex rheological behaviour of PNCs.
The simplest case of colloidal dispersion is represented by a Newtonian suspension of hard
spheres. The inter-particles interaction is zero at all separations and infinitely repulsive at
contact. Coupled with thermal fluctuations, this kind of interaction results in a wide variety
of possible structures. The suspension may behave like a gas, a liquid, a crystal or a glass
depending on the particle volume fraction Φ [Pusey & van Megen, 1986]. In the presence of
Nanoparticle Dynamics in Polymer Melts 389
interactions, this phase behaviour is modified due to interplay between Φ and the energy
of interaction, U. We are mainly interested in weakly attractive colloidal dispersions,
which are reminiscent of a large number of PNCs in which Van der Waals forces between
nanoparticles and aggregates are of major importance. In such systems, aggregation
results in disordered clusters of particles. These mesostructures may or may not span the
whole space depending on Φ and U [Prasad, 2003]. The rheological behaviour of weakly
interacting colloidal dispersions can be rationalized with a simple two-phase model that
combines the elasticity of the disordered particle network and the Newtonian viscosity of
the suspending liquid [Cipelletti et al., 2000; Trappe & Weitz, 2000; Trappe et al., 2001].
Despite the complexities stemming from the intrinsic non-Newtonian feature of polymer
matrices, in this chapter we show that a similar approach can be successfully applied to a
series of model PNCs with weak polymer-filler interaction. We emphasize that many
PNCs of technological interest fall in this family. The two-phase model is validated
through the building of a master curve of the elastic modulus of samples at different
composition. A refinement of the model is also presented, which accounts for
hydrodynamic effects. The dynamics of de-structuring and reforming of the filler network
are studied by analysing the effects of large amplitude deformations. Besides simplifying
the viscoelastic analysis of complex systems such as PNCs, the proposed approach can be
extended to a wide variety of complex fluids where the elasticity of the components can
be superimposed. In particular, the elastic modulus has been recently suggested to follow
a universal behaviour with volume fraction also in case of interacting systems in which
polymer bridging mechanisms exist [Surve et al., 2006]. This suggests a possible general
feature for the proposed approach.
2. Viscoelasticity and structure of PNCs

We start our analysis dealing with the implications of Brownian motion in simple model
systems constituted by polymer melts filled with small amounts of different kinds of
spherical particles. Specifically, we discuss the effect of particle size and matrix viscosity on
the ability of the filler to aggregate and eventually assemble in a three-dimensional network.
Then, a two-phase model firstly proposed for weakly attractive particles suspended in a
Newtonian medium is presented [Trappe & Weitz, 2000]. The physical picture of an elastic
particle network interspersed in a background fluid qualitatively accounts for the
viscoelastic behaviour of the suspension. Afterwards, the relations between structure and
viscoelasticity of two model PNCs is described in the framework of the two-phase model. A
refinement of the model is therefore presented, which accounts for hydrodynamic effects
successfully capturing the frequency dependent viscoelastic behaviour of simple PNCs.
Finally, the dynamics of de-structuring and reforming of the filler network are studied by
analysing the effects of large amplitude deformations.
2.1 Brownian motion in polymer melts filled with nanoparticles – Gelation and ageing
2.1.1 Preliminary considerations
Untreated inorganic particles are difficult to disperse in polymer matrices due to the
typically poor polymer-filler affinity. Such incompatibility clearly emerges in the case of
PNCs, where the specific surface of the particles is very high. The hydrodynamic forces
developed during intense melt mixing processes breakup the large aggregates down to
clusters of few tens of particles [Baird & Collias, 1998]. Above the melting or glass transition
temperature of the polymer matrix, however, these aggregates may reassemble into bigger
structures because of the inter-particles attraction forces. Since the refractive indexes of
polymers and inorganic fillers are typically very different, Van der Waals forces becomes of
major importance leading to formation of aggregates and particle gels. The two most simple
experimental techniques to follow the rearrangements of the filler in the melt are: (i) direct
visualization of the particles through electron microscopy performed on solid samples; (ii)
monitoring of rheological parameters sensitive to the material internal structure. Both these
techniques have been applied to several model PNC systems constituted by polymer
matrices filled with different kinds of inorganic nanoparticles with spherical symmetry. The
rational for selecting such model systems originates from the intrinsic high complexity of
other technologically relevant PNCs. The properties of such systems, often based on layered
or tubular nanoparticles, are too sensitive to the state of dispersion of the filler and the wide
variety of the possible nanostructures achievable during processing. The materials, the
compounding procedures and the experimental details about the characterization of the
composites are described in detail in the following paragraphs. Many of the results have
been taken from papers previously published by our group, wherein further experimental
details can be found [Acierno et al., 2007a, 2007b; Romeo et al., 2008; Filippone et al., 2010;
Romeo et al., 2009].
2.1.2 Materials and sample preparation

Nano- and microcomposites were prepared using two different polymeric matrices. The first
one is polypropylene (PP Moplen HP563N by Basell; weight average molecular weight
Mw=245 KDa; zero shear viscosity η0=1.9*103 Pa*s at 190°C; terminal relaxation time τt≈0.4 s)
with glass transition temperature Tg=6°C and melting temperature Tm=169°C. The second
polymer matrix is atactic polystyrene (PS, kindly supplied by Polimeri Europa). In
particular, we used two PS matrices at different molecular weight, coded as PS-low (Mw=125
KDa; η0=1.7*103 Pa*s at 200°C; τt≈0.1 s) and PS-high (Mw=268 KDa; η0=2.1*104 Pa*s at 200°C;
τt≈100 s), both having glass transition temperatures Tg=100°C.
Three kinds of nanoparticles were used as fillers: titanium dioxide (TiO2 by Sigma Aldrich;
density ρ=3.9 g/mL; surface area ~190÷290 m2/g; average primary particles diameter d=15
nm) and alumina nanospheres (Al2O3 by Sigma Aldrich; ρ=4.00 g/mL; surface area: 35–43
m2/g; d≈40 nm) were used to prepare PP/TiO2 and PP/Al2O3 nanocomposites with filler
volume fractions up to Φ=0.064; fumed silica (SiO2 by Degussa; ρ=2.2 g/mL; surface area
~135-165 m2/g; d=14 nm) was mixed with the two PS matrices up to Φ=0.041. PP/TiO2
microcomposites were also prepared by using titanium dioxide microparticles (TiO2 by
Sigma Aldrich; ρ=3.9 g/mL; surface area ~0.14-0.04 m2/g; d≈4 μm).
Nano- and microcomposites were prepared by melt compounding the constituents using a
co-rotating extruder (Minilab Microcompounder, ThermoHaake) equipped with a capillary
die (diameter 2 mm). The extrusions were carried out at 190°C. The screw speed was set to
~100 rpm, corresponding to an average shear rate of order of 50 s-1 inside the extrusion
chamber. A feedback chamber allowed an accurate control of the residence time, which was
set to 250 s for all the samples. The polymer and the filler were previously dried under
vacuum for sixteen hours at 70°C. The neat polymers used as reference materials were
extruded in the same conditions to allow for an accurate comparison with the filled samples.
2.1.3 Characterization
The morphology of the composites was examined by transmission electron microscopy
(TEM mod. EM 208, Philips). The observations were performed on slices with thickness
~150 nm, which were randomly cut from the extruded pellets using a diamond knife at
room temperature.
Rheological tests were carried out by means of either a strain-controlled rotational
rheometer (ARES L.S, Rheometric Scientific) or a stress-controlled rotational rheometer
(ARG2, TA Instruments). The tests were carried out using parallel plates with diameter of 25
mm for the nanocomposites, while plates of 50 mm were used for the neat polymers because
of their low viscosity. All measurements were performed in an atmosphere of dry nitrogen.
The testing temperature was T=190°C for the PP/TiO2 samples and T=200°C for the PS/SiO2
samples. The viscoelastic moduli display a range of strain-independence, i.e. a range of
linear viscoelasticity, which depends on the filler content. In order to determine the limits of
the linear viscoelastic regime, oscillatory strain scans were performed on each sample at a
fixed frequency of 0.063 rad s-1. Low-frequency (ω=0.063 rad s-1) time-sweep experiments
were performed to study the evolution of the linear viscoelastic properties during time. The
frequency-dependent elastic (G′) and viscous (G′′) moduli of the samples were measured by
oscillatory shear scans in the linear regime. To account for the marked sensitivity of the
rheological response on filler content, we evaluated the effective amount of filler of each
sample used for the rheological experiments through thermogravimetrical analyses (TGA).
The filler volume fraction Φ was estimated as:
c p
 (3)
 f  c(  p   f )
where c is filler weight fraction as deduced from TGA and ρp and ρf are the densities of
polymer and filler, respectively.
2.1.4 Effect of the filler mobility on the linear viscoelasticity

The internal structure of the as extruded sample PP/TiO2 at Φ=0.038 is shown in the TEM
micrograph of Figure 1.a. Well distributed nanoparticle aggregates of a few hundreds of
nanometers are suspended in the polymer matrix. The magnification of one of these
aggregates is reported in Figure 1.b. A few hundreds of individual TiO2 nanoparticles are
closely packed into dense clusters with irregular shape.
The sample was subjected to a thermal annealing at 190°C in quasi-quiescent conditions, i.e.
by submitting it to shear oscillations in the rheometer at small strain amplitude (γ=2%) and
frequency (ω=0.063 rad s-1). This allows to monitor the evolutions during time of slow
dynamic populations, relaxing in timescales of order of τ=1/ω≈16 sec, without altering the
internal structure of the sample.
Fig. 1. (a) TEM micrograph of the as extruded sample PP/TiO2 at Φ=0.045. (b) Magnification
of an aggregate of TiO2 nanoparticles. (c) TEM micrograph of the same sample as in (a) after
a three-hours thermal annealing at T=190°C. (d) CSD of the samples shown in (a) and (c)
(images taken from Acierno et al., 2007a).
The microstructure of the annealed sample is shown in Figure 1.c. A visual comparison with
the morphology of the as extruded sample reveals the presence of bigger aggregates and the
disappearance of the smaller ones. An analysis of the TEM micrographs was carried out to
quantify the effect of the thermal annealing. An equivalent diameter for the aggregates was
defined as Di=(πAi)0.5, where Ai is the measured area of the i-th cluster. Once the sizes of the
aggregates are available, the cumulative size distribution (CSD) and the number average
size of the TiO2 aggregates, Dn=ΣniDi/Σni (ni clusters with size Di), was determined for each
sample. The comparison between the CSDs is shown in Figure 1.d. The lowering of the
cumulative CSD curves indicates an increase of the cluster sizes occurred during the thermal
conditioning. In particular, the average size of the TiO2 aggregates increases from Dn≈125
nm to Dn≈170 nm.
The coarsening of the microstructure is a consequence of the diffusion of the clusters under
the push of Van der Waals attraction. Rheological parameters such as the linear viscoelastic
moduli are extremely sensitive to the internal microstructure. Thus, we use them to follow
such internal rearrangements. The time evolutions of G′ and G′′ at ω=0.063 rad s-1 are
shown in Figure 2.
The elastic modulus, which at the beginning is lower than the viscous one, increases during
the first stage and then it reaches a plateau after a certain time; on the other hand, the loss
modulus remains essentially constant. Preliminary investigations revealed that the neat
matrices display a constant value of the moduli in the analysed time window. Thus, the
increase in the sample elasticity is related to the structuring of the inorganic phase. The
characteristic timescale for such a phenomenon can be roughly estimated as the Smoluchowski
time for two clusters of radius R to come in contact, τa [Russel et al., 1989]. This characteristic
time depends on on the self-diffusion time of each aggregate, given by Equation 2, and on the
average inter-aggregates distance, inversely proportional to the filler amount:
s R 3
a  (4)
kBT
 is the actual filler volume fraction, i.e. the volume of the particles in a cluster plus the
free volume enclosed between them. These regions are actually inaccessible to the polymer,
and depends on how primary particles are assembled together inside the aggregates. As
shown in Figure 1.b, the TiO2 clusters appear rather compact. As a consequence, we can
reasonably assume that the primary particles are packed at a volume fraction of ~60%,
which is close to random close packing. The actual filler volume fraction of the PP/TiO2
nanocomposites can be consequently estimated as  ≈Φ/0.6. Assuming R=Dn/2≈65 nm,
Equation 4 gives τa~4*103 s, in good agreement with the data shown in Figure 2. This result
suggests that the increasing of the sample elasticity during time is related to cluster-cluster
aggregation. In order to support the previous conclusion, we increase τa by increasing either
the size of primary particles or aggregates or the viscosity of the suspending medium.
According to Equation 2, in these conditions we expect that the elasticity of the samples
cannot increase significantly because of the reduced particle mobility.
Fig. 2. Time evolution of G′ (full) and G′′ (empty) at ω=0.063 rad s-1 and T=190°C for the
nanocomposite PP/TiO2 at Φ=0.038 (image taken from Romeo et al., 2009).
As first test, we investigate the time evolutions of the linear viscoelastic moduli at ω=0.063
rad s-1 for a PP/TiO2 microcomposite (particles radius R≈2 μm) at Φ≈0.035. Based on
Equation 4, we expect that two micron-sized particles should come at contact after
timescales of order of ~107 s. As a matter of fact, the results shown in Figure 3.a indicate that
both moduli remain stable during the aging test until ~104 s.
As second test, we monitor the moduli of a nanocomposite based on a high viscosity matrix
such as PS-high (η0=2.1*104 Pa*s at 200°C) filled with SiO2 particles at Φ≈0.035. Silica
aggregates exhibits the typical open and branched structure of fractal objects. In such
d
systems the mass M scales with length L as M~ L f , df being the fractal dimension [Weitz &
Oliveira, 1984]. The actual filler volume fraction thus becomes [Wolthers et al., 1997]:
3 d f
    (L / d) (5)
Setting L=Dn≈125 nm as emerged from the analysis of many TEM micrographs, and taking
df=2.2 as a typical fractal dimension of fumed silica aggregates [Kammler et al., 2004],
Equation 4 gives τa~105 s. This is in agreement with the results of the time sweep experiment
shown in Figure 3.b, which indicate that cluster assembling phenomena, if any, are
negligible in the timescale of the test. Obviously, the not structured sample keeps a
predominantly viscous connotation, i.e. G′′>>G′.
Fig. 3. Time evolution of G′ (full) and G′′ (empty) at ω=0.063 rad s-1 for the microcomposite
PP/TiO2 at Φ=0.035 and T=190°C (a), and the nanocomposite PS-high/SiO2 at Φ=0.035 and
T=200°C (b) (images taken from Romeo et al., 2009).
Particle rearrangements eventually give rise to mesoscopic structures, such as branched

aggregates or space-spanning filler network, which strongly alter the frequency response of
the sample. The ω-dependent G′ and G′′ of two PP/TiO2 samples filled with micro- and
nanoparticles both at Φ≈0.035 are compared in Figure 4.a. In both cases the matrix governs
the high-frequency response. This suggests that the relaxation modes of the polymer chains
and sub-chains are only slightly affected by the presence of the filler at these high
frequencies. The presence of microparticles negligibly affects the whole response of the
composite. On the contrary, the nanoparticles significantly alter the low-frequency moduli
of the material, and in particular the elastic one.
The flattening of G′ over long timescales is a general feature characterizing different kinds of
PNCs [Krishnamoorti & Yurekli, 2001; Du et al., 2004]. Such a behaviour, however, is not a
direct consequence of the nanometric size of the particles, but rather it originates from
particle mobility. To emphasize this point, in Figure 4.b the frequency response of the three-
hours aged samples PS-low/SiO2 and PS-high/SiO2 at Φ≈0.035 are compared. The
nanocomposite with high viscosity matrix displays a liquid-like behaviour at low frequency
reminiscent of that of the neat polymer (not shown). Differently, the PS-low/SiO2 sample
exhibits a predominant elastic connotation, the low-frequency plateau of G′ being indicative
of the presence of a space-spanning filler network formed during the ageing process.
To summarize, the viscoelastic response of a filled polymer is greatly affected by particle
mobility. When the characteristic diffusion time of the particles and/or aggregates resulting
from the extrusion process is too high, either because the matrix is too viscous or the particle
size is too big, the filler is unable to rearrange and only produce a small perturbation of the
composite viscoelastic response. Conversely, when mobility of the inorganic phase is high
enough, random motion and attractive Van der Waals forces lead to the structuring of the
primary aggregates. This eventually results in the formation of a whole space-spanning filler
network. Since this network exhibits the connotation of an elastic solid, a drastic slowing
down of relaxation dynamics occurs at low frequencies.
Fig. 4. (a) G′ (full) and G′′ (empty) for the samples PP/TiO2 at Φ≈0.035 filled with
micrometric (circles) and nanometric (diamonds) particles. Solid and dashed lines represent
the elastic and viscous modulus of the neat PP, respectively. (b) G′ (full) and G′′ (empty) for
the nanocomposite samples PS-low/SiO2 (diamonds, left axis) and PS-high/SiO2 (circles,
right axis) at Φ≈0.035 (image taken from Romeo et al., 2009).
2.2 Linear viscoelasticity of PNCs

2.2.1 Weakly attractive particles suspended in Newtonian fluids – A two-phase model
Colloids are typically nanometer to micron sized particles forming a dispersed phase in a
suspending medium. Colloidal dispersions exhibit a wide spectrum of rheological
properties, ranging from simply viscous fluids to highly elastic pastes depending on the
amount of particles and the sign and magnitude of inter-particles interactions. Here we are
interested in weakly attractive systems, where the particles are inclined to assemble together
into more or less branched flocs. In these systems, the ω-dependent storage and loss
modulus typically exhibit a strong dependence on both Φ and U. Such a high variability
makes extremely difficult a general description of the viscoelastic behaviour of colloidal
dispersions. A drastic simplification has been introduced by Trappe and Weitz, which
showed that modelling the suspension above the particle percolation threshold as an elastic
filler network interspersed in a background fluid (two-phase model) qualitatively accounts
for the viscoelasticity of their samples [Trappe & Weitz, 2000]. The authors studied a
dispersion of carbon black in base stock oil as a function of particle volume fraction and
interaction potential. The U was tuned by adding a dispersant that acts as a surfactant.
Without dispersant carbon black particles are rather strongly attractive, and flocs of ~100
μm in size form even at very low amounts of particles. The linear viscoelastic moduli of
samples at different Φ were measured as a function of frequency with a strain-controlled
rheometer with Couette geometry. The authors found that a rheological transition occurs at
Φc=0.053: at Φ>Φc the suspension is clearly elastic and G′ is nearly independent on ω; at
Φ<Φc the viscous feature definitely prevails over the elastic one, and the suspension
rheology looks like that of the suspending fluid. Microscopic analyses reveal that the
rheological transition reflects the state of dispersion of the filler: isolated carbon black flocs
are suspended in the background fluid below Φc, whereas above this threshold the
aggregates assemble in a three-dimensional space spanning network.
Despite their marked differences, the moduli of the samples at Φ>Φc can be scaled onto a
single pair of master curves. The authors qualitatively accounted for the observed scaling by
assuming that the carbon black forms a solid but tenuous network with a purely elastic, ω-
independent modulus. The elasticity of this network, G′0, increases with Φ as the network
becomes more and more robust. Interspersed throughout this structure is the purely viscous
suspending fluid, which G′′ linearly increases with ω and is substantially independent of Φ.
Consequently, the elasticity of the network prevails at low ω, while the viscosity of the fluid
dominates at high ω. Within this simplified picture, scaling the elasticity of each sample
along the viscosity of the matrix results in the collapse of data of samples at different
composition onto a single pair of master curves.
Although the proposed approach can account for the basic scaling behaviour, many issue
remain unresolved. For example, the behaviour of the weaker of the two moduli in each
regime is not addressed. At low frequencies, G′′(ω) must be determined by the loss modulus
of the network, which is larger than that of the suspending fluid. Similarly, at the highest
frequencies G′(ω) must reflect the storage component of the suspending fluid with the solid
network in it. In addition, the model does not take into account hydrodynamic effects.
Despite these limitations, the good quality of the scaling supports the reliability of the
approach, indicating that there is a strong similarity in the structures of the networks that
form at different Φ. This also implies some predictive feature of the model: the tiny elasticity
of samples at low Φ (as long as greater than Φc), which networks are too tenuous to be
appreciated through direct dynamic-mechanical analyses, can be predicted with good
approximation by simply referring to the master curve of G′.
2.2.2 Weakly attractive nanoparticles suspended in non-Newtonian mediums –

Recovering the two-phase model
The relatively high mobility of nanoparticles even in highly viscous fluids such as polymer
melts makes PNCs similar to colloidal dispersions. The main difference with these simpler
systems is the non-Newtonian feature of the suspending medium. According to Trappe and
Weitz, the viscoelasticity of a colloidal suspension above Φc originates from the combination
of the responses of an elastic particle gel that of the purely viscous background fluid. In the
case of a PNC, instead, the suspending medium is viscoelastic by itself, and its response
combines with that of the space-spanning network giving rise to a more complex ω- and Φ-
dependent viscoelastic behaviour. It follows that a separation of the effects of the solid and
fluid phases is no more possible in the case of PNCs. However, we argue that a recovery of
the two-phase model is possible if the elasticity of the polymer is neglected with respect to
that of the filler network. Under this assumption, the viscoelasticity of the PNC can be split
into the independent responses of an elastic particle network and that of the predominantly
viscous polymer. The former contribution depends on the filler content and governs the long
timescale response of the composite, whereas the latter is responsible for the high-frequency
behaviour (Figure 5).
Fig. 5. Scheme of the viscoelasticity of a PNC at Φ> Φc. For fully relaxed polymer matrix, the
filler network is the only responsible for the elastic connotation of the system.
To test the validity of the previous considerations, we focus on the ω-dependence of the
moduli of PP/TiO2 and PS-low/SiO2 nanocomposite samples at Φ>Φc, i.e. in which the filler
rearranges in experimentally accessible timescales forming a space-spanning network. All
these samples share a similar pseudo solid-like behaviour at low frequency, with weak ω-
dependences of both moduli and G′ greater than G′′. Since the filler mainly affects the
elastic modulus of the samples, G′ increases with Φ more rapidly than G′′. As a
consequence, a further crossover between G′ and G′′ occurs at intermediate frequencies in
addition to that at high ω related to the relaxation of the neat polymer. The coordinates of
such additional crossing point, (ωc; Gc), shift towards higher and higher frequencies and
moduli with increasing the filler content. This is shown in Figure 6 for three samples PS-
low/SiO2 at different composition.
Fig. 6. G′ (full, red) and G′′ (empty, blu) for the nanocomposite samples PS-low/SiO2 at
increasing filler content. The additional crossover is indicated by the arrows.
The additional low-frequency crossover can be interpreted as the point at which the
network elasticity equals the viscous contribution of the polymer. As a consequence,
normalizing the moduli of samples at different Φ by their elasticity, and doing so along the
background fluid viscosity, the curves should collapse onto a single pair of master curves.
Accordingly, the scaling has to be done by shifting the curves both horizontally and
vertically using as shift factors a=1/ωc and b=1/Gc, respectively. The resulting master curves
are shown in Figure 7 for both the PP/TiO2 and PS-low/SiO2 nanocomposites.
Fig. 7. Master curves of G′ (full, left axis) and G′′ (empty, right axis) for the systems PP/TiO2
(a) and PS-LOW/SiO2 (b). Each colour corresponds to a composition. Note that only curves
at Φ>Φc have been used to build the master curves. The TEM micrographs shown in the
insets represent the microstructures of samples at Φ≈0.035 (image taken from Romeo et al.,
2009).
The scaled moduli lie on top of each other in about five decades of frequencies, supporting
the validity of the adopted approach. Deviations are observed for the viscous moduli at high
scaled frequencies. This is not unexpected, since the relaxation modes of the polymers are
independent on the filler content and cannot be scaled using a and b as scaling factors.
Once the master curves are built, the differences in elasticity and dynamic of the particle
networks become evident. The SiO2 network is characterized by an ω-independent elastic
modulus at low frequency, which emphasizes its truly solid-like feature. Differently, the
TiO2 network displays a slow relaxation dynamic with G′~ω0.3. These differences are related
to the differences in network structures formed in the two composites. The TEM images
reported in the insets of Figure 7 show that the SiO2 nanoparticles form a tenuous, fractal
network of sub-micron sized, branched flocs interspersed within the host PS. Differently, the
TiO2 nanoparticles are assembled into dense clusters, which mobility is presumably slowed
down by the surrounding aggregates. The transient character of the latter network emerges
as a glassy-like decrease of G′, which reflects the internal rearrangements of the TiO2
clusters. Such slow relaxation dynamics are characteristic of colloidal glasses [Shikata &
Pearson, 1994; Mason & Weitz, 1995] and has been observed in many other soft materials
[Sollich et al., 1997].
2.2.3 Refining the two-phase model – Role of the hydrodynamic effects

Despite the good quality of the scaling shown in Figure 7, unresolved issues exist regarding
the physical meaning of the shift factors. The underlying physics of the model lies on the
independent rheological responses of the neat polymer and the particle network. Actually,
the coordinates of the crossover point of the moduli of the nanocomposite, identified by
Trappe and Weitz as the shift factors for their system, do not rigorously reflect the
properties of the two pristine phases of the model. In addition, the presence of the particles
implies hydrodynamic effects, which cannot be eluded for a correct scaling of the data. To
account for these issues, the procedure to get the shift factors for the building of the master
curve has to be revisited. For this aim, hereinafter we only refer to the system PS-low/SiO2,
which particle network exhibits a truly solid-like behaviour at low frequency.
Hydrodynamic effects reflect the perturbation of the flow lines in proximity of the filler. In a
liquid filled with a solid particulate, the suspending fluid flows in the narrow gap between
contiguous particles or aggregates, locally experiencing a greater flow rate than what
externally imposed or measured. Gleissle and Hochstein quantitatively accounted for
hydrodynamic effects in oscillatory shear experiments by introducing an empiric
amplification factor, representing the ratio between the complex moduli of the filled sample
over that of the neat matrix: B(  )  G* (  ) G*PS [Gleissle & Hochstein, 2003]. In the case of
microparticles, B(Φ) well describe the increase of G* of the suspension in the whole range of
accessible frequencies. Differently, non-continuum effects emerge over long timescales in
the case of PNCs. Consequently, the hydrodynamic effects only are appreciable at high
frequencies, i.e. where the rheological response is governed by the polymer matrix. This is
shown in Figure 8, where the complex moduli of various PS-low/SiO2 nanocomposites at
different composition are reported together with the resulting B(Φ).
Fig. 8. (a) Complex modulus of PS-low/SiO2 nanocomposite at various filler content. The
regions in which non-continuum and hydrodynamic effects are dominant are emphasized.
(b) Amplification factor for the data shown in (a) (images taken from Filippone et al., 2010).
After the hydrodynamic contribution has been quantified for each sample, then new and
more rigorous shift factors can be identified. Specifically, we now refer to the point at which
the elasticity of the filler network, given by the plateau modulus of the nanocomposite,
G’0(Φ), equals the viscous modulus of the neat matrix amplified by B(Φ) to account for
hydrodynamic effects, B(Φ)·G*.
The comparison between the old (a; b) and new (a’; b’) shift factors is shown in Figure 9.a for
the sample at Φ=2.9%; in Figure 9.b the new master curve is reported.
Fig. 9. (a) Comparison of the shift factors for the samples-low/SiO2 at Φ=2.8%. (b) Master
curve of G′ built using a′ and b′ as shift factors; the inset shows a magnifications at low
scaled frequencies of the master curves obtained using as shift factors (a′; b′) (red) and (a; b)
(blu) (images taken from Filippone et al., 2010).
The elastic moduli scaled using a′ and b′ as shift factors lies on top of each other over about
seven decades of scaled frequencies, confirming the validity of the adopted approach.
Again, the slight deviations at ω/a′ greater than ~101 do not invalidate the consistency of the
scaling, being a consequence of the intrinsic viscoelastic feature of the suspending fluid.
Besides exactly capturing the underlying physics of the two-phase model, the refined model
guarantees a better scaling of the elasticity of samples at different composition. This is
shown in the inset of Figure 9.b, where the master curves built using the two pairs of shift
factors are compared. The lower scattering of the data scaled using a′ and b′ confirms the
importance of properly accounting for hydrodynamic contributions when dealing with
PNCs.
2.3 Strength and reversibility of the filler network in PP/Al2O3 PNCs

Aim of this paragraph is the study of the relationships between the rheology and structure
of PP/Al2O3 nanocomposites. The structuring (during a quiescent annealing process) and
de-structuring (promoted by large amplitude shear flows) of the filler network are
investigated by means of both rheological and TEM analyses. The internal morphology of
the sample PP/Al2O3 at Φ=4.2% at the end of the extrusion process is shown in Figure 10.
Although a homogeneous distribution can be observed on microscale, the presence of
aggregates of a few hundred nanometers is noticed at higher magnifications. The aggregates
appear as open structures formed of tens of nanospheres of different sizes. Such non-
equilibrium structures rearrange towards a more favourable thermodynamic state during a
subsequent aging above the PP melting temperature. The morphology of a sample at
Φ=4.2% after a 3-hours annealing at T=190°C is shown in Figure 11.
Fig. 10. TEM micrographs of the as extruded PP/Al2O3 sample at Φ=4.2% at various
magnifications (image taken from Acierno et al., 2007b).
Fig. 11. TEM micrographs of the 3-hours thermal annealed PP/Al2O3 sample at Φ=4.2% at
various magnifications (image taken from Acierno et al., 2007b).
Pristine individual aggregates are now assembled into a disordered network that spans
large sections of the sample. The particles and aggregates are essentially kept together by
Van der Waals attractions and/or other kinds of weak bonds between the functional sites
located at the particle surfaces. The application of large strains provides an excess energy
to overcome such attractive interactions, thus destroying the network. After that, the
particles may or may not aggregate again depending on the strength of inter-particle
interactions.
The relaxation dynamics of a viscoelastic fluid can be indifferently monitored by frequency
scans or stress relaxation tests. In the latter kind of experiment, a constant strain, γ0, is
imposed to the sample in the linear regime, and the transient stress, σ(t), is measured as a
function of time. The stress relaxation modulus, G(t)=σ(t)/γ0, is shown in Figure 12 after the
application of large amplitude oscillatory shear (LAOS) at a constant frequency ω=0.0628
rad s-1 and different γ0 on the 3-hours aged sample at Φ=4.2%.
Large deformations have a drastic effect on the relaxation spectrum: the bigger the strain
amplitude, the faster the relaxation dynamics. Time sweep tests in linear regime were
performed after each LAOS to test the viscoelastic behaviour of the sheared sample, and the
results are shown in the inset of Figure 12. The elastic feature progressively vanishes with
increasing the deformation amplitude. Interestingly, the steadiness of the elastic modulus
during time suggests an irreversibility of the network break-up process, at least within the
experimental time window. Moreover, a polymer-like behaviour is recovered after the
LAOS at the largest amplitude (γ0=500%). In such case, the inorganic phase does not affect
the rheological response of the nanocomposite at all.
Fig. 12. G(t) of the 3-hours aged PP/Al2O3 sample at Φ=4,5% after LAOS at different strain
amplitudes γ0: 0.8% (solid circles), 10% (open circles), 25% (triangles), 50% (squares), 100%
(crosses), 250% (reverse triangles), 500% (diamonds). Solid diamonds represents the G(t) of
the neat polymer. The time evolutions of G′ after each LAOS are shown in the inset.
Symbols are the same of stress relaxation moduli (image taken from Acierno et al., 2007b).
The morphology of the 3-hours aged sample after the LAOS at γ0=500% is reported in Figure
13. The network formed during aging is no more visible, and the presence of many small
clusters characterizes the sheared system. The flocs show a more open structure than that of
a not sheared sample, either aged or not, suggesting a weaker tendency to the clustering for
the Al2O3 nanoparticles after the large deformations. The cumulative cluster size
distributions were determined through the analysis of TEM micrographs. The results are
shown in Figure 14 for the as extruded, 3-hours annealed and sheared after aging samples at
Φ=4.2%. The number average equivalent diameters of the clusters are reported in the same
figure.
Fig. 13. TEM morphology of the 3-hours aged sample at Φ=4.2% after the LAOS at γ=500%
(image taken from Acierno et al., 2007b).
The CSD of the as extruded sample is rather sharp, indicating a good dispersion efficiency
of the extrusion process. The thermal annealing results in a significant widening of the CSD,
with the appearance of very large clusters (Dn greater than 800 nm). This confirms the
metastable feature of the samples, which quickly evolve toward states of less free energy
under the push of the inter-particle attractive interactions. The resulting filler network
breaks up when the sample is subjected to LAOS, and a remarkable sharpening of the CSD
is observed.
Fig. 14. CSDs for the PP/Al2O3 sample at Φ=4.2% as extruded (black circles), 3-hours aged
(blue diamonds) and 3-hours aged after LAOS at γ0=500% (red triangles) (image taken from
Acierno et al., 2007b).
Interestingly, the strength of the filler network depends on whether the LAOS is applied
before or after the thermal annealing. This is shown in Figure 15, where the loss factor
tanδ=G’’/G’ (15.a) and the complex moduli (15.b) of the samples at Φ=4.2% submitted to
LAOS (γ0=500%) are reported before and after the ageing; the curves of the 3-hours aged but
not sheared sample are also reported for comparison.
If the LAOS is applied to the sample before the formation of the particle network, the system
quickly evolves to a more elastic structure and the tanδ asymptotically reaches values close
to those of the not sheared sample. However, the comparison between the G* shown in
Fig. 15. Loss factor (a) and complex moduli (b) of the samples at Φ=4.2% submitted to LAOS
(γ0=500%) before (diamonds) and after (squares) the thermal annealing. The curves of the
3-hours aged and not sheared sample (circles) are also reported for comparison (image taken
from Acierno et al., 2007b).
Figure 15.b reveals that the strength of the network formed after the LAOS is much lower
than that of the not sheared sample.
Such a result can be explained by assuming some rearrangement of the reactive sites of the
particle surfaces after the network break-up, which may weaken the surface activity of the
particles. This reduces the intensity of inter-particle interactions and, as a consequence, the
strength of the filler network [Bicerano et al., 1999]. On the other hand, if a “strong” network
forms and then it is destroyed by LAOS, the restoration of new bonds required for the
reformation of the network can results inhibited. This could explain the irreversibility of the
structuring process noticed after the LAOS performed on the aged sample.
3. Conclusions
The effect of small amounts of nanoparticles on the melt-state linear viscoelastic behaviour
has been investigated for different polymer-nanoparticles model systems characterized by
poor polymer-particles interactions and low particle contents. The drastic increase of the
rheological properties with respect to the matrices has been related to the formation of a
filler network above a critical particles volume fraction. This is a consequence of particles
and clusters rearrangements taking place during a thermal annealing. The filler mobility
depends on both particle size and viscosity of the suspending medium. Once formed, the
filler network exhibits an elastic feature that mixes with the intrinsic viscoelastic response of
the polymer matrix, resulting in a complex Φ- and ω-dependent viscoelastic response of the
nanocomposite. However, starting from a two-phase model proposed for colloidal
suspensions in Newtonian fluids, we have shown that the contributions of filler network
and suspending medium can be decoupled due to the weak polymer-particle interactions
and the differences in temporal relaxation scales. The adopted approach has been validated
through the building of a master curve of the moduli, which reflects the scaling of the
elasticity of composites along the viscosity of the suspending medium. The two-phase
model well works irrespective of the structure of the filler network, making evident the
strict interrelationships between the structure, both on nano- and micro-scale, and the melt-
state behaviour of the studied PNCs. The physical meaning of the two-phase model clearly
emerges once hydrodynamic effects have been properly taken into account. Besides
clarifying the various timescales of PNCs, the proposed model allows for predicting the
modulus of particle networks which are too tenuous to be appreciated through simple
frequency scans. The application of a large amplitude oscillatory shear flows provides an
excess energy for the system to escape from the metastable configuration in which it is
trapped. This destroys the network formed during the thermal annealing, leading to a more
tenuous structure which is unable to significantly contribute to the system elasticity. After
the network has been destroyed the sample cannot recover its previous solid-like feature
during a subsequent thermal annealing. This is probably due to some rearrangement of the
reactive sites of the particle surfaces occurring after the rupture of the inter-particles bonds
formed during annealing.
Besides well describing the behaviour of PNCs in the framework of simpler systems such as
Newtonian colloidal suspensions, the analysis proposed in this chapter is expected to be
useful to understand a wide variety of complex fluids in which a superposition of the
elasticity of the components is possible. The generalization of our approach to such systems
and to other technologically relevant PNCs, such as nanocomposites based on layered

silicates or carbon nanotubes, still remains to be proved.
4. References
Acierno, D.; Filippone, G.; Romeo, G.; Russo, P. (2007). Rheological aspects of PP-TiO2
nanocomposites: a preliminary investigation. Macromol. Symp., Vol. 247, pp. 59-66
Acierno, D.; Filippone, G.; Romeo, G.; Russo, P. (2007). Dynamics of stress bearing particle
networks in poly(propilene)/alumina nanohybrids, Macromol. Mater. Eng., Vol. 292,
pp. 347-353
Baird, D. G.; Collias D. I. (1995). In: Polymer Processing Principles and Design, John Wiley and
Sons, Inc., ISBN: 978-0-471-25453-9, New York (USA)
Bicerano, J.; Douglas, J. F.; Brune, D. A. (1999). Model for the viscosity of particle
dispersions. J. Macromol. Sci.: Rev. Macromol. Chem. Phys. Vol. 39, No. 4, pp. 5611-642
Cipelletti, L.; Manley, S.; Ball, R. C.; Weitz, D. A. (2000). Universal aging features in
restructuring of fractal colloidal gels. Phys. Rev. Lett., Vol. 84, No. 10, pp. 2275-2278
Du, F.; Scogna, R. C.; Zhou, W.; Brand, S.; Fischer, J. E.; Winey, K. I. (2004). Nanotube
networks in polymer nanocomposites: rheology and electrical conductivity,
Macromolecules, Vol. 37, pp. 9048-9055
Filippone, G.; Romeo, G.; Acierno, D. (2010). Viscoelasticity and structure of
polystyrene/fumed silica nanocomposites: Filler Network and Hydrodynamic
Contributions. Langmuir, Vol. 26, No. 4, pp. 2714–2720
Gleissle, W.; Hochstein, B. (2003). Validity of the Cox–Merz rule for concentrated
suspensions. J. Rheol., Vol. 47, pp. 897-910
Inoubli, R.; Dagréou, S.; Lapp, A.; Billon, L.; Peyrelasse, J. (2006). Nanostructure and
mechanical properties of polybutylacrylate filled with grafted silica particles.
Langmuir, Vol. 22, No. 15, pp. 6683-6689
Israelachvili, J. (1991). In: Intermolecular and surface forces, Academic Press, ISBN 0-12-375181-
0, London, UK
Jancar, J.; Recman, L. (2010). Particle size dependence of the elastic modulus of particulate
filled PMMA near its Tg, Polymer, Vol. 51, No. 17, (August 2010), pp. 3826-3828
Kammler, H. K.; Beucage, G.; Mueller, R.; Pratsinis S. E. (2004). Structure of flame-made
silica nanoparticles by ultra-small-angle X-ray scattering. Langmuir, Vol. 20, pp.
1915-1921
Kojima Y, Usuki A, Kawasumi M, Okada A, Fukushima Y, Kurauchi T, Kamigaito O. (1993)
Mechanical properties of nylon 6-clay hybrid, J Mat Res Vol. 8, pp. 1185-1189
Krishnamoorti, R.; Yurekli, K. (2001). Rheology of polymer layered silicate nanocomposites,
Curr. Opin. Colloid Interface Sci. Vol. 6, No. 5-6, pp. 464-470
Mason, T. G.; Weitz, D. A. (1995) Linear viscoelasticity of colloidal hard sphere suspensions
near the glass transition. Phys. Rev. Lett., Vol. 75, pp. 2770-2773
Ozmusul, M. S.; Picu, R. C.; Sternstein, S. S.; Kumar, S. (2005). Lattice Monte Carlo
simulations of chain conformations in polymer nanocomposites , Macromolecules,
Vol. 38, No. 10, pp. 4495-4500
Prasad, V.; Trappe, V.; Dinsmore, A. D.; Segrè, P. N.; Cipelletti, L.; Weitz, D. A. (2003)
Universal features of the fluid to solid transition for attractive colloidal particles.
Faraday Discuss., Vol. 123, pp. 1-12
Pusey, P. N.; van Megen, W. (1986). Phase behaviour of concentrated suspensions of nearly
hard colloidal spheres. Nature, Vol. 320, pp. 340-342
Ren, J.; Silva, A. S.; Krishnamoorti, R. (2000). Linear viscoelasticity of disordered
polystyrene−polyisoprene block copolymer based layered-silicate nanocomposites.
Macromolecules, Vol. 33, No. 10, pp. 3739-3746
Romeo, G.; Filippone, G.; Fernández-Nieves, A.; Russo, P.; Acierno, D. (2008). Elasticiy and
dynamics of particle gels in non-Newtonian melts. Rheol. Acta, Vol. 47, pp. 989-997
Romeo, G.; Filippone, G.; Russo, P.; Acierno, D. (2010). Effects of particle dimension and
matrix viscosity on the colloidal aggregation in weakly interacting polymer-
nanoparticle composites: a linear viscoelastic analysis. Polym. Bull., Vol. 63, No.6,
pp. 883-895
Russel, W. B.; Saville, D. A.; Schowalter, W. R. (1989). In: Colloidal dispersions, Cambridge
University Press, ISBN 0-521-34188-4, Cambridge, UK
Saint-Michel, F.; Pignon, F.; Magnin, A. (2003). Fractal behavior and scaling law of
hydrophobic silica in polyol. J. Colloid space face Sci., Vol. 267, No. 2, pp. 314-319
Shenoy, A. V. (1999). In: Rheology of filled polymer systems, Kluwer Academic Publishers,
ISBN 0-4112-83100-7, Dordrecht, The Netherlands
Shikata, T.; Pearson, D.S. (1994). Viscoelastic behavior of concentrated spherical
suspensions. J. Rheol., Vol. 38, pp. 601-613
Sollich, P.; Lequeux, F.; Hébraud, P.; Cates, M. E. (1997). Rheology of soft glassy materials.
Phys. Rev. Lett. 78, 2020-2023
Surve, M.; Pryamitsyn, V.; Ganesan, V. (2006). Universality in structure and elasticity of
polymer-nanoparticle gels. Phys. Rev. Lett., Vol. 96, No. 17, pp. 1778051-1778054
Trappe, V.; Weitz, D. A. (2000). Scaling of the viscoelasticity of weakly attractive particles.
Phys. Rev. Lett., Vol. 85, No. 2, pp. 449-452
Trappe, V.; Prasad, V.; Cipelletti, L.; Segrè, P.N.; Weitz, D. A. (2001). Jamming phase
diagram for attractive particles. Nature, Vol. 411, pp. 772-775
Usuki A.; Kojima Y.; Kawasumi M.; Okada A.; Fukushima Y.; Kurauchi T.; Kamigaito O.
(1993). Synthesis of nylon 6-clay hybrid. J Mat Res, Vol. 8, pp. 1179-1184
Weitz, D. A.; Oliveira, M. (1984). Fractal structures formed by kinetic aggregation of
aqueous gold colloids. Phys. Rev. Lett., Vol. 52, pp. 1433-1436
Wolthers, W.; van den Ende, D.; Bredveld, V.; Duits, M. H. G.; Potanin, A. A.; Wientjens, R.
H. W.; Mellema, J. (1997). Linear viscoelastic behavior of aggregated colloidal
dispersions. Phys. Rev. E, Vol. 56, pp. 5726-5733
Zhang, Q.; Archer, L. A. (2002). Poly(ethylene oxide)/silica nanocomposites: structure and
rheology. Langmuir, Vol. 18, No. 26, pp. 10435-10442
19
Dielectric and Transport Properties

of Thin Films Deposited from Sols
with Silicon Nanoparticles
Nickolay N. Kononov1 and Sergey G. Dorofeev2
1Prokhorov General Physics Institute, Russian Academy of Sciences, Moscow,
2Faculty of Chemistry, Moscow State University, Moscow,
Russia
1. Introduction
Currently, there is steady scientific interest in structures formed by nanocrystalline silicon
particles (nc-Si). This interest is to a large extent caused by the fact that efficient methods for
fabricating silicon nanoparticles capable of bright and stable photoluminescence in the
visible region of the spectrum with high quantum yield were developed over the last decade
(Jurbergs at al., 2006). The main carriers of such nanoparticles are colloidal solutions (sols)
based on methanol, chloroform, hexane, etc. Such sols are very promising objects for
developing technologies for applying highly uniform thin nc-Si films onto various
substrates. The use of such films seems very promising for developing light emitting
elements based on nc-Si electroluminescence (Anopchenko at al., 2009 ). Furthermore, nc-Si
films are very promising as elements of solar panels (De la Torre at al., 2006), thin film
transistors (Min at al., 2002), and single electronic devices (Tsu, 2000). In the case in which
films consist of nanoparticles with a diameter smaller than 10 nm, their total characteristics
are controlled not only by their material, but also by properties of atoms on the surface of
these particles. In other words, in general, such films should be considered as a
multicomponent medium the properties of which are controlled by both crystalline cores of
nanoparticles and surface atoms and molecules and air voids being a film component.
In the modern scientific literature, most papers are devoted to the study of properties of
amorphous silicon (a-Si) films with introduced silicon nanocrystals (Conte at al., 2006; Wang
at al., 2003). Such films can be deposited, e.g., in the high frequency discharge in a mixture
of gases SiH4, Ar, or H2 (PECVD method), followed by high temperature annealing
(Saadane at al., 2003).
Recently, we showed that homogeneous thin films (with a thickness up to 30 nm) can be
grown by size selective precipitation sols containing nanocrystalline silicon particles
(Dorofeev at al., 2009). Such films (nc-Si) are formed by closely adjacent crystalline Si
nanoparticles; therefore, their physical characteristics to a certain extent should be similar to
characteristics of films based on porous silicon (por-Si). The optical absorption and
photoluminescence ability of por-Si films have been very comprehensively studied to date
(see, e.g., Kovalev at al., 1996; Brus at al., 1995); however, the number of studies of transport
and dielectric properties of such films in an ac electric field is extremely small. Here we
indicate papers (Axelrod at al., 2002; Ben-Chorin at al., 1995; Urbach at al., 2007) devoted to
such studies of por-Si.
A similar situation exists as applied to nc-Si films; however, we are not aware of results of
studies on the conductivity in an ac electric field (ac conductivity and dielectric relaxation in
such films).
In this chapter we analyze the dielectric and transport properties of nc-Si films deposited on
a glass and quartz substrates from the sol containing nanoparticles of silicon. Silicon
nanoparticles were synthesized in the process of laser pyrolysis of silane and placed in
ethanol or methanol, repeatedly centrifuged resulting in a colloidal solution (sol) in which
the silicon nanoparticles could be a long time (over two years). We analyze three kinds of
films. The films deposited on a substrate by centrifugation of sols of nanoparticles in a week
after their synthesis. Films deposited on a substrate of sols in which the nanoparticles were 2
years after their synthesis and films deposited from two-year-old sol in which has been
added the conductive tetra-aniline. More circumstantial experimental details we will present
in the following sections. In the future of the films deposited on a substrate of silicon
nanoparticles in a week after their synthesis we call films I, films obtained from similar
nanoparticles, but two years after their synthesis (aged nanoparticles) - films II and films
deposited of sols with aged nanoparticles and with the tetra aniline addition - films III.
For films I we present measurements of the nc-Si film permittivity in the optical range
(5×1014 ≤ν≤1015 Hz) and in the frequency range of 10 ≤ν≤106Hz. In the latter range, the ac
conductivity (σac) of nc-Si films is also determined.
In the optical region, the real ε' and imaginary ε'' components of the complex permittivity
were determined from an ellipsometric analysis of light beams incident and reflected from
the free boundary of the nc-Si film. In the frequency range of 10 ≤ν≤106 Hz, the ε' and ε''
spectra, were determined from an analysis of the frequency dependence of the nc-Si film
impedance.
In an optical spectral region, ε' and ε'' varied within 2.1–1.1 and 0.25–0.75, respectively, as
the frequency increased. We attribute such low values of ε' and ε'' to the nc-Si film structure.
The nc-Si particles forming such films consist of crystalline cores surrounded by a SiOx shell
(0 ≤ x ≤ 2). The SiOx shell results from the interaction of the Si nanoparticle surface with
ambient air. On the basis of the analysis of the Raman spectra, it is suggested that the
amorphous component is involved in the nc-Si powders and films due to oxygen atoms
arranged at the nanoparticle surface.
Using the Bruggeman effective medium approximation (EMA) (Bruggeman, 1935), the
structural composition of nc-Si film was simulated. It was shown that good agreement
between the frequency dependences of ε' and ε'' obtained from the EMA and the ε' and ε''
spectra determined from ellipsometric data is achieved when nc-Si films are considered as a
two component medium consisting of SiO and air voids existing in it. In the frequency range
of 10–106 Hz, the ε' and ε'' dispersion was determined from an analysis of the frequency
dependences of the capacitance of nc-Si films and their impedance spectra. It was found that
ε' and ε'' vary within 6.2–3.4 and 1.8–0.08, respectively, as the frequency increases.
Dielectric and Transport Properties of Thin Films Deposited from Sols with Silicon Nanoparticles 409
It is found that the function ε'(ω) in this frequency range is well approximated by the
semiempirical Cole–Cole dependence (Cole–Cole dielectric relaxation) ( Cole, K. S. & Cole,
R. H., 1941). At the same time, the ε''(ω) spectra of nc-Si films are well approximated by the
Cole–Cole dependence only at frequencies higher than 2 × 102 Hz. In the low frequency
spectral region, good approximation is achieved by combining the Cole–Cole dependence
and the term associated with the presence of free electric charges. From analysis of the
approximating dependences, the average room temperature relaxation times of dipole
moments in nc-Si films were determined as 6 ×10–2 s.
The conductivity σac of the studied films I in an ac electric field depends only on its
frequency according to the power law; the exponent is 0.74 in the entire frequency range
under study. Such behavior of σac suggests that the electrical transport mechanism in films is
hopping. Comparison of the measured frequency dependence σac(ν) with similar
dependences following from various models of hopping conductivity shows that the σac(ν)
behavior is most accurately described in the diffusion cluster approximation (DCA) (Dyre &
Schrøder, 2000; Schrøder & Dyre, 2002; Schrøder & Dyre, 2008).
Analysis of the dependences of the dark conductivity of films on humidity of ambient air
and the temperature dependence of absorption bands caused by associated Si–OH groups
on the film surface allowed the conclusion to be drawn that conductivity at frequencies
lower than 2×102 Hz is associated with proton transport through the hydrogen bound
hydroxyl groups on the silicon nanoparticle surface.
For films II and III we present measurements of the nc-Si film permittivity and ac conductivity
(σac) in the frequency range of 1 ≤ν≤106Hz. The dielectric properties of the films II and III were
studied by impedance spectroscopy only in the frequency range 1 ≤ ν ≤ 106Hz.
We found that in films II and III, a double dielectric relaxation exists and to adequately
describe the spectra of ε 'and ε'' of these films should use not only the Cole-Cole
relationship, but and the law of Debye's dielectric relaxation.
By a total approximation of the experimental spectra of the films II and III the values of
static dielectric constant ε0 have obtained. These values are equal 11.5 and 67 respectively.
Value ε0 ≈ 11,5 characteristic of film II is close to the static permittivity of crystalline silicon,
but the magnitude of ε0 ≈ 67 of films III significantly higher than this value. Next, we
analyze this fact.
In contrast to the conductivity of the films I σAS of films II and III are not subject to a power
law over the entire range of measured frequencies. Next, we show that such a deviation
from the law σAS ~ ωs associated with the appearance in the spectra ε "(ω) of the films II and
III Debye's components.
2. The films from silicon nanoparticles

2.1 Films deposited from freshly prepared sols of silicon nanoparticles ( films I )
2.1.1 Samples and measurement procedures
The nc-Si films were deposited from silicon nanoparticles produced by CO2 laser pyrolysis
of silane. The system for synthesis of the nc-Si powders and conditions of the process are
described in detail elsewhere (Kononov at al., 2005; Kuz’min at al., 2000). In what follows,
we briefly outline the procedure of synthesis of the Si nanoparticles. In a reactor chamber

filled with a buffer gas (helium or argon) to the pressure P = 200 Torr, a fine SiH4 jet is
formed and heated by focused cw CO2 laser radiation beam crossing the jet. During
pyrolysis of silane, the SiH4 molecules are decomposed, and free Si atoms are produced.
When colliding with each other and with the atoms of the buffer gas, the Si atoms form
particles, whose average dimensions can be in the range from 10 to 100 nm, depending on
the pressure of the buffer gas. The nc-Si powders produced in such a manner were dispersed
by ultrasonic treatment in ethanol and centrifuged for 30 min with an acceleration of 2000g
(g is the gravitational acceleration). As a result, almost all agglomerates of nc-Si particles are
precipitated. After preliminary centrifugation, a stable colloidal solution (sol) of nc-Si in
ethanol remains. No visible changes in the solution, including precipitations, were observed
for two years. For the subsequent deposition of nanoparticles, a water solution of aluminum
dihydrophosphate was added to the sol.
25
Relative number (%) 25
20 20
Relative number (%)
15 15
10 10
5
5
0
2 4 6 8 10 12 14 16 18 20 22 0
1 2 3 4 5 6 7 8 9 10 11 12
Diameter (nm)
Diameter (nm)
а b
Fig. 1. (a) Histogram of the size distribution of particles, as obtained by processing of the
TEM images of the nc-Si powder (b) Histogram of the size distribution of particles, as
obtained by processing of the TEM images of the nc-Si powder etched in the (HF + HNO3)
acid mixture. The dushed lines represent the normal distribution functions for two different
kinds of nc-Si particles
The size distribution of nc-Si particles was determined from images obtained using an LEO
912 AV OMEGA transmission electron microscope. The typical spectrum of silicon
nanoparticles used for precipitation is shown in the Fig. 1. The nc-Si film thickness was
determined using a Taly Step (Taylor-Hobbson) atomic force step profilometer.
Ellipsometric spectra were measured using an Ellips 1891 ellipsometer (Institute of
Semiconductor Physics, Siberian Branch, Russian Academy of Sciences). The transmission
spectra were measured using a Lambda 900 (Perkin-Elmer) spectrophotometer. The Raman
spectra of the films were recorded with a microlens equipped T 64000 (Jobin Ivon) Raman
triple spectrograph in the backscattering layout of measurements at the power of the
excitation argon laser 2 mW.
The impedance spectra were measured using an E7-20 immittance meter (Minsk Research
Instrument Making Institute) and a Z-3000X (Elins) impedance meter. Samples for
measuring impedance spectra were prepared as follows. First, aluminum electrodes

separated by a rectilinear gap 1 mm wide were deposited on a glass substrate. Then nc-Si
particles were precipitated from the sol on the substrate prepared in such a way, which
formed a film. The third aluminum electrode was deposited on the obtained nc-Si film. As a
result, a sandwich like structure similar to that shown in Fig. 2 was obtained. To achieve the
ohmic lead contacts, the structure was annealed at a temperature of 400°C and a pressure of
10–5 Torr. Impedance spectra were measured at an amplitude voltage of 100 mV; however,
the films under study can withstand a voltage to 15 V without electrical breakdown.
Al nc-Si film
Al Al
glass
Fig. 2. Diagram of the sandwich like sample structures for measuring impedance spectra.
2.1.2 Experimental results

2.1.2.1 Raman scattering
To record the Raman spectra, we first deposited an aluminum film with the thickness ~300
μm onto the quartz substrate, and then, on top of the film, we deposited the nc-Si film from
the sol. We proceeded in such manner in order to avoid the background scattering
component produced by the quartz substrate. In this section, we analyze the Raman
spectra recorded for the initial nc-Si powder, for the films deposited at the second stage of
centrifuging the sols of the initial nc-Si powder and film deposited from the sol with powder
etched in the (5wt%HF+14wt%HNO3) water mixture. The corresponding samples are
identified as samples S1, S2, and S3 respectively.
The typical Raman spectra recorded for these samples are shown in Fig. 3. All of the
experimentally recorded spectra are very similar to the Raman spectra obtained for p-Si in
(Tsang at al., 1992; Tsu at al., 1992) and for the nc-Si clusters in (Ehbrecht at al., 1995).
1,4
1,5
1,2
Intencity, a u
Intensity, a u
S1 1,0
S2
1,0
P1 0,8
P2 0,6
0,5
P3 0,4
P4
0,2
0,0 0,0
250 300 350 400 450 500 550 600 250 300 350 400 450 500 550 600
Raman shift, cm-1 а Raman shift, cm-1 b
4,0
3,5
3,0
Intensity, a u
2,5 S3
2,0
1,5
1,0
0,5
0,0
250 300 350 400 450 500 550 600
Raman shift, cm-1
c
Fig. 3. Raman spectra of: a) nc-Si powder S1, b) film deposited from the sol of the initial nc-Si
powder-S2 c) film deposited from the sol nc-Si powder etched in the (HF + HNO3) acid
mixture –S3. The dotted line refers to the approximation of the spectrum with Lorentzian
contours (the P1, P2, P3, and P4 peaks).
The Raman spectra of all of the samples studied here can be fitted with four Lorentzian
bands with a rather good accuracy (Fig. 3). In what follows, these bands are referred to as
the P1, P2, P3, and P4 peaks. The Raman shift of the most intense P1 peak with respect to the
emission frequency of the probing laser is in the range of wave numbers from 515 to 517 cm–
1 for all of the samples. The Raman shift of the similar peak for c-Si corresponds to the wave
number 520.5 cm–1. Thus, for all of the films studied here, the P1 peak is shifted to smaller
wave numbers with respect to the peak for c-Si (the red shift). The P1 peak in the Raman
spectra of the nc-Si particles is due to light scattering assisted by longitudinal optical (LO)
and transverse optical (TO) phonons at the central point of the Brillouin zone for the c-Si
crystal lattice. The red shift of the P1 peak and its half width as functions of the nanoparticle
dimensions are adequately described in the context of the phonon’s confinement model
(Campbell & Faushet 1986; Richter at al., 1981).
The result of application of this model to spherical nanoparticles is shown in Fig. 4. From
Fig. 4, it can be seen that the average dimension of the nc-Si particles in the samples is in
the range 4–6 nm, irrespective of whether the particles of the initial nc-Si powder were
subjected to some treatment or not. For the sols of the nc-Si powders etched in the
(HF + HNO3) mixture, the average particle’s dimensions determined in the phonon’s
confinement model are in good agreement with the particle dimensions corresponding
to the peak of size distribution obtained for the particles by processing of the TEM
images.
However, for the initial nc-Si powders, the average particle dimensions determined by the
above mentioned two methods differ by a factor of about 2. There are two possible causes
of the difference between the average particle’s dimensions determined in the phonon’s
confinement model and by processing of the TEM images. One of the causes is associated
with the fact that, in the phonon’s confinement model, the nanoparticles are assumed to
be single crystals. Therefore, the magnitude of the phonon wave’s vector q in the
nanoparticle can vary in the range (0, 2π/L), where L is the particle diameter. However, if
the nanoparticle core is polycrystalline and the average dimension of the elementary
crystal lattice in the core is l, the confining condition q ≤ 2π/L should be replaced by the
condition q ≤ 2π/l. Thus, it is possible that the dimensions l = 4–6 nm calculated in the
phonon’s confinement model are related to the average dimensions of elementary lattices
in the polycrystalline nanoparticle cores rather than to the average nanoparticles’
dimensions in the initial nc-Si powder. From this assumption and the fact that, for
nanoparticles subjected to etching, the average dimensions determined by the above two
methods are the same, it follows that, on such etching of the nanoparticles, the remaining
c-Si cores are single crystals. The other cause can follow from the well known low contrast
of the finest nanoparticles (with the diameter 3 nm in the case under study) in the TEM
images. Because of the low contrast, the processing of the TEM images always reduces the
relative portion of the fine grained fraction of nanoparticles in the ensemble of particles
under consideration.
10
9 3
8
7
, cm-1
L, nm
S2 4
5 S1
5
4
S3 6
3
7
2 8
9
10
1
0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32
cm-1
Fig. 4. The half-width and the red shift of the P1 Raman peak versus the diameter of the
spherical silicon nanoparticles, as obtained (solid line) in the context of the phonon’s
confinement model [19, 20] and (solid circles) from the approximation of the P1 peak in
samples S1, S2 and S3, with the Lorentzian contours.
The Raman shift of the P2 peak in the samples is in the range from 480 to 495 cm–1. This peak
corresponds to the TO-phonon assisted scattering in a-Si:H. Similarly to the P2 peak, the P3
and P4 peaks are related to the amorphous component of the structure of the Si particles and
result from scattering assisted by LO and longitudinal acoustic (LA) phonons.
From the comparison of the integrated intensities of the P1 and P2 peaks, Ic and Ia, we can
determine the volume fraction of the crystalline phase, Xc, in the Si particles. To do this, we
used the expression (Voutsas at al., 1995)
Ic
Xc  (1)
Ic   Ia

where   c is the ratio between the integrated backscattering’s cross sections in the
a
crystalline and amorphous fractions (corresponding to the P1 and P2 peaks). According to
(Kakinuma at al., 1991), the quantity η for silicon is η = 0.8–0.9. In the calculations, we set
η = 0.8. For samples S1, S2 and S3, the values of the parameter Xc are 0.45, 0.35 and 0.50
respectively.
From these values of Xc, it follows that almost a half of the volume of the particles is
characterized by a high degree of disorder of the crystal lattice.
From comparison of the above values, it is evident that, in film S2 deposited at the second
stage of centrifuging from the sol with the initial nc-Si powder, the parameter Xc is smaller
than Xc for the initial powder. The average particle’s dimension in film S2 is smaller than
that in the initial powder. Correspondingly, the surface area to volume ratio for the particles
in the S2 film is larger than the corresponding ratio in the initial powder. Therefore, the
effect of the nanoparticle surface on the general properties of the nanoparticles in film S2 is
bound to be more pronounced that the corresponding effect in the initial powder.
Consequently, the smaller value of Xc (the higher degree of amorphization of the particles)
in film S2 in comparison with Xc in sample S1 suggests that the disordered regionis at the
nanoparticle surface rather than in the nanoparticle core. However, for film S3 the value of
Xc is larger than Xc for film S2, although the average particle’s dimensions in these films are
comparable. Such difference suggests that the degree of disorder of particle surfaces in film
S3 is lower than that in film S2.
Since film S3 are deposited from the sols of the nc-Si powders subjected to etching, such
lower degree of disorder in these films is due to the effect of the HF and HNO3 acids on the
particle surface. Here, it is reasonable to mention the studies ( Luppi & Ossicini, 2005;
Puzder at al., 2002), in which the effect of oxygen atoms on the structure of silicon clusters
and on the degree of ordering of the Si crystal lattice in nanoparticles is analyzed, and the
studies (Ma at al., 2000 Tsang at al., 1992; ), in which the changes induced in the Raman peak
similar to the P2 peak (Fig. 3) by the effect of oxygen on the surface of p-Si passivated with
hydrogen, are reported. The general idea of the above mentioned studies is that the crystal
lattice of nanoparticles, whose surface is completely passivated with hydrogen, is practically
the same as the lattice of the silicon crystal. However, if oxygen atoms appear at the
nanoparticle surface, they can form the Si–O–Si and (Si=O) bonds and, thus, distort the
lattice at the distances up to 0.5 nm. In this space region, the distortions of angles between
the Si–Si bonds in the crystal lattice can be as large as 10° (Tsang at al., 1992). Therefore, if
the surface of a nanoparticle of a diameter smaller than 3 nm is coated with the SiO2 oxide,
the crystal lattice is distorted within a noticeable volume fraction of such particle. As a
consequence, if the p-Si surface is etched in the solution of HF, the Raman spectrum involves
only one peak similar to the P1 peak. If p-Si is exposed to oxygen in oxygen containing
atmosphere, the Raman spectrum exhibits also the P2 peak along with the P1 peak. From the
above mentioned studies and from the analysis of the Raman spectra discussed here, we can
make the statement presented below. At the surface of nc-Si nanoparticles in all samples,
there is a noticeable number of oxygen atoms, which distort the crystal lattice in these
particles and bring about the appearance of the P2 peak in the Raman spectra. Since the
average nanoparticle’s dimensions in film S2 are smaller than those in powder S1, the effect
of these oxygen atoms on the crystal lattice structure in film S2 is more pronounced than the
effect in powder S1. As a result, the volume fraction of the crystal phase in film S2 is reduced
compared to that in S1.
Etching of the nc-Si particles in the solution of the (HF + HNO3) acids results in a decrease in
the particle dimensions. However, in this case, the total number of oxygen atoms at the
nanoparticle’s surface decreases, since a portion of oxygen atoms is replaced with hydrogen
atoms. Therefore, in film S3 two opposite processes are bound to occur. One process related
to the decrease in the nanoparticle’s dimensions yields a decrease in Xc, whereas the other
process related to the decrease in the number of oxygen atoms at the nanoparticle surface
brings about an increase in Xc. In film S3, we experimentally observe the parameter Xc larger
than Xc in film S2; therefore, we can conclude that, on etching of the nc-Si particles, the latter
process dominates over the former one.
2.1.2.2 Ellipsometric spectra
In the experiment, the ellipsometric angles ψ and Δ were measured as functions of the
wavelength of a light beam incident at the angle Φ0 on the free flat surface of the nc-Si film.
The films under study were applied on glass and quartz substrates and on quartz substrates
with preliminarily deposited aluminum films. The nc-Si film thicknesses (1–2 μm) were
measured independently. When processing the ellipsometric data, the nc-Si films under
study were considered as a 3D medium in air medium. The complex refractive index
N = n – ik, where n is the film refractive index and k is the extinction coefficient, was
determined by the expression (Azzam & Bashara, 1977)
2
1   2
N  N 0 sin  0 1    tg  0 (2)
1  
Here, ρ = eiΔ· tgψ and N0 are the complex refractive index of an ambient medium (air),
which was equal to unity in the case at hand. It is known that formula (2) yields accurate
values only when light is reflected from a semi-infinite medium with a boundary with an
atomically clean surface. If impurities or an oxide filmare on the boundary, they introduce
errors to the calculated values. In (Tompkins & Irene, 2005), the values n and k were
compared for crystalline silicon (c-Si) in the absence and presence of the oxide film on its
surface. It follows from this comparison that, in the presence of a SiO2 film to 2 nm thick on
the silicon surface, the value of n is almost identical to that of c-Si in the incident photon
energy range of 1–3.4 eV; in the range of 3.4–5 eV, the refractive index differs from n of c-Si
no more than by 20%, as well as k. However, in the range of 1–3.4 eV, the value of k in the
presence of the SiO2 film almost twice exceeds the c-Si extinction.
Since the real ε' and imaginary ε'' components of the medium permittivity are related to n
and k by the known expressions ε' = n2 – k2 and ε'' = 2nk, it can be expected that the values of
ε' calculated by Eq. (2) for nc-Si films will be slightly systematically underestimated, while
the values of ε'' will be overestimated.
Nevertheless, representation of the pseudo dielectric functions by relation (2) is very
convenient and is quite often used to study the dielectric properties of materials. For
example, dielectric parameters of por-Si were studied using this equation in (Pickering,
1984). As applied to the present study, an analysis of the spectra obtained using formula (2)
was limited by the energy range of incident photons, in which films strongly absorbed
incident probe radiation, which could not reach the substrate surface in this case. If probe
radiation reached the substrate surface with precipitated film, an interference structure
arose in the spectra, which consisted of alternating minima and maxima. Such a structure at
energies lower than 2 eV is easily seen in Fig. 5 (curves 3 and 3 ').
2,5
4
2,0
2
1,5
3 1
' ,"
1,0
1′
0,5
2′ 3′
4′
0,0
1,5 2,0 2,5 3,0 3,5 4,0 4,5
h, eV
Fig. 5. Spectra of (1–3) real and imaginary (1'–3') permittivity components of nc-Si films
precipitated on various substrates: (1, 1') film of initial (unetched) nanoparticles on the glass
substrate; (2, 2') film of nanoparticles preliminarily etched in a HF/HNO3 acid mixture on
the quartz substrate; (3, 3') nc-Si film of initial nanoparticles on the glass substrate with a
preliminary deposited aluminum film; and (4, 4') Bruggeman approximation for ε' and ε'',
respectively.
We can see the spectra of pseudo dielectric functions ε' and ε'' of nc-Si films fabricated by
precipitating initial silicon nanoparticles on the glass substrate and nanoparticles
preliminary etched in a HF/HNO3 acid mixture in a water for 30 min on the quartz
substrate. Figure 5 also shows the ε' and ε'' spectra of nc-Si films precipitated on the glass
substrate with a preliminarily deposited aluminum film.
It follows from this figure that the obtained values of ε' and ε'' are significantly lower than
the similar values of c-Si.
Figure 6 shows the absorption spectra α(E) of the same films, obtained by the relation:
4 4 E
 (E)  k k (3)
c ch
where E = hν is the energy of the incident photon and k is the experimentally measured
extinction coefficient.
6
10
5
1
10 3
2 4
4
10
 cm-1
3
10
2
10
5
1
10
1,0 1,5 2,0 2,5 3,0 3,5 4,0
h eV
Fig. 6. (1–3) - absorption spectra of nc-Si films, obtained from ellipsometric data;
(4) - absorption spectrum of film 1, obtained from its transmission spectrum; and (5) -
absorption spectrum of crystalline silicon.
This figure also shows the absorption spectrum of the nc-Si film formed by unetched
nanoparticles, which was calculated from its transmission spectrum. As a reference, the
absorption spectrum of crystalline silicon (Aspens & Studna, 1983) is also shown. The size
distribution of unetched and etched nc-Si particles used to precipitate films 1 and 3 are
shown in Fig. 1.
A comparison of the absorption spectra of the film nc-Si grown from unetched
nanoparticles, which were obtained from ellipsometric measurements and by processing the
corresponding transmission spectrum, shows that the values of α obtained by ellipsometry
are higher than the similar values calculated from transmission spectra, and this difference
increases with decreasing the incident photon energies. As noted above, this difference is
associated with the error of the extinction coefficient calculation by formula (2). At the same
time, both spectra exhibit strong absorption of the nc-Si film in comparison with c-Si at
energies lower than 1.5 eV. Such absorption enhancement in the low energy photon region
is also inherent to the film grown by etched nanoparticles. At energies higher than 3 eV, all
spectra exhibit absorption weaker than that of c-Si. In the Fig. 1, we can see that the diameter
of an appreciable fraction of particles used to form films is smaller than 10 nm; therefore, the
most probable cause of a decrease in the film absorption in the high-energy photon region is
widening of the band gap in crystalline cores of silicon nanoparticles due to quantum
confinement.
2.1.2.3 Dielectric dispersion
The permittivity spectra of nc-Si films were calculated from the measured frequency
dependences of the capacitance of corresponding samples and their impedances,
Z(ν) = Z′ - iZ′′, Z(ν) = U(ν) / I(ν),
where U(ν) is the potential difference at sample electrodes and I(ν) is the current flowing
through the sample.
In what follows, we will analyze the dielectric properties of the Al–nc-Si–Al sandwich
system in which the n-Si layer was precipitated from the sol with unetched nanoparticles.
The thickness of this film was 2 μm; the geometrical capacitance of this system was C0 = 1.15
× 10–10 F. The dielectric dispersion of this film is typical of other films obtained in a similar
way from similar nc-Si particles.
Figure 7 shows the frequency dependence of the capacitance of this system. The capacitance
was measured in parallel connection. The figure also shows the spectrum of the real
component ε'(ν) of the film permittivity, calculated from the relation ε’ = C(ν)/C0.
-10
5,5x10 5,0
4,8
5,0x10
-10 4,6
Capacity ( F)
4,4
-10
4,2
4,5x10
'
4,0
3,8
-10
4,0x10 3,6
3,4
3,5x10
-10 3,2
1 2 3 4 5 6
10 10 10 10 10 10
Frequency (Hz)
Fig. 7. Frequency dependence of the nc-Si film capacitance. The dashed curve is the
approximation by function (3) (see text).
The ε'(ν) and ε''(ν) spectra of nc-Si films were also determined from the frequency
dependence the film impedance by the expression
1
    i  (4)
i 2 C 0 Z( )
Figure 8.a shows the dependences ε'(ν) and ε''(ν) calculated by the above method for the film
under study. A comparison of the values of ε'(ν) obtained from C(ν) and Z(ν) measurements
shows good quantitative and qualitative agreement of the values calculated in two different
ways; in both cases, in the frequency range of 10 ≤ ν ≤ 106 Hz, the value of ε'(ν) is within 6–
3.4 and decreases with frequency.
2.1.2.4 AC conductivity of films I
The ac conductivity of nc-Si films was determined by the known relation
σАС(ν) - σ(0) = ε0·ε″(ν)·2πν

where σ(0) is the dark conductivity of films in a dc electric field and ε0 = 8.85 × 10–12 F/m is
the permittivity of free space. The value of σ(0) of the film under study at room temperature
(T = 297 K) was 9×10–10 Ω–1 m–1 and was used to calculate σAC(ν). The dependence σAC(ν) is
shown in Fig. 9 on a log scale.
6
3
5
1
4
',"
5
2
1
4
0 0 1 2 3 4 5 6
10 10 10 10 10 10 10
Frequency (Hz)
Fig. 8a. (1, 2) Frequency dependences of ε' and ε'', obtained from impedance spectra. Cole–
Cole approximation of ε' - (3) and ε'' spectra (4) without and (5) with consideration of the
contribution of free carriers.
1,5
3
1,0 1
"
2
0,5
0,0
3,5 4,0 4,5 5,0 5,5 6,0
'
Fig. 8b. (1) Dependence ε''(ε') for the nc-Si film. Cole–Cole approximation (2) without and (3)
with consideration of the contribution of free carriers.
This figure suggests that σAC(ν) can be well approximated by the power law dependence
with an exponent of 0.74.
-6
10 2
AC- (0) (Ohm-1m-1) -7

1
10
-8
10
-9
10
2 3 4 5 6
10 10 10 10 10
Frequency, Hz
Fig. 9. (1) Frequency dependence of the ac conductivity of the nc-Si film; (2) dependence
σac(ν) defined by the DCA model (see text) using experimentally measured εs, ε∞, and σ(0).
2.2 Films deposited from aged nc-Si sols (Films II) and from aged nc-Si sols with
tetraaniline (Films III)
2.2.1 Samples
The previous sections have presented experimental results of a study of thin films obtained
from nanoparticles synthesized by one week prior to their deposition on the substrate. As
already mentioned silicon nanoparticles could be no precipitation of sols for a long time. By
the time of this writing, the silicon nanoparticles used for the deposition of films analyzed in
the previous sections, were in sols over two years and in the next section we will report on
the results of studies of the properties of the films deposited on substrates of these sols. It
should be noted here that the film deposited on a substrate not as a result of centrifugation
of sols, and with the spin coating method. Also in the following sections we will analyze the
dielectric properties of films deposited from a 2-year nc-Si sols, in which the conductive
tetramer – tetraaniline was added (Wang & MacDiarmid, 2002).
Because pure tetraaniline has low conductivity, for its increase the tetra aniline doped with
p-toluensulfonic acid (CH3(C6H4)SO3H). Briefly the process of doping was as follows. A
solution of tetraaniline and dimethyl sulfoxide (DMSO) as a solvent mixed with a DMSO
solution of para-toluenesulfonic acid, so that the resulting solution in the molar ratio of tetra
aniline and acid was 1.5. At the end of doping the color of resulting solution became green.
The conductivity of the film which was deposited on a substrate of resulting tetraaniline
solution was at room temperature 10-4 Ohm-1m-1. The resulting solution of tetraaniline in
DMSO was added to the sol of silicon nanoparticles in ethanol in a mass ratio 1:10 before
deposition of film on substrates.
As we have already reported, the films deposited on a substrate of silicon nanoparticles in a
week after their synthesis we call the films I; films, obtained from the same nanoparticles,
but two years after their synthesis (aged nanoparticles) - films II and films with aged
nanoparticles and addition of tetraaniline - films III. Before the measurement the sandwich
like structures of the films II and III with Mg or Al electrodes were heated to a temperature
of 1400 C and held at that temperature for 30 minutes.
2.2.2 Experimental results

2.2.2.1 Dielectric dispersion of the films II
The values of ε'and ε'' of films I and II in the frequency range below 104 Hz are quite close to
each other. The main difference between the permittivity's spectra of these films observed in
the frequency range higher of 105 Hz
In this frequencies region permittivity spectra of the films II reveal sharp decrease in ε' while
the dielectric losses of ε’’ has a form of enough narrow peak (see Figure 10). Such behavior
of the spectrum is typical for the Debye dipole relaxation process, and will be discussed
later.
35
3
30
25
20
', "
15 3'
10
2
5 1
2' 1'
0
0 1 2 3 4 5 6
10 10 10 10 10 10 10
Frequency (Hz)
Fig. 10. The frequency dependence of ε 'and ε'' for: Film I: - (1 and 1′), Film II - (2, 2′),
Film III - (3, 3').
2.2.2.2 Dielectric dispersion of the films III

The ε (ω) spectra of the films III, similar to those of the films II, but for the films III
decreasing of ε 'is observed in the frequency of large 104Hz. The frequency at which a
maximum of dielectric loss ε'' observed in films III, is νmax ≈ 9,7 · 103 Hz, while for films II,
this frequency is 7,5·104 Hz (see Figure 10). At frequencies ν ≤ 104 Hz the magnitude of ε' of
films III reveal a sharp increase with decreasing frequency of the external electric field and
greatly exceeds the corresponding values of the films I and II.
2.2.2.3 AC conductivity of the films II and III
In contrast to the film I conductivity of the films II and III may be approximated by a power
law σ(ω) ~ ωs on the frequency of the alternating electric field only in a very limited range of
frequencies. So for films II, this area is 1 ≤ ν ≤ 4·102 Hz in which the exponent is 0.66, and for
films III conductivity satisfactorily approximated by a power law with exponent s = 0,63 in
the frequency range 5 ≤ ν ≤ 5·102 Hz.
For both types of films, a significant increase of the growth rate of the conductivity is
observed at frequencies exceeding 2 · 103 Hz, however, the conductivity of the films II and
III begins very weakly dependent on frequency of external electric field (see Figure 11) at
frequencies larger of 105 and 3 · 104 Hz respectively.
The conductivity of films III containing tetraaniline exceeds the conductivity of the films II
in the frequency range 1 ≤ ν ≤ 3·104 Hz ,while at higher frequencies observed the opposite
picture in which the conductivity of the films II is higher then that of films III (see the same
figure).
-5
10
Conductivity (Ohm m )
-1
-6
10
-1
-7
10
10
-8
3
-9 1
10
-10 2
10
0 1 2 3 4 5 6
10 10 10 10 10 10 10
Frequency (Hz)
Fig. 11. Frequency dependence of AC conductivity of: films I - (1), film II - (2) and
film III - (3)
2.3 Discussion
2.3.1 Ellipsometry of films I
Analysis of ellipsometric spectra shows that the value of ε' of the nc-Si films under study
varies in the range of 2.1–1.1 in the energy range of 2–4.4 eV or in the frequency range of
5×1014 – 1×1015 Hz of the electromagnetic field, respectively, which is significantly below the
values typical of c-Si in this range. In our opinion, there are two causes resulting in such low
ε' and ε''. One is that nc-Si particles contacted with atmospheric oxygen for some time during
film preparation; therefore, their surface was coated with a SiOx + SiO2 layer (0 ≤ x ≤ 2).
Silicon nanoparticles oxidation was studied by Schuppler at al. (Schuppler at al., 1995), in
that study the SiOx layer thickness on their surface was determined as a function of the
nanoparticle diameter. It was shown that the SiOx + SiO2 layer thickness in the nanoparticle
diameter range of 10–3 nm is ~1 nm. However, this means that the ratio of the volume of the
crystalline silicon core to the volume of the SiOx amorphous shell is from 100 to 40%. In
other words, the oxidized crystalline silicon nanoparticle with a size smaller than 10 nm
should exhibit amorphous properties to an appreciable extent. We have confirmed this
statement previously based on an analysis of Raman spectra of nc-Si thin films (see section
2.A.2.1 and also Dorofeev at al., 2009). The second cause of a decrease in the permittivity is
air gaps between nanoparticles, which appear during film formation.
To estimate the relation between crystalline and amorphous film components and their
porosity, we use the Bruggeman EMA model. In the EMA approximation, the effective
permittivity of the inhomogeneous medium consisting of spherical microobjects with
permittivities ε1, ε2, …,εN – 1, immersed into a medium with εN (εN ≡ εe) is determined from
the equation
N
   N
 f i  i 2e   0  fi  1 (5)
i 1 i e i 1
Vi
where: f i  N
Vi
i 1
is the degree of medium volume filling with an element with permittivity εi and Vi is the
volume occupied by this element.
Initially, to determine εe of the films under study, we assumed that the medium is two-phase
and consists of purely crystalline silicon nanoparticles and the air gaps. In this case, Eq. (5)
was reduced to a sum of two terms; knowing the dispersion relation of crystalline silicon, it
was required to determine f1 and f2 so that approximating dispersion profiles would be
identical to experimental ε'(ν) and ε''(ν). However, it was impossible to achieve satisfactory
approximation at no values of f1 and f2.
Since the oxidation state of nanoparticles is unknown, we assumed that each particle in the
two phase Bruggeman model behaves on average as a SiOx medium (rather than as
crystalline silicon), where 0 ≤x ≤ 2 was a fitting parameter, as well as f1 and f2. The ε'(ν) and
ε''(ν) spectra for SiOx in the entire range 0 ≤ x ≤ 2 were taken from (Zuter, 1980), in which it
was supposed that SiOx is a mixture of Si–SiyO4 – y tetrahedra; the random parameter takes
values from 0 to 4 (random binding model (Hubner, 1980)). Using these spectra, it became
possible to achieve good approximation of the experimental dependences ε'(ν) and ε''(ν) at x
= 1 and f1 = f2 = 0.5. The approximating EMA spectra for these parameters are shown in Fig.
5 by dashed curves. Thus, it was shown that the nc-Si films under study on average behave
as media consisting of SiO with a porosity of 0.5. Here we note already mentioned study
(Pickering, 1984) in which the ε'(ν) and ε''(ν) spectra were measured and which are
qualitatively and quantitatively rather similar to the spectra analyzed in the present study.
The absorption spectra of nc-Si films calculated from ellipsometric data are quite typical. As
seen in Fig. 6, the film absorption at incident photon energies below 3 eV is stronger than
that of c-Si; at higher energies, it is significantly lower. Such an absorption behavior shows
that the SiOx shell with high density of states of defects near to the phase interface with the
crystalline core mainly contributes to absorption for low energy photons; photons with
energies above 3 eV are mostly absorbed by crystalline cores of nanoparticles with a wider
band gap than that of c-Si due to quantum confinement.
2.3.2 Frequency dependence of the capacitance of films I

There are several models of the interpretation of the results of measurements of the ac
conductivity of materials. For semiconductors, the model of (Goswami,A. & Goswami,A.P.
1973) is a good approximation, according to which a conductive material is a composition of
a capacitor with capacitance C1 and a resistor with conductance G1 (G1 = 1/R) connected in
parallel. Furthermore, to take into account the effect of supplying contacts, a resistor with
conductance G2 (G2 = 1/r) is connected in series with this group. According to this model, C1
and G1 are independent of the frequency of the applied ac electric field; however, G1
depends on the conductive material temperature.
If the sample capacitance is measured in the mode of in parallel connected Cp, the measured
value is related to C1, G1, and G2 as
C 1G22
Cp 
 G1  G2 2   2 C1 2
We can see from this equality that the measured nc-Si film capacitance should satisfy the
condition Cp ~ ν–2 while satisfying the conditions of the model of(27Goswami,A. &
Goswami,A.P. 1973). However, it was impossible to approximate the experimental curve for
Cnc-Si shown in Fig. 7 by such power law dependence. Such a fact suggests that C1 and G1
should depend on frequency. Indeed, under experimental conditions, G2 >> G1 and
G2 >>νC1, hence, Cp ≈ C1.
Therefore, for approximation, we used the following semi empirical function:
C
C nc Si ( )  C   
(6)
1   A 
It follows from formula (6) that Cnc-Si→С∞, at ν→∞ and Cnc-Si = С∞ + С ≡С(0) at ν = 0.
Thus, the quantity С∞ entering expression (6) is the film capacitance at an “infinitely high
frequency” and С(0) = С∞ + С is the film static capacitance. The dimension of the fitting
parameter A in the formula is time; the fitting parameter β defines the power law
dependence of Cnc-Si on the applied ac field frequency. Function (6) appeared to be a very
good approximation of the experimental dependence Cnc-Si(ν) at the following coefficients:
С∞= 3.9 ×10–10 F, C(0) =11.8×10–10 F, A = 0.5, and β = 0.32.
The film capacitance is related to the real component of its permittivity by the relation
Cnc-Si(ν) = ε′nc-Si(ν)·С0. As noted above, C0 = 1.15 × 10–10 F for the film under study; the static
and optical permittivities εs = ε(0) = 10.3 and ε∞ = 3.4 correspond to the determined
capacitances C(0) and C∞.
The static permittivity of the film under study, which is 10.3, is significantly lower than the
permittivity of crystalline silicon, which, as is known, is ~ 12. This result will be discussed
below.
2.3.3 Dielectric relaxation in films I

The ε'(ν) and ε''(ν) frequency spectra obtained by measuring the nc-Si film impedance are
shown in Fig. 8. The semi empirical Cole–Cole relation ( Cole, K. S. & Cole, R. H., 1941;
Moliton, 2007) appeared to be a good approximation for these spectra,
s  
    1 h
0≤h≤1 (7)
1   i 
where εs and ε∞ are the static and optical permittivities determined above, ω = 2πν is the
cyclic frequency, and τ is the dipole relaxation time.
As is known, the Cole–Cole relation is valid when a material simultaneously contains
several types of dipoles each with a specific relaxation time. Therefore, the quantity τ
entering Eq. (7) is the relaxation time averaged over the ensemble of dipole groups
contained by the nc-Si film under study.
The approximating Cole–Cole curves are shown in Fig. 8.a by dashed curves. We can see
that ε'(ν) is very well approximated in the entire measured frequency range; for ε''(ν), the
Cole–Cole dependence exhibits good agreement only in the frequency range of 2 ×102 ≤ ν ≤
106 Hz. The values εs = 10.8, ε∞ = 3.43, τ=6 × 10–2 s, and h = 0.7 correspond to the found
approximation. It should be noted here that the value of ε∞ is close to the values of ε'
determined in the optical region by the ellipsometry method.
A comparison of the values of εs and ε∞ corresponding to the Cole–Cole approximation with
similar values determined from capacitance measurements shows the closeness of their
numerical values. The value of 1 – h is also very close to the exponent β in formula (6).
Furthermore, if we consider that A in formula (6) is the relaxation time multiplied by 2π,
then τ = A/2π = 6.4 × 10–2 s, which is also close to the average dipole relaxation time
corresponding to the Cole–Cole approximation.
The static permittivity εs = 10.8 determined from the Cole–Cole relation is slightly larger
than the similar value found from Eq. (6); however, it is also smaller than εs = 12
characteristic of crystalline silicon.
In our opinion, there are two causes resulting in a decrease in εs for the nc-Si film in
comparison with εs of c-Si. The first cause is associated with air voids in the film body; the
second cause is that the size distribution of nanoparticles composing the film includes a
large fraction of particles with sizes smaller than 10 nm (see the Fig. 1). In (Tsu at al., 1997),
the permittivity of silicon nanoparticles was calculated as a function of their size. According
to these results, the static permittivity decreases as the particle diameter becomes smaller
than 10 nm; for particles 10 nm in diameter, the permittivity is from 11.2 to 10.1, depending
on the used calculation model.
In Fig. 8.a, in the frequency region ν ≤ 2 × 102 Hz, we can see a notable disagreement
between the Cole–Cole approximating function and the experimental dependence ε''(ν). This
disagreement is caused by the fact that the Cole–Cole relation that describes dipole moment
relaxation in dielectrics does not take into account the presence of free electric charges.
However, free charges exist in the nc-Si film under study, which is indicated by the nonzero
dc conductivity, which, as noted above, is σ(0) = 9 ×10–10 Ω–1 m–1 at temperature T = 297 K.
According to studies by Barton, Nakajima, and Namikawa (Barton 1966; Nakajima, 1972;
Namikawa, 1975), the frequency νm corresponding to the dispersion maximum for ε''(ν) is
related to σ(0) as σ(0) = p(εs –ε∞)·ε02πνm, where the numerical coefficient p is approximately
equal to unity. We can see in Fig. 8.a that the Cole–Cole approximating function reaches a
maximum at the frequency νm = 2.5 Hz, and this value is in good agreement with the
experimental value of σ(0) when using the Barton–Nakajima–Namikawa formula.
To take into account the conductivity associates with free electric charges, relation (4) should
be written as
s    (0)
    1 h
 (8)
1   i   0
The approximation of the ε''(ν) spectrum of the film under study is shown by the dashed
curve in Fig. 8.a (curve 5), from which it is obvious that function (8) is a good approach of
the experimental dependence ε''(ν).
The effect of free electric charges on dielectric properties of the nc-Si film rather clearly
appears in the Nyquist plot in which ε'' for each frequency is shown as a function of ε' (see
Fig. 8.b).
It follows from the Cole–Cole approximation (see curve 2 in Fig. 8.b) that the ε''(ε') should be
shaped as a part of a semicircle whose center is below the horizontal axis ε''. The intersection
of this circle with the ε' axis at ω = 0 and ω → ∞ yields the values of εs and ε∞.
Figure 8.b shows only the semicircle part corresponding to the measured frequency range;
therefore, the value εs = 10.8 is out of sight of the figure; the intersection of the semicircle
with the ε' axis at ω → ∞ is clearly seen and corresponds to ε∞ = 3.4. The same figure shows
the approximation corresponding to function (8) (curve 3), similar to the approximation
shown in Fig. 8.a.
2.3.4 AC conductivity of films I

To determine the nature of electric charge transport in nc-Si films, the frequency dependence
of the conductivity σAC(ν), σAC(ν) – σ(0) = ε0·2πν·ε″(ν), was studied.
The σac(ν)–σ(0) plot on a log scale for the film analyzed in this paper is shown in Fig. 10. We
can see that σAC(ν) in the entire measured frequency range is well approximated by the
power law function: σac(ν) = σ(0) + Aνs with s = 0.74. Such σAC(ν) behavior means that the
electric transport in the film has the hopping mechanism, which in turn is a manifestation of
the structure disorder in that film region over which charge transport occurs.
Currently, there are several theoretical models describing hopping conductivity in
unordered solids. All these models yield the power law dependence of the ac conductivity
on the ac electric field frequency:σ(ν) ~ νs. However, the numerical values of the exponent s
differ. For example, in the models (Austin & Mott, 1969; Hunt, 2001) according to which the
conduction results from electric charge tunneling through energy barriers separating close
localized states, the parameter s is given by
  
s  1  q  ln 1   (9)
  ph 
 
where q = 4 or 5, depending on the theoretical model, and νph ≈ 1012 Hz is the phonon
frequency.
It follows from relation (9) that s should decrease with frequency. However, such behavior
of s contradicts our experimental data and a large number of other experimental data (Dyre
& Schrøder, 2000).
Currently, it has been sufficiently reliably determined that a large role in conduction
processes in unordered solids is played by percolation processes with the result that electric
transport occurs along trajectories with the lowest resistance (percolation trajectories) (Hunt,
2001; Isichenko, 1992). Conductive properties of percolation trajectories are controlled by the
structure of (percolation) clusters composing the shell of solids.
In highly unordered solids, percolation trajectories at small scales exhibit a fractal structure
with the result that their fractal dimension df appears larger than the topological one D (e.g.,
the fractal and topological dimensions of the Brownian particle trajectory is df = 2 and D = 1)
(Isichenko, 1992).
In this regard, we note theoretical studies (Dyre & Schrøder, 2000; Schrøder & Dyre, 2002;
Schrøder & Dyre, 2008) in which the diffusion cluster approximation (DCA) model is
formulated. As these papers, it is argued that the so-called diffusion clusters with fractal
dimensions of 1.1–1.7 make the largest contribution to the ac conductivity in the percolation
mode. This statement means that the fractal structure of such clusters is simpler than the
structure of multiply connected percolation clusters formed above the percolation threshold
in conductive materials (backbone clusters), the fractal dimension of which is 1.7 (Isichenko,
1992). Simultaneously, the structure of diffusion clusters is more branched than the network
of singly connected clusters and breaking of each results in disappearance of the current
flowing through it (redbonds). The fractal dimension of redbonds clusters is 1.1 (Isichenko,
1992).
In these papers, the universal dependence of the dimensionless complex conductivity
 AC ( )  i ( )
 
 (0)
on the dimensionless frequency
 0  s    
  2
 (0)
was derived. This dependence is given by
df
 i  2
ln     (10)
  
The fractal dimension df in formula (10) is a fitting parameter. Processing of a large number
of experimental dependences in (Schrøder & Dyre, 2002; Schrøder & Dyre, 2008) showed
that the best agreement in the frequency region ν > 1 Hz is achieved at df = 1.35.
We compared the experimental dependence σAC (ν) obtained in the present study with the
values defined by formula (10). Here it should be noted that complex valued equation (10)
has no analytical solution and should be solved numerically.
df
However, in the low frequency region ω → 0, Eq. (10) can be written as   1   i  2 ;
accordingly (Kononov at al., 2011):
 df  df
 1    df
 df
  2 0   2 
2
 AC ( )   (0)   (0)  cos
 2 (11)
 4 
where Δε = εs – ε∞.
Substitution of experimentally determined values of εs, ε∞, σ(0), and s ≡ df/2 = 0.74 into
formula (11) gives the approximating dependence for σac(ν) (see Fig. 9) corresponding to the
DCA model. We can see that the calculated dependence rather well approximates the
experimental curve σac(ν) in the entire measured frequency range. At the same time, the
calculated dependence yields values of σAC larger than the experimental ones by a factor of
~1.5. We attribute such disagreement to possible errors when determining the numerical
values of εs, ε∞, and σ(0).
2.3.5 Proton conductivity of films I

One of the possible causes that can result in σ(0) measurement errors for nc-Si films is the
dependence of σ(0) on the ambient air humidity. We qualitatively determines the following
systematic feature: the higher the laboratory air humidity, the higher (at a constant
temperature) the conductivity σ(0) of films similar to the film analyzed in this paper. On the
contrary, if the film is preliminarily heated at a temperature of ~200°C for a time longer than
15 min and then it is cooled to its initial temperature, the film conductivity will decrease
almost by two orders of magnitude. Thus the presence of water in an atmosphere
surrounding the film changes its conductive properties significantly. In (Nogami & Abe,
1997; Nogami at al., 1998) a similar phenomenon was observed in the study of the ionic
conductivity in fused silica glasses. It was shown that, in the presence of Si–O–H bonds on
the glass surfaces, H2O molecules form complexes with them, confined hydrogen bonds.
These complexes can dissociate forming free H3O+ ions and bound Si–O– groups according
to the scheme:
Si-O-H···OH2→ Si-O- + H+: H2O

Here, dots denote the hydrogen bond between H and O atoms. In this case, the dissociated
proton H+ can be trapped by a neighboring H2O molecule,
H2O: H2O(1):H+ + H2O(2)→ H2O(1) + H+ + H2O(2)→ H2O(1) + H+: H2O(2) etc.

Such a scheme allows implementation of proton transport near the glass surface.
Returning to nc-Si films, we note that particles used to apply films represent
hydrogenized nanocrystalline silicon. However, when exposing these particles to
atmospheric air, a SiOx shell (0 ≤ x ≤ 2) is formed on their surface. In (Du at al., 2003; Cao
at al., 2007), the kinetics of the interaction of H2O molecules with SiO2 chain structures
was calculated. It was shown that H2O molecules very efficiently break Si–O–Si bonds
during the interaction with SiO2 surface groups with the formation of Si–O–H groups. The
subsequent interaction of H2O molecules and Si–O–H groups yields H3O+ ions, which,
having high mobility, can appreciably contribute to the proton transport along the SiO2
chain.
In addition to the above process, the collective proton conductivity caused by associated Si–
O–H groups, i.e., groups linked by hydrogen bond, as shown in Fig. 12.a (Glasser, 1975).
Arrows in the diagram indicate the direction of positive charge transport.
H H H
H H H H
O O O
O O O O H H
H H H H
0
O O 5,4А0 O 2,8А
Si Si Si Si
Si Si Si
Si Si
a b
Fig. 12. Diagrams illustrating the mechanism of the collective proton conductivity, caused
by (a) associated Si–O–H groups and (b) the interaction of water molecules with hydroxyl
groups. Arrows indicate the direction of positive charge transport.
The collective proton conductivity is also possible during the interaction of water
molecules with hydroxyl groups, which results in the surface structure shown in Fig. 12.b.
Since the О···Н─О group length is within 2.5–2.9 Å (Leite at al., 1998) and the angle
between H–O–H bonds is ~104°, there is good spatial alignment between the element of
this surface structure and the crystalline silicon lattice constant which, as is known,
is 5.4 Å.
As applied to the nc-Si films analyzed in this paper, there is direct proof of the existence
of such structures. Previously, in the investigations of IR transmission spectra of thin
wafers (with thickness ≈50 μm) made by pressing (P~109 Pa) from nc-Si powders similar
to those used in this study, it was shown that the spectra contain a broad intense band
with a maximum at ~3420 cm–1 (see Fig. 13 and Kononov at al., 2005). In papers (Wovchko
at al., 1995; Stuart, 2004) this band is attributed to O–H vibrations in hydrogen bound
hydroxyl groups. It was also shown that heating of nc-Si particles to 400°C causes an
appreciably decrease in the intensity of the band near 3420 cm–1 and an increase in the
intensity of the narrow band with a maximum near 3750 cm–1, which is identified with
O–H vibrations in the isolated Si–O–H group ( Kononov at al., 2005). Similar spectra are
shown in Figure 13. Such behavior of the intensities of bands at 3420 and 3750 cm–1 means
that associated Si–O–H groups become isolated upon heating of nc-Si particles.
Accordingly, heating should decrease the proton conductivity associated with these
groups.
Thus the dependence of the conductivity σ(0) of the nc-Si films under study on the ambient
air humidity and the thermal behavior of the absorption bands associated with Si–O–H
groups allows the conclusion to be drawn that the proton conductivity makes the main
contribution to the dark dc conductivity of nc-Si films.
Transmittance, arb. units
3750 cm-1
3420 cm-1
2000 2500 3000 3500 4000
-1
Wavenumber, cm
Fig. 13. Infrared transmittance spectra of: (1) - thin wafer from nc-Si particles prepared at a
pressure of 5 × 108 Pa at 200C, (2) - the same nc-Si wafer but annealed at 400°C for 30 min.
2.3.6 Double dielectric relaxation in the films II and III

Earlier, we noted that the spectra of the ε’(ν) and ε”(ν) of the films II and III near a frequency
≈ 104 Hz reveal the structure arising in the Debye dipole relaxation. Following this
observation for the numerical approximation of the experimental spectra, we used not only
semi-empirical law of Cole-Cole, but the law of Debye dipole relaxation. Thus, all
experimental spectra were approximated by the following relation:
s     (0)
 1 h
  (12)
1   i 1  1   i 2 
2  0
Here τ1 and τ2 is the relaxation times of dipole moments in the various structural
components of the films. With the help of equation (12) was able to accurately approximate
the dielectric spectra of the films studied; example of such an approximation for film II is
shown in Figure 14.
Furthermore the approximation (12) allowed us to determine the static (ε0), high-frequency
(ε∞) dielectric constants (ν ~ 105 Hz), the conductivity of the films at constant current σ (0),
and relaxation times τ1 and τ2.
9 2,5
8
7 2,0
6
1,5
5
4
"
'
1,0
3
2 0,5
1
0 0,0
0 1 2 3 4 5 6 0 1 2 3 4 5 6
10 10 10 10 10 10 10 10 10 10 10 10 10 10
Frequency (Hz) Frequency (Hz)
a b
Fig. 14. Spectra of the real (a) and imaginary (b) components of permittivity film II. Short-
dotted line shows the approximation of the Debye. Dotted line shows the approximation of
the Cole-Cole. The dash-dotted line shows the approximation of free charges. The dashed
line shows the complete approximation of the spectra.
σ(0), σDC, σB(0),

№ ε0 ε∞ h τ1, s τ2, s
(Ohm·m)-1 (Ohm·m)- 1 (Ohm·m)-1
I 10,8 3,4 0,74 1,4·10-9 9·10-10 10-9 0,06 -
II 11,5 4 0,66 4·10-11 3,5·10-11 9·10-11 0,72 2,12·10-6
III 66,9 4,9 0,5 9·10-11 3,5·10-9 2·10-9 0,27 1,75·10-5
Table 1. Fit parameters for the two dielectric relaxation lows of the films investigated in this
study. σDC and σB(0) - the conductivites at constant current received from direct
measurements of the films resistance and from the Barton–Nakajima–Namikawa formula.
These values for films I, II and III are shown in the table 1. The table 1 also gives values of
σ(0) received from direct measurements of the films resistance at constant current at T =
297K, and those which obtained from the Barton–Nakajima–Namikawa formula. From table
1 it can be seen that the values of the static dielectric constant of films III are about 67,
significantly higher than similar values of the films I and II, which are close to the values
characteristic of crystalline silicon. However, the value of ε0 ≈ 67 is much lower quantities
ε0 ~ 103 typical for composites consisting of nanoparticles of tin dioxide and polyaniline
which have been reported in (Kousik at al., 2007)
The authors of this work attributed so high ε0 to an anomalously strong polarization of
nanoparticle of SnO2 which caused by inhomogeneity of the conductivity of its surface and
core. However, the value of ε0≈67 which have been measured by us, is quite close to the
values of the static dielectric constant of tetraaniline with different degrees of doping it with
hydrochloric acid (Bianchi at al., 1999) and which, depending on the degree of doping lies in
the range 35 - 80.
The presence in equation (12) two different laws of approximation indicates that there are
two different dipole relaxation process associated with the various structural components of
the studied films II and III. Very clear in understanding this phenomenon is a plot of ε'' vs
ε '(Nyquist Plot), shown in Figure 15.
In the inset of Fig. 15 we can see that the dependence of ε'' vs of ε' for film III consists of two
semicircles, which can be termed as high- and low- frequency components. The film II has a
similar structure while the graph ε''(ε') of the film I consists of only one semicircle (which is
a low-frequency component) and low-frequency tail defined by the presence of free charges.
Nanoparticles of silicon used for deposition of films II and III were in ethanol for two years
after their synthesis, i.e., they were subjected to natural oxidation significantly longer than
the nanoparticles of which consist film I. Therefore we can assume that oxidation of their
surface is significantly higher than that of nanoparticles films I.
The previous sections have shown that the optical and electrical properties of films I greatly
influenced by the surface of the nanoparticles from which these films are composed. It was
found that the average properties of the surface similar to those of SiO and the component ε
(ω) is determined by the Cole-Cole law related to the dipole relaxation in SiOx shell of silicon
nanoparticles.
15
6
10
5
"
5
3
4
0
3 0 10
' 20 30
"
2
1
1 2
0
0 2 4 6 8 10 12
'
Fig. 15. The graph of dependence ε'' vs ε' for: film I - (1), film II - (2) and film III - (3)
The inset shows an expanded plot ε''(ε ') for film III.
Since during the aging process of silicon nanoparticles the SiO2 shell must increase, the
appearance of high-frequency components of the Debye spectra ε (ω) of the films II and III
gives reason to assume that the source of this component is the structure of SiO2 with a
narrow distribution of the dipole, which was formed on the surface of nanoparticles in two
years of their presence in ethanol.
The fact that the Debye component of the spectrum ε (ω) as well as component Cole-Cole
connected with the surface of the nanoparticles is confirmed by the fact noted earlier that the
maxima of the Debye peak in the spectra of ε''(ω) of the films II and III correspond to
different frequencies νm.
The grains of silicon nanoparticles constituting the films II and III are similar to each other,
so this difference frequency νm can be attributed only to differences in the strength of
interaction between the dipoles on the surface of the nanoparticles in these films. In other
words, the presence of tetraaniline complexes on the surface of silicon nanoparticles leads to
a weakening of the interaction between the dipoles are formed on the surface at the
polarization of the particle.
2.3.7 AC conductivity of the films II and III

Dependence of the conductivity of the films I, II and III of the frequency of the applied
electric field is shown in Figure 11. This figure shows that the conductivity of films I with
good accuracy obey the law:
σ (ω) = σ (0) + Aωs. (13)

In the entire range of measured frequencies, the exponent s = 0,74 equal to the value h which
obtained from the approximation of the Cole-Cole and given in table 1.
Conductivity of the films II describe such an equation is possible only in very limited region,
namely in the frequency range ν ≤ 103Hz (let's call it a low-frequency component).
For low-frequency component of the conductivity of the films II as well as for the films I, the
value of s coincides with that of h, shown in Table 1. For films of III this statement is
incorrect. Indeed, as noted in Section B.2 conductivity of the films III is well approximated
by a power law exponent with s = 0,63 only in small range of frequencies 5 ≤ ν ≤ 5·102 Hz. As
can be seen from Table 1, this value differs significantly from the values of
h = 0,5 obtained from the approximation of the Cole-Cole.
The coincidence of the values of s and h for a film I is explained as follows circumstance.
Spectrum ε''(ω) of the film over the entire range of measured frequencies is approximated by
the Cole-Cole distribution which has the form:
 
1 h  
A  1   A 
   

1  B  1 
1 h
  1     B 
2 1 h 1 1 h 
  1  

  1 1 h 
Where A and B is constants and B≤2
A
If ωτ1>> 1, this equation takes the form:    ,
 1 1 h
and hence the following relation is valid for the conductivity σ(ω) - σ(0) = ε0·ω ·ε′′~ ωh
As can be seen from Table 1 for the film I τ1 = 0,06 s, hence equation (13) is valid for it, at
frequencies ν ≥ 10 Hz. A similar analysis is applicable also to the low frequency component
of the film II. For film II τ1 = 0,72 s, therefore, the dependence (13) will be observed if ν ≥ 1
Hz. This fact is shown in Figure 16, where the conductivity of the films II and III is
approximated by the sum of σ (0) and two distributions of Cole-Cole and Debye.
From this figure it is clear that if the ε''(ω) spectrum of the films II describes only the
distribution of the Cole-Cole, they would obey the conductivity relation (13) throughout the
frequency range 1 ≤ ν ≤ 106 Hz as well as the conductivity of the films I.
For the film III observed more complicated situation, its spectrum is distorted with respect
to relation (13), not only at high frequencies ν≥103Hz, but also at frequencies ν ≤ 10 Hz (see
Figure 16, b). According to the vast majority of experimental data, the frequency
dependence of the conductivity of disordered media has kind of plateau (low-frequency
plateaus) at low frequencies and is a power in excess of a certain critical frequency.
-5
-5 10
10
-6
-6 10
Conductivity (Ohm*m)-1
10
Conductivity (Ohm*m)-1
-7
10
-7
2 10
-8 -8
10 10 4
-9
10 10
-9
1
3 1
-10
3
10 -10 2
10
-1 0 1 2 3 4 5 6 -1 0 1 2 3 4 5 6
10 10 10 10 10 10 10 10 10 10 10 10 10 10 10 10
Frequency (Hz) Frequency (Hz)
a b
Fig. 16. The frequency dependence of AC conductivity of the films II (a) and III (b), as well
as its approximation by: the Debye law - (1), the relation of Cole - Cole - (2) and the total
approximation, which takes into account the dc conductivity - (3). (4) - power dependence
with an exponent equal to the value of h at the Cole-Cole relation.
For films of III observes the opposite situation, instead, the appearance of a plateau at low
frequencies, the conductivity σ (ω) begins to decrease more quickly with decreasing
frequency of the external electric field. The reason for the absence of such low frequency
plateau may be the existence of significant resistance at the interface of the film-electrode.
Comparison of σ (0), σDC and σB (0) from Table 1 shows their good agreement for film I. For
films II are in good agreement the values σ (0) and σDC but somewhat too high the value of σB
(0) with respect to them. For films III good agreement is observed for the values σDC and σB (0)
but σ (0) is less than these quantities is about 20 times. The fact that σDCI more than 25 times
higher then σDCII (see Table1) confirms our earlier assumption that the degree of surface
oxidation of silicon nanoparticles of films II is significantly higher than that in films I.
At frequencies νs1 ≥ 1·105Hz for films II and νs2 ≥ 3 · 104Hz for films III conductivity begins to
depend very weakly on the frequency of an external electric field. This behavior is usually
associated with the manifestation of the nature of hopping conduction (Barsoukov &
Macdonald, 2002), and the frequency νс determined by the height of the barriers between
potential wells, which are involved in the hopping transport of charge carriers. Because νs1>
νs2, we can conclude that the presence of tetraaniline on the surface of silicon nanoparticles
lowers the barriers separating localized states.
3. Conclusion
Dielectric and transport properties of thin films obtained by deposition of silicon
nanoparticles from ethanol sols on a glass, quartz, and aluminum substrates were measured
by optical ellipsometry and impedance spectroscopy methods. The real and imaginary
permittivities of nc-Si films were measured in frequency ranges of 5 × 1014–1015 and 10–106
Hz. It was found that the permittivity spectra depend on the time which has elapsed since
the synthesis of nanoparticles until their deposition on the substrate.
Only one type of dipole relaxation, which can be described by semi-empirical Cole-Cole
equation, exists in films prepared from sols with silicon nanoparticles, synthesized a week
before their deposition on a substrate (film I). In films prepared from sols containing aged
nanoparticles (film II) there is a double-dipole relaxation, which is revealed in the fact that
for the approximation of the experimental spectra of these films not only Cole-Cole relation
but the law of Debye dipole relaxation should be used. A similar confirmation is valid also
for the films deposited from the sols with aged nanoparticles in which tetra aniline was
added (film III).
In the measured frequency ranges, ε' and ε'' vary within 2.1–1.1, 3.4–6.2 and 0.25–0.75, 0.08–
1.8, respectively. From the EMA analysis of the spectra, it was concluded that the nc-Si film
in light reflection processes can on average be considered as a two component medium
consisting of SiO and air gaps with a porosity of 50%.
It was shown that the complex dielectric dispersion of films in the frequency range of 10 –
2×106 Hz is well approximated by the semiempirical Cole–Cole relation, taking into account
the effect of free charges controlling the dark dc conductivity of films.
An analysis of the frequency dependences of the ac conductivity of the studied films
allowed the conclusion to be drawn that the ac conduction process is well described by the
cluster diffusion approximation model.
The dependence of the dark conductivity of films on the ambient air humidity and the
temperature dependence of absorption bands related to associated Si–O–H groups allows
the conclusion to be drawn that the conductivity at frequencies lower than 2 ×102 Hz is
controlled by proton transport through hydrogen bound hydroxyl groups on the surface of
silicon nanoparticles.
Using Cole-Cole and Debye relations for approximation of experimental spectra ε (ω) the
values of static permittivity ε0 of films I, II and III have been found. For films I and II
quantities ε0 close to the values characteristic of crystalline silicon. For films of III
ε0≈ 67, i.e. greatly exceeds ε0 for c-Si. Such a high value ε0 we attribute to increasing
polarization of the silicon nanoparticles when the tetraaniline complexes are attached to
their surface.
AC conductivity of the films II and III in the whole frequency range of 1-106 Hz can not be
approximated by a power law, which is characteristic of the conductivity of the films I. We
show that such deviation from the dependence σAS ~ ωs is associated with a double-
dielecrtic relaxation typical for films II and III and with the presence in the spectra ε "(ω) of
these films Debye components.
4. Acknowledgment
We sincerely thank Dr. Helen Yagudayev, the senior researcher of the Shemyakin -
Ovchinnicov Institute of Bioorganic Chemistry of RAS, for providing us the conductive
tetraaniline solutions.
We also thank our colleagues prof. Plotnichenko V.G., prof. Kuz’min G.P., prof. Ischenko
A.A., dr. Koltashev V.V., researcher Tikhonevich O.V. for the fruitful cooperation in
investigation of the properties of nano-sized silicon.
5. References
[1] Anopchenko,A.; Marconi, A.; Moser, E.; Prezioso, S.; Wang; M., Pavesi; L., Pucker, G. &
Bellutti. P. J. (2009) Low-voltage onset of electroluminescence in nanocrystalline-
Si/SiO2 multilayers Journal of Applied Physics, Vol.106, (2009), p.p. 033104, ISSN
0021-8979
[2] Aspens, D. E. & Studna, A. A. (1983) Dielectric functions and optical parameters of Si,
Ge, Gap, GaAs, GaSb, InP, InAs, and InSb from 1.5 to 6.0 eV, Physical Review B, Vol.
27,№2, (January 1983), p.p.985 - 1009
[3] Austin, I. G. & Mott, N. F. (1069). Polarons in crystalline and non-crystalline materials.
Advances in physics, Vol.18, №71, (January 1969), pp. 41-102
[4] Axelrod, E.; Givant, A.; Shappir, J.; Feldman, Y. & Sa’ar. A. (2002) Dielectric relaxation
and transport in porous silicon Physical Review B, Vol. 65, №16, (April 2002) , p.p.
165429(1-7) ,ISSN 0163-1829
[5] Azzam, R.M.A. & Bashara N.M. (1977) Ellipsometry and polarized light, North-Holland
publishing company, ISBN 1704050000 , Amsterdam, New York, Oxford
[6] Barsoukov, E. & Macdonald, J. R. (2005) Impedance Spectroscopy. Theory, Experiment, and
Applications, Second Edition, A John Wiley & Sons, Inc., Publication, New Jersey,
USA and Canada ISBN: 0-471-64749-7
[7] J. L. Barton, (1966). Verres Réfract. Vol. 20, p.p. 328 (1966).
[8] Ben-Chorin, M.; Möller, F.; Koch, F.; Schirmacher, W. & Eberhard, M. (1995) Hopping
transport on a fractal: ac conductivity of porous silicon Physical Review B, Vol. 51,
№4, (January 1995) , p.p. 2199(1-15) , ISSN 0163-1829
[9] Bianchi, R.F.; Leal Ferreira, G.F.; Lepienski, C.M. & Faria, R.M. (1999). Alternating
electrical conductivity of polyaniline. Journal of Chemical Physics, Vol.110,№9,
(March 1999), p.p. 4602-4607, ISSN 0021-9606
[10] D.A.G. Bruggeman. (1935). Berechung verschiedener physikalisher konstanten von
heterogenen substanzen. Annalen der Physik (Leipzig), Vol. 24, (1935), pp. 636-664
[11] Brus, L.E.; Szajowski, P.F.; Wilson, W. L.; Harris, T. D.; Schuppler, S. & Citrin. P. H.
(1995) Electronic Spectroscopy and Photophysics of Si Nanocrystals: Relationship
to Bulk c-Si and Porous Si. Journal of American Chemical Society, Vol. 117, (1995) pp.
2915-2922
[12] Campbell, I.H. & Faushet P.M. (1986) The effect of microcrystalline size and shape on
the one phonon Raman spectra of crystalline semiconductors. Solid State
Communications. Vol. 58, №10 (February 1986), p.p.739-741, ISSN 0038-1098
[13] Cao, Chao; He, Yao; Torras, J.; Deumens, E.; Trickey, S. B. & Cheng, Hai-Ping. (2007)
Fracture, water dissociation, and proton conduction in SiO2 nanochains. Journal of
Chemical Physics, Vol. 126, №21, (June 2007) p.p. 211101(1-3), ISSN 0021-9606
[14] Cole, K. S. & Cole, R. H. (1941). Dispersion and Absorption in Dielectrics. Journal of
Chemical Physics, Vol. 9, №, (February 1941) p.p. 341-351, ISSN 0021-9606
[15] Conte, G.; Feliciangeli, M. C.; & Rossi, M. C. (2006) Impedance of nanometer sized
silicon structures. Applied Physics Letters, Vol. 89, № 2, (July 2006), p.p.022118(1-3),
ISSN0003-6951
[16] Dorofeev, S. G.; Kononov, N. N.; Ishchenko, A. A.; Vasil’ev, R. B.; Goldschtrakh, M. A.;
Zaitseva, K. V.; Koltashev, V. V.; Plotnichenko, V. G. and O. V. Tikhonevich. (2009).
Optical and Structural Properties of Thin Films Precipitated from the Sol of Silicon
Nanoparticles. Rus. Semiconductors, Vol. 43, No. 11, (April 2009), pp. 1420–1427.
ISSN 1063-7826.
[17] Du, Mao-Hua; Kolchin, A. & Chenga, Hai-Ping. (2003). Water–silica surface
interactions: A combined quantum-classical molecular dynamic study of energetics
and reaction pathways. Journal of Chemical Physics, Vol. 119, №131, p.p.6418 – 6422
(2003) ISSN 0021-9606.
[18] Dyre, J.C. & Schrøder, T. B. (2000). Universality of ac conduction in disordered solids.
Reviews of Modern Physics, Vol.72, №3, (July 2000), p.p. 873 – 892, ISSN 0034-6861.
[19] Ehbrecht, M.; Ferkel, H.; Huisken, F.; Holz, L.; Polivanov, Yu.N.; Smirnov, V.V.;
Stelmakh, O.M. & Schmidt R. (1995) Deposition and analysis of silicon clusters
generated by laser-induced gas phase reaction Journal of Applied Physics, Vol.78, №
9, (November 1995), p.p. 5302-5305, ISSN 0021-8979
[20] Glasser, L. (1975) Proton Conduction and Injection in Solids. Chemical Reviews, Vol.75,
№1, (January 1974), p.p. 21 – 65.
[21] Goswami, A. & Goswami, A.P. (1973). Dielectric and optical properties of ZnS films.
Thin Solid Films Vol. 16, (January 1973), p.p. 175 – 185
[22] Hubner, K. (1980). Chemical Bond and Related Properties of SiO2. Physica Status Solidi
(a) Vol. 61, (May 1980), p.p. 665-673
[23] Hunt, A.G. (2001). Ac hopping conduction: perspective from percolation theory.
Philosophical Magazine B Vol. 64, №9, (2001), p.p. 875-913, ISSN 1364-2812
print/ISSN 1463-6417 online
[24] Isichenko, M. B. (1992) Percolation, statistical topography, and transport in random
media. Reviews of Modern Physics, Vol. 64, №4, (October 1992), p.p.961 – 1043, ISSN
0034-6861.
[25] Jurbergs, D.; Rogojina, E.; Mongolini, L. & Kortshagen, U. (2006). Silicon nanocrystalls
with ensemble quantum yields exceeding 60%. Applied Physycs Letters, Vol. 88,
№23, (June 2006) 233116(1-3), ISSN 0003-6951.
[26] Kakinuma, H.; Mohri, M.; Sakamoto, M. & Tsuruoka T. (1991). Sructural properties of
polycrystalline silicon films prepared at low temperature by chemical vapor
deposition. Journal of Applied Physics, Vol.70, (December 1991), p.p. 7374 - 7381,
ISSN 0021-8979
[27] Kononov, N. N.; Kuz’min, G. P.; Orlov, A. N.; Surkov, A. A. and Tikhonevich, O. V.
(2005). Optical and Electrical Properties of Thin Wafers Fabricated from
Nanocrystalline Silicon Powder. Rus. Semiconductors, Vol. 39, No. 7, (November
2005), pp. 835–839, ISSN 1063-7826
[28] Kononov, N. N.; Dorofeev, S. G.; Ishenko, A. A.; Mironov, R. A.; Plotnichenko, V. G. &
E. M. Dianov. (2011). Dielectric and Transport Properties of Thin Films Precipitated
from Sols with Silicon Nanoparticles Rus. Semiconductors, 2011, Vol. 45, No. 8,
(August 2011), pp. 1038–1048. ISSN 1063-7826
[29] Kovalev, D.; Polisski, G.; Ben-Chorin, M.; Diener, J. & Koch F. (1996) The temperature
dependence of the absorption coefficient of porous silicon Journal of Applied Physics,
Vol.80, №10, (November 1996) , p.p.5978 -5983, ISSN 0021-8979
[30] Kousik, D. & De, S.K. (2007). Double dielectric relaxations in SnO2 nanoparticles
dispersed in conducting polymer. Journal of Applied Physics, Vol.102,.№ 8, ( October
2007), p.p. 084110 -1,084110 -7, ISSN 0021-8979 print | 1089-7550 online
[31] Kuz’min, G.P.; Karasev, M.E.; Khokhlov, E.M. Kononov, N.N.; Korovin, S.B.;
Plotnichenko, V.G.; Polyakov, S.N.; Pustovoy, V.I. & Tikhonevich O.V. (2000).
Nanosize Silicon Powders: The Structure and Optical Properties. Rus. Laser Physics
Vol.10, №4, (April 2000) p.p. 939-945
[32] Leite, V. B. P.; Cavalli, A. & Oliveira, O. N. Jr. (1998) Hydrogen-bond control of
structure and conductivity of Langmuir films. Physical. Review E, Vol. 57, №6, (June
1998), p.p. 6835 – 6839, ISSN 1063-651X
[33] Luppi, M. & Ossicini S. (2005). Ab initio study on oxidized silicon clusters and silicon
nanocrystals embedded in SiO2: Beyond the quantum confinement effect. Phys.
Rev. B V.71, (January 2005), p.p. 035340(1-15), ISSN 1098-0121
[34] Ma, Zhixun; Liao, Xianbo; Kong, Guanglin & Chu, Junhao (2000) Raman scattering of
nanocrystalline silicon embedded in SiO2. Science in China A, Vol.43, (2000), p.p.
414-420
[35] Min, R .B. & Wagner, S. (2002), Nanocrystalline silicon thin-film transistors with 50-nm-
thick deposited channel layer, 10 cm2 V−1s−1 electron mobility and 108 on/off current
ratio Applied Physics A Materials Science &Processing, Vol. 74, (August 2001), p.p.541–
543 (DOI) 10.1007/s003390100927
[36] Moliton, A. (2007) Applied Electromagnetism and Materials, Ch.1, p.8. Springer Science
and Business Media. ISBN-10: 0-387-38062-0
[37] Nakajima, T. (1971) Annual Report, Conference on Electric Insulation and Dielectric
Phenomena (Washington, D.C., National Academy of Sciences, 1972), p. 168.
[38] Namikawa. H. (1975).Characterization of the diffusion process in oxide glasses based on
the correlation between electric conduction and dielectric relaxation. Journal of
Non-Crystalline Solids, Vol.18, №2, (September 1975), p.p.173-195, ISSN 0022-3093.
[39] Nogami, M. & Abe, Y. (1997). Evidence of water-cooperative proton conduction in silica
glasses. Physical Review B, Vol. 55, №18, (May 1997), p.p.12108 - 12112, ISSN 0163-
1829
[40] Nogami, M.; Nagao, R. & Wong, C. (1998). Proton Conduction in Porous Silica Glasses
with High Water Content. Journal of Physical Chemistry B, Vol. 102, (July 1998), p.p.
5772-5775, S1089-5647
[41] Pickering, C.; Beale, M. I. J.; Robbins, D. J.; Pearson, P. J. & Greef. R. (1984). Optical
studies of the structure of porous silicon films formed in p-type degenerate and
non- degenerate silicon. Journal Physics C: Solid State Physics, Vol.17, (August 1984)
p.p.6535-6552, ISSN 0022-3719
[42] Puzder, A.; Williamson, A.J.; Grossman, J.C. & Galli G. (2002). Surface Chemistry of
Silicon Nanoclusters. Physical Review Letters, Vol. 88, (2002), p.p.097401(1-4), ISSN
0031-9007
[43] Richter, H.; Wang, Z. & Ley L. (1981). The one phonon Raman spectrum in
microcrystalline silicon. Solid State Communications, Vol.39, №5, (May 1981),
p.p.625-629, ISSN 0038-1098
[44] Saadane, O.; Lebib, S.; Kharchenko, A.V.; Longeaud, C. & R. Roca I Cabarrocas. (2003)
Structural, opical and electronic properties of hydrogenated polymorphous silicon
films deposited from silane-hydrogen and silane-helium mixtures. Journal of Applied
Physics, Vol. 93, №11, (June 2003), p.p.9371 – 9379, ISSN 0021-8979
[45] Schrøder, T. B. & Dyre. J. C. (2002). Computer simulations of the random barrier model.
Physical Chemistry and Chemical Physics, Vol.4, (June 2002), p.p. 3173–3178
[46] Schrøder, T. B. & Dyre J. C.(2008). AC Hopping Conduction at Extreme Disorder Takes
Place on the Percolating Cluster Physical Review Letters, Vol.101, (July 2008)
p.p.025901(1-4), ISSN 0031-9007
[47] Schuppler, S.; Friedman, S.L.; Marcus, M.A.; Adler, D.L.; Xie, Y. H.; Ross, F.M.; Chabal,
Y.J.; Harris, T.D.; Brus, L.E.; Brown, W.L.; Chaban, E.E.; Szajowski, P.E.; Christman,
S.B. & Citrin, P.H. (1995). Size, shape and composition of luminescent species in
oxidized Si nanocrystals and H-passivated porous Si. Physical Review B, Vol.52, p.p.
4910-4925, ISSN 1098-0121
[48] Stuart B. (2004). Infrared Spectroscopy: Fundamentals and Applications, John Wiley & Sons,
Ltd., ISBN 0-470-85427-8
[49] Eds. by Tompkins, G. H. & Irene, E.A. (2005). Handbook of ellipsometry. p.p. 282-289.
William Andrew publishing, Springer-Verlag GmbH & Co. KG. New York,
Heidelberg. ISBN: 0-8155-1499-9 (William Andrew, Inc.), ISBN: 3-540-22293-6
(Springer-Verlag GmbH & Co. KG)
[50] De la Torre, J.; Bremond, G.; Lemiti, M.; Guillot , G.; Mur, P. & Buffet. N. (2006) Silicon
nanostructured layers for improvement of silicon solar cells efficiency: A promising
perspective. Materials Science and Engineering C Vol. 26, (January 2006), p.p. 427–
430, ISSN 0928-4931
[51] Tsang, J.C.; Tischler, M.A. & Collins R.T. (1992). Raman scattering from H and O
terminated porous Si. Applied Physics Letters, Vol.60, №18, (May 1992) p.p. 2279-
2281, ISSN 0003-6951
[52] Tsu, R.; Shen, H. & Dutta M. (1992). Correlation of Raman and photoluminescence
spectra of porous silicon. Applied Physics Letters, Vol.60, №1, (January1992), p.p.
112-114, ISSN 0003-6951
[53] Tsu, R.; Babić, D. & Ioriatti, L. Jr. (1997). Simple model for the dielectric constant of
nanoscale silicon particle. Journal Applied Physics, Vol. 82, № 3, (August 1997),
p.p.1327 – 1329, ISSN 0021-8979
[54] Tsu, R. (2000) Phenomena in silicon nanostructure devices. Applied Physics A Vol.71,
(September 2000) p.p.391–402, DOI 10.1007/s003390000552
[55] Urbach, B.; Axelrod, E. & Sa’ar A. (2007). Correlation between transport, dielectric, and
optical properties of oxidized and nonoxidized porous silicon Physical Review B,
Vol. 75, №20, (May 2007) , p.p. 205330(11) , ISSN 1098-0121
[56] Voutsas, A.T.; Hatalis, M.K.; Boyce, J. & Chiang A. (1995). Raman spectroscopy of
amorphous and microcrystalline silicon films deposited by low-pressure chemical
vapor deposition Journal of Applied Physics, Vol.78, №12, (December 1995), p.p.
6999-7005, ISSN 0021-8979
[57] Wang, K.; Chen, H. & Shen, W.Z. (2003). AC electrical properties of nanocrystalline
silicon thin films. Physica B, Vol. 336, (April 2003), p.p. 369-378, ISSN 0921-4526
[58] Wang, W. & MacDiarmid, A. (2002), New synthesis of phenil/phenil end-capped
tetraaniline in the leucoemeraldine oxidation states. Synthetic metals, Vol. (2002) 129,
p.p. 199-205, ISSN
[59] Wovchko, E. A.; Camp, J. C.; Glass, J. A. Jr. & Yates, J. T. Jr. (1995). Active sites on SiO2:
role in CH30H decomposition. Langmuir Vol.11, №7, (1995), p.p.2592-2599, ISSN
0743-7463
[60] G. Zuter.(1980) Dielectric and Optical Properties of SiOx. Physica Status Solidi (a) Vol. 59,
(April 1980), p.p. K109 –K113
20
Self-Assembly of Nanoparticles
at Solid and Liquid Surfaces
Peter Siffalovic, Eva Majkova, Matej Jergel,
Karol Vegso, Martin Weis and Stefan Luby
Institute of Physics, Slovak Academy of Sciences
Slovakia
1. Introduction
The research field of nanoparticle synthesis and related nanoparticle applied sciences have
been steadily growing in the past two decades. The chemical synthesis of nanoparticles was
improved up to the point that the organic and inorganic nanoparticle colloids are produced
with a low size dispersion and with a well defined nanoparticle shape in large quantities. A
stunning feature of a drying nanoparticle colloidal solution is the ability to create self-
assembled arrays of nanoparticles. The self-assembled nanoparticle arrays mimic the natural
crystals. The size of perfectly ordered domains is limited by the size dispersion of
nanoparticles. Consequently the defects in the self-assembled structure are obvious and
unavoidable. Despite these defects, the self-assembled nanoparticle arrays represent a new
class of nanostructures built on “bottom-up” technological approach to fabrication. The
traditional way of “top-down” fabrication technology primarily based on nano-lithography
is complex, including many technological steps, time consuming and expensive. The main
advantage is the tight control of all parameters governing the final nanostructures. On the
other hand, the emerging fabrication technologies based on the self-assembled nanoparticles
are fast, less complex and more price competitive. An extensive research is now focused on
a deeper understanding of processes that control the self-assembly. New routes for directed
or stimulated self-assembly are studied to achieve a tighter control than readily available in
the spontaneous self-assembly. In this chapter we will discuss the spontaneous nanoparticle
self-assembly with emphasis on characterization of nanoparticle arrays at various stages of
the self-assembly process. The main diagnostic technique used throughout this chapter will
be the grazing-incidence small-angle X-ray scattering (GISAXS) that represents a reliable
and simple monitor of nanoparticle arrangement. The theoretical background of GISAXS
and required instrumentation are described in Section 2. The most flexible surface to study
the nanoparticle self-assembly processes is the liquid surface. The Section 3. reviews the
latest results of studies combing the GISAXS technique with Langmuir nanoparticle layers
on the water subphase. Almost all relevant nanoparticle applications rely on self-assembled
arrays on solid surfaces. The Section 4 describes in detail the possibilities of nanoparticle
transfer from liquid onto solid surfaces. The post-processing of self-assembled nanoparticle
arrays and their applications are reviewed in the last Section 5.
2. SAXS/GISAXS techniques and their employment for nanoparticle research

The transmission (TEM) and scanning (SEM) electron microscopy provide information on
the nanoparticle shape, average size and size distribution. However, this information is
usually obtained after numerical evaluation of real space micrographs from limited data
sets. Alternative approach is based on the angle-resolved analysis of scattered X-rays or
neutrons from the nanoparticles and their assemblies. In this chapter we will employ the
small-angle X-ray scattering (SAXS) (Guinier and Fournet 1955) for the nanoparticle
colloidal solutions. For nanoparticles immobilized at interfaces, a related technique so-called
grazing-incidence small-angle X-ray scattering (GISAXS) is used that has been recently
reviewed (Renaud, Lazzari et al. 2009). A general scheme of the GISAXS experiment is
shown in Fig. 1.
Fig. 1. The GISAXS measurement geometry


The collimated X-ray beam defined by ki is incident under a small grazing angle on the
sample surface. The scattered radiation is recorded by a two dimensional X-ray detector.
Each point at the detector plane receives the scattered radiation given by a set of two angles

(f, f) that corresponds to a unique scattering vector q in the reciprocal space. The
relationship between the scattering vector in reciprocal space and the scattering angles in
the real space is given by the following equations (Müller-Buschbaum 2009)
2
qx  cos( 2  f )cos(  f )  cos(  i )
  
2
qy  sin( 2 f )cos(  f ) (1)
  
2
qz  sin(  f )  sin(  i )
  
The SAXS/GISAXS signal is given by constructive interferences of X-ray waves partially

scattered on individual nanoparticles. The total scattered intensity (also called the scattering

cross-section) at specific q vector in the reciprocal space is given as (Feigin, Svergun et al.
1987)
N N
     
I  q     F i (q ).F j ,* (q ).exp iq.(ri  rj ) (2)
i 1 j 1
Self-Assembly of Nanoparticles at Solid and Liquid Surfaces 443

where N is the total number of nanoparticles, F i (q ) is the form-factor of the ith nanoparticle

and ri defines the position of the ith nanoparticle. Within the simple Born (kinematic)
approximation (BA) the nanoparticle form-factor is simply given by the Fourier transform of

the nanoparticle density function i (r ) as follows (Glatter and Kratky 1982)
   
F i (q )   i (r ).exp(iq.r )dr (3)
For the nanoparticles immobilized at interfaces we have to include the refraction/reflection

phenomena at the interfaces and the associated multiple scattering events. This is treated in
detail within the framework of the distorted-wave Born approximation (DWBA) which
introduces a modified form-factor for each nanoparticle confined near the interface (Holý,
Pietsch et al. 1999). A detailed survey of the DWBA theory can be found in the following
reference (Renaud, Lazzari et al. 2009). A typical DWBA effect is the presence of the Yoneda
enhancement at the critical exit angle in the GISAXS patterns (Yoneda 1963). In many cases
we can avoid the DWBA multiple scattering terms by recording the GISAXS pattern at the
incident angle several times larger than the critical angle for the total X-ray reflection of the
supporting substrate (Daillant and Gibaud 2009). If we assume that the nanoparticles can be
 2
described by an average form-factor F(q ) than the eq. (2) in BA can be rearranged as
follows
  2 
I (q )  N F(q ) S  q  (4)

Here the S  q  represent the nanoparticle interference function. The nanoparticle
interference function is the reciprocal space equivalent of the nanoparticle pair correlation

function P  r  defined in real space (Lazzari 2009). The pair correlation function is

proportional to the probability of finding a nanoparticle at the position vector r centered at
an arbitrarily selected nanoparticle. This function is directly accessible from the TEM/SEM
micrographs.
The GISAXS experimental technique was confined for a long time to synchrotron facilities
as the scattering cross-section is generally very low. Each synchrotron ring has a
dedicated SAXS beamline that can support conventional GISAXS setup. The Fig. 2 shows
the typical GISAXS scheme of the BW4 beamline at the DORIS III ring at HASYLAB,
Hamburg (Stribeck 2007). The front-end of the experimental setup is a wiggler that
generates the X-ray radiation. The crystal monochromator is used to select a single
wavelength typically at 0.139 nm. The radiation is further conditioned with slits and two
cylindrical mirrors to focus the radiation in both directions at the detector plane. The
additional beryllium X-ray lenses can be attached to focus the radiation at the sample
position (Roth, Döhrmann et al. 2006).
The distance between the sample and detector can vary between 3 m and 13 m that allows
flexibility in the accessible range of the reciprocal space. The two-dimensional (2D) X-ray
CCD detector is used to record the X-ray radiation scattered by the sample. The primary and
specularly reflected beams are suppressed by the beamstops.
Fig. 2. The sketch of the experimental GISAXS geometry at BW4 beamline, HASYLAB
Fig. 3. a) The scheme of the laboratory GISAXS setup and (b) the photograph of its
realization at Institute of Physics SAS.
The latest advances in the low-power X-ray generators and the efficient X-ray optics opened
a new era of laboratory equipments suitable for GISAXS measurements (Michaelsen,
Wiesmann et al. 2002). Nowadays already several companies (Bruker AXS, Anton Paar,
Hecus XRS, Rigaku) supply complete X-ray solutions supporting GISAXS measurement
modes for solid-state samples. The Fig. 3a and Fig. 3b show the laboratory setup scheme and
the photograph of a home-built GISAXS instrumentation developed at the Institute of
Physics SAS, respectively (Siffalovic, Vegso et al. 2010). This setup supports GISAXS
measurements on solid as well as liquid surfaces. The core of the experimental apparatus is
a compact low-power (30 W) X-ray source (Cu-K) equipped with a loosely focusing X-ray
Montel optics (Wiesmann, Graf et al. 2009). The source can be freely rotated and translated
in the vertical direction. This is important for the precise adjustment of the incident angle in
the GISAXS measurements at liquid surfaces. The unwanted scattered radiation is
eliminated by laser-beam precisely cut tungsten pinholes. The sample is fixed on a
goniometer that allows precise height and tilt adjustments.
Fig. 4. a) The SEM micrograph of Fe-O self-assembled nanoparticles. Measured (b) and
simulated (c) GISAXS pattern of self-assembled nanoparticles. d) The extracted line-cut from
the measured GISAXS pattern along with the simulation.
The auxiliary knife-edge blade is used to reduce the parasitic air-scattering. The additional
vacuum flight-tube can be inserted between the sample and the X-ray detector to reduce the
air scattering and absorption. The detector used is a fast acquisition CMOS based 2D X-ray
detector of PILATUS detector family (Kraft, Bergamaschi et al. 2009).
To illustrate the capability of the GISAXS technique to characterize the self-assembled
nanoparticle monolayers we use an example of iron oxide nanoparticles (Siffalovic, Majkova
et al. 2007). The Fig. 4a shows the SEM image of a self-assembled array of iron oxide
nanoparticles. The inset of Fig. 4a shows the Fourier transform of SEM micrograph with
partially smeared-out spots corresponding to the hexagonal arrangement. The smearing-out
is due to mutually misaligned nanoparticle domains originating from finite nanoparticle
size dispersion which is in sharp contrast to natural atomic crystals. The Fig. 4a and 4b show
the measured and simulated GISAXS pattern, respectively. The characteristic side maxima
located at the q y  0.82 nm1 are the “finger prints” of the self-assembly in the nanoparticle
array. In the first approximation, the mean interparticle separation can be estimated from
the side maximum position in the reciprocal space as   2  q y  7.7 nm . This simple
estimation is valid only for a slowly varying nanoparticle form-factors within the kinematic
BA. A precise fitting of the measured GISAXS data using the full DWBA theory can provide
further information on the nanoparticle size and size dispersion as well as their correlation
length (Lazzari 2002). The Fig. 4d shows a line cut extracted from the measured GISAXS
pattern with the corresponding fit. The fitted nanoparticle diameter was 6.1±0.6 nm and the
lateral correlation length in the nanoparticle array was 87 nm. It has to be noted that
colloidal nanoparticles are covered by a surfactant shell to avoid their spontaneous
agglomeration in colloidal suspensions. In the case of Fe-O nanoparticles discussed above,
oleic acid and oleylamine were used. A GISAXS pattern fitting provides basic information
on the metallic-like nanoparticle core size while the organic shell is rather invisible for X-
rays. On the other hand, the positions of the side maxima in the GISAXS pattern are always
connected with the interparticle distance which is affected by the surfactant shell. This
example clearly demonstrates the ability of GISAXS technique to extract main nanoparticle
parameters in the self-assembled arrays. The main advantage is that the GISAXS technique
does not require any specific sample environment conditions such as vacuum nor special
sample preparation. On the other hand it can be applied even in very aggressive
environments such as UV/ozone reactor (Siffalovic, Chitu et al. 2010). Moreover, a rapid
GISAXS data acquisition in millisecond range can be used for a real-time in-situ probing of
nanoparticle reactions and self-assembly processes (Siffalovic, Majkova et al. 2008).
3. Nanoparticle self-assembly at liquid/air interfaces

In the last ten years we have seen a tremendous progress in the colloidal nanoparticle
chemistry (Feldheim 2002; Nagarajan 2008; Niederberger and Pinna 2009). The refined
chemical synthesis routes can produce large quantities of highly monodisperse
nanoparticles in colloidal solutions with the size dispersion below 10 % (Park, An et al.
2004). The low nanoparticle dispersion is the “holy grail” of the large-scale nanoparticle self-
assembly (Pileni 2005). Being able to prepare nanoparticles with zero size dispersion, we
could fabricate genuine artificial nanoparticle crystals competing with natural ones in terms
of the structure perfection and long-range order. However the finite nanoparticle size
dispersion permits only a limited extent of ordering in nanoparticle self-assembled arrays. A
typical model for description of the real nanoparticle assemblies is the paracrystal model
(Hosemann and Bagchi 1962; Guinier 1963). Here a paracrystal order parameter summed up
with the mean interparticle distance defines degree of the array perfection.
The colloidal nanoparticle solutions can be applied on a solid substrate directly or in two
steps, utilizing liquid surface for self-assembly with a subsequent transfer onto a solid
substrate. Drop casting followed by solvent evaporation is an example of the former method
(Chushkin, Ulmeanu et al. 2003) that proved to be successful e.g. for preparation of large-
area self-assembled arrays of noble metal nanoparticles with the diameter of a few tens nm.
In addition to the nanoparticle size, surfactant type affects the self-assembly as well. For
smaller nanoparticles, such as those presented in this chapter with the diameter below
10 nm, a direct application of the colloidal nanoparticle solutions on solid substrate
produces only locally well assembled regions but is not suitable for large-area nanoparticle
depositions. Here, the latter above mentioned method is promising as it will be shown later.
The GISAXS technique can be employed to track the nanoparticle assemblies in rapidly
drying colloidal solution at solid surfaces (Siffalovic, Majkova et al. 2007). We used the
focused X-ray beam to map the nanoparticle self-assembly at arbitrary selected position
within the colloidal drop. The Fig. 5 shows the three typical GISAXS patterns.
Fig. 5. The GISAXS pattern recorded from a drying colloidal Fe-O nanoparticle drop at three
different stages: a) directly after drop casting, b) intermediate phase. c) dried colloidal drop.
The Fig. 5a shows the GISAXS pattern directly after application of a colloidal Fe-O
nanoparticle solution onto silicon substrate. The GISAXS pattern does not show any maxima
typical for self-assembled nanoparticle layers. The visible scattering in the GISAXS pattern is
characteristic for a diluted nanoparticle solution and can be described by the nanoparticle
form-factor. The Fig. 5b shows the intermediate state when the X-ray beam partially passes
through the colloidal drop surface. The scattering streaks originating from interfaces also
called “detector scans” are visible. The first one can be attributed to the scattering from the
substrate surface and the second one originates from the colloidal drop surface. The angle
between the two detector streaks directly maps the angle between the normal of substrate
surface and the normal of the probed colloidal drop surface. The side maxima belong to the
already dried self-assembled areas. The Fig. 5c shows the final GISAXS pattern after the
colloidal solution is completely evaporated. The interparticle distance of final nanoparticle
assembly are clearly manifested in the GISAXS pattern by the side maxima.
The spatially static GISAXS technique can track the nanoparticle assembly only in one
selected probing volume within the evaporating colloidal drop. In order to monitor various
probe volumes inside the colloidal nanoparticle drop during the self-assembly process we
introduced a scanning GISAXS technique. The scanning GISAXS method is based on the fast
vertical or horizontal scanning of the evaporating colloidal drop by the probing X-ray beam
(Siffalovic, Majkova et al. 2008). The sketch of the scanning GISAXS technique is shown in
Fig. 6a. The colloidal drop composed of iron oxide nanoparticles dispersed in toluene was
applied onto silicon substrate located on a vertically scanning goniometer. As the
evaporating drop was gradually scanned across the incoming X-ray beam we continuously
recorded X-ray scattering from three different drop zones. In the zone Z0 the X-ray beam
passed above the evaporating drop. These data were used for the background correction. In
the zone Z1 we recorded exclusively the X-ray scattering originating from the drying drop
surface and drop interior. In the zone Z2 we additionally detected the X-ray scattering
coming from the substrate surface. The Fig. 6b shows the line cuts extracted from the
GISAXS frames taken in zone Z1 corresponding to the three different stages of the colloidal
drop evaporation process: 1.) directly after drop casting, 2.) intermediate state, and 3.) final
state characterized by the complete solvent evaporation. It is important to notice that the
experimental data for all three evaporation stages can be fitted solely using the nanoparticle
form-factor function. According to the eq. (4) the interference function is constant in this

case, i.e. S  q   1 .
Fig. 6. a) The scheme of the GISAXS scanning technique. b) The GISAXS pattern line cuts at
the critical exit angle for the three different stages of the colloidal Fe-O nanoparticle drop
evaporation.
This means that the nanoparticles do not create self-assembled domains at the evaporating
drop surface or in its volume at any time that suggests the origin of the nanoparticle self-
assembly to be located at the three-phase boundary as predicted for a drying drop of
dispersed particles (Deegan, Bakajin et al. 1997). The scanning GISAXS technique clearly
demonstrates the ability to track the nanoparticle self-assembly process in real-time with
millisecond time resolution.
As mentioned above, colloidal nanoparticles are usually terminated by surfactant molecules
to avoid spontaneous agglomeration in colloidal suspensions. The nanoparticles with
hydrophobic termination allow self-assembly at liquid/air interfaces and formation of
Langmuir films in the form of simple 2D systems (Ulman 1991). Controlling the surface
pressure by changing the nanoparticle layer area and the temperature of the subphase, we
can produce large-area and homogenous self-assembled nanoparticle layers. The electron
microscopy techniques including SEM, TEM or scanning probe techniques (AFM, STM)
cannot be utilized to monitor the nanoparticle self-assembly at liquid/air interface. The
visible/UV optical microscopy and Brewster angle microscopy are limited in resolution due
to diffraction limit (Born and Wolf 1999). For a certain kind of metal and metal oxide
nanoparticles exhibiting plasmonic properties (Au, Ag, Al, Cu) the interparticle distance can
be indirectly monitored by the energy shift in localized surface plasmon resonance due to
the dipole-dipole coupling of excited plasmons in the self-assembled nanoparticle arrays
(Rycenga, Cobley et al. 2011). On the other hand the GISAXS technique can be employed to
directly monitor the interparticle distance in self-assembled arrays directly in the Langmuir
trough. The laboratory GISAXS setup shown in Fig. 3 was used to record the GISAXS
patterns of Ag nanoparticles (6.2±0.7 nm) directly in the Langmuir trough. The GISAXS
patterns of self-assembled Ag nanoparticles with oleic acid as surfactant at the surface
pressures of 16 mN/m and 26 mN/m are shown in Fig. 7a and Fig. 7b, respectively.
Fig. 7. The GISAXS patterns of self-assembled Ag nanoparticle Lagmuir films at surface

pressure a) 16 mN/m and b) 26 mN/m.
The surface pressure of 16 mN/m corresponds to a closed nanoparticle monolayer on the

water surface. The interference function produces two symmetrical side maxima at
q y  0.87 nm1 (truncation rods) corresponding to the average interparticle distance of
7.2 nm. The higher order side maxima are absent due to the short exposition time. The two-
dimensional nanoparticle monolayer has a constant interference function in the q z direction
where the modulation visible on the truncation rods is produced solely by the nanoparticle
form-factor (Holý, Pietsch et al. 1999). At the surface pressure of 26 mN/m, the second
nanoparticle layer forms and changes the observed GISAXS pattern (Vegso, Siffalovic et al.
2011). The newly formed nanoparticle vertical correlation perpendicular to the Langmuir
film plane results in the modulation of the observed truncation rod depicted by the dashed
white line in Fig. 7b. It can be shown that the modulation along the truncation rod is
associated with the second nanoparticle layer laterally shifted in analogy with the “AB
stacking” in solid state crystals (Kittel 2005). The presence of the second layer can be verified
also by distinct second order maxima in Fig. 7b. The presented GISAXS results show the
possibility to study not only the lateral but also the vertical nanoparticle correlations in 3D
nanoparticle assemblies that is due to the ability of GISAXS to inspect non-destructively
buried layers and interfaces. This useful feature of the GISAXS technique to study the buried
vertical correlations of interfaces was already applied in studies of multilayered thin films
(Salditt, Metzger et al. 1994; Siffalovic, Jergel et al. 2011).
Recently we have performed in-situ real-time studies of compression and decompression of
Ag nanoparticle Langmuir films. We were interested in the correlation between the
macroscopic elastic properties of nanoparticle layers and microscopic layer parameters like
the interparticle distance. As a convenient measure of macroscopic elastic properties we use
the surface elastic modulus defined as (Barnes, Gentle et al. 2005)
  
E  A (1)

 A T
Here  is the measured surface pressure of the nanoparticle layer with the area A at a
constant subphase temperature T. The Fig. 8 shows the evaluated side maximum position
along the q y direction in the GISAXS reciprocal space map similar to the one shown in
Fig. 7a.
Fig. 8. The evaluated GISAXS peak maximum position and the surface elastic modulus of
the Ag nanoparticle layer at water/air interface as a function of the layer area.
After spreading the nanoparticle solution onto the water subphase, the nanoparticles
assemble into small clusters with hexagonal ordering that has been identified by
independent ex situ experiments (to be published). Increasing the surface pressure by
reducing the layer area results in the formation of a continuous monolayer without a change
of the interparticle distance. This compression stage is characterized by a constant elastic
modulus as the isolated nanoparticle clusters are joining into larger entities. At surface area
of approximately 250 cm2 we observe an increase in the elastic modulus peaking at the area
of 180 cm2. This stage can be associated with the densification of the nanoparticle layer
accompanied by the nanoparticle rearrangements along the individual cluster boundaries
and cluster coalescence. At the maximum of surface elastic modulus we observe also a slight
compaction of the nanoparticle layer at nanoscale indicated by the change of the
interparticle distance. This phase ends up with a compact nanoparticle layer. A further
compression of the nanoparticle layer results in the formation of a second nanoparticle layer
that induces a sudden drop in the elastic modulus and significant release of the mean
interparticle distance. The nanoparticles forming the second layer create vacancies in the
first one that is accompanied by deterioration of the order in the first nanoparticle layer. In
this case the paracrystal model of the nanoparticle layer predicts a shift of the maximum to
lower q y values in the reciprocal space (Lazzari 2009) that was confirmed by this
experimental observation. After the decompression the interparticle distance in the
nanoparticle layer does not relax to the initial value. It has to be noted that the second layer
formation and tendency to form 3D ordered nanoparticle assemblies was demonstrated here
for Ag nanoparticles with oleic acid as surfactant, however, other types of metallic
nanoparticles with other type of surfactant may behave differently. This example shows the
benefit of GISAXS technique to precisely monitor microscopic parameters of the
nanoparticle assemblies prior to the deposition onto solid substrates that will be discussed
in the following section.
4. Transfer of self-assembled layers from liquid onto solid surfaces

In the previous section we discussed the formation of nanoparticle monolayers at water/air
interface. The Langmuir film represented by self-assembled nanoparticle monolayer seems
to be the most promising candidate for the homogenous deposition of large-area
nanoparticle arrays. The two important questions are remaining. The first one is: “What is
the suitable surface pressure for deposition and how to monitor it?” The second one
is: ”How to transfer the Langmuir film onto solid substrate with a minimum damage of the
self-assembled layer?” In this section we try to give answers to them.
The first question was partially addressed in the previous section. We have shown the
GISAXS technique gives a precise tool to monitor the monolayer formation at nanoscale. In
Fig. 8 we showed the evolution of the interparticle distance with increasing surface pressure
and we related formation of the second nanoparticle layer to a sudden drop in the observed
surface elastic modulus. Additionally, we can track the evolution of the interference
function in the q z direction. We showed that the interference along the q z axis is a constant
function for the nanoparticle monolayer. A new vertical correlation between the two layers
may appear with the monolayer collapse accompanying the formation of the second
nanoparticle layer as discussed in the previous section. This transition is manifested in the
modulation of the X-ray scattered intensity along the truncation rod. The Fig. 7b shows the
GISAXS pattern of the nanoparticle multilayer with a new peak formed along the first
truncation rod (marked with dashed white line). For the nanoparticle monolayer, the
intensity is at maximum at the critical exit angle, i.e. at the Yoneda peak. The formation of
the second layer shifts the maximum intensity upward in the q z direction.
Fig. 9. The integral intensity of the first Bragg peak along the first truncation rod
corresponding to the formation of a vertically correlated Ag nanoparticle multilayer as a
function of the layer area.
The Fig. 9 shows the integral intensity of the newly formed Bragg peak along the first
truncation rod corresponding to the vertically correlated nanoparticles as a function of the
surface area. The GISAXS measurement clearly shows that the decrease in the elastic
modulus is associated with the formation of the second nanoparticle layer. Moreover we
observe a hysteretic behavior during the Langmuir film decompression associated with the
irreversibility of the expanded nanoparticle layer that is also documented by the
interparticle distance behavior shown in Fig. 8. After opening the barriers the nanoparticle
layer does not relax into a monolayer but fragments into small islands still exhibiting a
certain amount of nanoparticles in the second layer (see also further). The GISAXS
measurements confirmed the assumption that the fully closed nanoparticle monolayer
forms short before the monolayer collapse evidenced by a maximum in surface elastic
modulus.
Fig. 10. The BAM images taken at surface areas a) 500 cm2, b) 293 cm2 and c) 122 cm2 taken
during the Ag nanoparticle layer compression and BAM images at surface areas d) 139 cm2,
e) 302 cm2 and f) 501 cm2 taken during the nanoparticle layer expansion.
The Brewster angle microscopy (BAM) provides further evidence of the nanoparticle
monolayer formation at microscale (Henon and Meunier 1991). The laser based BAM
provides much better contrast between the nanoparticle monolayer and water subphase
than the conventional normal incident microscopy. The Fig. 10a)-10c) show three images
taken during the nanoparticle layer compression and Fig. 10d)-10f show three images taken
during the nanoparticle layer decompression. The nanoparticle layer was composed of
surfactant terminated Ag nanoparticles with a core size of 6.2±0.7 nm. The nanoparticle
surfactant was oleic acid. The nanoparticle layer shows vacant areas in Fig. 10a). Decreasing
the film area, we close the vacancies and a compact nanoparticle monolayer forms as shown
in Fig. 10c). The subsequent expansion of the nanoparticle layer is accompanied by the
generation of millimeters long cracks across the nanoparticle layer as shown in Fig. 10d). A
further increase of the area available for the nanoparticle expansion leads to the disruption
of nanoparticle layer into micrometer large needle-like clusters as shown in Fig. 10e) and
Fig. 10f). The hysteretic behavior of the nanoparticle layer at microscale during the
compression and decompression cycle is obvious and supports the interpretation of the
GISAXS measurements. The Fig. 10 shows selected BAM images during the compression
and expansion cycles. However we have recorded a full series of BAM images at 15 second
time intervals during the compression cycle. Based on the BAM images we can calculate the
average nanoparticle surface coverage based on the ratio between the bright areas that can
be attributed to the nanoparticle layer and the black areas corresponding to the water
subphase.
Fig. 11. The nanoparticle surface coverage based on BAM measurement along with the
surface elastic modulus as a function of the Ag nanoparticle layer area during compression.
We have to keep in mind that the calculation is correct only at microscale as the nanoscale
vacancies are invisible due to the BAM diffraction limit. The Fig. 11 shows the calculated
nanoparticle surface coverage as a function of the film area. The graph shows also the
calculated elastic modulus based on the measured nanoparticle layer surface pressure. The
nanoparticle surface coverage reaches its maximum value of 100% short before the
maximum in the film elastic modulus appears during the compression cycle. This is in a
very good correlation with the GISAXS measurement that relates the nanoparticle
monolayer collapse to the maximum in elastic modulus. The BAM measurements
underestimate the nanometer-sized vacancies in the forming monolayer. This is the reason
that the BAM indicate formation of nanoparticle monolayer already before the monolayer
collapse. An alternative would be the imaging ellipsometry being able to track the
nanoparticle layer formation at microscale more quantitatively than the BAM technique
(Roth and et al. 2011).
In order to understand the formation of nanoparticle monolayer at nanoscale we deposited
the nanoparticle layers on silicon substrates. The probes were deposited at different surface
pressures by simply immersing the substrate into the nanoparticle covered water subphase.
The selected areas of nanoparticle layers were studied by the non-contact atomic force
microscopy (AFM) rather than the scanning electron microscopy as the latter one cannot
provide the information on the layer height.
Fig. 12. The AFM images of Ag nanoparticle layers taken at the following surface pressures:
a) 10 mN/m, b) 15 mN/m, c) 20 mN/m and d) 30 mN/m.
The Fig. 12 shows the AFM images of Ag nanoparticle layers deposited at different surface
pressures. The nanoparticle monolayer deposited at the 10 mN/m shown in Fig. 12a
displays vacancies in the nanoparticle coverage. At this stage the isolated nanoparticle
clusters are coalescing into a single nanoparticle layer. The Fig. 12b shows a nanoparticle
layer deposited at 15 mN/m. This AFM image shows the nanoparticle clusters forming
almost a closed nanoparticle monolayer. The maximum of the surface elastic modulus was
reached shortly after 15 mN/m. The AFM image shown in Fig. 12c deposited at the
20 mN/m clearly demonstrates the formation of the second nanoparticle layer after the
monolayer collapse. The preferential sites for the formation of the second layer are located at
the boundaries of the nanoparticle clusters. The final AFM image shown in Fig. 12d
deposited at the surface pressure of 30 mN/m exhibits already a significant number of
nanoparticles forming the second layer. The Fig. 13 shows calculated AFM height
histograms of the nanoparticle layers deposited at different surface pressures. Only a single
peak located at 6 nm corresponding to the height of monolayer is present up to the surface
pressure of 15 mN/m. For the sample deposited at 20 mN/m shown in Fig. 12c, appearance
of a shoulder suggests onset of formation of a second nanoparticle layer. For higher surface
pressures, the newly formed peak at 12 nm in the height histogram distribution gives clear
evidence of the second nanoparticle layer.
Fig. 13. The height histograms of the Ag nanoparticle layers deposited at different surface
pressures obtained by analysis of the AFM images.
The number of nanoparticles occupying the second layer is steadily growing with the
increasing surface pressure. At the surface pressure of 30 mN/m already more than 50% of
the second nanoparticle layer was formed. The ex-situ AFM measurements provide
important additional information to the in-situ GISAXS and BAM measurements. However
we cannot rule out possible relaxations in the nanoparticle assemblies due to their transfer
from the liquid to solid surface.
Based on the previous analyses we can conclude that the optimum deposition conditions for
the nanoparticle monolayer deposition occur at the surface pressure slightly below the
threshold pressure for the monolayer collapse. To achieve homogenous nanoparticle
deposition over large areas of solid substrates, we modified the conventional Langmuir-
Schaefer deposition (Chitu, Siffalovic et al. 2010). The scheme of the deposition trough is
shown in Fig. 14.
Fig. 14. The scheme of the modified Langmuir-Blodgett trough.

Differently to the conventional Langmuir-Schaefer deposition, the deposited substrate is

immersed into the subphase. After spreading the nanoparticles at the water subphase and
adjusting the deposition surface pressure, the water is slowly removed by opening an outlet
valve. The moving water/air interface will slowly cross the inclined substrate, depositing
the nanoparticle array onto it. This deposition technique produces highly homogenous
nanoparticle layers on large substrates. The Fig. 15a shows a silicon wafer with the total area
of some 18 cm2 homogenously covered with an iron oxide nanoparticle monolayer
(6.1±0.6 nm).
Fig. 15. a) Photograph of the homogenous Fe-O nanoparticle monolayer deposited onto
silicon substrate. b) The SEM micrographs of a selected spot at the different magnifications.
To check the monolayer homogeneity we arbitrarily selected one spot at the deposited
substrate and analyzed it with the SEM. The Fig. 15b shows four SEM micrographs of the
selected spot at different magnification levels.
Fig. 16. a) The GISAXS pattern of the Fe-O nanoparticle monolayer. b) The extracted GISAXS
line-cuts at the critical exit angle from six different locations at the substrate.
At the lowest magnification we notice the absence of any cracks in the deposited monolayer.
On the contrary the traditional vertical Langmuir-Blodgett deposition is forming a series of
long cracks and is not suitable for large-scale deposition. At the highest magnification we
can observe a dense hexagonally ordered layer of the iron oxide nanoparticles. The SEM is
suitable for detailed analysis of the selected areas of the nanoparticle monolayer but is not
convenient for a rapid screening across the large areas. We have already shown that the
scanning GISAXS technique provides a fast probe of the nanoparticle order at nanoscale
over macroscopic areas. The Fig. 16a shows the GISAXS reciprocal space map of an
arbitrarily selected location at the substrate. The integral intensity and the position of the
side maxima are the measure of the nanoparticle order in the X-ray probed area. Comparing
the GISAXS patterns from the different locations at the substrate we obtain the information
on the homogeneity of the deposited nanoparticle monolayer. The Fig. 16b shows six line
cuts extracted from the GISAXS patterns measured at different locations. The differences
between the measured curves are less than ±5% that indicates a relatively high homogeneity
of the deposited monolayer.
5. Processing and application of the self-assembled nanoparticle layers

In this section we focus on the issues connected with applications of deposited self-
assembled nanoparticle layers. We discuss possibilities of removing the nanoparticle
surfactant to increase the electrical conductivity of the nanoparticle layer as required for
many applications. We address deposition of the nanoparticle layers onto thin membranes
for sensor applications. We present also embedded self-assembled nanoparticle layers for
organic solar cells and spintronic devices.
The surfactant molecules terminating the nanoparticles are inevitable for the synthesis and
deposition of nanoparticles. However for many applications the electrical conductivity is
required (Schmid 2010) while non-conductive organics is mostly used as surfactant. The
surfactant molecules can be eliminated by the vacuum annealing, plasma etching,
UV/ozone cleaning and many other techniques. In this section we analyze the impact of the
UV/ozone cleaning on the Fe-O nanoparticle arrangement in self-assembled arrays. The
UV/ozone cleaning is based on the reaction of UV light (=6.7 eV) with the oxygen
molecules producing the highly reactive ozone. The UV light initiates photo-dissociation of
the surfactant molecules that further react with the ozone molecules and are removed from
the nanoparticle surface. Also a direct reaction of the surfactant molecules with the ozone
molecules also called ozonolysis removes the surfactant molecules from the nanoparticle
surface. In our experiment we removed the surfactant molecules from the self-assembled
monolayer of iron oxide nanoparticle with the core diameter of 6.1±0.6 nm. The SEM
micrographs along with the calculated nanoparticle pair correlation functions for the as-
deposited sample and the sample processed in UV/ozone reactor are shown in Fig. 17a and
Fig. 17b, respectively. For the as deposited nanoparticle monolayer the mean interparticle
distance is given by the position of the first maximum in the pair correlation function that is
7.4 nm. After removal of the surfactant molecules terminating the nanoparticles the mean
interparticle distance decreased to 6.4 nm. Moreover the nanoparticle array re-assembled
into a labyrinth-like structure as shown by the SEM micrograph in Fig. 17b. This is very
important for the electrical conductivity as the new nanoparticle assembly contains
percolated conductive paths across the nanoparticle array.
Fig. 17. The SEM micrograph and the corresponding pair correlation function for a) as
deposited monolayer and b) monolayer treated in UV/ozone reactor.
We have demonstrated that the GISAXS technique is very suitable as an in-situ probe of the
processes at nanoscale. We performed a time-resolved measurement of the nanoparticle re-
assembly directly in the UV/ozone reactor. The above described changes in the nanoparticle
pair correlation function in the direct space are manifested here as changes of the
interference function in the reciprocal space. The best way of extracting the shape of the
nanoparticle interference function from the GISAXS pattern is its lateral line cut along the
q y direction at the critical exit angle. The Fig. 18a shows the temporal evolution of such a
line cut constructed from a series of time-resolved GISAXS frames.
Fig. 18. a) The temporal evolution of the GISXAS line cut along the qy direction at the critical
exit angle. b) The corresponding temporal evolution of the nanoparticle pair correlation
function.
The initial as-deposited self-assembled state is characterized by a maximum located at

q y  0.9nm1 . After switching on the UV/ozone reactor the maximum corresponding to the
initial self-assembled state moves slightly to higher qy-values and its integral intensity
significantly drops. Simultaneously a new peak located at q y  0.2 nm1 develops. The new
peak corresponds to the cluster formation that can be seen in the SEM micrograph in Fig.
17b. The measured GISAXS data can be recalculated into a time-resolved nanoparticle pair
correlation function shown in Fig. 18b. This function reflects in detail the nanoparticle re-
assembly due to the removal of the surfactant molecules. The first maximum of the pair
correlation function is shifted by some 0.9 nm to lower values within the first 200 seconds.
This is in full agreement with the change of the interparticle distance calculated from the
SEM micrographs in Fig. 17. This example demonstrates the possibilities of GISAXS to track
fast temporal changes in the nanoparticle assemblies even in the strongly reducing
environments.
Application of the conductive layers composed of metal oxide nanoparticles can be
exemplified on the latest generation of the Fe-O nanoparticle-based gas sensors like SO2,
NOX, CO, O3 and CH4. The NO2 sensors are of primary importance for public security as
they detect trace amounts of the explosives like EGDN, TNT, PETN, RDX, etc. A large
nanoparticle-covered active surface for the gas adsorption is the main advantage when
compared to the conventional thin films sensors. The Fig. 19a show a complete sensor based
on the metal oxide nanoparticle multilayers (Luby, Chitu et al. 2011).
Fig. 19. a) The photograph of a nanoparticle gas sensor. b) The electrical response of the
sensors fabricated with iron oxide (full line) or cobalt iron oxide (dashed line) nanoparticles.
Visible is the heating meander as the sensor working temperature is 350°C. The active area
of the sensor is composed of seven monolayers of Fe2O3 or CoFe2O4 nanoparticles. The
Fig. 19b shows the dynamic electrical response of the sensors to 5 ppm of NO2 gas.
The nanoparticle layers exhibiting plasmonic properties in the visible and near-infrared
parts of the solar spectra are potential candidates for the next generation of plasmonic solar
cells (Catchpole and Polman 2008; Atwater and Polman 2010). The enhanced scattering
cross-section of the plasmonic nanoparticles can efficiently trap the light into the active layer
of the solar cells and to increase their external quantum efficiency.
Fig. 20. a) The GISAXS reciprocal space map of the active layer deposited on Ag
nanoparticle monolayer. The vertical b) and horizontal c) line-cuts across the GISAXS
reciprocal space map.
The Ag nanoparticles fulfill both requirements for application in solar cells. In particular,
they exhibit plasmon resonance in visible region and are highly electrically conductive. We
deposited a monolayer of Ag nanoparticles (6.2±0.7 nm) at the ITO (indium tin oxide)
transparent conductive layer supported on a glass substrate. Subsequently an organic active
layer composed of polymer blend of P3HT (poly(3-hexylthiophene)) and PCBM (phenyl-
C61-butyric acid methyl ester) of a 100 nm thickness was spin-coated on the nanoparticle
monolayer. The Fig. 20a shows the GISAXS pattern of the final structure.
A prominent Bragg peak at q z  3.65nm1 originates from the molecular P3HT stacking with
the inter-molecular distance of 1.7 nm and is clearly visible also in the vertical line cut in Fig.
20b The nanoparticle correlation is visible as a small peak at q y  0.66nm1 in the Fig. 20c
that corresponds to the mean interparticle distance of some 9.5 nm. Here the GISAXS
method provides the information on the correlations in the nanoparticle monolayer located
at the buried interface hardly accessible by other analytical techniques.
Another example is the embedded nanoparticle monolayer in the hybrid tunnel junction of
novel spintronic devices (Siffalovic, Majkova et al. 2009). Here the surfactant shell is
inevitable to provide the tunnelling effect. The Fig. 21a shows schematically the multilayer
structure containing iron oxide nanoparticle monolayer. The first fabrication step is the
vacuum deposition of a metallic layer forming the bottom electrode. The second step is the
deposition of the nanoparticle monolayer that is overcoated by another vacuum deposited
metallic layer in the final step. The Fig. 21b shows the evolution of a line cut in the GISAXS
pattern with the growing thickness of the metallic overlayer. The peak at q y  0.83nm1
marked with the dashed line corresponding to the nanoparticle layer can be seen
throughout the entire deposition process. These examples demonstrate that the buried
nanoparticle monolayer confined to the interface with a thin metallic film can be monitored
using the GISAXS technique.
Fig. 21. a) A sketch of the spintronic structure that contains a Fe-O nanoparticle monolayer.
b) Extracted line-cuts from the GISAXS reciprocal space maps at the critical exit angle in the
different fabrication stages of spintronic structure.
The nanoparticle monolayers and multilayers can be deposited also on flexible membranes
to be employed for monitoring mechanical properties like strain (Herrmann, Müller et al.
2007). The principle of a strain sensor is based on a change of electrical current across the
nanoparticle layer as a function of the applied mechanical stress that modifies the
interparticle distance in the film and consequently the electrical resistivity. The sensitivity of
the nanoparticle-based strain sensors is roughly by two orders of magnitude better than that
of the conventional thin metallic film ones. We investigated the nanoscale response of the
nanoparticle monolayer to the applied external stress (Siffalovic, Chitu et al. 2010). We
deposited a monolayer composed of iron oxide nanoparticles (6.2±0.7 nm) onto a mylar foil
(1 m thickness). The mylar foil was fixed in a stretching device for in-situ SAXS tensile
stress measurements as shown in Fig. 22a.
Fig. 22. a) Scheme of the experimental setup with an in-situ SAXS tensile stage. b) The
evaluated interparticle separation as a function of the strain in two perpendicular directions.
The mylar foil was strained up to 11% in the z-direction and the SAXS patterns were
recorded. Relying on them, the mean interparticle distance was evaluated in the applied
stress direction and in the direction perpendicular to it. The results are shown in Fig. 22b. In
the direction perpendicular to the applied stress the nanoparticle separation remained
constant. However in the direction of the applied stress the interparticle distance followed
linearly the measured foil strain. These measurements provide the test basis for the future
strain sensors based on the nanoparticle layers.
In this section we included only a few of a large variety of practical applications of the
nanoparticle monolayers. The nanoparticle deposition, eventual post-deposition processing
of the nanoparticle layer and the test measurements of the macroscopic properties of interest
are common for all these applications. The presented SAXS/GISAXS techniques offer an
efficient and direct access to the nanoparticle arrangement within the final device.
6. Conclusion
The chapter provides an introductory guide to X-ray scattering studies of nanoparticle self-
assembly processes at liquid/air and solid/air interfaces. It is primarily intended for
graduate and post-graduate students but it is aimed also at other scientific community in the
field addressing the issues of general interest. In particular, it shows the latest advances in
the rapidly growing field of self-assembled nanoparticle layers. The X-ray scattering
diagnostic technique was reviewed that provides an easy access even to buried nanoparticle
assemblies. The main advantage of the X-ray scattering analysis is the possibility to track
technologically important processes connected with the nanoparticle self-assembly or re-
assembly in real time. The self-assembly process after colloidal drop casting and
evaporation was described shortly while a detailed study of the self-assembly process at the
liquid/air interface was the core of the chapter. This interface represents an ideal system for
the nanoparticle assembling as the nanoparticles are confined to the interface but still keep
translational mobility along it. The processes accompanying the formation of a nanoparticle
monolayer and its transition to a multilayer were described in detail. Ideal deposition
conditions for the nanoparticle monolayer formation were derived relying on the surface
pressure and surface elastic modulus measurements. A modified Langmuir-Schaefer
technique suitable for large-area deposition of nanoparticle arrays was presented. Selected
applications of the deposited self-assembled layers were reviewed.
It has to be stressed that the colloidal nanoparticle self-assembly is a complex process
resulting from an interplay between many factors where the nanoparticle type and size as
well as the chemical composition of surfactant play a crucial role. Therefore none of the self-
assembly techniques described in the chapter is generally applicable to any colloidal
nanoparticle solution. It is also the reason why different techniques were presented with
different types of nanoparticles.
It has to be also noted that in addition to the spontaneous nanoparticle self-assembly
treated in this chapter of limited length, other approaches to assembling based on recent
developments are of growing interest in the nanoparticle community. These include e.g.
directed self-assembly of nanoparticles on pre-patterned substrates, chemically driven
self-assembly, nanoparticle self-assembly stimulated by a magnetic or electro-magnetic
field.
7. Acknowledgment
This publication is the result of the project implementation Center of Applied Nanoparticle
research, ITMS code 26240220011, supported by the Research & Development Operational
Program funded by the ERDF. The support of Grant Agency VEGA Bratislava, project No.
2/0041/11, is also acknowledged.
8. References
Atwater, H. A. and Polman, A. (2010). Plasmonics for improved photovoltaic devices. Nature
Materials 9(3): 205-213.
Barnes, G., Gentle, I., et al. (2005). Interfacial science: an introduction. Oxford [u.a.], Oxford
Univ. Press.
Born, M. and Wolf, E. (1999). Principles of optics: electromagnetic theory of propagation,
interference and diffraction of light. Cambridge; New York, Cambridge University
Press.
Catchpole, K. R. and Polman, A. (2008). Design principles for particle plasmon enhanced
solar cells. Applied Physics Letters 93(19): 191113.
Chitu, L., Siffalovic, P., et al. (2010). Modified Langmuir-Blodgett deposition of
nanoparticles - measurement of 2D to 3D ordered arrays. Measurement Science
Review 10(5): 162-165.
Chushkin, Y., Ulmeanu, M., et al. (2003). Structural study of self-assembled Co

nanoparticles. Journal of Applied Physics 94(12): 7743-7748.
Daillant, J. and Gibaud, A. (2009). X-ray and neutron reflectivity : principles and applications.
Berlin Heidelberg, Springer.
Deegan, R. D., Bakajin, O., et al. (1997). Capillary flow as the cause of ring stains from dried
liquid drops. Nature 389(6653): 827-829.
Feigin, L. A., Svergun, D. I., et al. (1987). Structure analysis by small-angle X-ray and neutron
scattering. New York [etc.], Plenum Press.
Feldheim, D. L. (2002). Metal nanoparticles: synthesis, characterization, and applications. New
York [u.a.], Dekker.
Glatter, O. and Kratky, O. (1982). Small angle x-ray scattering. London; New York, Academic
Press.
Guinier, A. (1963). X-ray diffraction in crystals, imperfect crystals, and amorphous bodies. San
Francisco,, W.H. Freeman.
Guinier, A. and Fournet, G. (1955). Small-angle scattering of X-rays. New York,, Wiley.
Henon, S. and Meunier, J. (1991). Microscope at the Brewster-Angle - Direct Observation of
1st-Order Phase-Transitions in Monolayers. Review of Scientific Instruments 62(4):
936-939.
Herrmann, J., Müller, K. H., et al. (2007). Nanoparticle films as sensitive strain gauges.
Applied Physics Letters 91(18): 183105.
Holý, V., Pietsch, U., et al. (1999). High-resolution X-ray scattering from thin films and
multilayers. Berlin; New York, Springer.
Hosemann, R. and Bagchi, S. N. (1962). Direct analysis of diffraction by matter. Amsterdam,
North-Holland Publ. Comp.
Kittel, C. (2005). Introduction to solid state physics. Hoboken, NJ, Wiley.
Kraft, P., Bergamaschi, A., et al. (2009). Performance of single-photon-counting PILATUS
detector modules. Journal of Synchrotron Radiation 16(3): 368-375.
Lazzari, R. (2002). IsGISAXS: a program for grazing-incidence small-angle X-ray scattering
analysis of supported islands. Journal of Applied Crystallography 35: 406-421.
Lazzari, R. (2009). Grazing Incidence Small-Angle X-Ray Scattering from Nanostructures. In:
X-ray and Neutron Reflectivity. J. Daillant and A. Gibaud, Springer Berlin /
Heidelberg. 770: 283-342.
Luby, S., Chitu, L., et al. (2011). Oxide nanoparticle arrays for sensors of CO and NO2 gases.
Vacuum In Press, Corrected Proof.
Michaelsen, C., Wiesmann, J., et al. (2002). Recent developments of multilayer mirror optics
for laboratory x-ray instrumentation. X-Ray Mirrors, Crystals, and Multilayers Ii 4782:
143-151.
Müller-Buschbaum, P. (2009). A Basic Introduction to Grazing Incidence Small-Angle X-Ray
Scattering. In: Applications of Synchrotron Light to Scattering and Diffraction in
Materials and Life Sciences. M. Gomez, A. Nogales, M. C. Garcia-Gutierrez and T. A.
Ezquerra, Springer Berlin / Heidelberg. 776: 61-89.
Nagarajan, R. (2008). Nanoparticles: synthesis, stabilization, passivation, and functionalization.
Washington, DC, American Chemical Soc.
Niederberger, M. and Pinna, N. (2009). Metal Oxide Nanoparticles in Organic Solvents

Synthesis, Formation, Assembly and Application. Engineering Materials and
Processes. London, Springer London.
Park, J., An, K., et al. (2004). Ultra-large-scale syntheses of monodisperse nanocrystals.
Nature Materials 3(12): 891-895.
Pileni, M.-P. (2005). Nanocrystals forming mesoscopic structures. Weinheim, Wiley-VCH.
Renaud, G., Lazzari, R., et al. (2009). Probing surface and interface morphology with
Grazing Incidence Small Angle X-Ray Scattering. Surface Science Reports 64(8): 255-
380.
Roth, S. V., Döhrmann, R., et al. (2006). Small-angle options of the upgraded ultrasmall-
angle x-ray scattering beamline BW4 at HASYLAB. Review of Scientific Instruments
77(8): 085106.
Roth, S. V. and et al. (2011). In situ observation of cluster formation during nanoparticle
solution casting on a colloidal film. Journal of Physics: Condensed Matter 23(25):
254208.
Rycenga, M., Cobley, C. M., et al. (2011). Controlling the Synthesis and Assembly of
Silver Nanostructures for Plasmonic Applications. Chemical Reviews 111(6):
3669-3712.
Salditt, T., Metzger, T. H., et al. (1994). Kinetic Roughness of Amorphous Multilayers
Studied by Diffuse-X-Ray Scattering. Physical Review Letters 73(16): 2228-2231.
Schmid, G. (2010). Nanoparticles from theory to application. Weinheim, Wiley-VCH.
Siffalovic, P., Chitu, L., et al. (2010). Kinetics of Nanoparticle Reassembly Mediated by UV-
Photolysis of Surfactant. Langmuir 26(8): 5451-5455.
Siffalovic, P., Chitu, L., et al. (2010). Towards strain gauges based on a self-assembled
nanoparticle monolayer-SAXS study. Nanotechnology 21(38).
Siffalovic, P., Jergel, M., et al. (2011). GISAXS - probe of buried interfaces in multilayered
thin films. In: X-Ray Scattering. C. M. Bauwens. New York, Nova Science
Publishers.
Siffalovic, P., Majkova, E., et al. (2009). Fabrication and Characterization of Hybrid Tunnel
Magnetoresistance Structures with Embedded Self-Assembled Nanoparticle
Templates. Acta Physica Polonica a 115(1): 332-335.
Siffalovic, P., Majkova, E., et al. (2008). Real-Time Tracking of Superparamagnetic
Nanoparticle Self-Assembly. Small 4(12): 2222-2228.
Siffalovic, P., Majkova, E., et al. (2007). Self-assembly of iron oxide nanoparticles studied by
time-resolved grazing-incidence small-angle x-ray scattering. Physical Review B
76(19).
Siffalovic, P., Vegso, K., et al. (2010). Measurement of nanopatterned surfaces by real and
reciprocal space techniques. Measurement Science Review 10(5): 153-156.
Stribeck, N. (2007). X-ray scattering of soft matter. Berlin, Springer.
Ulman, A. (1991). An introduction to ultrathin organic films : from Langmuir-Blodgett to self-
assembly. Boston [u.a.], Acad. Press.
Vegso, K., Siffalovic, P., et al. (2011). In situ GISAXS monitoring of Langmuir nanoparticle
multilayer degradation processes induced by UV photolysis. physica status solidi (a):
(accepted, in press).
Wiesmann, J., Graf, J., et al. (2009). X-Ray Diffractometry with Low Power Microfocus
Sources - New Possibilities in the Lab. Particle & Particle Systems Characterization
26(3): 112-116.
Yoneda, Y. (1963). Anomalous Surface Reflection of X Rays. Physical Review 131(5): 2010.
21
View on the Magnetic Properties of

Nanoparticles Com (m=6,8,10,12,14)
and Co6On (n=1-9)
Jelena Tamulienė1, Rimas Vaišnoras2,
Goncal Badenes3 and Mindaugas L. Balevičius4
1Vilnius Uinversity, Institute of Theoretical Physics and Astronomy, Vilnius,
2Vilnius Pedagogical University, Vilnius,
3Institut de Ciences Fotoniques ICFO, Barcelona,
4Vilnius University, Vilnius,
1,2,4Lithuania
3Spain
1. Introduction
Currently there are several potential applications for magnetic nanomaterials in medicine
including magnetic resonance imaging contrast agents, magnetic-field-directed drug
delivery systems, bio-toxin removal, gene therapy, and magnetic fluid hyperthermia. Cobalt
nanoparticles are is one the most promising material for both technological applications and
academic studies as model system how effects the nanoparticle size, shape, structure, and
surface anisotropy on macroscopic magnetic response. The magnetic behaviour of Co
nanoparticles reveals how the magnetic metal nanoparticles can be used to enhance the
signal due to their magnetic resonance imaging.
Today it is very well known that in a paramagnetic material there are unpaired electrons,
that are free to align their magnetic moment in any direction, while paired electrons by the
Pauli Exclusion Principle are to have their intrinsic ('spin') magnetic moments in to opposite
directions, causing their magnetic fields to cancel out. It implies, that in many cases, the
magnetic properties of the Co nanoparticles are explained by the presence of unpaired
electrons because the particles consist of an odd number of cobalt atoms. However, in
experimental studies the number of atoms in the particle has never been mentioned only the
description of their size and main structure along with their magnetic properties have been
provided. It is not a surprise, because a magnetic behaviour of materials depends on their
electron configuration that is strongly related with a geometrical structure, and on
temperature.
The dependence of magnetic anisotropy energy on crystal symmetry and atomic
composition is observed in both ferromagnetic bulk materials and thin films. Even the
structural parameters such as the shape of particles or the inter-atomic distances, in some
cases, are affected by the above dependence. The importance of the electronic structure of
particles exhibits the dependence of magnetic anisotropy energy on a single-atom

coordination. Current, experiments exhibited that the coercivity of some particles at 10 K
increased from 640 to 1250 Oe while the particle size increased from 1.8 to 4.4 nm. The
saturation magnetization increases with decreasing of particle size. Pure CoO nanoparticles
in the 4.5-18 nm exhibit a super-paramagnetic behaviour at room temperature, and a large
orbital contribution to the magnetic moment at low temperatures was also observed.
It was mentioned, that an electronic structure of both the materials and particles is strongly
related with the geometrical structure. However, there are some difficulties to identify the
structure of a cobalt nanoparticle. The crystallinity was evidenced by the transmission
electron microscope (TEM) indicating that Co particles sized around 4.7 nm are a well-
crystallized FCC. While the particles with the average diameter smaller than 4,7 nm are
almost perfectly spherical. The lattice of Co nanoparticles with inter-planar distance of
around 0.23 nm was obtained and explained that such crystalline structure could originate
either from BCC cobalt particles observed along the [001] direction or due to Co-FCC
particles since the lattice would be formed by two [002] perpendicular planes. Both a high-
resolution TEM and powder x-ray diffraction profiles reveal the presence of 8-15 nm
diameter crystallites that are identified as hcp-Co, FCC-Co nanocrystals. S. Ram reports two
crystalline phases of cobalt FCC and BCC structures, while S. P. Gubin and et al. report that
hcp and FCC structures or their combination can be realized in Co nanoparticles. C. G.
Zimmermann and et al. investigate Co nanoparticles the diameter of which is 13 nm and the
variance of 4 nm; the first four FCC rings were visible in the diffraction pattern. Hence, there
is no evidence what a crystalline phase of cobalt is more preferable and it is difficult to
define which structure type of Co is realized in nanoparticles. Theoretical investigations of
the Co clusters are not complete. J. Guevara and et al. calculated those Co clusters that are
part of FCC or BCC block without distortion of the initial geometry structure. In other
works, the structural distortion of the above clusters was performed by moving one or
several atoms along the main axis of the clusters, i.e. this operation does not change the
symmetry if the configuration of the cluster belongs to a point group with a single main
axis. Hence, we begin at the results of the investigation of the structure of the Co
nanoparticles aiming to recognize the most important structure features influencing the
magnetic properties of the Co nanoparticles.
Other very important results obtained are that the nanoparticle behaviour is influenced by
the proximity of neighbouring particles, i.e. dipolar inter-particle interactions lead to the
appearance of collective behaviour. Such a collective behaviour due to dipolar interactions
has been observed in the low susceptibility measurements corresponding to a highly
ordered fine particles system. Puntes and et al. observe that when the density of particles
per unit area is higher than a determined threshold, the two-dimensional self-assemblies
behave as a continuous ferromagnetic thin film. A weak interaction among the assemblies of
the Co nanoparticle is obtained by Park and et al. and this assembly leads to hysteresis
disappearance. We shortly explain why the assembly of Co nanoparticles leads to loosing of
the particle magnetic properties and make predictions how to avoid the loosing.
One of the reasons of the above assembly of the particles is their stability that is an
important factor for the particle application in technology. Small cobalt nanoparticles not
only self-assemble, but also easily oxidize in the air and, as a consequence, loose their
magnetic properties. Thus, Co nanoparticles need to be coated with organic surfactants
View on the Magnetic Properties of Nanoparticles Com (m=6,8,10,12,14) and Co6On (n=1-9) 469
aiming to prevent them from both irreversible aggregation and loosing of magnetic
properties.
For coating of Co nanoparticle different materials such as graphite, nanoroads, nanocapsules
and oxygen are used. The core-shell nanoparticles (Co-CoO) are examined and, it is
established, that the magnetic properties of these particle strongly depend on the plane
coverage. The results reported demonstrate the essential role played by shells in stabilizing
the magnetism of Co-CoO nanoparticles. Few reports on the preparation and properties of
pure CoO in bulk are due to difficulties to obtain the materials in pure form by simple
methods. The particles are often contaminated with Co3O4 or Co metal. The greater stability
of Co3O4 than CoO is also established.
Herein, we report on the several very important issues related to magnetic properties of Co
nanoparticles such as:
1. What are electronic and geometric structure properties of pure and oxidized Co
nanoparticles and how these properties change with the increase of the size of particle ;
2. Could Co nanoparticles consisting of the even number of atoms exhibit magnetic
properties because their electronic structure is such that an uncompensated electron-
magnetic-moment appears? What are the main reasons of the above appearance?
3. Some Co oxide particles exhibited magnetic properties and have large perspective to be
used in electronics.
2. Description of method
The structural origin of clusters has been studied by using the generalized gradient
approximation for the exchange-correlation potential in the density functional theory (DFT)
as it is described by Becke’s three-parameter hybrid functional, using the non-local
correlation provided by Lee, Yang, and Parr. The DFT method is commonly referred to as
B3LYP, - a representative standard DFT method. The 6-31G basis set has been used as well.
The basis set was chosen keeping in mind relatively minimum computational costs. The
structures of the investigated nanoparticles have been optimized globally without any
symmetry constraint and by starting from various initial geometries which have been
constructed according to a certain symmetry in order to determine the lowest energy
structures of each cluster. The GAMESS and Gaussian program suites were used for all
simulations here.
It is necessary to mention that there are different ways to theoretically investigate the magnetic
properties of the materials. Aiming to exhibit why closed shell particles could be
paramagnetic, we have chosen the most simple method to investigate magnetic properties
of the Co nanoparticles. Hence, magnetizability (commonly known as susceptibility)
was investigated. The magnetizability is the second-order response to an external magnetic
field:
δ 2 E  B 
ξ= |B= 0
δB2
Where E is energy, B is an external magnetic field.
When ξ < 0, the induced magnetic moment is opposite to the applied field, i.e. the
investigated materials are diamagnetic; while for paramagnetic materials the
magnetizability is larger than zero (ξ > 0) in this case the induced magnetic moment enforces
the magnetic field. Experimentally, magnetizability is often poorly determined or it is only
known in the liquid or solid state, thus it is difficult comparisons between calculated and
experimental results, while rotational g-tensors are known as precisely determined.
However, a rotational g-tensor behaves in the same manner as magnetizability, with a near
cancellation of large nuclear and electronic contributions in a large system.
A calculation of rotational g tensors is closely related to that of magnetizabilities via:
 
dia 1
g = 4m p ξ LAO  ξ cm I nuc +
1
2μ N
 Zk  RKT RK I 3  RK RKT  Inuc
1
where mp is the proton mass, ξ LAO is the magnetizability tensor calculated with London
dia
orbitals, ξ cm is the diamagnetic contribution to the magnetizability tensor calculated with
conventional orbitals and the gauge origin at the centre of mass, and the sum of all nuclei
with charges ZK and positions RK, while Inuc is the moment-of-inertia tensor. Although not
explored in a large number of studies, obtained theoretical results fit experimental. Hence,
the above close relationship allows us to expect that our methods chosen that are well suited
to the calculation of rotational g tensors should also be well suited to the calculations of
magnetizabilities. Moreover, this simple enough method is suitable to describe general
magnetic properties of the investigated particles and to explain the results obtained.
The isotropic magnetizability of the most stable clusters was calculated by adopting
quantum mechanical response theory and London atomic orbital to ensure both gauge-
origin independent results and fast basis set convergence by using Dalton program. The
approach used allows us to calculate accurate magnetizability even for quite large molecules
at a moderate cost of computing time. In this case, the B3LYP method with Ahlrichs-pVDZ
basis set was used. These basis sets were obtained by optimizing the exponents and
contraction coefficients in the ground state ROHF calculations. There are total 241
contracted functions in the basis mentioned. It is showed, that the isotropic magnezitability
and its anisotropy are remarkably constant with respect to the basis set and close to the
experiment. So, the performances obtained allow us to foresee how magnetic properties of
the particles depend on their structures.
3. Structure, stability and magnetic properties of Com (m=6, 8, 10,12, 14)

nanoparticles
3.1 Structure and stability
Let us remember that magnetic properties of the materials are related with an electronic
structure. The electronic structure is mostly geometrical-structure-depended. On the other,
hand when the geometrical structure of a compound is know, it is possible to predict some
properties of the compound. Thus, the first step to understand the nature of the
magnetizability of the Co nanoparticles and why this property is shape- and size-depended
is to investigate the geometrical structure.
Let us remember that, there is an infinite number of possible surfaces which can be exposed
for every crystal system. In practice, only a limited number of planes are found to exist in
any significant amount. Thus, the attention was concentrated on the above surfaces, because
it is possible to predict the ideal atomic arrangement for a given surface of a particular metal
by considering how the bulk structure is intersected by the surface. It is necessary to
remember that investigated nanoparticles consist of a small number of atoms, thus, it is not
possible to obtain a very strict crystalline structure; the crystalline structure that is expected
to be in the investigated Co nanoparticles was obtained on the basis of the symmetry of a
bond and atom location in the planes.
Fig. 1. Co6 nanoparticle located in the cubic cell.
It is necessary to mention that the structure of the Co4 particle was found, too. The results
obtained indicate that Co4 is planar and a nice equilateral is formed. In the case of Co6
nanoparticle, we have the three-dimensional structure with a slightly disordered cubic
symmetry. The structure was obtained after global optimization of the D4h isomer of a Co6
particle. It is important that each atom of the Co6 nanoparticle is possible to approximately
be located in the centre of the plane of the cubic cell (Fig. 1). The three surfaces are obtained.
So, this nanoparticle is the element of a FCC structure.
It is possible to see two planes of the Co8 nanoparticle (Fig. 2). The location of atoms on these
planes as well as the symmetry of bonds allows us to predict that the element of FCC
structure has been formed, too. This assumption is supported by following: i) each Co atom
is four-fold coordinated; ii) the structural element of the Co6 particle is obtained (see the
structure that form atoms 5, 6, 7, 8 or 1, 2, 3, 4 in Fig. 2). So, the element of FCC structure has
also been obtained in the Co8 nanoparticle. The conformation of Co8 nanoparticle has
proved to be the most stable.
One of more interesting situations arises in case of Co10 nanoparticle. In this case, we have
the two-dimensional disordered symmetry structure consisting of two planes and two
atoms in the middle of each plane (Fig.3). The atoms mentioned join these planes. Roughly
speaking, the structure of the Co10 nanoparticle is formed when the planes of the Co8
nanoparticle are rotated in respect of each other when two Co atoms are added and a nice
cubic structure is formed. This has also been confirmed by bond order investigations. On the
other hand, each Co atom is four-fold-coordinated and a structural element of the Co6
particle could also be foreseen. In case of Co12 and Co14 particles there are three planes
where the location of atoms is as in the FCC structure: the atoms lie on the corners of the
cube with additional atoms in the center of each of four cube of faces. The structure of Co6
particle is also obtained. The element of BCC structure is also present because some atoms
are out of the cube face. The most important for us is that the structure of a Co6 particle was
also obtained.
Fig. 2. The view of two planes of Co8 particle from two different sides take places. T
Fig. 3. The views of two formed by atoms 4,5,8,9 and 1,2, 7, 10 planes where atoms 3 and 6 is
between the planes in Co10 particle.
Let us describe the structure of this Co16 particle on the basis of the Co14 particle. Firstly, it is
necessary to mention that the additional atoms are joined with three-fold coordinated atoms
placed above the centre of the cube face. The joining leads to the deformation of the cube
because the above atoms of the Co14 particle are pushed to the centre of the cube face. On
the other hand, several structures of the Co6 particle are possible to be seen. Hence, in this
case, the deformed FCC structure also takes place, but the BCC structure element tends to
disappear in the inner part of the particles although the exterior part the element remains
unchanged. So, the tendency to form FCC is possible to predict. It allows us to speculate,
that in large particles (particles with the diameter more than 10 Å) the main structure could
be FCC, while in the external part the BCC structure could be present.
When considering the electronic properties of the above Con particles, a singlet state is a
ground one. The triplet state of these particles lies higher in total energy. These results
disagree with the results presented by H.J. Fan and et al. It is necessary to mention that in
the paper of H.J. Fan and et al. only high spin multiplicity particles were investigated
applying Amsterdam density functional method with STO basis set with no report on how
the geometry of the most stable compound was obtained. The calculated binding energies
(per atom) of the Co nanoparticles, as a function of the number of these atoms in the
particle, indicate that the Co14 particle with the primitive cell of FCC structure is one of the
most stable species among those presented in this section (Table 1). We also received, that
Co6 and Co12 particles are more stable among the investigated by us particles that consist of
less than 12 atoms and this result coincides with that presented by Q. M. Ma and et al. very
well.
Number of atom Binding energy per atom, eV HOMO-LUMO gap, eV

6 0.45 1.47
8 0.20 1.32
10 0.36 1.18
12 0.48 1.53
14 0.69 1.64
16 0.78 1.24
Table 1. The dependence of calculated binding energy per atom and HOMO-LUMO gap on
the atom number in the particle.
The above results confirm the investigation of HOMO-LUMO gap.

Hence, the main important observations on the geometrical structure of the pure Co
nanoparticle are the following:
 The Co8, Co10, Co12 , Co14, Co16 particles consist of Co6 , thus this particle can be regarded
to as the key element of the large Co nanoparticles.
 The face centered cubic structure which is slightly less close packed occurred in the Co14
nanoparticle, while the other particles described are the elements of the FCC structure.
When increasing the number of Co atoms in the particle, the atoms that are above the
centre of the cube face are pushed both to the cube face centre and the inner part of the
particle. Hence, in the inner part of the particle there is a FCC structure while the BCC
structure element is obtained in the exterior part the particle. Thus, the obtained results
allow us to speculate that in a large cobalt nanoparticle the FCC structure should be
clearly seen, while in a smaller one the FCC structure with the element of BCC structure
should be obtained.
It is necessary to mention that the bond length and the bond order were also investigated.
The obtained results are summarized in Table 2.
Atom number in a Single bond length, Double bond length, Coordinated bond
particle Å Å length
6 2.2 2.0 2.3
8 2.1 - 2.2 2.0 2.3
10 2.1 - 2.2 2.4
12 2.27 2.3
14 2.15- 2.27 2.3
16 2.15- 2.27 2.3
Table 2. The bond lengths obtained in the investigated particles
It is emphasized, that EXAFS MFT provides a Co-Co inter-atomic distance in the

nanoparticle as equal to 2.561±0.015 Å. The comparison of the theoretical investigation of the
Co particles with the corresponding experimental data is rather complicated quantitatively.
The use of a restricted basis set of Co which can limit the quantitative analysis in the
theoretical calculations should be taken into account. Hence, the obtained bond length fits
well enough into the above-mentioned results. That obtained structures of the Co
nanoparticle are to be mentioned as not fully spherical. The results obtained fit the results of
the high magnification TEM image perfectly. In any case it is possible to see that double
bonds are ruptured when the number of Co atoms is increased while coordinate bonds
remain. The Co-Co bond elongation within the increasing atom number in the particles is
not possible to explicitly be exhibited, while the presence of the coordinated bond allow us
to foresee that the total electron density in this Co–Co bond is smaller than that in the other
bonds what leads to non-compensation of the electron spins. On the other hand, the results
exhibit that investigated Co nanoparticles are not homogeneous systems, i.e. the systems
consist of different-fold-coordinated atoms. The obtained results indicate that a Co atom is
three-to-seven-fold coordinated in the most stable nanoparticles. The presence of a
coordinated bond, that is a kind of 2-centre, 2-electron covalent bond in which the two
electrons derive from the same atom, prove the above results, too. Additionally performed
analysis of the molecular orbital nature indicates that in the Co derivatives the number of
bonding molecular orbitals, that may be occupied, is insufficient to locate all electrons of the
system. It implies that some electrons are displaced on the anti-bonding orbitals, the energy
of which is higher than that of the bonding orbitals. This electronic non-uniformity (a
different oxidation state of an atom in the particle) of Co atoms, as we will prove below, and
the electron displacement on the anti-bonding orbitals are important for the magnetic
properties of the Co nanoparticles consisting of the even number of atoms.
3.1.1 Magnetic properties of the pure Co nanoparticles

Aiming to explain the results on magnetic properties of the particles investigated as well as
particle dependence on the size, we paid our attention to the nature of molecular orbitals
and their placements, because the studies on the Co2Om (m=0-7) compound indicate that
both the increase of the number of oxygen atoms in the compound and the changeability of
the oxidation state of the Co atoms led to the increase of the Co–Co bond length and
weakening of the Co–Co bonds. The weakening of these bonds is important for the magnetic
properties of these compounds. The results obtained indicate that the displacement of the
two electrons on dz2 orbitals of Co atoms creates Co–Co bonds. The energy of these orbitals
is similar to that of other ones. Thus, the repulsion between the electrons on the dz2 orbitals
is larger than in other cases investigated, therefore these electrons tend to be as far as
possible from each other and the correlation between them is weakened, resulting in the
elongation of Co–Co bonds and, as a consequence, presence of an unpaired spin.
Let us remember that in the Co derivatives the number of bonding molecular orbitals that
may be occupied is insufficient to locate all electrons of the system. As example, in Co6
compounds all bonding orbitals are occupied and, as it has already been mentioned, some
electrons are displaced on the anti-bonding orbitals, the energy of which is higher than that
of the bonding orbitals.
It should be mentioned that the increased number of Co atoms in the compound leads to
weakening of Co-Co bonds what, as we think, is important for the magnetic properties of
these compounds, because magnetic properties depend on the bonds' nature and the
number of bonds as well as on the charge distribution. Thus, aiming to explain the magnetic
properties of the investigated particles, the attention is paid to the bonds' nature (what
orbitals consist of bonds), the dipole moment and its components as well as on the isotropic
g-tensor which depends on a spin angular moment.
In Table 3 the data on magnetizability, dipole moment, isotropic g tensor and the number of
bonds consisting of anti-bonding orbitals are presented. The analysis of the most important
orbitals (HOMO) of the described particles has been performed (Figs. 4-9). Fig.6 represents a
full view of the HOMO of the Co6 particle and the additional schematic presentation of the
bond places in the particle is given to better illustrate the results presented.
Magnetizability, Isotropic Dipole moment, Number of bonds consist of

Compound
a.u. g-tensor a.u. anti-bonding character
Co6 58.77 -0.513 0.097 5
Co8 25.79 -0.289 0.468 3
Co10 -26.13 -0.071 0.084 5
Co12 -35.11 -0.038 0.213 20
Co14 -39.27 -0.046 0.157 8
Co16 69.84 -0.163 0.331 3
Table 3. The data on magnetizability, dipole moment, g tensor and the number of bonds
consisting of anti-bonding orbitals.
Firstly, it is necessary to mention, that in the g-tensor of a molecule, there is a nuclear

contribution and an electronic sum-over-states contribution. The electronic contribution
represents an isotropic g-tensor. Here, it should be mentioned, that an isotropic g-tensor
along with magnetizability is calculated to recognize what contributions (nuclear or
electronic) are more important for the magnetic properties of the particle investigated.
It is possible to see that only Co6, Co8 and Co16 particles exhibit paramagnetic properties
although the bonds that are of anti-bonding character are present in all the particles
investigated. The different number of bonds formed of anti-bonding orbitals is present in
the Co6, Co8 and Co16 particles. The view of the particles and location of the above bonds are
presented in Figs. 4-9. The conclusion on the character of bonds was made on the basis of
the analysis of the most important atomic orbitals on atoms, bond lengths, bond order and
views of the orbitals.
Fig. 4. The views of Co12 particle on the left and the view (on the right) when the bonds form
of anti-bonding orbitals are marked by dash lines.
Fig. 5. The view of Co14 particle on the left and the view (on the right) when the bonds form
of anti-bonding orbitals are marked by dash lines.
Fig. 6. The views of Co6 particle (on the left) and their most important orbital (HOMO)
(in the centre). The same view (on the right) is given when the bonds form of anti-bonding
orbitals are marked by dash lines for simple guidance.
Fig. 7. the views of Co8 particle (on the left) and the same view are given when the bonds
consisting of anti-bonding orbitals are marked by dash lines.
Hence, it is possible to see that Co12 and Co14 are diamagnetic because in these particles
there are 18 and 4 respectively symmetrically placed bonds with weakly interacting
electrons what leads to the disappearance of non-compensate spins. These non-compensated
spins quench each other what indicates the isotropic g-tensor value being equal to 0.038 and
0.046 in comparison to the value 2.00 for a free electron and indicates the absence of free
electrons or a non-compensate spin.
In case of Co12, the oxidation state of Co atoms is even. So, a non-compensate spin can not
appear because the atoms of this particle loose the even number of electrons (below, it is
exhibited that the oxidation state of atoms is also important to the explanation of Co particle
magnetic properties).
The electronic properties of the Co14 particle fit described properties of the bond nature and
oxidation state of the atoms very well. In the case the even number of bonds that are of anti-
bonding character is found. Hence, electron spins are compensated and this particle exhibits
diamagnetic properties. Additionally, even number (four) of atoms with oxidation state +3
are present
In case of Co6, Co8, Co10, Co16 there are non - symmetrically placed bonds with weakly
interacting electrons. Thus, we may suspect that these particles could be paramagnetic.
Fig. 8. The views of Co10 particle (on the left) and the view (on the right) when the bonds
form of anti-bonding orbitals are marked by dash lines.
Fig. 9. The views of Co16 particle (on the left) and the view (on the right) when the bonds
form of anti-bonding orbitals are marked by dash lines.
The magnetizability and g-tensor of the Co6 particle are approximately twice larger than
those of the Co8 particle. In the Co6 particle the number of bonds of anti-bonding character is
five and these bonds are non-parallel. The dipole moment of the particle is approximately
zero. It allows us to conclude that this particle is paramagnetic due to the electronic
contribution, i.e. the repulsion between the electrons located on the anti-bonding orbital is
large, therefore, they tend to be as far as possible from each other and become non-strongly
correlated. Thus the spins of the electrons are not compensated, while the unparalleled
displacement of the bonds leads to that that spins of all non-strongly-correlated-electrons
are not compensated. It implies, that magnetic properties of the Co6 particle are related with
an electronic contribution.
A similar situation is obtained in case of Co8 particle. Approximately twice smaller
magnetizability of this particle than that of Co6 is present because in the particle the number
of non-strongly- correlated electrons is smaller than that in Co6.
The largest magnetizability is the Co16 particle, although, its isotropic g-tensor is
approximately twice smaller than that of Co6 particle. To explain the above mentioned
contradictions, we investigated a dipole moment of these particles. The dipole moment
indicates electron concentration places in a particle. On the other hand, the components of
these dipole moments allow us to foresee the distribution of the above places. Both the
concentration of electrons and their distribution helps us to find the appearance of the
additional spins due to the different oxidation states of the Co atoms, i.e. if the even number
of atoms loose the odd number of electrons and the particle possesses a dipole moment, we
may suspect the presence of the localization of electrons and non-compensation of their
spins. We named the above spin an ion one to simplify the discussion.
The dipole moment components of the particles are presented in Table 4 and indicate the
electron charge delocalization in the Co8 and Co16 particles, while in case of the Co10 and
Co12 particles, the charge localization occurs (see the component of dipole moment). It is
necessary to add, that in Co8 and Co12 cases, the oxidation states of Co atoms are even. It
allows us to predict, that electron spins occurring when the atoms loose an electron are
compensated.
In case of Co16 particle, the dipole moment components indicate charge delocalization, while
the isotropic g- tensor value is smaller than that of Co6 and Co8. It allows us to conclude that
the magnetic properties of this particle are mostly related with nuclear contribution.
However, it is not explicitly possible to recognize the folding of atoms such as 3.49 or 3.51
on the results of these calculations. Thus, it is only speculation based on the comparison of
the magnetizability of the investigated results that, in case of Co16 particle, the ion spins and
electron spins are not compensated.
The Co6, Co8 and Co16 particles are paramagnetic, while Co10, that possesses the odd number
of anti-bonding character bonds as the particles mentioned, indicates diamagnetic
properties. In case of Co10 particle, the oxidation state of the Co1 atom is +5 (Fig. 8). The four
bonds with anti-bonding character are displaced like in case of Co6, however, one bond is in
the same direction of the largest component of the dipole moment. Thus, it is possible to
suspect, that in this case a weakly interacting electron spin is quenched by the ion spin. It
may be concluded that paramagnetic behaviour is dominating when the uncompensated
spin is present due to the presence of a weakly interacting electron on the anti-bonding
orbital and this spin is not quenched by the ion spins.
Dipole moment, Dipole moment components,

Compounds
a.u. a.u.
x y z
Co6 0.097 -0.09 -0.01 -0.01
Co8 0.468 0.147 0.298 0.329
Co10 0.084 0.076 0.031 0.021
Co12 0.213 0.198 -0.051 -0.061
Co14 0.157 -0.077 0.094 -0.098
Co16 0.331 -0.107 0.167 -0.264
Table 4. Dipole moments and their components of the investigated particles that are
paramagnetic or weakly diamagnetic.
It is possible to see that the investigated systems are very flexible and it is possible to predict
that any dipole interaction or Co particle agglomeration could change their magnetic
properties. To confirm the above prediction, the magnetic properties of the Co6 and Co6 as
well as those of Co6 and Co12 derivatives have also been investigated.
The structure of Co6 and Co6 particles was found after global optimization. The results
obtained indicate possible agglomeration of these particles, i.e. the Co12 particle should formed.
The magnetizability of this compound is -12.55 a.u., what indicates diamagnetic properties.
In case of the Co6 and Co12 compound, we did not perform any geometry optimization to
avoid agglomeration of particles because the changes of geometrical structure lead to
dramatical changes of the electronic structure and consequential changes of magnetic
properties. The investigated particles were placed randomly. Indeed, a compound
consisting of Co12 and Co6 particles is paramagnetic and its magnetizability is equal to 24.65
a.u. The results clearly indicate that dipole interaction and particle agglomeration change
magnetic properties of the Co nanoparticle.
4. Structure, stability and magnetic properties of Co6 Om nanoparticles

4.1 Structure and stability of Co6Om Particles
As exhibited above, the stability of small Co nanoparticles is not very high. On the basis of
our previous investigations it was speculated that those nanoparticles were non-rigid
structures. It implies that the geometrical structure of these particles could change very
quickly due to the tunnelling effect. Let us remember that Co6 particle is found as the most
stable one and it is the key element of other particles investigated. So, Co6On (n=0-9)
derivatives were also investigated to establish how the magnetic properties of the Co
particles may change due to oxidation. On the other hand, these investigations allow us to
foresee the conditions under which the metal Co-Co bond is broken. It is also proved our
prediction that the particles consisting of the even number of atoms possess magnetic
properties due to the weakly interacting electrons on the anti-bonding orbital and this spin
is not quenched by additional spins that occurred because some atoms of the nanoparticle
loose the odd number of electrons.
The most stable structures of the Co6On derivatives are presented in Fig.10.
Firstly, it is necessary to mention that oxygen stabilizes the Co nanoparticle and the
increasing number of oxygen atoms increases the binding energy per atom up to n=7 (Table
5). Furthermore,when a certain limit is reached, oxygen atoms do not influence the stability
of the Co6On particles.
The Co6O12 particle was investigated too. The binding energy per atom of this particle is
equal to 3.26 eV what is similar to that of Co6On (n=7, 8, 9). The difference of the binding
energy of the above particles is too small (0.2 eV or less) to make the conclusion on the most
stable particle.
Fig. 10. Views of the particles investigated. Grey lines do not indicate real chemical bonds,
but are implemented for the sake simple guidance.
Particle Co6 Co6O Co6O2 Co6O3 Co6O4 Co6O5 Co6O6 Co6O7 Co6O8 Co6O9
Binding energy
0.45 0.93 1.21 2.22 2.49 2.85 3.22 3.43 3.33 3.48
per atom, eV
Table 5. Binding energy per atoms for the Co6On (n=0-9) particles
The difference of the binding energy per atom for Co6 and Co6O is equal to 0.48 eV, while
that between Co6O6 and Co6O7 is only 0.21 eV, i.e. twice less. On the other hand, the
changing of the number of oxygen atoms from 2 to 3 leads to the largest increase of the
binding energy per atom (1.01eV), while the binding energy per atom increase only up to
0.27 eV when the oxygen atom number in a particle increases from 3 to 4. Thus, the results
of our investigations allow us to foresee that starting with n=6 (n is the number of oxygen
atoms) the further increase of the number of oxygen atoms will not influence the stability of
these particles very strongly and the main structure (the key-element) is not considerably
changed (Fig. 10). The binding energy per atom of the Co6O6, Co6O7, Co6O8 and Co6O9 is
approximately equal and proves these particles to be the most stable. These results coincide
with the experimental measurements that indicate the presence of CoO and Co3O4; CoO2,
Co2O3 and Co6O7 particles should also be found among them what was proved by the
results we obtained.
Such a changeability of the binding energy per atom in some cases could be explained by
changes in geometrical structure of Co particle. In case when the additional oxygen atom
does not significantly increase the binding energy per atom, the main part of the energy of
this atom is used to deform the structure of the key element (Co6). Thus, the binding
energies per atom of Co6O3 and Co6O4 or Co6O6, and Co6O7 are approximately equal.
The key element of the Co6 is also present in the Co6On (n=0-9) derivatives. However, this
key element is slightly deformed. The changeability of the initial form is oxygen atom
depended. The largest deformation is obtained in Co6O7, when the distance between the
planes (formed of atoms 1, 2, 3 and of 4, 5, 6) is increased and one plane is rotated in respect
of the other one by angle of π/4. Actually, one more structure of the Co6O7 which looks like
Co6O6 was also obtained, but the energy of this formation of the particle is 1.23 eV higher
than that of the particle, the structure of which was described above.
In the Co6O4 particle the key element (Co6) is deformed twice: 1. firstly, when the distances
between the atoms Co2-Co5 decrease; 2. Secondly, when Co1 and Co6 positions in respect of
the plane that is formed of atoms 2,3,4,5 is changed. Here, it should be emphasized, that this
structure of the particle has been obtained after global geometry optimization starting with
several completely different initial geometries. Thus, the geometrical structure of the Co6O4
particle is confirmed.
Hence, the largest deformations of the Co6 particle are obtained when the number of oxygen
atoms is changed from 3 to 4 and from 6 to 7. In these cases the stabilization energy per
atom is smaller than in other cases investigated. Thus, the main part of Oxygen energy is
used to deform the key structure of Co6.
It is necessary to mention, when the number of oxygen atom is 2 and 6, the structure of the
Co6Om particle looks like the octahedron, while in case of odd numbers of oxygen the
octahedron form is strongly deformed (except the results for Co6O4). It is interesting to note
that the most stable structure of Co6O8 (prototype of Co3O4) has a deformed spinel structure.
Thus, it is not surprising that a large effective magnetic moment estimated from the inverse
susceptibility has not been explained properly.
Compound Co-Co bond length, Å

1-2 1-3 1-4 1-6 2-3 2-6 4-5 4-6 3-4
Co6 2.15 2.33 2.15 2.24 2.04 2.23 2.04 2.31 2.33
Co6O 2.54
Co6O2 3.01
Co6O3 2.18 2.37 2.33 2.14
Co6O4 2.27 2.27 2.27 4.72 2.27
Co6O5 2.25 2.61 2.25 2.39
Co6O6 2.83 2.67 2.89 2.32 2.87 2.44
Co6O7 2.93 3.11 2.93 2.93 2.93
1-2 1-3 1-4 2-3 2-5 3.6 4-5 4-6 5-6

Co6O7 2.92 2.93 3.21 2.21* 3.07 3.11 2.92 2.91 2.22*
Co6O8 2.88 2.90 3.21 2.24* 3.18 3.16 3.03 3.03 2.93
Co6O9 3.04 3.04 3.15 3.04 3.14 3.15 3.04 3.05 3.05
* the Co-Co bond is present.
Table 6. The distance between the Co atoms which are connected with the O atom.
According to the results of our investigations, the Co-Co bond length of the single bond is
longer (2.2 Å) than the bond length of a double bond (2.0 Å) in a Co6 particle. On the other
hand, three bonds were obtained where the length is equal to 2.3 Å. The bond order of the
largest bond is twice smaller than that of a single bond. Here, we the commonly observed
that the Co-Co bond lengths are marginally changed only between the atoms that are
connected with the oxygen atom (Table 6) and, as a consequence, the bond enlargement
leads to Co-Co bond dissolving. For example: in the Co6 particle the bond order between
Co1-Co5 is equal to 1.018, while that in Co6O4 is approximately twice smaller and equals to
0.55. Additionally, the two, one and zero Co-Co bonds are respectively found in the Co6O7,
Co6O8 and Co6O9 nanoparticles. To shed some light on the present observation, the analyzes
of the most important orbitals of the Co6 particles have been investigated. HOMO (the
highest occupied orbital)- LUMO (the lowest unoccupied orbital) gap dependence on the
number of oxygen atoms is represented in Fig. 11. The HOMO-LUMO gap indicates that
chemical stability of Co6 , Co6O4 and Co6O6 is very low, i.e. they tend to form new chemical
bonds. These results coincide well with the results of binding energy per atoms.
However, the electronic structure of the investigated particles is quite different because the
oxidation state of Co atoms exchanges when the number of oxygen atoms in the particle is
increased. For example, in Co6O particle oxidation state of Co atoms is +3 and +4; in the
Co6O2 particle the oxidation state of these atoms is +4 and +5 and in Co6O4 it is +1 and +3.
We have not observed any relationship between number of oxygen atom in the particle and
the oxidation state of Co atoms.
Let us remember that in the Co derivatives the number of bonding molecular orbitals, that
may be occupied, is insufficient to locate all the electrons of the system. This leads to the
presence of electrons on the anti-bonding orbital and, as a consequence to, the dissolution of
Co-Co bonds.
On the other hand, the electronic configuration of cobalt for the ground state neutral
gaseous atom is [Ar].3d7.4 s2, while that of oxygen is [He].2s2.2p4. The configuration,
associated with Cobalt in its compounds, is not necessarily the same, but it could be used to
explain formally obtained results.
As it was mentioned above in Co6 compounds some electrons are displaced on the anti-
bonding orbitals, the energy of which is higher than that of the bonding orbitals. Therefore,
the stability of the pure cobalt nanoparticle is low. When the Co6 nanoparticle is joined to
one or two oxygen atoms, the number of electrons that occupy anti-bonding orbitals,
decreases because these electrons occupy the oxygen orbitals (Fig.12)
Fig. 11. The HOMO-LUMO gap of the Co6On (m = 1 - 9)
Fig. 12. Displacement of orbitals of several Co6Om (m=0, 1, 2, 7, 8, 9) and oxygen atoms in
respect of each other. Here, H and L indicate HOMO and LUMO respectively. Additionally,
the ground state (triplet) of oxygen atoms are calculated. It is possible to see that with the
increasing number of the oxygen atoms in the particle, the number of occupied orbital also
increases. i.e. the number of bonds of anti-boding nature decrease.
Oxygen atoms in the Co6O4, Co6O3, Co6O2, and Co6O particles are joined to atoms between
which the anti-bonding orbitals occur. Having in mind that the joining of oxygen atoms
leads to the increase of the bond length and dissolution of Co-Co bonds, what confirms the
above mentioned prediction. In case of the Co6O3 particle, one O atom is joined to Co4-Co5
atoms (Fig.10). The anti-bonding nature of the bonds has not been observed between those
atoms. In this case, a steric effect is more preferable because other positions of the oxygen
atom should complicate Co1-Co2 and Co2-Co6 elongation or leads to the destruction of this
particle. Hence, oxygen atoms stabilize Co6 particles due to dissolving of Co-Co bonds that
possess anti-bonding character.
It is very well known, that a semiconductor must have at least two characteristics: 1. the
bonding and anti-bonding orbitals must form a delocalized band; 2. the HOMO-LUMO gap
in molecular species should be generally of the order of 0.5eV to 3.5 eV. HOMO-LUMO gaps
of the investigated derivatives belong to the above range. However, the number of anti-
bonding orbitals decreases with increasing of the number of oxygen atoms. The results
allow us to predict that Co6Om are semiconductors but the particles should loose their
semiconductor properties if the number of oxygen increases.
4.1.1 Magnetic properties of Co6Om particles

In the above chapter we proved that oxygen atoms stabilize cobalt nanoparticles, although,
in some cases, the structure of particles changes insufficiently while the electronic structure
is dramatically changed because the increasing number of oxygen atoms decreases the
difference between the number of electrons and the number of atomic orbitals that they may
occupy. Hence, the bonds of anti-bonding nature as well as uncorrelated spins disappear.
So, we may suspect, that all Co oxide particles could be diamagnetics. Let us analyze the
results presented in Table 7.
Magnetizability, Isotropic Co-Co

Compound
a.u. g tenzor a.u bond number
Co6 58,77 -0,51 5
Co6O -11,24 -0,14 6
Co6O2 -15,47 -0,11 6
Co6O3 -3,26 -0,16 5
Co6O4 -9,62 -0,12 4
Co6O5 -15,97 -0,11 2
Co6O6 -2,11 -0,16 1
Co6O7 -25,94 -0,07 2
Co6O8 25,42 -0,18 1
Co6O9 -24,28 -0,05 0
Co6O12 -24,25 -0,07 0
Table 7. Data on magnetizability, isotropic g tensor, and Co-Co bonds number and the
number of Co-Co bonds that was found based on the electron density investigation results.
Only those bonds with unpaired spin electrons are mentioned.
It is obvious to see, that the particles with odd number of Co-Co bonds are paramagnetic or
lightly diamagnetic. On the other hand, the isotropic g-tensor value of the cobalt oxide
particles is not large, thus we may suspect that a ion spin in these cases is very important.
It is necessary to mention that based on the results described above, we may divide the
described particles into the following groups:
1. The particles that posses shape of Co6: Co6, Co6O, Co6O2, Co6O3, Co6O5, Co6O6 (A
group)
2. The particles Co6O7, C6O8, Co6O9 in which the distance between the planes (formed of
atoms 1, 2, 3 and of 4, 5, 6) is increased and one plane is rotated in respect the other one
by the π/4 angle (B group).
3. The rest (Co6O4)
It has to be pointed out, that a lot of reports concluded that magnetic properties of the
nanoparticles depend on their shape. So, we suspected that magnetizability of the particles
belonging to one group should be the same. However, the results of our investigations do
not prove the above prediction (Table 7).
According to our investigations, the Co6 nanoparticle is a strong paramagnetic, while other
particles, belonging to group A, are diamagnetics. The same phenomenon is obtained in case
of B group. In this case, the Co6O8 particle is paramagnetic, while other particles are
diamagnetics. Moreover, the diamagnetic properties of the similarly shaped particles are
quite the same only in the following cases: Co6O7, Co6O12, Co6O9; Co6O3, Co6O6; Co6O2,
Co6O5. It implies that the shape of the particle has no influence on the magnetic properties of
the nanoparticles. To confirm this conclusion, we have calculated magnetizability of several
isomers of Co6O8 particles (Fig. 13). It is possible to see, that the shapes of isomers II and III
are similar, but the shape of isomer I differs. However, the magnetizability of isomers II and
I with different shapes is approximately alike, while the magnetizability of isomer III is
smaller than that of isomer II with the same shape (Table 8).
Isomers I II III
Magnetizability, a.u. 25.42 24.76 14.24
Table 8. The Magnetizability of different isomers of Co6O8 particle.
Hence, the magnetic properties of these particles does not depend on their shape.
Fig. 13. The view of several isomers of Co6O8.

Let us remember, that the nanoparticles could be paramagnetic due to several reasons: 1) the
unpaired electron location on the Co-Co bonds; 2) the small total electron charge density
between Co atoms which appears due to overlapping of p orbitals of oxygen atoms; 3) the
significant contribution of atoms that loose odd number of electrons. The second reason
mentioned could not be realized in case of the Co6On particles due to their relatively large
size and small number of oxygen atoms. The first and third reasons could be realized thus
supporting the previously found results. It is necessary to mention, that non-compensation
of spin for CoO/SiO2 multilayers was also observed.
Now, we shall describe the particles of group B in detail. Firstly, it is necessary to mention,
that the particles of this group have the different number of Co-Co bonds: Co6O7, has two,
Co6O8 has one, and Co6O9 has zero. Only Co6O8 particle exhibits paramagnetic properties.
Let us remember that in the Co derivatives the number of bonding molecular orbitals, that
may be occupied, is insufficient to locate all the electrons of the system. This causes the
presence of electrons on the anti-bonding orbital and, as a consequence, a weaker correlation
of these electrons. Similar states are obtained in biradicals where the number of atomic
orbitals, that may be occupied, is smaller than that of electrons. That leads to the appearance
of electrons on the anti-bonding orbitals and serves predicts a large orbital contribution to
the magnetic moment of a small ComOn particle (Fig.14).
Fig. 14. HOMO orbital antibonding character of the Co6O8 particle.
It implies, that a non-compensate electron spin should be obtained. This situation is realized
in the Co6O7 and Co6O8 particles. However, in the Co6O7 particle two pairs of weakly
correlated electrons are present what leads to the disappearance of non-compensate spins.
This is indicated by the isotropic g-tensor value which equals to 0.007. However, in case of
the Co6O8 particle, only one Co-Co bond is present and only one pair of weakly correlated
electrons should be found. This weak correlation indicates the nature of HOMO orbital that
consists of anti-bonding dz2 type orbitals (Fig.14). Hence, the total spin of electrons is not
compensated and, as a consequence, the particle exhibits paramagnetic features. This
presumption is also confirmed by the isotropic g-tensor value, that is one of the largest
between the particles described (Table 7). The small value of the isotropic g-tensor indicates
that the electronic contribution to the magnetic properties of the particle is not very large,
but it is essential.
Additionally, we may supplement the proposition, that Co6On particles should be

paramagnetics when the number of Co-Co bonds on which the unpaired electrons are
located might be odd (Table 7). It should be emphasized, that the number of Co-Co bonds
was found on the basis of the electron density investigation results and only the bonds,
where unpaired spin electrons could be presented, are mentioned. Indeed, the investigated
particles with the odd number of Co-Co bonds exhibit paramagnetic or weak diamagnetic
properties. However, it is not clear why the magnetic properties are different, i.e., formally,
some, different features should appear.
Aiming to explain the above mentioned discrepancy, we investigated a dipole moment of
these particles. The dipole moment indicates electron concentration places in the particle.
On the other hand, the components of these dipole moments allow us to foresee the
distribution of the above places. Both the concentration of electrons and their distribution
helps us find additional spins that appeared due to the different oxidation state of the Co
atoms (formally, we call the above spin as an ion one). The exception concerns Co6.
The components of the dipole moment of the particles that are paramagnetics or weak
diamagnetics are shown in Table 9.
Dipole moment,
Compounds Dipole moment components, a.u.
a.u.
x y z
Co6 0.096 -0.09 -0.01 -0.01
Co6O3 1.689 0.55 0.23 -1.58
Co6O6 1.639 -1.06 -1.16 0.44
Co6O8 (I isomer) 2.652 2.60 0.45 0.23
Co6O8 (II isomer) 2.059 -1.08 -0.01 -1.75
Co6O8 (III
1.372 1.37 -0.06 -0.03
isomer)
Table 9. Dipole moments and their components of the investigated paramagnetic or weak
diamagnetical particles.
The Co6O8 particle is a paramagnetic due to the presence of non-compensate spin what
indicates the value of the isotropic g-tensor of 0, 51 (a free electron g-value is 2.00) because of
the appearance of electrons on the anti-bonding orbitals.
So, as it was mentioned, the following different types of magnetic interactions could be
obtained in the Co6Om nanoparticles: 1. an uncompensated spin of weakly interacting
electrons on the anti-bonding orbital; 2) the presence of Co ions that looses the odd number
of electrons (Co+3 and the like) leads to the emergence of the additional non-compensated
spin.
The results obtained exhibit that the magnetic properties of nanoparticles could depend on
the above interactions. The paramagnetic behaviour dominates when the non-compensated
spin is present due to weakly interacting electrons on the anti-bonding orbital and this spin
is not quenched by the ion spins. Let us remember, that Co6O3 and Co6O6 particles are weak
diamagnetics, thought the isotropic g-tensor is not smaller than that of the Co6O8 particle. In
these particles the ion spin is also presented what indicates a high dipole moment. The
number of the Co+3 ions is 2 and 4 respectively in the Co6O3 and Co6O6 particles. However,
the components of the dipole moment indicate that the ion spins are delocalized. The
interaction between these spins leads to the quench of an electron spin, i.e. both spins (ion
and non-compensated spin of electrons located on the anti-bonding orbital of Co-Co bond)
are oriented so that the total spin equals to zero.
The opposite situation is realized in the Co6O8 particle: an ion spin is localized and one Co-Co
bond is present. In this case, the spins are oriented so that they are relatively parallel to each
other. This prediction is supported by additional investigations of the isomers of the Co6O8
particle. It is necessary to mention, that one Co-Co bond is present in isomer II and a detailed
investigation of the dipole moment indicates that it lies approximately in parallel to the Co-Co
bonds. Therefore, the unpaired spins of a different nature support each other. Thus, the
magnetizability of the I and II isomers of the Co6O8 particle is the same. In case of isomer III, all
Co-Co bonds are dissolved, but an ion non-compensated spin is present. It implies that
magnetic properties of the particle are determined by the localized ion spin only. Thus, the
magnetizability of isomer III is lower than that of the other isomers investigated.
Hence, the paramagnetic behaviour of the cobalt oxide particle is dominating when the non-
compensated spin is present due to weakly interacting electrons on the anti-bonding orbital
and this spin is not quenched by the ion spins.
It is necessary to pay attention to other important observations. As it was earlier mentioned,
the cobalt oxide particles are semiconductors and Co6O8 exhibits magnetic properties. It
implies that this Co6O8 particle could be magnetic superconductor and could be implemented
in electronic devices to provide a new type of the control of conduction, i.e. of the charge
carrier and quantum spin state. Hence, this particle could be used in quantum computing.
5. Absorption spectra of the C6Om (m=1-9) nanoparticles

It is known that the growing metallic particles are stabilized by the absorption of the
polymer chains on the surface of the growing metal fragments, lowering their surface
energy and creating a barrier to further aggregation. On the other hand, the organic coating
of a particle prevents the surface from oxidation, rendering the particle stable over a long
period. So, it is necessary to have a tool to investigate and control the process of stabilization
of nanoparticles because the stabilization could be related to the oxidation of a metal particle
and, as a consequence, it looses its magnetic properties. We believe that the knowledge
concerning the shape and the nature of the absorption spectra of the Co6Om particles in the
Vis and UV region could be a good tool for the investigation of the oxidation processes of
Co nanoparticles. The above assumption is based on the results obtained that indicate the
Co6 particle as a key element of larger particles.
As it was to mention in 3.1.1 we may divide the described particles into groups based on the
changes of the Co6 structures. The groups are the following:
1. The particles that posses a shape of Co6: Co6, Co6O, Co6O2, Co6O3, Co6O5, Co6O6 (group A).
2. The particles in which the distance between the planes (formed by atoms 1, 2, 3 and of
4, 5, and 6) is increased and one plane is rotated in respect of the other one by π/4
angle: Co6O7, C6O8, Co6O9 (group B).
3. The rest (Co6O4).
(a) Co6 (b) Co6O
(c) Co6O2 (d) Co6O3
e) Co6O5 (f) Co6O6

Fig. 15. Absorption spectra of group A. At (a) there are spectra of a Co6 particle, while
(b) - those of Co6O; (c) in the middle, on the left, there is a spectrum of Co6O2;
(d) on the right – Co6O3; (e) at the bottom, on the left, there are spectra of Co6O5;
(f) on the right – those of Co6O6. The black circle indicates oxygen atoms,
while the grey one – cobalt atoms.
The obtained absorption spectra of the particles making up groups A and B and their
structures are presented in Fig. 15 and Fig. 16. The case of Co6O4 particle is different and
should be investigated deeper, although the general tendency of absorption spectra changes
described below are possible to foresee in the spectra of this particle, too.
(a) Co6O7 (b) Co6O8
(c) Co6O9
Fig. 16. Absorption spectra of group B: (a) at the top on left there is a spectrum of Co6O7
particle, (b) on the right -those of Co6O8; (c) at the bottom, there are spectra of Co6O9. The
black circle indicates oxygen atoms, while the grey one – those of cobalt.
Let us analyze the spectra of group A. It is obvious, that the intensity of absorption
decreases especially in the [500;700] nm region with increasing of the oxygen number up till
5, and starts increasing again when the number of oxygen atoms is 6. The appearance of
more intense absorption in the above region of the Co6O6 is related to the structure of this
particle (Fig.15). The structure of the Co6O6 particle looks like the octahedron, while in the
case of other particles investigated, the octahedron form is strongly deformed. The intensity
of absorption in the region 300 to 400 nm increases when the number of oxygen atoms in the
particle increases from 7 to 9 (Fig.16).
It is obvious, that with the increasing of the number of the oxygen atoms by one, the number
of occupied orbitals in the [-1;0] a.u increase by three (Table 10). Moreover, the gap of the
Co6 particle between occupied orbitals in the]-2; -1[ a.u. region is not filled what is explained
by the displacement of the orbitals of both Co6Om (m=0-9) and an oxygen atom in respect of
each other (Fig. 12). In case of Co6 particle, only three orbitals (HOMO, HOMO -1 and
LUMO) of oxygen interact with the occupied orbitals of the particle, while in case of Co6Om
particles, the number of interacting orbitals increases. Starting with Co6O, the additional
occupied level occurred in the gap of the Co6 particle between the occupied orbitals in the
region of ]-2; -1[ a.u. However, the HOMO-LUMO gap increases. So, semiconductor
properties of the Co6Om particles become stronger.
Naturally, that with the increasing number of oxygen atoms in the Co6 particle, the mixing
orbital (the molecular orbital consists of cobalt and oxygen atomic orbitals) increases due to
the Co and O atomic orbital interaction. The analysis of the contribution of the atomic orbital
to the molecular orbitals confirms the predicted interaction. Moreover, due to the above
interaction, the orbital splits and several orbitals that are occupied in Co or Co oxide
nanoparticles should become virtual and vice versa. Hence, the transitions in the spectra
region of [350;700] nm are of Co3d → Co3d type and they are allowed in a pure Co particle
or particles with the oxygen number of 1-2 because the above mixing is not very strong.
When the number of oxygen atoms in the Co particle is 3-7, the transitions in the spectra
region of [350;700] nm are of Co3d→Co3dO2p orCo3dO2p→Co3d types. It is emphasized,
that starting with the number of six of oxygen atoms, only occupied orbitals of nanoparticles
interact with the occupied orbital of oxygen atom, i.e. the above mentioned interaction
between LUMO of the oxygen atom and the occupied orbital of Co6Om nanoparticle does
not occur. The analysis of the most important orbitals for excitation indicates, that in the
spectra of Co6Om (m=0-5) the most intensive excitations correspond to Co3d→Co3d ones.
Other partly allowed excitations correspond to Co3d→Co3dO2p ones. So, the number of
Co3d→Co3dO2p excitations increases with the increased mixture of orbitals. Moreover,
when the number of oxygen atoms is up to 7, the Co3dO2p→Co3dO2p excitations are more
relevant. On the other hand, the symmetry of particles is different what leads to different
number of the transitions allowed. It is very well known, that a part of the possible
excitations is forbidden when the symmetry group of the particles is high, while all possible
excitations are allowed when the symmetry group of the particle is the lowest (C1).
Particles Virtual orbitals Occupied orbitals

[-1;0] a.u. [-1;-0] a.u. [-2;-3] a. u. [-3;-4] a. u.
Co6 11 27 18 6
Co6O 13 30 18 6
Co6O2 13 33 15 5
Co6O3 12 36 17 6
Co6O4 15 39 14 6
Co6O5 13 42 18 4
Co6O6 13 45 18 6
Co6O7 15 48 18 6
Co6O8 15 51 18 6
Co6O9 16 54 18 6
Table 10. The number of states of the Co6Om (m=0-9) particles in the regions of different
energy.
Particle Co6 Co6O Co6O2 Co6O3 Co6O5 Co6O6 Co6O7 Co6O8 Co6O9
Symmetry
C2v C1 C2v C1 C1 C2v C2v C1h C3v
group
Table 11. Approximate symmetry of the particles investigated.
Hence, the particles with higher symmetry absorb certain wave lengths more intensively,
while the absorbance of non-symmetrical particles is not intensive, but a very broad one
(Table 11, Figs. 15, 16). It allows us to conclude, that the investigated spectra of the Co
nanoparticles in the region of [300; 700] nm could explain the oxidation of the particles
and, as a consequence, their structure changes what lead to changes of magnetic
properties.
Basing on the results obtained, we speculate that the dependence on the place of excitation
could be related with the particle oxidation when considering the excitation of large
particles (approximately of 200 nm).
6. Conclusions
Herein, we report on the several important results related to magnetic properties of the Co
nanoparticle.
The main important observations of the pure Co and oxidized nanoparticle are the
following:
 The Co8, Co10, Co12, Co14, Co16 particles consist of Co6, thus these particles could be
regarded to as the key element of the large Co nanoparticles.
 The face centered cubic structure which is slightly less closely packed, occurred in the
Co14 and Co16 nanoparticles, while the other particles described are the elements of the
FCC structure in the sense of the above conclusions.
 The key element of the Co6 is present in the Co6On (n=0-9, 12) particles.
 The present investigations of the magnetic properties of Co and Co oxide particles
resulted in the conclusion that a paramagnetic behaviour is dominating when the non-
compensated spin is present due to the anti-bonding orbitals and such a spin is not
quenched by the ion spins.
 The results of our investigations indicate that both a dipole interaction and particle
agglomeration change magnetic properties of the Co nanoparticle.
 The intensity of absorption of Co6Om (m=0-9) particles should be decreased in the
[500;700] nm region with increasing of the number of the oxygen atom up to 5, and
should be increased again when number of oxygen atoms is 6.
 The spectra of investigated particles become linear when the number of oxygen atoms
in the above particle is even, while the absorption lines in spectra should be difficult to
observe with odd number of oxygen.
 It is obtained, that in the spectra of Co6Om (m=0-3) the most intensive excitations
correspond to Co3d→Co3d excitations. The Co3dO2p→Co3dO2p excitations are more
relevant in the spectra of the particles where the number of oxygen atoms is up to 7,
while in the rest particles the Co3d→Co3dO2p or Co3dO2p→Co3d types of excitation
are obtained.
7. References
Zalich M. A. and et al. (2006). Structural and Magnetic properties of oxidatively stable cobalt
nanoparticles encapsulated in graphite shell. Chemistry of Materials, Vol. 18,p.p.
2648-2655, ISSN 0897-4756
Simeonidis K. and et al. (2008). Shape and composition oriented synthesis of Cobalt
nanoparticles, Physics and Advanced materials Winter school, pp.1-8, Thessaloniki,
Greece, January 14-18
Neamtu J and et al. (2005). Synthesis and Properties of Magnetic Nanoparticles with
Potential Applications in Cancer Diagnostic. Technical Proceedings of the 2005 NSTI
Nanotechnology Conference and Trade Show, Vol. 1, p.p. :222 - 224, ISBN:0-9767985-0-6,
Anaheim, California, USA,May 8-12, 2005.
Sakurai M.I. and et al. (1998) Magic Numbers in Fe Clusters Produced by Laser Vaporization
Source. Journal of the Physical Society of Japan, Vol. 67, No. 8, (August), pp. 2571-2573,
ISSN 0031-9015
Gambardella P. and et al. (2003) Giant Magnetic Anisotropy of Single Cobalt Atoms and
Nanoparticles. Science, Vol.300, No. 1130, (May), pp. 1130-1133, ISSN 0036-8075
Chen J. P. and et al. (1994) Magnetic properties of nanophase cobalt particles synthesized in
inversed micelles. Journal of Applied Physics, Vol. 76, No. 10, (November), pp. 6316 -
6318 ISSN 021-8979
Ghosh M.; Sampathkumaran E. V.; Rao C.N.R. (2005) Synthesis and Magnetic Properties of
CoO Nanoparticles. Chemistry Materials, Vol. 17, No. 9, (March), pp.2348 -2352 ISSN
0897-4756
Zhao Y. W. and et al.(2003) A simple method to prepare Uniform Co nanoparticles. IEEE
Transactions on magnetics, Vol.39, No. 5, (September) , pp. 2764-2766, ISSN 0018-9464
Sun X. Ch.; Reyes-Gasga J.; Dong X. L. (2002) Formation and microstructure of Carbo
encapsulated superparamagnetic Co nanoparticles. Molecular Physics, Vol. 100, No
19, (March), pp. 314-315, ISSN 0026-8976
Ram S. (2001) Allotropic phase transformations in HCP, FCC and BCC metastable structures
in Co- nanoparticles. Material Science and Engineering A, Vol. 304-306, (May), pp.
923-927, ISSN 0921-5093
Gubin S.P. and et al. (2003) Magnetic and structural properties of Co nanoparticles in a
polymeric matrix. Journal of Magnetism and Magnetic Materials,Vol. 265, No. 2,
(September) pp. 234-242 ISSN 0304-8853
Tsukamoto S.; Koguchi N. (2000) Magic numbers in Ga clusters on GaAs (0 0 1) surface.
Journal of Crystal Growth, Vol. 209, No.1-2, (February), pp. 258-262, ISSN 0022-0248
Guevara J.and et al. (1997) Electronic properties of transition-metal clusters:Consideration of
the spillover in a bulk parametrization. Physical Review B, Vol. 55, No. 19, (May),
pp.13283-13287 ISSN 1098-0121
Ma Q. M.and et al. (2006) Structures, stabilities and magnetic properties of small Co clusters.
Physics Letter A, Vol. 358, No. 4, (October), pp. 289-296, ISSN 0375-9601
Galvez N. and et al. (2002). Apoferritin-encapsulated Ni and Co superparamagnetic
nanoparticles. Erophysics. Letter , Vol. 76, No.5, (December), pp.142-148, ISSN 0295-
5075
Park I.-W. and et al. (2003). Magnetic properties and microstructure of cobalt nanoparticles
in a polymer film. Solid State Communications, Vol. 44, No.7 (May), pp. 385-389 ISSN
0038-1098
Yang H.T.and et al. (2004). Synthesis and magnetic properties of e-Co nanoparticles. Surface
and interface analysis, Vol. 36, No. 2, (February), pp.155-160, ISSN 1096-9918
Becke A. D. (1993) Density-functional thermochemistry. iii. the role of exact exchange.
Journal of Chemical Physics, Vol. 98, No 7, (April), pp.5648-5652, ISSN 0021-9606
Gordon M. S. and et al. (1982) Self-consistent molecular-orbital methods. 22. Small split-
valence basis sets for second-row elements. Journal of the American Chemical Society,
Vol. 104, No.10, (May), pp. 2797-2803, ISSN 0002-7863
Schmidt M.W. and et al. (2004) Gaussian, Inc., Wallingford CT, ISBN 0963676938, Pittsburgh,
USA
Lutnæs O. B. and et al. (2005) Benchmarking density-functional-theory calculations of
rotational g tensors and magnetizabilities using accurate coupled-cluster
calculations . Journal of Chemical Physics, Vol. 131, No.14, (September ), pp.144104-
144119, ISSN 0021-9606
Schafer, A.; Horn, H.; Ahlrichs, R. (1992) Fully optimized contracted Gaussian basis sets for atom Li
to Kr. Journal of Chemical Physics, Vol. 97, No.4, (May), pp. 2571-2577, ISSN 0021-9606
Wu N. and et al. (2004). Interaction of Fatty Acid Monolayers with Cobalt Nanoparticles. Nano
Letters, Vol. 4, No. 2, (January), pp. 383-386, ISSN 1530-6984
Fan, H. J.; Liu, Ch. W.; Liao, M. Sh. (1997). Geometry, electronic structure and magnetism of small
Con (n=2-8) clusters. Chemical Physics Letter, Vol. 273, No. 5-6, (July), pp. 353-359, ISSN
0009-2614.
Meldrum, A.; Boatner, L. A.; Sorge, K. (2003) Nuclear Instruments and Methods in Physics
Research Section B: Beam Interactions with Materials and Atoms, Vol. 207,No.1, (May),
pp. 36-44, ISSN 0168-583X
Ichiyanaga, Y.; Yamada, S. (2005) The size-depended magnetic properties of Co3O4 nanoparticles.
Polyhedron, Vol.24, No. 16-17, (November), pp. 2813-2816, ISSN 0277-5387,
Graf, Ch. P.; Birringer, R.; Michels, A. (2006) Sythhesis and magnetic properties of cobalt nanocubes.
Physical Review B, Vol. 73, No. 21, (April), pp. 212401 – 212404, ISSN 1550-235x
Resnick, D.A and et al. (2006) Magnetic properties of Co3O4 nanoparticles miniralized in Listeria
innoucua Dps. Journal of Applied Physics. Vol. 99 (April), 08Q501-3, ISSN 1089-7550
Salavati-Niasari, M.; Afsaneh Khansari, A.; Davar, F. (2009) Synthesis and characterization
of cobalt oxide nanoparticles by thermal treatment process. Inorganica Chimica Acta,
Vol. 362, No. 14, (November), p.p. 4937-4942, ISSN: 0020-1693
Papis, E. and et al. (2009) Engineered cobalt oxide nanoparticles readily enter cells,
Toxicology letters, Vol. 189 ,(June), p.p.253-259, ISSN: 0378-4274
Sakurai, K. and et al. (1998) Magic numbers in Fe clusters produced by laser vaporization
source. Journal of the Physical Society of Japan, Vol. 8 : p.p. 2571-2573.
Gambardella, P. and et al. (2003) Giant magnetic anisotropy of Co atoms and nanoparticles.
Science, Vol. 300, No. 5622, (May 16), p.p.1130-1133, ISSN 1095-9203
King, S.; Hyunh, K.; Tannenbaum, R. (2003) Kinetics of Nucleation, Growth, and
stabilization of cobalt oxide nanoclusters. Journal of Physical Chemistry B, Vol. 107,
No.44, (October 15), p.p. 10297-12104, ISSN 1520-6106
Nogues, J. and et al. (2006) Shell-driven magnetic stability in core-shell nanoparticles. Physical
Review Letter, Vol 97, No. 15, (October 13), p.p.1572031.1572034, ISSN · 0031-9007
22
Nanofluids
Wei Yu, Huaqing Xie and Lifei Chen
Shanghai Second Polytechnic University
P. R. China
1. Introduction
Nanofluids are a new class of fluids engineered by dispersing nanometer-sized materials
(nanoparticles, nanofibers, nanotubes, nanorods, nanosheet, or droplets) in base fluids. In
other words, nanofluids are nanoscale colloidal suspensions containing solid nanomaterials.
They are two-phase systems with one phase (solid phase) in another (liquid phase). For a
two-phase system, there are some important issues we have to face. One of the most
important issues is the stability of nanofluids and it remains a big challenge to achieve
desired stability of nanofluids. In this paper we will review the new progress in the methods
for preparing stable nanofluids and summarize the stability mechanisms. In recent years,
nanofluids have attracted more and more attention. The main driving force for nanofluids
research lies in a wide range of applications. Although some review articles involving the
progress of nanofluid investigation were published in the past several years [1-6], most of
the reviews are concerned on the experimental and theoretical studies of the thermophysical
properties or the convective heat transfer of nanofluids. The purpose of this paper will
focuses on the new preparation methods and stability mechanisms, especially the new
application trends for nanofluids in addition to the heat transfer properties of nanofluids.
We will try to find some challenging issues that need to be solved for future research based
on the review on these aspects of nanofluids.
2. Preparation methods for nanofluids

2.1 Two-step method
Two-step method is the most widely used method for preparing nanofluids. Nanoparticles,
nanofibers, nanotubes or other nanomaterials used in this method are first produced as dry
powders by chemical or physical methods. Then the nanosized powder will be dispersed
into a fluid in the second processing step with the help of intensive magnetic force agitation,
ultrasonic agitation, high-shear mixing, homogenizing and ball milling. Two-step method is
the most economic method to produce nanofluids in large scale, because nanopowder
synthesis techniques have already been scaled up to industrial production levels. Due to the
high surface area and surface activity, nanoparticles have the tendency to aggregate. The
important technique to enhance the stability of nanoparticles in fluids is the use of
surfactants. However the functionality of the surfactants under high temperature is also a
big concern, especially for high temperature applications.
Due to the difficulty in preparing stable nanofluids by two-step method, several advanced
techniques are developed to produce nanofluids, including one-step method. In the
following part, we will introduce one-step method in detail.
2.2 One-step method

To reduce the agglomeration of nanoparticles, Choi et al. developed a one-step physical
vapor condensation method to prepare Cu/ethylene glycol nanofluids [7]. The one-step
process consists of simultaneously making and dispersing the particles in the fluid. In this
method the processes of drying, storage, transportation, and dispersion of nanoparticles are
avoided, so the agglomeration of nanoparticles is minimized and the stability of fluids is
increased [5]. The one-step processes can prepare uniformly dispersed nanoparticles and the
particles can be stably suspended in the base fluid. The vacuum-SANSS (submerged arc
nanoparticle synthesis system) is another efficient method to prepare nanofluids using
different dielectric liquids [8, 9]. The different morphologies are mainly influenced and
determined by various thermal conductivity properties of the dielectric liquids. The
nanoparticles prepared exhibit needle-like, polygonal, square and circular morphological
shapes. The method avoids the undesired particle aggregation fair well.
One-step physical method cannot synthesize nanofluids in large scale and the cost is also
high, so the one-step chemical method is developing rapidly. Zhu et al. presented a novel
one-step chemical method for preparing copper nanofluids by reducing CuSO4.5H2O with
NaH2PO2.H2O in ethylene glycol under microwave irradiation [10]. Well-dispersed and
stably suspended copper nanofluids were obtained. Mineral oil-based nanofluids containing
silver nanoparticles with a narrow size distribution were also prepared by this method [11].
The particles could be stabilized by Korantin, which coordinated to the silver particle
surfaces via two oxygen atoms forming a dense layer around the particles. The silver
nanoparticle suspensions were stable for about 1 month. Stable ethanol based nanofluids
containing silver nanoparticles could be prepared by microwave-assisted one-step method
[12]. In the method, polyvinylpyrrolidone (PVP) was employed as the stabilizer of colloidal
silver and reducing agent for silver in solution. The cationic surfactant octadecylamine
(ODA) is also an efficient phase-transfer agent to synthesize silver colloids [13]. The phase
transfer of the silver nanoparticles arises due to coupling of the silver nanoparticles with the
ODA molecules present in organic phase via either coordination bond formation or weak
covalent interaction.
However there are some disadvantages for one-step method. The most important one is
that the residual reactants are left in the nanofluids due to incomplete reaction or
stabilization. It is difficult to elucidate the nanoparticle effect without eliminating this
impurity effect.
2.3 Other novel methods

Wei et al. developed a continuous-flow microfluidic microreactor to synthesize copper
nanofluids. By this method, copper nanofluids can be continuously synthesized, and their
microstructure and properties can be varied by adjusting parameters such as reactant
concentration, flow rate and additive. CuO nanofluids with high solid volume fraction (up
to 10 vol%) can be synthesized through a novel precursor transformation method with the
Nanofluids 499
help of ultrasonic and microwave irradiation [14]. The precursor Cu(OH)2 is completely
transformed to CuO nanoparticle in water under microwave irradiation. The ammonium
citrate prevents the growth and aggregation of nanoparticles, resulting in a stable CuO
aqueous nanofluid with higher thermal conductivity than those prepared by other
dispersing methods. Phase-transfer method is also a facile way to obtain monodisperse
noble metal colloids [15]. In a water-cyclohexane two-phase system, aqueous formaldehyde
is transferred to cyclohexane phase via reaction with dodecylamine to form reductive
intermediates in cyclohexane. The intermediates are capable of reducing silver or gold ions
in aqueous solution to form dodecylamine protected silver and gold nanoparticles in
cyclohexane solution at room temperature. Feng et al. used the aqueous-organic phase-
transfer method for preparing gold, silver and platinum nanoparticles on the basis of the
decrease of the PVP’s solubility in water with the temperature increase [16]. Phase-transfer
method is also applied for preparing stable kerosene based Fe3O4 nanofluids. Oleic acid is
successfully grafted onto the surface of Fe3O4 nanoparticles by chemisorbed mode, which
lets Fe3O4 nanoparticles have good compatibility with kerosene [17]. The Fe3O4 nanofluids
prepared by phase-transfer method do not show the previously reported “time dependence
of the thermal conductivity characteristic”. The preparation of nanofluids with controllable
microstructure is one of the key issues. It is well known that the properties of nanofluids
strongly depend on the structure and shape of nanomaterials. The recent research shows
that nanofluids synthesized by chemical solution method have both higher conductivity
enhancement and better stability than those produced by the other methods [18]. This
method is distinguished from the others by its controllability. The nanofluid microstructure
can be varied and manipulated by adjusting synthesis parameters such as temperature,
acidity, ultrasonic and microwave irradiation, types and concentrations of reactants and
additives, and the order in which the additives are added to the solution.
3. The stability of nanofluids

The agglomeration of nanoparticles results in not only the settlement and clogging of
microchannels but also the decreasing of thermal conductivity of nanofluids. So the
investigation on stability is also a key issue that influences the properties of nanofluids for
application, and it is necessary to study and analyze influencing factors to the dispersion
stability of nanofluids. This section will contain: A) the stability evaluation methods for
nanofluids; B) the ways to enhance the stability of nanofluids and C) the stability
mechanisms of nanofluids.
3.1 The stability evaluation methods for nanofluids

3.1.1 Sedimentation and centrifugation methods
Many methods have been developed to evaluate the stability of nanofluids. The simplest
method is sedimentation method [19, 20]. The sediment weight or the sediment volume of
nanoparticles in a nanofluid under an external force field is an indication of the stability of
the characterized nanofluid. The variation of concentration or particle size of supernatant
particle with sediment time can be obtained by special apparatus [5]. The nanofluids are
considered to be stable when the concentration or particle size of supernatant particles keeps
constant. Sedimentation photograph of nanofluids in test tubes taken by a camera is also a
usual method for observing the stability of nanofluids [5]. Zhu et al. used a sedimentation
balance method to measure the stability of the graphite suspension [21]. The tray of
sedimentation balance immerged in the fresh graphite suspension. The weight of sediment
nanoparticles during a certain period was measured. The suspension fraction of graphite
nanoparticles at a certain time could be calculated. For the sedimentation method, long
period for observation is the defect. Therefore centrifugation method is developed to
evaluate the stability of nanofluids. Singh et al. applied the centrifugation method to
observe the stability of silver nanofluids prepared by the microwave synthesis in ethanol by
reduction of AgNO3 with PVP as stabilizing agent [12]. It has been found that the obtained
nanofluids are stable for more than 1 month in the stationary state and more than 10 h under
centrifugation at 3,000 rpm without sedimentation. Excellent stability of the obtained
nanofluid is due to the protective role of PVP as it retards the growth and agglomeration of
nanoparticles by steric effect. Li et al. prepared the aqueous polyaniline colloids, and used
the centrifugation method to evaluate the stability of the colloids [22]. Electrostatic repulsive
forces between nanofibers enabled the long-term stability of the colloids.
3.1.2 Zeta potential analysis

Zeta potential is electric potential in the interfacial double layer at the location of the
slipping plane versus a point in the bulk fluid away from the interface, and it shows the
potential difference between the dispersion medium and the stationary layer of fluid
attached to the dispersed particle. The significance of zeta potential is that its value can be
related to the stability of colloidal dispersions. So, colloids with high zeta potential (negative
or positive) are electrically stabilized while colloids with low zeta potentials tend to
coagulate or flocculate. In general, a value of 25 mV (positive or negative) can be taken as
the arbitrary value that separates low-charged surfaces from highly-charged surfaces. The
colloids with zeta potential from 40 to 60 mV are believed to be good stable, and those with
more than 60 mV have excellent stability. Kim et al. prepared Au nanofluids with an
outstanding stability even after 1 month although no dispersants were observed [23]. The
stability is due to a large negative zeta potential of Au nanoparticles in water. The influence
of pH and sodium dodecylbenzene sulfonate (SDBS) on the stability of two water-based
nanofluids was studied [24], and zeta potential analysis was an important technique to
evaluate the stability. Zhu et al. [25] measured the zeta potential of Al2O3-H2O nanofluids
under different pH values and different SDBS concentration. The Derjaguin-Laudau-
Verwey-Overbeek (DLVO) theory was used to calculate attractive and repulsive potentials.
Cationic gemini surfactant as stabilizer was used to prepare stable water based nanofluids
containing MWNTs [26]. Zeta potential measurements were employed to study the
absorption mechanisms of the surfactants on the MWNT surfaces with the help of Fourier
transformation infrared spectra.
3.1.3 Spectral absorbency analysis

Spectral absorbency analysis is another efficient way to evaluate the stability of nanofluids.
In general, there is a linear relationship between the absorbency intensity and the
concentration of nanoparticles in fluid. Huang et al. evaluated the dispersion characteristics
of alumina and copper suspensions using the conventional sedimentation method with the
help of absorbency analysis by using a spectrophotometer after the suspensions deposited
for 24 h [27]. The stability investigation of colloidal FePt nanoparticle systems was done via
Nanofluids 501
spectrophotometer analysis [28]. The sedimentation kinetics could also be determined by

examining the absorbency of particle in solution [25].
If the nanomaterials dispersed in fluids have characteristic absorption bands in the
wavelength 190-1100 nm, it is an easy and reliable method to evaluate the stability of
nanofluids using UV-vis spectral analysis. The variation of supernatant particle
concentration of nanofluids with sediment time can be obtained by the measurement of
absorption of nanofluids because there is a linear relation between the supernatant
nanoparticle concentration and the absorbance of suspended particles. The outstanding
advantage comparing to other methods is that UV-vis spectral analysis can present the
quantitative concentration of nanofluids. Hwang et al. [29] studied the stability of
nanofluids with the UV-vis spectrophotometer. It was believed that the stability of
nanofluids was strongly affected by the characteristics of the suspended particles and the
base fluid such as particle morphology. Moreover, addition of a surfactant could improve
the stability of the suspensions. The relative stability of MWNT nanofluids [26] could be
estimated by measuring the UV-vis absorption of the MWNT nanofluids at different
sediment times. From the above relation between MWNT concentration and its UV-vis
absorbance value the concentration of the MWNT nanofluids at different sediment times
could be obtained. The above three methods can be united to investigate the stability of
nanofluids. For example, Li et al. evaluated the dispersion behavior of the aqueous copper
nano-suspensions under different pH values, different dispersant type and concentration by
the method of zeta potential, absorbency and sedimentation photographs [20].
3.2 The ways to enhance the stability of nanofluids

3.2.1 Surfactants used in nanofluids
Surfactants used in nanofluids are also called dispersants. Adding dispersants in the two-
phase systems is an easy and economic method to enhance the stability of nanofluids.
Dispersants can markedly affect the surface characteristics of a system in small quantity.
Dispersants consists of a hydrophobic tail portion, usually a long-chain hydrocarbon, and a
hydrophilic polar head group. Dispersants are employed to increase the contact of two
materials, sometimes known as wettability. In a two-phase system, a dispersant tends to locate
at the interface of the two phases, where it introduces a degree of continuity between the
nanoparticles and fluids. According to the composition of the head, surfactants are divided
into four classes: non-ionic surfactants without charge groups in its head (include polyethylene
oxide, alcohols, and other polar groups); anionic surfactants with negatively charged head
groups (anionic head groups include long-chain fatty acids, sulfosuccinates, alkyl sulfates,
phosphates, and sulfonates); cationic surfactants with positively charged head groups (cationic
surfactants may be protonated long-chain amines and long-chain quaternary ammonium
compounds); and amphoteric surfactants with zwitterionic head groups (charge depends on
pH. The class of amphoteric surfactants is represented by betaines and certain lecithins). How
to select suitable dispersants is a key issue. In general, when the base fluid of nanofluids is
polar solvent, we should select water soluble surfactants, otherwise we will select oil soluble.
For nonionic surfactants, we can evaluate the solubility through the term
hydrophilic/lipophilic balance (HLB) value. The lower the HLB number the more oil soluble
the surfactants, and in turn the higher the HLB number the more water-soluble the surfactants
is. The HLB value can be obtained easily by many handbooks.
3.2.2 Surface modification techniques-surfactant free method

Although surfactant addition is an effective way to enhance the dispersibility of
nanoparticles, surfactants might cause several problems [30]. For example, the addition of
surfactants may contaminate the heat transfer media. Surfactants may produce foams when
heating, while heating and cooling are routinely processes in heat exchange systems.
Furthermore surfactant molecules attaching on the surfaces of nanoparticles may enlarge the
thermal resistance between the nanoparticles and the base fluid, which may limit the
enhancement of the effective thermal conductivity. Use of functionalized nanoparticles is a
promising approach to achieve long-term stability of nanofluid. It represents the surfactant
free technique. Yang et al. presented a work on the synthesis of functionalized silica (SiO2)
nanoparticles by grafting silanes directly to the surface of silica nanoparticles in original
nanoparticle solutions [31]. One of the unique characteristics of the nanofluids was that no
deposition layer formed on the heated surface after a pool boiling process. Chen et al.
introduced hydrophilic functional groups on the surface of the nanotubes by
mechanochemical reaction [29]. The prepared nanofluids, with no contamination to
medium, good fluidity, low viscosity, high stability, and high thermal conductivity, would
have potential applications as coolants in advanced thermal systems. A wet-
mechanochemical reaction was applied to prepare surfactant-free nanofluids containing
double- and single-walled CNTs. Results from the infrared spectrum and zeta potential
measurements showed that the hydroxyl groups had been introduced onto the treated CNT
surfaces [32]. Plasma treatment was used to modify the surface characteristics of diamond
nanoparticles [33]. Through plasma treatment using gas mixtures of methane and oxygen,
various polar groups were imparted on the surface of the diamond nanoparticles,
improving their dispersion property in water. A stable dispersion of titania nanoparticles in
an organic solvent of diethylene glycol dimethylether (diglyme) was successfully prepared
using a ball milling process [34]. In order to enhance dispersion stability of the solution,
surface modification of dispersed titania particles was carried out during the centrifugal
bead mill process. Surface modification was utilized with silane coupling agents, (3-acryl-
oxypropyl) trimethoxysilane and trimethoxypropylsilane. Zinc oxide nanoparticles could be
modified by polymethacrylic acid (PMAA) in aqueous system [35]. The hydroxyl groups of
nano-ZnO particle surface could interact with carboxyl groups of PMAA and form poly
(zinc methacrylate) complex on the surface of nano-ZnO. PMAA enhanced the dispersibility
of nano-ZnO particles in water. The modification did not alter the crystalline structure of the
ZnO nanoparticles.
3.3 Stability mechanisms of nanofluids

Particles in dispersion may adhere together and form aggregates of increasing size which
may settle out due to gravity. Stability means that the particles do not aggregate at a
significant rate. The rate of aggregation is in general determined by the frequency of
collisions and the probability of cohesion during collision. Derjaguin, Verway, Landau and
Overbeek (DVLO) developed a theory which dealt with colloidal stability [36, 37]. DLVO
theory suggests that the stability of a particle in solution is determined by the sum of van
der Waals attractive and electrical double layer repulsive forces that exist between particles
as they approach each other due to the Brownian motion they are undergoing. If the
attractive force is larger than the repulsive force, the two particles will collide, and the
Nanofluids 503
suspension is not stable. If the particles have a sufficient high repulsion, the suspensions will
exist in stable state. For stable nanofluids or colloids, the repulsive forces between particles
must be dominant. According to the types of repulsion, the fundamental mechanisms that
affect colloidal stability are divided into two kinds, one is steric repulsion, and another is
electrostatic (charge) repulsion. For steric stabilization, polymers are always involved into
the suspension system, and they will adsorb onto the particles surface, producing an
additional steric repulsive force. For example, Zinc oxide nanoparticles modified by PMAA
have good compatibility with polar solvents [35]. Silver nanofluids are very stable due to the
protective role of PVP as it retards the growth and agglomeration of nanoparticles by steric
effect. PVP is an efficient agent to improve the stability of graphite suspension [21]. The
steric effect of polymer dispersant is determined by the concentration of the dispersant. If
the PVP concentration is low, the surface of the graphite particles is gradually coated by
PVP molecules with the increase of PVP. Kamiya et al. studied the effect of polymer
dispersant structure on electrosteric interaction and dense alumina suspension behavior
[38]. An optimum hydrophilic to hydrophobic group ratio was obtained from the maximum
repulsive force and minimum viscosity. For electrostatic stabilization, surface charge will be
developed through one or more of the following mechanisms: 1) preferential adsorption of
ions; 2) dissociation of surface charged species; 3) isomorphic substitution of ions; 4)
accumulation or depletion of electrons at the surface and 5) physical adsorption of charged
species onto the surface.
4. Application of nanofluids
4.1 Heat transfer Intensification
Since the origination of the nanofluid concept about a decade ago, the potentials of
nanofluids in heat transfer applications have attracted more and more attention. Up to now,
there are some review papers, which present overviews of various aspects of nanofluids [1,
3-6, 39-44], including preparation and characterization, techniques for the measurements of
thermal conductivity, theory and model, thermophysical properties, convective heat
transfer. In this part, we will summarize the applications of nanofluids in heat transfer
enhancement.
4.1.1 Electronic applications

Due to higher density of chips, design of electronic components with more compact makes
heat dissipation more difficult. Advanced electronic devices face thermal management
challenges from the high level of heat generation and the reduction of available surface area
for heat removal. So, the reliable thermal management system is vital for the smooth
operation of the advanced electronic devices. In general, there are two approaches to
improve the heat removal for electronic equipment. One is to find an optimum geometry of
cooling devices; another is to increase the heat transfer capacity. Recent researches
illustrated that nanofluids could increase the heat transfer coefficient by increasing the
thermal conductivity of a coolant. Jang et al. designed a new cooler, combined microchannel
heat sink with nanofluids [45]. Higher cooling performance was obtained when compared to
the device using pure water as working medium. Nanofluids reduced both the thermal
resistance and the temperature difference between the heated microchannel wall and the
coolant. A combined microchannel heat sink with nanofluids had the potential as the next
generation cooling devices for removing ultra-high heat flux. Nguyen et al. designed a
closed liquid-circuit to investigate the heat transfer enhancement of a liquid cooling system,
by replacing the base fluid (distilled water) with a nanofluid composed of distilled water
and Al2O3 nanoparticles at various concentrations [46]. Measured data have clearly shown
that the inclusion of nanoparticles within the distilled water has produced a considerable
enhancement in convective heat transfer coefficient of the cooling block. With particle
loading 4.5 vol%, the enhancement is up to 23% with respect to that of the base fluid. It has
also been observed that an augmentation of particle concentration has produced a clear
decrease of the junction temperature between the heated component and the cooling block.
Silicon microchannel heat sink performance using nanofluids containing Cu nanoparticles
was analyzed [47]. It was found nanofluids could enhance the performance as compared
with that using pure water as the coolant. The enhancement was due to the increase in
thermal conductivity of coolant and the nanoparticle thermal dispersion effect. The other
advantage was that there was no extra pressure drop since the nanoparticle was small and
particle volume fraction was low.
The thermal requirements on the personal computer become much stricter with the increase
in thermal dissipation of CPU. One of the solutions is the use of heat pipes. Nanofluids,
employed as working medium for conventional heat pipe, have shown higher thermal
performances, having the potential as a substitute for conventional water in heat pipe. At a
same charge volume, there is a significant reduction in thermal resistance of heat pipe with
nanofluid containing gold nanoparticles as compared with water [48]. The measured results
also show that the thermal resistance of a vertical meshed heat pipe varies with the size of
gold nanoparticles. The suspended nanoparticles tend to bombard the vapor bubble during
the bubble formation. Therefore, it is expected that the nucleation size of vapor bubble is
much smaller for fluid with suspended nanoparticles than that without them. This may be
the major reason for reducing the thermal resistance of heat pipe. Chen et al. studied the
effect of a nanofluid on flat heat pipe (FHP) thermal performance [49], using silver
nanofluid as the working fluid. The temperature difference and the thermal resistance of the
FHP with the silver nanoparticle solution were lower than those with pure water. The
plausible reasons for enhancement of the thermal performance of the FHP using the
nanofluid can be explained by the critical heat flux enhancement by higher wettability and
the reduction of the boiling limit. Nanofluid oscillating heat pipe with ultrahigh-
performance was developed by Ma et al. [50]. They combined nanofluids with thermally
excited oscillating motion in an oscillating heat pipe, and heat transport capability
significantly increased. For example, at the input power of 80.0 W, diamond nanofluid could
reduce the temperature difference between the evaporator and the condenser from 40.9 to
24.3°C. This study would accelerate the development of a highly efficient cooling device for
ultrahigh-heat-flux electronic systems. The thermal performance investigation of heat pipe
indicated that nanofluids containing silver or titanium nanoparticles could be used as an
efficient cooling fluid for devices with high energy density. For a silver nanofluid, the
temperature difference decreased 0.56-0.65℃ compared to water at an input power of 30-50
W [51]. For the heat pipe with titanium nanoparticles at a volume concentration of 0.10%,
the thermal efficiency is 10.60% higher than that with the based working fluid [52]. These
positive results are promoting the continued research and development of nanofluids for
such applications.
Nanofluids 505
4.1.2 Transportation
Nanofluids have great potentials to improve automotive and heavy-duty engine cooling
rates by increasing the efficiency, lowering the weight and reducing the complexity of
thermal management systems. The improved cooling rates for automotive and truck engines
can be used to remove more heat from higher horsepower engines with the same size of
cooling system. Alternatively, it is beneficial to design more compact cooling system with
smaller and lighter radiators. It is in turn benefit the high performance and high fuel
economy of car and truck. Ethylene glycol based nanofluids have attracted much attention
in the application as engine coolant [53-55], due to the low-pressure operation compared
with a 50/50 mixture of ethylene glycol and water, which is the nearly universally used
automotive coolant. The nanofluids has a high boiling point, and it can be used to increase
the normal coolant operating temperature and then reject more heat through the existing
coolant system [56]. Kole et al. prepared car engine coolant (Al2O3 nanofluid) using a
standard car engine coolant (HP KOOLGARD) as the base fluid [57], and studied the
thermal conductivity and viscosity of the coolant. The prepared nanofluid, containing only
3.5% volume fraction of Al2O3 nanoparticles, displayed a fairly higher thermal conductivity
than the base fluid, and a maximum enhancement of 10.41% was observed at room
temperature. Tzeng et al. [58] applied nanofluids to the cooling of automatic transmissions.
The experimental platform was the transmission of a four-wheel drive vehicle. The used
nanofluids were prepared by dispersing CuO and Al2O3 nanoparticles into engine
transmission oil. The results showed that CuO nanofluids produced the lower transmission
temperatures both at high and low rotating speeds. From the thermal performance
viewpoint, the use of nanofluid in the transmission has a clear advantage.
The researchers of Argonne National Laboratory have assessed the applications of
nanofluids for transportation [59]. The use of high-thermal conductive nanofluids in
radiators can lead to a reduction in the frontal area of the radiator up to 10%. The fuel saving
is up to 5% due to the reduction in aerodynamic drag. It opens the door for new
aerodynamic automotive designs that reduce emissions by lowering drag. The application
of nanofluids also contributed to a reduction of friction and wear, reducing parasitic losses,
operation of components such as pumps and compressors, and subsequently leading to
more than 6% fuel savings. In fact, nanofluids not only enhance the efficiency and economic
performance of car engine, but also will greatly influence the structure design of
automotives. For example, the engine radiator cooled by a nanofluid will be smaller and
lighter. It can be placed elsewhere in the vehicle, allowing for the redesign of a far more
aerodynamic chassis. By reducing the size and changing the location of the radiator, a
reduction in weight and wind resistance could enable greater fuel efficiency and
subsequently lower exhaust emissions. Computer simulations from the US department of
energy’s office of vehicle technology showed that nanofluid coolants could reduce the size
of truck radiators by 5%. This would result in a 2.5% fuel saving at highway speeds.
The practical applications are on the road. In USA, car manufacturers GM and Ford are
running their own research programs on nanofluid applications. A €8.3 million FP7 project,
named NanoHex (Nanofluid Heat Exchange), began to run. It involved 12 organizations
from Europe and Israel ranging from Universities to SME’s and major companies. NanoHex
is overcoming the technological challenges faced in development and application of reliable
and safe nanofluids for more sophisticated, energy efficient, and environmentally friendly
products and services [60].
4.1.3 Industrial cooling applications

The application of nanofluids in industrial cooling will result in great energy savings and
emissions reductions. For US industry, the replacement of cooling and heating water with
nanofluids has the potential to conserve 1 trillion Btu of energy [39, 61]. For the US electric
power industry, using nanofluids in closed loop cooling cycles could save about 10-30
trillion Btu per year (equivalent to the annual energy consumption of about 50,000–150,000
households). The associated emissions reductions would be approximately 5.6 million
metric tons of carbon dioxide, 8,600 metric tons of nitrogen oxides, and 21,000 metric tons of
sulfur dioxide.
Experiments were performed using a flow-loop apparatus to explore the performance of
polyalphaolefin nanofluids containing exfoliated graphite nanoparticle fibers in cooling [63].
It was observed that the specific heat of nanofluids was found to be 50% higher for
nanofluids compared with polyalphaolefin and it increased with temperature. The thermal
diffusivity was found to be 4 times higher for nanofluids. The convective heat transfer was
enhanced by ~10% using nanofluids compared with using polyalphaolefin. Ma et al.
proposed the concept of nano liquid-metal fluid, aiming to establish an engineering route to
make the highest conductive coolant with about several dozen times larger thermal
conductivity than that of water [64]. The liquid metal with low melting point is expected to
be an idealistic base fluid for making super conductive solution which may lead to the
ultimate coolant in a wide variety of heat transfer enhancement area. The thermal
conductivity of the liquid-metal fluid can be enhanced through the addition of more
conductive nanoparticles.
4.1.4 Heating buildings and reducing pollution

Nanofluids can be applied in the building heating systems. Kulkarni et al. evaluated how
they perform heating buildings in cold regions [65]. In cold regions, it is a common practice
to use ethylene or propylene glycol mixed with water in different proportions as a heat
transfer fluid. So 60:40 ethylene glcol/water (by weight) was selected as the base fluid. The
results showed that using nanofluids in heat exchangers could reduce volumetric and mass
flow rates, resulting in an overall pumping power savings. Nanofluids necessitate smaller
heating systems, which are capable of delivering the same amount of thermal energy as
larger heating systems, but are less expensive. This lowers the initial equipment cost
excluding nanofluid cost. This will also reduce environmental pollutants because smaller
heating units use less power, and the heat transfer unit has less liquid and material waste to
discard at the end of its life cycle.
4.1.5 Nuclear systems cooling

The Massachusetts Institute of Technology has established an interdisciplinary center for
nanofluid technology for the nuclear energy industry. The researchers are exploring the
nuclear applications of nanofluids, specifically the following three [66]: 1) main reactor
coolant for pressurized water reactors (PWRs). It could enable significant power uprates in
current and future PWRs, thus enhancing their economic performance. Specifically, the use
of nanofluids with at least 32% higher critical heat flux (CHF) could enable a 20% power
density uprate in current plants without changing the fuel assembly design and without
Nanofluids 507
reducing the margin to CHF; 2) coolant for the emergency core cooling systems (ECCSs) of
both PWRs and boiling water reactors. The use of a nanofluid in the ECCS accumulators and
safety injection can increase the peak-cladding-temperature margins (in the nominal-power
core) or maintain them in uprated cores if the nanofluid has a higher post-CHF heat transfer
rate; 3) coolant for in-vessel retention of the molten core during severe accidents in high-
power-density light water reactors. It can increase the margin to vessel breach by 40%
during severe accidents in high-power density systems such as Westinghouse APR1000 and
the Korean APR1400. While there exist several significant gaps, including the nanofluid
thermal-hydraulic performance at prototypical reactor conditions and the compatibility of
the nanofluid chemistry with the reactor materials. Much work should be done to overcome
these gaps before any applications can be implemented in a nuclear power plant.
4.1.6 Space and defense

Due to the restriction of space, energy and weight in space station and aircraft, there is a
strong demand for high efficient cooling system with smaller size. You et al. [67] and
Vassalo et al. [68] have reported order of magnitude increases in the critical heat flux in pool
boiling with nanofluids compared to the base fluid alone. Further research of nanofluids
will lead to the development of next generation of cooling devices that incorporate
nanofluids for ultrahigh-heat-flux electronic systems, presenting the possibility of raising
chip power in electronic components or simplifying cooling requirements for space
applications. A number of military devices and systems require high-heat flux cooling to the
level of tens of MW/m2. At this level, the cooling of military devices and system is vital for
the reliable operation. Nanofluids with high critical heat fluxes have the potential to provide
the required cooling in such applications as well as in other military systems, including
military vehicles, submarines, and high-power laser diodes. Therefore, nanofluids have
wide application in space and defense fields where power density is very high and the
components should be smaller and weight less.
4.2 Mass transfer enhancement

Several researches have studied the mass transfer enhancement of nanofluids. Kim et al.
initially examined the effect of nanoparticles on the bubble type absorption for NH3/H2O
absorption system [69]. The addition of nanoparticles enhances the absorption performance
up to 3.21 times. Then they visualized the bubble behavior during the NH3/H2O absorption
process and studied the effect of nanoparticles and surfactants on the absorption
characteristics [70]. The results show that the addition of surfactants and nanoparticles
improved the absorption performance up to 5.32 times. The addition of both surfactants and
nanoparticles enhanced significantly the absorption performance during the ammonia
bubble absorption process. The theoretical investigations of thermodiffusion and
diffusionthermo on convective instabilities in binary nanofluids for absorption application
were conducted. Mass diffusion is induced by thermal gradient. Diffusionthermo implies
that heat transfer is induced by concentration gradient [71]. Ma et al. studied the mass
transfer process of absorption using CNTs-ammonia nanofluids as the working medium [72,
73]. The absorption rates of the CNTs-ammonia binary nanofluids were higher than those of
ammonia solution without CNTs. The effective absorption ratio of the CNTs-ammonia
binary nanofluids increased with the initial concentration of ammonia and the mass fraction
of CNTs. Komati et al. studied CO2 absorption into amine solutions, and the addition of
ferrofluids increased the mass transfer coefficient in gas/liquid mass transfer [74], and the
enhancement extent depended on the amount of ferrofluid added. The enhancement in mass
transfer coefficient was 92.8% for a volume fraction of the fluid of about 50% (solid
magnetite volume fraction of about 0.39%). The research about the influence of Al2O3
nanofluid on the falling film absorption with ammonia-water showed that the sorts of
nanoparticles and surfactants in the nanofluid and the concentration of ammonia in the
basefluid were the key parameters influencing the absorption effect of ammonia [75].
4.3 Energy applications

4.3.1 Energy storage
The temporal difference of energy source and energy needs made necessary the
development of storage system. The storage of thermal energy in the form of sensible and
latent heat has become an important aspect of energy management with the emphasis on
efficient use and conservation of the waste heat and solar energy in industry and buildings
[76]. Latent heat storage is one of the most efficient ways of storing thermal energy. Wu et al.
evaluated the potential of Al2O3-H2O nanofluids as a new phase change material (PCM) for
the thermal energy storage of cooling systems. The thermal response test showed the
addition of Al2O3 nanoparticles remarkably decreased the supercooling degree of water,
advanced the beginning freezing time and reduced the total freezing time. Only adding 0.2
wt% Al2O3 nanoparticles, the total freezing time of Al2O3-H2O nanofluids could be reduced
by 20.5%. Liu et al. prepared a new sort of nanofluid phase change materials (PCMs) by
suspending small amount of TiO2 nanoparticles in saturated BaCl2 aqueous solution [77].
The nanofluids PCMs possessed remarkably high thermal conductivities compared to the
base material. The cool storage/supply rate and the cool storage/supply capacity all
increased greatly than those of BaCl2 aqueous solution without added nanoparticles. The
higher thermal performances of nanofluids PCMs indicate that they have a potential for
substituting conventional PCMs in cool storage applications. Copper nanoparticles are
efficient additives to improve the heating and cooling rates of PCMs [78]. For composites
with 1 wt % copper nanoparticle, the heating and cooling times could be reduced by 30.3
and 28.2%, respectively. The latent heats and phase-change temperatures changed very little
after 100 thermal cycles.
4.3.2 Solar absorption

Solar energy is one of the best sources of renewable energy with minimal environmental
impact. The conventional direct absorption solar collector is a well established technology,
and it has been proposed for a variety of applications such as water heating; however the
efficiency of these collectors is limited by the absorption properties of the working fluid,
which is very poor for typical fluids used in solar collectors. Recently this technology has
been combined with the emerging technologies of nanofluids and liquid-nanoparticle
suspensions to create a new class of nanofluid-based solar collectors. Otanicar et al. reported
the experimental results on solar collectors based on nanofluids made from a variety of
nanoparticles (CNTs, graphite, and silver) [79]. The efficiency improvement was up to 5% in
solar thermal collectors by utilizing nanofluids as the absorption media. In addition they
compared the experimental data with a numerical model of a solar collector with direct
Nanofluids 509
absorption nanofluids. The experimental and numerical results demonstrated an initial

rapid increase in efficiency with volume fraction, followed by a leveling off in efficiency as
volume fraction continues to increase. Theoretical investigation on the feasibility of using a
nonconcentrating direct absorption solar collector showed that the presence of nanoparticles
increased the absorption of incident radiation by more than nine times over that of pure
water [80]. Under the similar operating conditions, the efficiency of an absorption solar
collector using nanofluid as the working fluid was found to be up to 10% higher (on an
absolute basis) than that of a flat-plate collector. Otanicar et al. evaluated the overall
economic and environmental impacts of the technology in contrast with conventional solar
collectors using the life cycle assessment methodology [81]. Results showed that for the
current cost of nanoparticles the nanofluid based solar collector had a slightly longer
payback period but at the end of its useful life has the same economic saving as a
conventional solar collector. Sani et al. investigated the optical and thermal properties of
nanofluids consisting in aqueous suspensions of single wall carbon nanohorns [82]. The
observed nanoparticle-induced differences in optical properties appeared promising,
leading to a considerably higher sunlight absorption. Both these effects, together with the
possible chemical functionalization of carbon nanohorns, make this new kind of nanofluids
very interesting for increasing the overall efficiency of the sunlight exploiting device.
4.4 Mechanical applications

4.4.1 Friction reduction
Advanced lubricants can improve productivity through energy saving and reliability of
engineered systems. Tribological research heavily emphasizes reducing friction and wear.
Nanoparticles have attracted much interest in recent years due to their excellent load-
carrying capacity, good extreme pressure and friction reducing properties. Zhou et al.
evaluated the tribological behavior of Cu nanoparticles in oil on a four-ball machine. The
results showed that Cu nanoparticles as an oil additive had better friction-reduction and
antiwear properties than zinc dithiophosphate, especially at high applied load. Meanwhile,
the nanoparticles could also strikingly improve the load-carrying capacity of the base oil
[83]. Dispersion of solid particles was found to play an important role, especially when a
slurry layer was formed. Water-based Al2O3 and diamond nanofluids were applied in the
minimum quantity lubrication (MQL) grinding process of cast iron. During the nanofluid
MQL grinding, a dense and hard slurry layer was formed on the wheel surface and could
benefit the grinding performance. Nanofluids showed the benefits of reducing grinding
forces, improving surface roughness, and preventing workpiece burning. Compared to dry
grinding, MQL grinding could significantly reduce the grinding temperature [84]. Wear and
friction properties of surface modified Cu nanoparticles as 50CC oil additive were studied.
The higher the oil temperature applied, the better the tribological properties of Cu
nanoparticles were. It could be inferred that a thin copper protective film with lower elastic
modulus and hardness was formed on the worn surface, which resulted in the good
tribological performances of Cu nanoparticles, especially when the oil temperature was
higher [85]. Wang et al. studied the tribological properties of ionic liquid-based nanofluids
containing functionlized MWNTs under loads in the range of 200-800 N [86], indicating that
the nanofluids exhibited preferable friction-reduction properties under 800 N and
remarkable antiwear properties with use of reasonable concentrations. Magnetic
nanoparticle Mn0.78Zn0.22Fe2O4 was also an efficient lubricant additive. When used as a

lubricant additive in 46# turbine oil, it could improve the wear resistance, load-carrying
capacity, and antifriction ability of base oil, and the decreasing percentage of wear scar
diameter was 25.45% compared to the base oil. This was a typical self-repair phenomenon
[87]. Chen et al. reported on dispersion stability enhancement and self-repair principle
discussion of ultrafine-tungsten disulfide in green lubricating oil [88]. Ultrafine-tungsten
disulfide particulates could fill and level up the furrows on abrasive surfaces, repairing
abrasive surface well. What is more, ultrafine-tungsten disulfide particulates could form a
WS2 film with low shear stress by adsorbing and depositing in the hollowness of abrasive
surface, making the abrasive surface be more smooth, and the FeS film formed in tribology
reaction could protect the abrasive surface further, all of which realize the self-repair to
abrasive surface. The tribological properties of liquid paraffin with SiO2 nanoparticles
additive made by a sol-gel method was investigated by Peng et al. [89]. The optimal
concentrations of SiO2 nanoparticles in liquid paraffin was associated with better
tribological properties than pure paraffin oil, and an anti-wear ability that depended on the
particle size, and oleic acid surface-modified SiO2 nanoparticles with an average diameter of
58 nm provided better tribological properties in load-carrying capacity, anti-wear and
friction-reduction than pure liquid paraffin. Nanoparticles can easily penetrate into the
rubbing surfaces because of their nanoscale. During the frictional process, the thin physical
tribofilm of the nanoparticles forms between rubbing surfaces, which cannot only bear the
load but also separates the rubbing faces. The spherical SiO2 nanoparticles could roll
between the rubbing faces in sliding friction, the originally pure sliding friction becomes
mixed sliding and rolling friction. Therefore, the friction coefficient declines markedly and
then remains constant.
4.4.2 Magnetic sealing

Magnetic fluids (Ferromagnetic fluid) are kinds of special nanofluids. They are stable
colloidal suspensions of small magnetic particles such as magnetite (Fe3O4). The properties
of the magnetic nanoparticles, the magnetic component of magnetic nanofluids, may be
tailored by varying their size and adapting their surface coating in order to meet the
requirements of colloidal stability of magnetic nanofluids with non-polar and polar carrier
liquids [90]. Comparing with the mechanical sealing, magnetic sealing offers a cost-effective
solution to environmental and hazardous-gas sealing in a wide variety of industrial rotation
equipment with high speed capability, low friction power losses and long life and high
reliability [91]. A ring magnet forms part of a magnetic circuit in which an intense magnetic
field is established in the gaps between the teeth on a magnetically permeable shaft and the
surface of an opposing pole block. Ferrofluid introduced into the gaps forms discrete liquid
rings capable of supporting a pressure difference while maintaining zero leakage. The seals
operate without wear as the shaft rotates because the mechanical moving parts do not touch.
With these unique characteristics, sealing liquids with magnetic fluids can be applied in
many application areas. It is reported that an iron particle dispersed magnetic fluids was
utilized in the sealing of a high rotation pump. The sealing holds pressure of 618 kPa with a
1800 r/min [92]. Mitamura et al. studied the application of a magnetic fluid seal to rotary
blood pumps. The developed magnetic fluid seal worked for over 286 days in a continuous
flow condition, for 24 days (on-going) in a pulsatile flow condition and for 24 h (electively
Nanofluids 511
terminated) in blood flow [93]. Ferro-cobalt magnetic fluid was used for oil sealing, and the
holding pressure is 25 times as high as that of a conventional magnetite sealing [94].
4.5 Biomedical application

4.5.1 Antibacterial activity
Organic antibacterial materials are often less stable particularly at high temperatures or
pressures. As a consequence, inorganic materials such as metal and metal oxides have
attracted lots of attention over the past decade due to their ability to withstand harsh
process conditions. The antibacterial behaviour of ZnO nanofluids shows that the ZnO
nanofluids have bacteriostatic activity against [95]. Electrochemical measurements suggest
some direct interaction between ZnO nanoparticles and the bacteria membrane at high ZnO
concentrations. Jalal et al. prepared ZnO nanoparticles via a green method. The antibacterial
activity of suspensions of ZnO nanoparticles against Escherichia coli (E. coli) has been
evaluated by estimating the reduction ratio of the bacteria treated with ZnO. Survival ratio
of bacteria decreases with increasing the concentrations of ZnO nanofluids and time [96].
Further investigations have clearly demonstrated that ZnO nanoparticles have a wide range
of antibacterial effects on a number of other microorganisms. The antibacterial activity of
ZnO may be dependent on the size and the presence of normal visible light [97]. Recent
research showed that ZnO nanoparticles exhibited impressive antibacterial properties
against an important foodborne pathogen, E. coli O157:H7, and the inhibitory effects
increased as the concentrations of ZnO nanoparticles increased. ZnO nanoparticles changed
the cell membrane components including lipids and proteins. ZnO nanoparticles could
distort bacterial cell membrane, leading to loss of intracellular components, and ultimately
the death of cells, considered as an effective antibacterial agent for protecting agricultural
and food safety [98].
The antibacterial activity research of CuO nanoparticles showed that they possessed
antibacterial activity against four bacterial strains. The size of nanoparticles was less than
that of the pore size in the bacteria and thus they had a unique property of crossing the cell
membrane without any hindrance. It could be hypothesized that these nanoparticles formed
stable complexes with vital enzymes inside cells which hampered cellular functioning
resulting in their death [99]. Bulk equivalents of these products showed no inhibitory
activity, indicating that particle size was determinant in activity [100]. Lee et al. reported the
antibacterial efficacy of nanosized silver colloidal solution on the cellulosic and synthetic
fabrics [101]. The antibacterial treatment of the textile fabrics was easily achieved by
padding them with nanosized silver colloidal solution. The antibacterial efficacy of the
fabrics was maintained after many times laundering. Silver colloid is an efficient
antibacterial agent. The silver colloid prepared by a one-step synthesis showed high
antimicrobial and bactericidal activity against Gram-positive and Gram-negative bacteria,
including highly multiresistant strains such as methicillin-resistant staphylococcus aureus.
The antibacterial activity of silver nanoparticles was found to be dependent on the size of
silver particles. A very low concentration of silver gave antibacterial performance [102]. The
aqueous suspensions of fullerenes and nano-TiO2 can produce reactive oxygen species
(ROS). Bacterial (E. coli) toxicity tests suggestted that, unlike nano-TiO2 which was
exclusively phototoxic, the antibacterial activity of fullerene suspensions was linked to ROS
production. Nano-TiO2 may be more efficient for water treatment involving UV or solar
energy, to enhance contaminant oxidation and perhaps for disinfection. However, fullerol
and PVP/C60 may be useful as water treatment agents targeting specific pollutants or
microorganisms that are more sensitive to either superoxide or singlet oxygen [103]. Lyon et
al. proposed that C60 suspensions exerted ROS-independent oxidative stress in bacteria, with
evidence of protein oxidation, changes in cell membrane potential, and interruption of
cellular respiration. This mechanism requires direct contact between the nanoparticle and
the bacterial cell and differs from previously reported nanomaterial antibacterial
mechanisms that involve ROS generation (metal oxides) or leaching of toxic elements
(nanosilver) [104].
4.5.2 Nanodrug delivery

Over the last few decades, colloidal drug delivery systems have been developed in order to
improve the efficiency and the specificity of drug action [105]. The small size, customized
surface, improved solubility, and multi-functionality of nanoparticles open many doors and
create new biomedical applications. The novel properties of nanoparticles offer the ability to
interact with complex cellular functions in new ways [106]. Gold nanoparticles provide non-
toxic carriers for drug and gene delivery applications. With these systems, the gold core
imparts stability to the assembly, while the monolayer allows tuning of surface properties
such as charge and hydrophobicity. Another attractive feature of gold nanoparticles is their
interaction with thiols, providing an effective and selective means of controlled intracellular
release [107]. Nakano et al. proposed the drug delivery system using nano-magnetic fluid
[108], which targetted and concentrated drugs using a ferrofluid cluster composed of
magnetic nanoparticles. The potential of magnetic nanoparticles stems from the intrinsic
properties of their magnetic cores combined with their drug loading capability and the
biochemical properties that can be bestowed on them by means of a suitable coating. CNT
has emerged as a new alternative and efficient tool for transporting and translocating
therapeutic molecules. CNT can be functionalised with bioactive peptides, proteins, nucleic
acids and drugs, and used to deliver their cargos to cells and organs. Because functionalised
CNT display low toxicity and are not immunogenic, such systems hold great potential in the
field of nanobiotechnology and nanomedicine [109, 110]. Pastorin et al. have developed a
novel strategy for the functionalisation of CNTs with two different molecules using the 1,3-
dipolar cycloaddition of azomethine ylides [111]. The attachment of molecules that will
target specific receptors on tumour cells will help improve the response to anticancer agents.
Liu et al. have found that prefunctionalized CNTs can adsorb widely used aromatic
molecules by simple mixing, forming “forest–scrub”-like assemblies on CNTs with PEG
extending into water to impart solubility and aromatic molecules densely populating CNT
sidewalls. The work establishes a novel, easy-to-make formulation of a SWNT-doxorubicin
complex with extremely high drug loading efficiency [112].
In recent years, graphene based drug delivery systems have attracted more and more
attention. In 2008, Sun et al. firstly reported the application of nano-graphene oxide (NGO)
for cellular imaging and drug delivery [113]. They have developed functionalization
chemistry in order to impart solubility and compatibility of NGO in biological
environments. Simple physicosorption via π-stacking can be used for loading doxorubicin, a
widely used cancer drug onto NGO functionalized with antibody for selective killing of
cancer cells in vitro. Functional nanoscale graphene oxide is found to be a novel nanocarrier
Nanofluids 513
for the loading and targeted delivery of anticancer drugs [114]. Controlled loading of two
anticancer drugs onto the folic acid-conjugated NGO via π–π stacking and hydrophobic
interactions demonstrated that NGO loaded with the two anticancer drugs showed specific
targeting to MCF-7 cells (human breast cancer cells with folic acid receptors), and
remarkably high cytotoxicity compared to NGO loaded with either doxorubicin or
camptothecin only. The PEGylated (PEG: polyethylene glycol) nanographene oxide could be
used for the delivery of water-insoluble cancer drugs [115]. PEGylated NGO readily
complexes with a water insoluble aromatic molecule SN38, a camptothecin analogue, via
noncovalent van der Waals interaction. The NGO-PEG-SN38 complex exhibits excellent
aqueous solubility and retains the high potency of free SN38 dissolved in organic solvents.
Yang et al. found GO-Fe3O4 hybrid could be loaded with anti-cancer drug doxorubicin
hydrochloride with a high loading capacity [116]. This GO-Fe3O4 hybrid showed
superparamagnetic property and could congregate under acidic conditions and be
redispersed reversibly under basic conditions. This pH-triggered controlled magnetic
behavior makes this material a promising candidate for controlled targeted drug delivery.
4.6 Other applications

4.6.1 Intensify microreactors
The discovery of high enhancement of heat transfer in nanofluids can be applicable to the
area of process intensification of chemical reactors through integration of the functionalities
of reaction and heat transfer in compact multifunctional reactors. Fan et al. studied a
nanofluid based on benign TiO2 material dispersed in ethylene glycol in an integrated
reactor-heat exchanger [117]. The overall heat transfer coefficient increase was up to 35% in
the steady state continuous experiments. This resulted in a closer temperature control in the
reaction of selective reduction of an aromatic aldehyde by molecular hydrogen and very
rapid change in the temperature of reaction under dynamic reaction control.
4.6.2 Nanofluids as vehicular brake fluids

A vehicle’s kinetic energy is dispersed through the heat produced during the process of
braking and this is transmitted throughout the brake fluid in the hydraulic braking system
[39], and now there is a higher demand for the properties of brake oils. Copper-oxide and
aluminum-oxide based brake nanofluids were manufactured using the arc-submerged
nanoparticle synthesis system and the plasma charging arc system, respectively [118, 119].
The two kinds of nanofluids both have enhanced properties such as a higher boiling point,
higher viscosity and a higher conductivity than that of traditional brake fluid. By yielding a
higher boiling point, conductivity and viscosity, the nanofluid brake oil will reduce the
occurrence of vapor-lock and offer increased safety while driving.
4.6.3 Nanofluids based microbial fuel cell

Microbial fuel cells (MFC) that utilize the energy found in carbohydrates, proteins and other
energy rich natural products to generate electrical power have a promising future. The
excellent performance of MFC depends on electrodes and electron mediator. Sharma et al.
constructed a novel microbial fuel cell (MFC) using novel electron mediators and CNT
based electrodes [120]. The novel mediators are nanofluids which were prepared by
dispersing nanocrystalline platinum anchored CNTs in water. They compared the

performance of the new E. coli based MFC to the previously reported E. coli based microbial
fuel cells with Neutral Red and Methylene Blue electron mediators. The performance of the
MFC using CNT based nanofluids and CNT based electrodes has been compared against
plain graphite electrode based MFC. CNT based electrodes showed as high as ~6 fold
increase in the power density compared to graphite electrodes. The work demonstrates the
potential of noble metal nanoparticles dispersed on CNT based MFC for the generation of
high energies from even simple bacteria like E. coli.
4.6.4 Nanofluids with unique optical properties

Optical filters are used to select different wavelengths of light. The ferrofluid based optical
filter has tunable properties. The desired central wavelength region can be tuned by an
external magnetic field. Philip et al. developed a ferrofluid based emulsion for selecting
different bands of wavelengths in the UV, visible and IR regions [121]. The desired range of
wavelengths, bandwidth and percentage of reflectivity could be easily controlled by using
suitably tailored ferrofluid emulsions. Mishra et al. developed nanofluids with selective
visible colors in gold nanoparticles embedded in polymer molecules of polyvinyl
pyrrolidone (PVP) in water [122]. They compared the developments in the apparent visible
colors in forming the Au-PVP nanofluids of 0.05, 0.10, 0.50, and 1.00 wt% Au-contents. The
surface plasmon bands, which occurs over 480-700 nm, varies sensitively in its position as
well as the intensity when varying the Au-content 0-1 wt%.
5. Conclusions
Many interesting properties of nanofluids have been reported in the past decades. This
paper presents an overview of the recent developments in the study of nanofluids, including
the preparation methods, the evaluation methods for their stability, the ways to enhance
their stability, the stability mechanisms, and their potential applications in heat transfer
intensification, mass transfer enhancement, energy fields, mechanical fields and biomedical
fields, etc.
Although nanofluids have displayed enormously exciting potential applications, some vital
hinders also exist before commercialization of nanofluids. The following key issues should
receive greater attention in the future. Firstly, further experimental and theoretical
researches are required to find the major factors influencing the performance of nanofluids.
Up to now, there is a lack of agreement between experimental results from different groups,
so it is important to systematically identify these factors. The detailed and accurate structure
characterizations of the suspensions may be the key to explain the discrepancy in the
experimental data. Secondly, increase in viscosity by the use of nanofluids is an important
drawback due to the associated increase in pumping power. The applications for nanofluids
with low viscosity and high conductivity are promising. Enhancing the compatibility
between nanomaterials and the base fluids through modifying the interface properties of
two phases may be one of the solution routes. Thirdly, the shape of the additives in
nanofluids is very important for the properties, therefore the new nanofluid synthesis
approaches with controllable microscope structure will be an interesting research work.
Fourthly, Stability of the suspension is a crucial issue for both scientific research and
Nanofluids 515
practical applications. The stability of nanofluids, especially the long term stability, the
stability in the practical conditions and the stability after thousands of thermal cycles should
be paid more attention. Fifthly, there is a lack of investigation of the thermal performance of
nanofluids at high temperatures, which may widen the possible application areas of
nanofluids, like in high temperature solar energy absorption and high temperature energy
storage. At the same time, high temperature may accelerate the degradation of the
surfactants used as dispersants in nanofluids, and may produce more foams. These factors
should be taken into account. Finally, the properties of nanofluids strongly depend on the
shape and property of the additive. Therefore nanofluid research can be richened and
extended through exploring new nanomaterials. For example, the newly discovered 2-D
monatomic sheet graphene is a promising candidate material to enhance the thermal
conductivity of the base fluid [123, 124]. The concept of nanofluids is extended by the use of
phase change materials, which goes well beyond simply increasing the thermal conductivity
of a fluid [125]. It is found that the indium/polyalphaolefin phase change nanofluid exhibits
simultaneously enhanced thermal conductivity and specific heat.
6. Acknowledgment
The work was supported by New Century Excellent Talents in University (NECT-10-883),
the Program for Professor of Special Appointment (Eastern Scholar) at Shanghai Institutions
of Higher Learning, and partly by National Natural Science Foundation of China (51106093).
7. References
[1] V. Trisaksri, S. Wongwises, Renew. Sust. Energ. Rev. 11, 512 (2007).
[2] S. Özerinç, S. Kakaç, A.G. Yazıcıoğlu, Microfluid Nanofluid 8, 145 (2009).
[3] X. Wang, A.S. Mujumdar, Int. J. Therm. Sci. 46, 1 (2007).
[4] X. Wang, A.S. Mujumdar, Brazilian J. Chem. Eng. 25, 613 (2008).
[5] Y. Li, J. Zhou, S. Tung, E. Schneider, S. Xi, Powder Technol. 196, 89 (2009).
[6] S. Kakaç, A. Pramuanjaroenkij, Int. J. Heat Mass Transf. 52, 3187 (2009).
[7] J.A. Eastman, S.U. Choi, S. Li, W. Yu, L.J. Thompson, Appl. Phys. Lett. 78, 718 (2001).
[8] C. Lo, T. Tsung, L. Chen, J. Cryst. Growth 277, 636 (2005).
[9] C. Lo, T. Tsung, L. Chen, C. Su, H. Lin, J. Nanopart. Res. 7, 313 (2005).
[10] H. Zhu, Y. Lin, Y. Yin, J. Colloid Interface Sci. 277, 100 (2004).
[11] H. Bönnemann, S.S. Botha, B. Bladergroen, V.M. Linkov, Appl. Organomet. Chem. 19,
768 (2005).
[12] A.K. Singh, V.S. Raykar, Colloid Polym. Sci. 286, 1667 (2008).
[13] A. Kumar, J. Colloid Interface Sci. 264, 396 (2003).
[14] H. Zhu, C. Zhang, Y. Tang, J. Wang, J. Phys. Chem. C 111, 1646 (2007).
[15] Y. Chen, X. Wang, Mater. Lett. 62, 2215 (2008).
[16] X. Feng, H. Ma, S. Huang, W. Pan, X. Zhang, F. Tian, C. Gao, Y. Cheng, J. Luo, J. Phys.
Chem. 110, 12311 (2006).
[17] W. Yu, H. Xie, L. Chen, Y. Li, Colloids Surf. A: Physicochemical And Engineering
Aspects 355, 109 (2010).
[18] L.Q. Wang, J. Fan, Nanoscale Res. Lett. 5, 1241 (2010).
[19] X. Wei, L. Wang, Particuology 8, 262 (2010).
[20] X. Li, D. Zhu, X. Wang, J. Colloid Interface Sci. 310, 456 (2007).
[21] H. Zhu, C. Zhang, Y. Tang, J. Wang, B. Ren, Y. Yin, Carbon 45, 226 (2007).
[22] D. Li, R.B. Kaner, Chem. Commun. 14, 3286 (2005).

[23] H.J. Kim, I.C. Bang, J. Onoe, Opt. Laser Eng. 47, 532 (2009).
[24] X. Wang, X. Li, S. Yang, Energy Fuels 23, 2684 (2009).
[25] D. Zhu, X. Li, N. Wang, X. Wang, J. Gao, H. Li, Curr. Appl. Phys. 9, 131 (2009).
[26] L. Chen, H. Xie, Thermochim. Acta 506, 62 (2010).
[27] J. Huang, X. Wang, Q. Long, X. Wen, Y. Zhou, L. Li, Symposium On Photonics And
Optoelectronics 1-4 (2009).
[28] M. Farahmandjou, S.A. Sebt, S.S. Parhizgar, P. Aberomand, M. Akhavan, Chin. Phys.
Lett. 26, 027501 (2009).
[29] Y. Hwang, J. Lee, C. Lee, Y. Jung, S. Cheong, B. Ku, S. Jang, Thermochim. Acta 455, 70
(2007).
[30] L. Chen, H. Xie, Y. Li, W. Yu, Thermochim. Acta 477, 21 (2008).
[31] X. Yang, Z. Liu, Nanoscale Res. Lett. 5, 1324 (2010).
[32] L. Chen, H. Xie, Thermochim. Acta 497, 67 (2010).
[33] Q. Yu, Y.J. Kim, H. Ma, Appl. Phys. Lett. 92, 103111 (2008).
[34] I.M. Joni, A. Purwanto, F. Iskandar, K. Okuyama, Ind. Eng. Chem. Res. 48, 6916 (2009).
[35] E. Tang, G. Cheng, X. Ma, X. Pang, Q. Zhao, Appl. Surf. Sci. 252, 5227 (2006).
[36] T. Missana, A. Adell, J. Colloid Interface Sci. 230, 150 (2000).
[37] I. Popa, G. Gillies, G. Papastavrou, M. Borkovec, J. Phys. Chem. B 114, 3170 (2010).
[38] H. Kamiya, Y. Fukuda, Y. Suzuki, M. Tsukada, T. Kakui, M. Naito, J. Am. Ceram. Soc.
82, 3407 (1999).
[39] K.V. Wong, O. De Leon, Adv. Mech. Eng. 2010, 1 (2010).
[40] G. Donzelli, R. Cerbino, A. Vailati, Phys. Rev. Lett. 102, 1 (2009).
[41] M. Arruebo, R. Fernández-pacheco, M.R. Ibarra, J. Santamaría, Rev. Literature Arts Am.
2, 22 (2007).
[42] W. Yu, D.M. France, D. Singh, E.V. Timofeeva, D.S. Smith, J.L. Routbort, J. Nanosci.
Nanotechnol. 10, 4824 (2010).
[43] K. Ma, J. Liu, Phys. Lett. A 361, 252 (2007).
[44] G. Paul, M. Chopkar, I. Manna, P.K. Das, Renew.Sust. Energ Rev. 14, 1913 (2010).
[45] S.P. Jang, S.U.S. Choi, Appl. Therm. Eng. 26, 2457 (2006).
[46] C.T. Nguyen, G. Roy, N. Galanis, S. Suiro, Proceedings of the 4th WSEAS Int. Conf. on
heat transfer, thermal engineering and environment, Elounda, Greece, August 21-
23, 103-108 (2006).
[47] H. Shokouhmand, M. Ghazvini, J. Shabanian, Proceedings of the World Congress on
Engineering 2008 Vol III, WCE 2008, July 2 - 4, 2008, London, U.K.
[48] C.Y. Tsaia, H.T. Chiena, P.P. Dingb, B. Chanc, T.Y. Luhd, P.H. Chena, Mater. Lett. 58,
1461 (2004).
[49] Y.T. Chen, W.C. Wei, S.W. Kang, C.S. Yu, 24th IEEE SEMI-THERM Symposium 16
(2008).
[50] H.B. Ma, C. Wilson, B. Borgmeyer, K. Park, Q. Yu, S.U.S. Choi, M. Tirumala, Appl.
Phys. Lett. 88, 143116 (2006).
[51] S.W. Kang, W.C. Wei, S.H. Tsai, C.C. Huang, Appl. Therm. Eng. 29, 973 (2009).
[52] P. Naphon, P. Assadamongkol, T. Borirak, Int. Commun. Heat Mass Transf. 35, 1316
(2008).
[53] H.Q. Xie, L.F. Chen, Phys. Lett. A 373, 1861 (2009).
[54] H.Q. Xie, W. Yu, Y. Li, J. Phys. D: Appl. Phys. 42, 095413 (2009).
[55] W. Yu, H.Q. Xie, Y. Li, L.F. Chen, Thermochim. Acta, 491, 92 (2009).
Nanofluids 517
[56] W. Yu, D.M. France, S.U.S. Choi and J.L. Routbort, “Review and Assessment of
Nanofluid Technology for Transportation and Other Applications,”Argonne
National Laboratory Technical Report, ANL/ESD/07-9, April 2007, 78 (2007).
[57] M. Kole, T.K. Dey, J. Phys. D: Appl. Phys. 43 315501(2010).
[58] S.Z. Tzeng, C.W. Lin, K.D. Huang, Acta Mechanica, 179, 11 (2005).
[59] D. Singh, J. Toutbort, G. Chen, et al., “Heavy vehicle systems optimization merit review
and peer evaluation,” Annual Report, Argonne National Laboratory, 2006.
[60] http://www.labnews.co.uk/feature_archive.php/5449/5/keeping-it-cool
[61] J. Routbort, et al., Argonne National Lab, Michellin North America, St. Gobain Corp.,
2009,
http://www1.eere.energy.gov/industry/nanomanufacturing/pdfs/nanofluids
industrial cooling.pdf.
[62] http://96.30.12.13/execsumm/VU0319--Nanofluid%20for%20Cooling%20Enhancement
%20of%20Electrical%20Power%20Equipment.pdf
[63] I.C. Nelson, D. Banerjee, R. Ponnappan, J. Thermophys. Heat Transf. 23, 752 (2009).
[64] K.Q. Ma, J. Liu, Phys. Lett. A 361, 252 (2007).
[65] D.P. Kulkarni, D.K. Das, R.S. Vajjha, Appl. Energy, 86, 2566 (2009).
[66] J. Buongiorno, L.W. Hu, J.K. Sung, R. Hannink, B. Truong, E. Forrest, Nucl. Technol.
162, 80 (2008).
[67] S.M. You, J.H. Kim, and K.H. Kim, Appl. Phys. Lett. 83, 3374 (2003).
[68] P. Vassallo, R. Kumar, S.D. Amico. Int. J. Heat Mass Transf. 47, 407 (2004).
[69] J. Kim, J. Jung, Y. Kang, Int. J. Refrig. 29, 22 (2006).
[70] J. Kim, J. Jung, Y. Kang, Int. J. Refrig. 30, 50 (2007).
[71] J. Kim, Y. Kang, C. Choi, Int. J. Refrig. 30, 323 (2007).
[72] X. Ma, F. Su, J. Chen, Y. Zhang, J. Mech. Sci. Technol. 21, 1813 (2007).
[73] X. Ma, F. Su, J. Chen, T. Bai, Z. Han, Int. Commun. Heat Mass Transf. 36, 657 (2009).
[74] S. Komati, A.K. Suresh, Chem. Technol. 1100, 1094 (2008).
[75] L. Yang, K. Du, B. Cheng, Y. Jiang, 2010 Asia-Pacific Power And Energy Engineering
Conference 1-4 (2010).
[76] M.F. Demirbas, Energy Source. Part B: Economics, Planning, and Policy 1, 85 (2006).
[77] S. Wu, D. Zhu, X. Zhang, J. Huang, Energy Fuels 24, 1894 (2010).
[78] Y. Liu, Y. Zhou, M. Tong, X. Zhou, Microfluid. Nanofluid. 7, 579 (2009).
[79] T.P. Otanicar, P.E. Phelan, R.S. Prasher, G. Rosengarten, R.a. Taylor, Renew.Sust. Energ
Rev. 2, 033102 (2010).
[80] H. Tyagi, P. Phelan, R. Prasher, J. Solar Energy Eng. 131, 041004 (2009).
[81] T.P. Otanicar, J.S. Golden, Environ. Sci. Technol. 43, 6082 (2009).
[82] E. Sani, S. Barison, C. Pagura, L. Mercatelli, P. Sansoni, D. Fontani, D. Jafrancesco, F.
Francini, Opt. Express 18, 4613 (2010).
[83] J. Zhou, Z. Wu, Z. Zhang, W. Liu, Q. Xue, Tribol. Lett. 8, 213 (2000).
[84] B. Shen, A. Shih, S. Tung, Tribology Transactions 51, 730 (2008).
[85] H. Yu, Y. Xu, P. Shi, B. Xu, X. Wang, Q. Liu, T. Nonferr. Metal. Soc. China 18, 636 (2008).
[86] B. Wang, X. Wang, W. Lou, J. Hao, J. Phys. Chem. C 114, 8749 (2010).
[87] W. Li-jun, G. Chu-wen, R. Yamane, J. Trib. 130, 031801 (2008).
[88] S. Chen, D.H. Mao, Adv. Tribol. 995 (2010).
[89] D. Peng, C. Chen, Y. Kang, Y. Chang, S. Chang, Ind. Lubr. Trib. 62, 111 (2010).
[90] L. Vekas, China Particuology 5, 43 (2007).
[91] R.E. Rosensweig, Ann. Rev. Fluid Mech. 19, 437 (1987).
[92] Y.S. Kim, K. Nakatsuka, T. Fujita, T. Atarashi, J. Magn. Magn. Mater. 201, 361 (1999).
[93] Y. Mitamura, S. Arioka, D. Sakota, K. Sekine, M. Azegami, J Phys.: Condens. Mater. 20,
204145 (2008).
[94] Y. Kim, J. Magn. Magn. Mater. 267, 105 (2003).
[95] L. Zhang, Y. Jiang, Y. Ding, M. Povey, D. York, J. Nanopart. Res. 9, 479 (2006).
[96] R. Jalal, E.K. Goharshadi, M. Abareshi, M. Moosavi, A. Yousefi, P. Nancarrow, Mater.
Chem. Phys. 121, 198 (2010).
[97] N. Jones, B. Ray, K.T. Ranjit, A.C. Manna, FEMS Microbiol. Lett. 279, 71 (2008).
[98] Y. Liu, L. He, a. Mustapha, H. Li, Z.Q. Hu, M. Lin, J. Appl. Microbiol. 107, 1193 (2009).
[99] O. Mahapatra, M. Bhagat, C. Gopalakrishnan, K. Arunachalam, J. Exp. Nanosci. 3, 185
(2008).
[100] P. Gajjar, B. Pettee, D.W. Britt, W. Huang, W.P. Johnson, A.J. Anderson, J. Biol. Eng. 3,
9 (2009).
[101] H.J. Lee, S.Y. Yeo, S.H. Jeong, Polym. 8, 2199 (2003).
[102] A. Panacek, L. Kvítek, R. Prucek, M. Kolar, R. Vecerova, N. Pizúrova, V.K. Sharma, T.
Nevecna, R. Zboril, J. Phys. Chem. B 110, 16248 (2006).
[103] L. Brunet, D.Y. Lyon, E.M. Hotze, P.J. Alvarez, M.R. Wiesner, Environ. Sci. Technol. 43,
4355 (2009).
[104] D.Y. Lyon, P.J. Alvarez, Environ. Sci. Technol. 42, 8127 (2008).
[105] A. Vonarbourg, C. Passirani, P. Saulnier, J. Benoit, Biomater. 27, 4356 (2006).
[106] R. Singh, J.W. Lillard, Exp. Mol. Pathol. 86, 215 (2009).
[107] P. Ghosh, G. Han, M. De, C.K. Kim, V.M. Rotello, Adv. Drug Deliver. Rev. 17 1307
(2008).
[108] M. Nakano, H. Matsuura, D. Ju, T. Kumazawa, S. Kimura, Y. Uozumi, N. Tonohata, K.
Koide, N. Noda, P. Bian, M. Akutsu, K. Masuyama, K. Makino, Proceedings of the
3rd International Conference on Innovative Computing, Information and Control,
ICICIC2008, Dalian, China, June 18-20 (2008).
[109] A. Bianco, K. Kostarelos, M. Prato, Curr. Opin. Chem. Biol. 9, 674 (2005).
[110] C. Tripisciano, K. Kraemer, a. Taylor, E. Borowiak-Palen, Chem. Phys. Lett. 478, 200
(2009).
[111] G. Pastorin, W. Wu, S. Wieckowski, J. Briand, K. Kostarelos, M. Prato, A. Bianco,
Chem. Commun. 1, 1182 (2006).
[112] Z. Liu, X. Sun, N. Nakayama-Ratchford, H. Dai, ACS Nano 1, 50 (2007).
[113] X. Sun, Z. Liu, K. Welsher, J.T. Robinson, A. Goodwin, S. Zaric, H. Dai, Nano Res. 1,
203 (2008).
[114] L. Zhang, J. Xia, Q. Zhao, L. Liu, Z. Zhang, Small 6, 537 (2010).
[115] Z. Liu, J.T. Robinson, X. Sun, H. Dai, J. Am. Chem. Soc. 130, 10876 (2008).
[116] X. Yang, X. Zhang, Y. Ma, Y. Huang, Y. Wang, Y. Chen, J. Mater. Chem. 19, 2710 (2009).
[117] X. Fan, H. Chen, Y. Ding, P.K. Plucinski, A.a. Lapkin, Green Chem. 10, 670 (2008).
[118] M.J. Kao, C.H. Lo, T.T. Tsung, Y.Y. Wu, C.S. Jwo, H. M. Lin, J. Alloys Compd. 434, 672
(2007).
[119] M. J. Kao, H. Chang, Y.Y. Wu, T.T. Tsung, H. M. Lin, J. Chin. Soc. Mech. Eng. 28, 123 (2007).
[120] T. Sharma, A.L.M. Reddy, T.S. Chandra, S. Ramaprabhu, Int. J. Hydrogen Energy, 33,
6749 (2008).
[121] J. Philip, T. Jaykumar, P. Kalyanasundaram, B. Raj. Meas. Sci. Technol. 14, 1289 (2003).
[122] A. Mishra, P. Tripathy, S. Ram, H.J. Fecht. J. Nanosci. Nanotechnol. 9, 4342 (2009).
[123] W. Yu, H.Q. Xie, D. Bao, Nanotechnology, 21, 055705 (2010).
[124] W. Yu, H.Q. Xie, W. Chen, J. Appl. Phys. 107, 094317 (2010).
[125] Z.H. Han, F.Y. Cao, B. Yang, Appl. Phys. Lett. 92, 243104 (2008).
23
Thermal Conductivity
of Nanoparticles Filled Polymers
Hassan Ebadi-Dehaghani and Monireh Nazempour
Shahreza Branch, Islamic Azad University
Iran
1. Introduction
Thermal conductivity of polymers is an important thermal property for both polymer
applications and processing. Polymers typically have intrinsic thermal conductivity much
lower than those for metals or ceramic materials, and therefore are good thermal insulators.
Further enhancement of this thermal insulating quality can be achieved by foaming
polymers. In other applications which require higher thermal conductivity, such as in
electronic packaging and encapsulations, satellite devices, and in areas where good heat
dissipation, low thermal expansion and light weight are needed, polymers reinforced with
fillers, organic or inorganic, are becoming more and more common in producing advanced
polymer composites for these applications (Hodgin & Estes, 1999; Tavman, 2004; Lee & Eun,
2004; Liu & Mather, 2004; Ishida & Heights, 1999; Frank & Phillip, 2002; Hermansen, 2001;
Ishida, 2000). Most polymeric materials are processed and fabricated at elevated
temperatures, often above their melting temperatures. This process may be long and
expensive because of the low thermal conductivity of polymers. Subsequently, the cooling
process or annealing may also be controlled by heat transport properties of polymers, which
eventually affect the physical properties of the materials. One example is crystalline
polymers, for which the structural and morphological features may be significantly changed
with the speed of cooling. Careful consideration in designing polymer processing is vital to
achieve desired properties.
For one-dimensional and rectilinear heat flow, the steady-state heat transfer in polymeric
materials can be described by the Fourier’s law of heat conduction:
q k (1)
where q is the heat flux (i.e., the heat transfer rate per unit area normal to the direction of
flow), x is the thickness of the material, dT/dx is the temperature gradient per unit length,
and the proportionality constant k is known as the thermal conductivity. The units for
thermal conductivity k are expressed as W/(m K) in SI units, Btu in./(ft2 h ᵒF) in English
units, and cal/(cm s ) in cgs units. The corresponding units for heat flux are expressed as
W/(m2), Btu/(ft2 h), and cal/(cm2 s), respectively.
Heat transfer involves the transport of energy from one place to another by energy carriers. In
a gas phase, gas molecules carry energy either by random molecular motion (diffusion) or by
an overall drift of the molecules in a certain direction (advection). In liquids, energy can be
transported by diffusion and advection of molecules. In solids, phonons, electrons, or photons
transport energy. Phonons, quantized modes of vibration occurring in a rigid crystal lattice,
are the primary mechanism of heat conduction in most polymers since free movement of
electrons is not possible (Majumdar, 1998). In view of theoretical prediction, the Debye
equation is usually used to calculate the thermal conductivity of polymers (Han & Fina, 2010).
(2)
where Cp is the specific heat capacity per unit volume; v is the average phonon velocity; and
l is the phonon mean free path.
For amorphous polymers, l is an extremely small constant (i.e. a few angstroms) due to
phonon scattering from numerous defects, leading to a very low thermal conductivity of
polymers (Agari et al., 1997). Table 1 displays the thermal conductivities of some polymers
(T’Joen et al., 2009), (Hu et al., 2007) and (Speight, 2005).
Thermal Conductivity at 25°C

Material
(W/m K)
Low density polyethylene (LDPE) 0.30
High density polyethylene (HDPE) 0.44
Polypropylene (PP) 0.11
Polystyrene (PS) 0.14
Polymethylmethacrylate (PMMA) 0.21
Nylon-6 (PA6) 0.25
Nylon-6.6 (PA66) 0.26
Poly(ethylene terephthalate) (PET) 0.15
Poly(butylene terephthalate) (PBT) 0.29
Polycarbonate (PC) 0.20
Poly(acrylonitrile-butadiene-styrene)
0.33
copolymer (ABS)
Polyetheretherketone (PEEK) 0.25
Polyphenylene sulfide (PPS) 0.30
Polysulfone (PSU) 0.22
Polyphenylsulfone (PPSU) 0.35
Polyvinyl chloride (PVC) 0.19
Polyvinylidene difluoride (PVDF) 0.19
Polytetrafluoroethylene (PTFE) 0.27
Poly(ethylene vinyl acetate) (EVA) 0.34
Polyimide, Thermoplastic (PI) 0.11
Poly(dimethylsiloxane) (PDMS) 0.25
Epoxy resin 0.19
Table 1. Thermal conductivities of some polymers (T’Joen et al., 2009), (Hu et al., 2007) and
(Speight, 2005).
Thermal Conductivity of Nanoparticles Filled Polymers 521
3. Thermal conductivity – measurement and modeling

3.1 Methods for thermal conductivity measurements
Several methods, as reviewed elsewhere (Tritt & Weston, 2004) and (Rides et al., 2009), have
been proposed and used for measurement of the thermal conductivity of polymers and
composites. Classical steady-state methods measure the temperature difference across the
specimens in response to an applied heating power, either as an absolute value or by
comparison with a reference material put in series or in parallel to the sample to be
measured. However, these methods are often time consuming and require relatively bulky
specimens.
Several non steady-state methods have also been developed, including hot wire and hot
plate methods, temperature wave method and laser flash techniques (Nunes dos Santos,
2007). Among these, laser-flash thermal diffusivity measurement is widely used, being a
relatively fast method, using small specimens (Nunes dos Santos, 2007), (Nunes dos Santos,
2005) and (Gaal et al., 2004). In this method, the sample surface is irradiated with a very
short laser pulse and the temperature rise is measured on the opposite side of the specimen,
permitting calculation of the thermal diffusivity of the material, after proper mathematical
elaboration. The thermal conductivity k is then calculated according to Eq. (3):
k=αCpρ (3)
where α, Cp and ρ are the thermal diffusivity, heat capacity and density, respectively.
Differential scanning calorimetry (DSC) methods may also be used, applying an oscillary
(Marcus & Blaine, 1994) or step temperature profile (Merzlyakov & Schick, 2001) and
analyzing the dynamic response.
Significant experimental error may be involved in thermal conductivity measurements, due
to difficulties in controlling the test conditions, such as the thermal contact resistance with
the sample, leading to accuracy of thermal conductivity measurements typically in the range
of 5–10%. In indirect methods, such as those calculating the thermal conductivity from the
thermal diffusivity, experimental errors on density and heat capacity values will also
contribute to the experimental error in the thermal conductivity.
3.2 Modeling of thermal conductivity in composites

Several different models developed to predict the thermal conductivity of traditional
polymer composites are reviewed elsewhere (Bigg, 1995), (Zhou et al., 2007), (Zeng et al.,
2009) and (Wang et al., 2008). The fundamentals are recalled in this section.
The two basic models representing the upper bound and the lower bound for thermal
conductivity of composites are the rule of mixture and the so-called series model,
respectively. In the rule of mixture model, also referred to as the parallel model, each phase
is assumed to contribute independently to the overall conductivity, proportionally to its
volume fraction (Eq. (4)):
kc=kpΦp+kmΦm (4)
where kc, kp, km are the thermal conductivity of the composite, particle, matrix, respectively,
and Φp, Φm volume fractions of particles and matrix, respectively. The parallel model
maximizes the contribution of the conductive phase and implicitly assumes perfect contact
between particles in a fully percolating network. This model has some relevance to the case
of continuous fiber composites in the direction parallel to fibers, but generally results in very
large overestimation for other types of composites.
On the other hand, the basic series model assumes no contact between particles and thus the
contribution of particles is confined to the region of matrix embedding the particle. The
conductivity of composites accordingly with the series model is predicted by Eq. (5):
(5)
Most of the experimental results were found to fall in between the two models. However,
the lower bound model is usually closer to the experimental data compared to the rule of
mixture (Ebadi-Dehaghani et al., 2011; Bigg, 1995), which brought to a number of different
models derived from the basic series model, generally introducing some more complex
weighted averages on thermal conductivities and volume fractions of particles and matrix.
These so-called second-order models including equations by Hashin and Shtrikman,
Hamilton and Crosser, Hatta and Taya, Agari, Cheng and Vachon as well as by Nielsen
(Bigg, 1995), (Zhou et al., 2007) and (Okamoto & Ishida 1999), appear to reasonably fit most
of the experimental data for composites based on isotropic particles as well as short fibers
and flakes with limited aspect ratio, up to loadings of about 30% in volume.
In the case of the geometric mean model, the effective thermal conductivity of the composite
is given by:
(6)
Lewis and Nielsen modified the Halpin-Tsai equation (Nielsen et al., 1994) to include the
effect of the shape of the particles and the orientation or type of packing for a two-phase
system.
(7)
Where
1 (8)
The values of A and Фmax were given for many geometric shapes and orientations
(Weidenfeller et al., 2004).
This model appears to reasonably fit most of the experimental data for composites based on
isotropic particles as well as short fibers and flakes with limited aspect ratio, up to loading of
about 30% in volume. For higher loadings, the Nielsen's model appear to best fit the rapid
increase of thermal conductivity above 30 vol.%, thanks for the introduction of the maximum
packing factor into the fitting equation, despite the evaluation of maximum packing factor in
real composites may present difficulties due to particle size distribution and particle
dispersion in the matrix. However, the basic assumption of separated particles in the effective
medium approach is not valid in principle for highly filled composites, where contacts are
likely to occur, possibly leading to thermally conductive paths (Tavman, 1996).
Maxwell, using potential theory, obtained an exact solution for the conductivity of
randomly distributed and non-interacting homogeneous spheres in a homogeneous
medium:
(9)
Other theoretical models have attempted to explain the thermal conductivity of two-phased
composites. Some of these models, such as those by Bruggeman, Botcher, De Loor, and Ce
Wen Nan et al., equations 6 to 9 respectively, have been used for prediction of thermal
conductivity of carbon nanotube composites (Bruggeman, 1935; Böttcher, 1952; deLoor,
1956; Nan et al., 2004).
(10)
(11)
(12)
(13)
In order to take into account fluctuations in thermal conductivity in the composites, Zhi et
al. (Zhi et al., 2009) proposed the concept of heat-transfer passages, to model the conduction
in regions where interparticle distance is low, applying the series model to “packed-belt” of
conductive particles.
Even though these macroscopic approaches may be of interest from the engineering point of
view, they deliver little or no information about the physical background of the observed
behavior. As an example, very limited interpretation is given to the rapidly increasing
conductivity with filler content above a certain filler loading (typically above 30 vol.%), or
why the experimental results are so far away from the upper bound conductivity, even for
highly percolated systems.
Attempts to model thermal conductivity taking into account the interfacial thermal
resistance between conductive particles and matrix have been reported by several research
groups (Nan et al., 1997), (Every et al., 1992), (Dunn & Taya, 1993), (Lipton & Vernescu,
1996) and (Torquato & Rintoul, 1995) and applied particles with different geometries and
topologies, including aligned continuous fibers, laminated flat plates, spheres, as well as
disoriented ellipsoidal particles. In general, these models provided an improved fit with
experimental data for ceramic based composites than models not accounting for interface
thermal resistance. These approaches generally assume conductive particles to be isolated in
the matrix and take into account the thermal resistance in heat transfer between conductive
particle and matrix, also known as Kapitza resistance, from the name of the discoverer of the
temperature discontinuity at the metal–liquid interface. A very simple proof of thermal
interfacial resistance is the fact that a thermal conductivity lower than the reference matrix
was experimentally found with some composites containing particles with thermal
conductivity higher than the matrix (Nan et al., 1997) and (Every et al., 1992). This
phenomenon is explained by the very low efficiency of heat transfer between particles and
matrix, so that the higher thermal conductivity of the filler cannot be taken into advantage
and the composite behaves like a hollow material, thus reducing its conductivity compared
to the dense reference matrix. Evaluation of the effective thermal conductivity of composite
polymers by considering the filler size distribution law was investigated by Holotescu et al
(Holotescu et al., 2009).
They presented an empirical model for the effective thermal conductivity (ETC) of a
polymer composite that includes dependency on the filler size distribution—chosen as the
Rosin-Rammler distribution. The ETC is determined based on certain hypotheses that
connect the behavior of a real composite material A, to that of a model composite material B,
filled with mono-dimensional filler. The application of these hypotheses to the Maxwell
model for ETC is presented. The validation of the new model and its characteristic equation
was carried out using experimental data from the reference. The comparison showed that by
using the size distribution law a very good fit between the equation of the new model (the
size distribution model for the ETC) and the reference experimental results is obtained, even
for high volume fractions, up to about 50%.
4. Crystallinity and temperature dependence

Polymer crystallinity strongly affects their thermal conductivity, which roughly varies from
0.2 W/m K for amorphous polymers such as polymethylmethacrylate (PMMA) or
polystyrene (PS), to 0.5 W/m K for highly crystalline polymers as high-density polyethylene
(HDPE) (Hu et al., 2007). The thermal conductivity of semi-crystalline polymers is reported
to increase with crystallinity. As an example, the thermal conductivity of
polytetrafluoroethylene (PTFE) was found to increase linearly with crystallinity at 232 °C
(Price & Jarratt, 2002).
However, there is a large scatter in the reported experimental data of thermal conductivity
of crystalline polymers, even including some contradictory results. It should be noticed that
the thermal conductivities of polymers depend on many factors, such as chemical
constituents, bond strength, structure type, side group molecular weight, molecular density
distribution, type and strength of defects or structural faults, size of intermediate range
order, processing conditions and temperature. Furthermore, due to the phonon scattering at
the interface between the amorphous and crystalline phase and complex factors on
crystallinity of polymer, the prediction of the thermal conductivity vs. crystallinity presents
a significant degree of complexity (Han & Fina, 2010).
Semicrystalline and amorphous polymers also vary considerably in the temperature
dependence of the thermal conductivity. At low temperature, semicrystalline polymers
display a temperature dependence similar to that obtained from highly imperfect crystals,
having a maximum in the temperature range near 100 K, shifting to lower temperatures and
higher thermal conductivities as the crystallinity increases (Greig & Hardy, 1981) and (Yano
& Yamaoka, 1995), while amorphous polymers display temperature dependence similar to
that obtained for inorganic glasses with no maximum, but a significant plateau region at low
temperature range (Reese, 1969). The thermal conductivity of an amorphous polymer
increases with increasing temperature to the glass transition temperature (Tg), while it
decreases above Tg (Zhong et al., 2001) and (Dashora & Gupta, 1996). The study of the
thermal conductivity of some amorphous and partially crystalline polymers (PE, PS, PTFE
and epoxy resin) as a function of temperature in a common-use range (273–373 K) indicates
that the conductivity of amorphous polymers increases with temperature and that the
conductivity is significantly higher in crystalline than amorphous regions (Kline, 1961).
From the general overview given in the preceding, it appears that very limited thermal
conductivity is usually characteristic of polymers. On the other hand, there are many
reasons to increase thermal conductivity of polymer-based materials in various industrial
applications including circuit boards in power electronics, heat exchangers, electronics
appliances and machinery. This justifies the recent significant research efforts on thermally
conductive composite materials to overcome the limitations of traditional polymers.
5. Fillers for thermally conductive composites

Many applications would benefit from the use of polymers with enhanced thermal
conductivity. For example, when used as heat sinks in electric or electronic systems,
composites with a thermal conductivity approximately from 1 to 30 W/m K are required
(King et al., 1999). The thermal conductivity of polymers has been traditionally enhanced by
the addition of thermally conductive fillers, including graphite, carbon black, carbon fibers,
ceramic or metal particles (see Table 2) (Pierson, 1993), (Wypych, 2000), (Fischer, 2006),
Thermal Conductivity at 25 °C
Material
(W/m K)
Graphite 100 400 (on plane)
Carbon black 6 174
Carbon Nanotubes 2000 6000
Diamond 2000
PAN-based Carbon Fibre 8 70 (along the axis)
Pitch-based Carbon Fibre 530 1100 (along the axis)
Copper 483
Silver 450
Gold 345
Aluminum 204
Nickel 158
Boron Nitride 250 300
Aluminum nitride 200
Beryllium oxide 260
Aluminum oxide 20 29
Table 2. Thermal conductivities of some thermally conductive fillers (Pierson, 1993),
(Wypych, 2000), (Fischer, 2006), (Wolff & Wang, 1993) and (Kelly, 1981).
(Wolff & Wang, 1993) and (Kelly, 1981). It is worth noticing that significant scatter of data
are typically reported for thermal conductivity of fillers. This is caused by several factors,
including filler purity, crystallinity, particle size and measurement method. It is also
important to point out that some materials, typically fibers and layers, are highly anisotropic
and can show much higher conductivity along a main axis or on a plane, compared to
perpendicular direction.
High filler loadings (>30 vol.%) are typically necessary to achieve the appropriate level of
thermal conductivity in thermally conductive polymer composites, which represents a
significant processing challenge. Indeed, the processing requirements, such as possibility to
be extruded and injection molded, often limit the amount of fillers in the formulation and,
consequently, the thermal conductivity performance (King et al., 2008). Moreover, high
inorganic filler loading dramatically alters the polymer mechanical behavior and density.
For these reasons, obtaining composites having thermal conductivities higher than 4 W/m K
and usual polymer processability is very challenging at present (Han & Fina, 2010).
5.1 Carbon-based fillers

Carbon-based fillers appear to be the best promising fillers, coupling high thermal
conductivity and lightweight. Graphite, carbon fiber and carbon black are well-known
traditional carbon-based fillers. Graphite is usually recognized as the best conductive filler
because of its good thermal conductivity, low cost and fair dispersability in polymer matrix
(Causin et al., 2006) and (Tu & Ye, 2009). Single graphene sheets constituting graphite show
intrinsically high thermal conductivity of about 800 W/m K (Liu et al., 2008) or higher
(theoretically estimated to be as high as 5300 W/m K ( Veca et al., 2009) and (Stankovich et
al., 2006)), this determining the high thermal conductivity of graphite, usually reported in
the range from 100 to 400 W/m K. Expanded graphite (EG), an exfoliated form of graphite
with layers of 20–100 nm thickness, has also been used in polymer composites (Ganguli et
al., 2008), for which the thermal conductivity depends on the exfoliation degree (Park et al.,
2008), its dispersion in matrix (Mu & Feng, 2007) and the aspect ratio of the EG (Kalaitzidou
et al., 2007).
Thermal conductivity of exfoliated graphite nanocomposites was investigated by
Fukushima et al. (Fukushima et al., 2006). Since the late 1990’s, research has been reported
where intercalated, expanded, and/or exfoliated graphite nanoflakes could also be used as
reinforcements in polymer systems. The key point to utilizing graphite as a platelet
nanoreinforcement is in the ability to exfoliate graphite using Graphite Intercalated
Compounds (GICs). Natural graphite is still abundant and its cost is quite low compared to
the other nano–size carbon materials, the cost of producing graphite nanoplatelets is
expected to be ~$5/lb. This is significantly less expensive than single wall nanotubes
(SWNT) (>$45000/lb) or vapor grown carbon fiber (VGCF) ($40–50/lb), yet the mechanical,
electrical, and thermal properties of crystalline graphite flakes are comparable to those of
SWNT and VGCF. The use of exfoliated graphite flakes (xGnP) opens up many new
applications where electromagnetic shielding, high thermal conductivity, gas barrier
resistance or low flammability are required. A special thermal treatment was developed to
exfoliate graphite flakes for the production of nylon and high density polypropylene
nanocomposites. X-ray diffraction (XRD), scanning electron microscopy (SEM) and
transmission electron microscopy (TEM) were used to assess the degree of exfoliation of the
graphite platelets and the morphology of the nanocomposites. The thermal conductivity of
these composites was investigated by three different methods, namely, by DSC, modified
hot wire, and halogen flash lamp methods. The addition of small amounts of exfoliated
graphite flakes showed a marked improvement in thermal and electrical conductivity of the
composites.
Carbon fiber, typically vapor grown carbon fiber (VGCF), is another important carbon-based
filler. Polymer/VGCF composites have been reviewed by Tibbetts et al. (Tibbetts et al.,
2007). Since VGCF is composed of an annular geometry parallel to the fiber axis, thermal
conductive properties along the fiber axis are very different from the transverse direction
(estimated up to 2000 W/m K in the axial direction vs. 10–110 W/m K in the transverse
direction (Chen & Ting, 2002) and (Zhang et al, 2000)), directly affecting the thermal
conductivity of aligned composites (Mohammed & Uttandaraman, 2009) and (Kuriger et al.,
2002).
Carbon black particles are aggregates of graphite microcrystals and characteristic of their
particle size (10–500 nm) and surface area (25–150 m2/g) (Pierson, 1993). Carbon black is
reported to contribute to electrical conductivity rather than thermal conductivity (Wong et
al., 2001), (Abdel-Aal et al., 2008) and (King et al., 2006).
5.2 Metallic fillers

The filling of a polymer with metallic particles may result in both increase of thermal
conductivity and electrical conductivity in the composites. However, a density increase is
also obtained when adding significant metal loadings to the polymer matrix, thus limiting
applications when lightweight is required. Metallic particles used for thermal conductivity
improvement include powders of aluminum, silver, copper and nickel. Boudenne et al
studied the thermal behavior of polypropylene filled with copper particles (Kumlutaş et al.,
2003). In this work thermal conductivity, diffusivity, effusivity and specific heat of
polypropylene matrix filled with copper particles of two different sizes were investigated. A
parallel study of the evolution of the electrical conductivity was also carried out. The highest
heat transport ability was observed for the composites filled with the smaller particles. The
Agari's model provides a good estimation of the thermal conductivity of composites for all
filler concentrations. Polymers modified with the inclusion of metallic particles include
polyethylene (Kumlutaş et al., 2003), polypropylene (Boudenne et al., 2005), polyamide
(Tekce et al., 2007), polyvinylchloride and epoxy resins (Mamunya et al., 2002), showing
thermal conductivity performance depending on the thermal conductivity of the metallic
fillers, the particle shape and size, the volume fraction and spatial arrangement in the
polymer matrix. Thermal conductivity of metal powder-polymer feedstock for powder
injection moulding was studied by Kowalski et al. (Kowalski et al., 1999).
Thermal conductivity of a powder injection molding feedstock (mixture of metal powders
and polymers) in solid and molten states has been measured by using the laser flash
method. The filler material was 316L stainless steel powder and its content in the mixture
amounted 60% by volume. An attempt has been made to employ two most promising
existing mathematical models (theoretical Maxwell- and semi-theoretical Lewis & Nielsen
model) to calculate the thermal conductivity of the mixture (see section 1.3.2). Comparison
of the experimental and calculated results has revealed that the Lewis & Nielsen model
predicts better than Maxwell model the thermal conductivity of the feedstock. As the
difference between the calculated (Maxwell model) and the measured results amounts to
15–85%, it is suggested that it can only be used for preliminary assessment of the thermal
conductivity of so highly filled composite material. If accurate thermal conductivity data are
required (as in case of numerical simulation of the powder injection moulding process),
measurement of this property has to be performed if meaningful simulation results are to be
expected.
5.3 Ceramic fillers

Ceramic powder reinforced polymer materials have been used extensively as electronic
materials. Being aware of the high electrical conductivity of metallic particles, several
ceramic materials such as aluminum nitride (AlN), boron nitride (BN), silicon carbide (SiC)
and beryllium oxide (BeO) gained more attention as thermally conductive fillers due to their
high thermal conductivity and electrical resistivity (Nu et al., 2008) and (Ishida & Rimdusit,
1998). Thermal conductivities of composites with ceramic filler are influenced by filler
packing density(Ohashi et al., 2005), particle size and size distribution (Yu et al., 2002) and
(Mu et al., 2007), surface treatment (Gu et al., 2009) and mixing methods (Zhou et al., 2007).
Models and theories for predicting the thermal conductivity of polymer composites were
discussed. Effective Medium Theory (EMT), Agari model and Nielsen model respectively
are introduced and are applied as predictions for the thermal conductivity of ceramic
particle filled polymer composites. Thermal conductivity of experimentally prepared
Si3N4/epoxy composite and some data cited from the literature are discussed using the
above theories. Feasibility of the three methods as a prediction in the whole volume fraction
region of the filler from 0 to 1 was evaluated for a comparison. As a conclusion: both EMT
and Nielsen model can give a well prediction for the thermal conductivity at a low volume
fraction of the filler; Agari model give a better prediction in the whole range, but with larger
error percentage (He et al., 2007).
6. Nanocomposites for thermal conductivity

Polymer nanocomposites are commonly defined as the combination of a polymer matrix
and additives that have at least one dimension in the nanometer range. The additives can be
one-dimensional (examples include nanotubes and fibres), two-dimensional (which include
layered minerals like clay), or three-dimensional (including spherical particles). Over the
past decade, polymer nanocomposites have attracted considerable interests in both
academia and industry, owing to their outstanding mechanical properties like elastic
stiffness and strength with only a small amount of the nanoadditives. This is caused by the
large surface area to volume ratio of nanoadditives when compared to the micro- and
macro-additives. Other superior properties of polymer nano-composites include barrier
resistance, flame retardancy, scratch/wear resistance, as well as optical, magnetic, thermal
conductivity and electrical properties. Polymer based nanocomposites can be obtained by
the addition of nanoscale particles which are classified into three categories depending on
their dimensions: nanoparticles, nanotubes and nanolayers. The interest in using nanoscaled
fillers in polymer matrices is the potential for unique properties deriving from the
nanoscopic dimensions and inherent extreme aspect ratios of the nanofillers (Mai et al.,
2006). Kumar et al. (Kumar et al., 2009) summarized six interrelated characteristics of
nanocomposites over conventional micro-composites: (1) low-percolation threshold (about

0.1–2 vol.%), (2) particle–particle correlation (orientation and position) arising at low-
volume fractions (less than 0.001), (3) large number density of particles per particle volume
(106 to 108 particles/μm3), (4) extensive interfacial area per volume of particles (103 to
104 m2/ml), (5) short distances between particles (10–50 nm at 1–8 vol.%) and (6) comparable
size scales among the rigid nanoparticles inclusion, distance between particles, and the
relaxation volume of polymer chains (Han & Fina, 2010).
Different nanoparticles have been used to improve thermal conductivity of polymers. As a
few examples, HDPE filled with 7 vol.% nanometer size expanded graphite has a thermal
conductivity of 1.59 W/m K, twice that of microcomposites (0.78 W/m K) at the same
volume content (Ye et al., 2006). Poly(vinyl butyral) (PVB), PS, PMMA and poly(ethylene
vinyl alcohol) (PEVA) based nanocomposites with 24 wt.% boron nitride nanotubes (BNNT)
have thermal conductivities of 1.80, 3.61, 3.16 and 2.50 W/m K, respectively (Zhi et al.,
2009). Carbon nanofiber was also reported to improve the thermal conductivity of polymer
composites (Sui et al., 2008) and (Elgafy & Lafdi, 2005). However, the most widely used and
studied nanoparticles for thermal conductivity are certainly carbon nanotubes (either single
wall-SWCNT or multiwall-MWCNT), which have attracted growing research interest.
Indeed, CNT couples very high thermal conductivity with outstanding aspect ratio, thus
forming percolating network at very low loadings.
Droval and co-workers (Droval et al., 2006) investigated the effect of boron nitride (BN), talc
(Mg3Si4O10 (OH)2), aluminum nitride (AlN) and aluminum oxide (Al2O3) particles, and their
impact on thermal properties. Lewis and Nielson, Cheng and Vachon, Agari and Uno
models were used to predict the evolution of thermal conductivity with filler content and
were found to describe correctly thermal conductivity. Only BN shows a real exponential
increase of conductivity over 20% v/v filler. Consequently, in best conditions introducing
30% v/v of BN allows the thermal conductivity to be multiplied by six.
A technology has been developed for making carbon-ceramic composite refractories by
combining carbon fibers as reinforcing component with a mixture matrix, which allows one
to make refractory components of various sizes and geometry, including thin-walled large
constructions (Chernenko et al., 2009). The heat resistance of these composite refractories
increases with the bulk silicization during ceramic production on a carbon-carbon substrate.
The degree of silicization is determined by the volume of the open microporosity of
transport type, which is formed by pyrolysis of a polymer coke-forming matrix in the initial
carbon plastic. The transport micropores are produced by a modification of the phenol-
formaldehyde resin additive treatment, which does not give rise to coke on pyrolysis. As a
result, the content of open pores in the carbon framework attains 55%, which enables one to
make a silicized composite refractory of density up to 2.7 g/cm3 with a compressive
strength of 250 – 300 MPa, bending strength 120–140, and tensile strength 60–80 MPa, elastic
modulus 120–140 GPa, linear expansion coefficient 3.5×10–6 – 4.5×10–6 K–1, and thermal
conductivity 6 – 8 W/(m K). These refractories are widely used in various branches of
industry. Thermal conductivity of particle filled polyethylene composite materials was
investigated by Kumlutas et al. (Kumlutas et al., 2003). In this study, the effective thermal
conductivity of aluminum filled high-density polyethylene composites is investigated
numerically as a function of filler concentration. The obtained values are compared with
experimental results and the existing theoretical and empirical models. The thermal
conductivity is measured by a modified hot-wire technique. For numerical study, the

effective thermal conductivity of particle-filled composite was calculated numerically using
the micro structural images of them. By identifying each pixel with a finite difference
equation and accompanying appropriate image processing, the effective thermal
conductivity of composite material is determined numerically. As a result of this study,
numerical results, experimental values and all the models are close to each other at low
particle content. For particle content greater than 10%, the effective thermal conductivity is
exponentially formed. All the models fail to predict thermal conductivity in this region. But,
numerical results give satisfactory values in the whole range of aluminum particle content.
6.1 Nanocomposites using inorganic fillers

Thermally conductive polymer nanocomposites based on polypropylene has been studied
(Vakili et al., 2011; Ebadi-Dehaghani et al., 2011). In this study three nanocomposite
containing 5 to 15 wt% of ZnO and CaCO3 nanoparticles prepared by extrusion were used.
The thermal conductivity (TC) of compression moulded polypropylene (PP) and PP filled
nanoparticles was studied using thermal conductivity analyser (TCA). The effect of
nanoparticle content and crystallinity on thermal conductivity was investigated using
conventional methods like SEM, XRD and DSC. The incorporation of nanoparticles
improved crystallinity and thermal conductivity simultaneously. The experimental TC
values of PP nanocomposites with different level of nanoparticles concentration showed a
linear increase with an increase in crystallinity.
6.1.1 Differential Scanning Calorimetry (DSC)

DSC measurements were investigated by conventional differential scanning calorimeter
Labsys TG (Setaram Instumentation, Caluire, France). A pellet of extruded sample, with a
weight of 8-10 mg, was placed into an alumina pan in the presence of air as the furnace
atmosphere. Measurements were performed from ambient temperature up to 200°C with
heating rate of 10°C/min. The DSC results for pure PP and nanocomposites, The Tm (peak
temperature of melting) and ΔHm (enthalpy of melting), are listed in Table 3.
The degree of crystallinity of a specimen can be calculated from the melting heat of
crystallization according to the following equation:
(14)
Where wf is the weight fraction of nanofiller and ΔH0=207.1 Jg-1 is the melting heat of 100%
crystalline PP (Bai et al., 1999).
The DSC results indicated that the addition of both nanoparticles to the PP caused only a
marginal effect on melting temperature (Tm) and no correlation of the results with the filler
concentration could be established. The calculated degree of crystallinity of the PP phase
increased with increasing content of both nanoparticles, indicating that the nanofillers
nucleated the crystallization process. (Frormann et al., 2008) This implies that the existence
of nanoparticles facilitates the crystallization of PP and this effect becomes more evident
with higher nanoparticle content (Zhao & Li, 2006). Similar results for PP/CaCO3
nanocomposites, PP/carbon nanotube composites and PP/nanoclay composites (Han &

Fina , 2011; Frormann et al., 2008; Vakili et al., 2011) have been reported. However there are
some contradicting results in the literature (Zhao & Li, 2006).
PP+5wt% PP+10wt% PP+15wt%

Neat PP
nanofiller nanofiller nanofiller
Tm (°C) 167.8 168.5 168.8 167.0
ΔHm (Jg-1) 78.0 91.2 108.9 107.7
Xc (%) 37.7 44.0 52.6 52.0
a)
PP+5wt% PP+10wt% PP+15wt%
Neat PP
nanofiller nanofiller nanofiller
Tm (°C) 167.8 168.6 168.1 168.4
ΔHm (Jg-1) 78.0 81.4 85.8 104.6
Xc (%) 37.7 39.3 41.4 50.5
b)
Table 3. Crystallization parameters of neat PP and nanocomposites. a) PP/ZnO
nanocomposite. b) PP/CaCO3 nanocomposite.
6.1.2 Thermal conductivity measurement

Thermal conductivity was measured using a TCA Thermal Conductivity Analyser (TCA-
200LT-A, Netzsch, Selb, Germany) with the guarded heat flow meter method. Each
compression molded sample (30cm×30cm sheets with 10 mm thickness) was placed between
two heated surface controlled at different temperatures with a flow of heat from the hot to
the cold surface. When thermal equilibrium was attained thermal conductivity data were
taken within an accuracy of 3%. Fig. 1 compares the effect of the nanoparticles' content on
the thermal conductivity of the nanocomposites. As seen, the value of thermal conductivity
increased with an increase in the nanoparticle concentration up to 64% and 82% for CaCO3
and ZnO respectively. The increase in TC for ZnO nanoparticles is more than CaCO3 due to
the nature of nanofiller and also crystallinity degree regarding to DSC results (Table 3).
These increases in TC for both nanoparticles are higher than that of reported values for CNF
in a PP matrix (Frormann et al., 2008).
The values obtained from the experimental study of PP nanocomposites were compared
with several TC models (Figs 2.a and 2.b). As seen the experimental results were found to
fall in between the Series and Parallel models. However, the lower bound model (series) is
usually closer to the experimental data.
Maxwell, Lewis & Nielson, Bruggeman, Bottcher and De Loor models predict fairly well
thermal conductivity values up to 10 wt% for PP/ZnO nanocomposites (Fig. 2.a). In the
concentration of 15 wt% no model could predict well the TC values and all of the mentioned
models underestimated the TC values of nanocomposite whereas in the case 5 wt% all
models overestimated the TC values.
Fig. 1. Comparing the effect of nanoparticles on the TC of PP.
a
Thermal Conductivity (W/m.K)
Experimental Value
Pralell
Series Model
Bruggeman Model
Bottcher
Deloor Model
Nan Model
wt% of Nanofiller
Fig. 2. Comparing the experimental TC values vs nanoparticle content with theoretical

models. a) PP/ZnO nanocomposite b) PP/CaCO3 nanocomposite.
This fact can be attributed to the intrinsic thermal conductivity of both nanoparticles and
their large surface area which even at lower loadings of nanofillers they are still effective to
transfer heat through the samples (Frormann et al., 2008). At a higher volume fraction, this
effect becomes stronger. Fig. 2.b the values obtained from the experimental study for
PP/CaCO3 nanocomposites are compared with a number of TC models. As seen the Ce Wen
Nan model predicts fairly well the thermal conductivity values up to 15 wt%. For the
concentration of 10 wt% all the models predict the TC values well. In the case of 15 wt%
other models underestimated the TC values of nanocomposites except for the Ce Wen Nan
model, whereas for 5 wt% all models overestimated the TC value. The predicted TC values
by the models depend on the nature of nanofiller and their relative concentrations
(Weidenfeller et al., 2004; Frormann et al., 2008).
The TC improvement in PP/ZnO nanocomposite is greater than that of PP/calcium
carbonate nanocomposites. This fact can be attributed to intrinsic thermal conductivity of
the ZnO nanoparticles. Several models have been used for prediction of TC in the
nanocomposites (see section 3.2). In the PP/ZnO nanocomposites TC values correlated well
with the values predicted by Series, Maxwell, Lewis & Nielson, Bruggeman and De Loor
models up to 10 wt%.
7. Conclusions
As electronic devices tend to become slimmer and more integrated, heat management
become a central task for device design and application. Similar issues are faced in several
other applications, including electric motors and generators, heat exchangers in power
generation, automotive, etc. Metallic materials are widely used as heat dissipation materials,
but there have been many attempts to replace the metallic materials with highly thermally
conductive polymer based composites due to their lightweight, corrosion resistance, easy
processing and lower manufacturing cost.
Thermally conductive polymer based composites are tentatively prepared by the
incorporation of thermally conductive fillers. The outstanding thermal conductivity of
mentioned fillers makes them a promising candidates to obtain highly thermally conductive
polymer based composites.
PP nanocomposites were prepared by melt extrusion in a twin screw extruder. The
introduction of nanoparticles resulted in an increase in crystallinity. Scanning electron
microscopy (SEM) indicated a good dispersion of the nanofillers within the PP matrix that
might enhance the thermal conductivity of the nanocomposites even at lower nanofiller
loadings owing to enhanced filler-matrix interaction. The thermal conductivity of PP/ZnO
nanocomposites had an increase of 82% at 15 wt% concentration comparing to that of pure
PP, while for PP/CaCO3 nanocomposite with same level of nanoparticle content it was 64%,
so it is concluded that ZnO nanoparticles had more intrinsic potential to improve thermal
conductivity of PP comparing to CaCO3 nanoparticles regarding to its nature and
crystallinity.
The thermal conductivity was increased from K=0.22 W/mK for pure PP by 64% for the
sample with 15 wt% of CaCO3 nanoparticles. These results for both nanocomposites
(PP/ZnO and PP/CaCO3) are higher than the values which reported for CNF in a PP matrix
Frormann L, Iqbal A, Abdullah S.A. 2008. The measured values were also compared with
various models in the investigated range of nanofiller concentration. The Series, Maxwell,
Lewis & Nielson, Bruggeman, Bottcher, De Loor and Ce Wen Nan models predicted fairly
well the thermal conductivity values for the samples containing more than 5 wt% of
nanoparticles. The experimental TC values of PP nanocomposites showed a linear increase
with an increase in concentration and crystallinity.
8. Abbreviations
ABS poly(acrylonitrile-butadiene-styrene) copolymer
AlN aluminum nitride
BeO beryllium oxide
BN boron nitride
BNNT boron nitride nanotubes
CNT carbon nanotube
Cp heat capacity
DSC differential scanning calorimetry
DWCNT double-walled carbon nanotube
EG expanded graphite
EPDM ethylene propylene diene rubber
EVA poly(ethylene vinyl acetate)
GNP graphite nanoplatelet
HDPE high density polyethylene
K thermal conductivity (in some figures taken from literature referred as Ke =
effective thermal conductivity)
kc thermal conductivity of composite
km thermal conductivity of matrix
kp thermal conductivity of particle
l phonon mean free path
L length parameter
LDPE low density polyethylene
MWCNT multi-walled carbon nanotube
PA6 polyamide 6
PA66 polyamide 6-6
PBT poly(butylene terephthalate)
PC polycarbonate
PDMS poly(dimethylsiloxane)
PE polyethylene
PEEK polyetheretherketone
PET poly(ethylene terephthalate)
PEVA poly(ethylene vinyl alcohol)
PI polyimide
PMDA pyromellitic dianhydride
PMMA polymethylmethacrylate
PP polypropylene
PPS polyphenylene sulfide
PPSU polyphenylsulfone
PS polystyrene
PSU polysulfone
PTFE polytetrafluoroethylene
PU polyurethane
PVB poly(vinyl butyral)
PVC polyvinyl chloride
PVDF polyvinylidene difluoride
Rk interfacial resistance
SiC silicon carbide
SWCNT single-walled carbon nanotube
Tg glass transition temperature
v average phonon velocity
VGCF vapor grown carbon fiber
Α thermal diffusivity
ρ density of the material
Φm volume fractions of matrix
Φp volume fractions of particles
wf weight fraction of particles
9. References
Abdel-Aal N.; El-Tantawy F.; Al-Hajry A. & Bououdina M. (2008), Epoxy resin/plasticized
carbon black composites. Part I. Electrical and thermal properties and their
applications, Polymer Composites, vol.29 pp. 511–517.
Agari Y., Ueda A., Omura Y. & Nagai S. (1997), Thermal diffusivity and conductivity of
PMMA–PC blends, Polymer, vol.38, pp. 801–807.
Bai F.; Li F.; Calhoun B.; Quirk R.P. & Cheng S.Z.D. (1999), Polymer Handbook, 4th edition.
In: John Wiley &Sons, Inc., New York.
Bigg D.M. (1995), Thermal conductivity of heterophase polymer compositions, Advanced
Polymer Science, vol.119, pp. 1–30.
Böttcher C. (1952), Theory of Electric Polarization, In: Elsevier. Amsterdam, Netherlands.
Boudenne A.; Ibos L.; Fois M.; Majeste J.C. & Géhin E. (2005), Electrical and thermal
behavior of polypropylene filled with copper particles, Composites: part A, vol.36,
pp. 1545–1554.
Bruggeman D. (1935), Dielectric constant and conductivity of mixtures of isotropic
materials. Annual Physics, vol.24, pp. 636-645.
Causin V.; C. Marega;A. Marigo; G. Ferrara & A. Ferraro (2006), Morphological and
structural characterization of polypropylene/conductive graphite nanocomposites,
European Polymer Journal, vol.42, pp. 3153–3161.
Chen Y. & Ting J. (2002), Ultra high thermal conductivity polymer composites, Carbon,
vol.40, pp. 359–362.
Chernenko N. M.; Yu. N.; Beilina A. & Sokolov I. (2009), TECHNOLOGICAL ASPECTS OF
HEAT RESISTANCE IN CARBON-CERAMIC COMPOSITE REFRACTORIES.
Refractories and Industrial Ceramics, Vol. 50, No. 2.
Dashora P. & Gupta G. (1996), On the temperature dependence of the thermal conductivity
of linear amorphous polymers, Polymer, vol.37, pp. 231–234.
DeLoor G. (1956), Dielectric Proberties of heterogeneous mixtures. PhD Thesis, University of

Leiden, NL. Leiden.
Droval G.; Feller J.F., Salagnac P. & Glouannec P. (2006), Thermal conductivity enhancement
of electrically insulating syndiotactic poly(styrene) matrix for diphasic conductive
polymer composites. Polymers for Advanced Technology, vol.17, pp.732–745.
Dunn M.L. & Taya M. (1993), The effective thermal conductivity of composites with coated
reinforcement and the application to imperfect interfaces, Journal of Applied Physics.
Vol.73, pp. 1711–1722.
Elgafy A. & Lafdi K. (2005), Effect of carbon nanofiber additives on thermal behavior of
phase change materials, Carbon, vol. 43, pp. 3067–3074.
Every A.G.; Tzou Y.; Hasselman D.P.H. & Ray R. (1992), The effect of particle size on the
thermal conductivity of ZnS/diamond composites, Acta Metallurgica et Materialia,
vol.40, pp. 123–129.
Ebadi-Dehaghani H.; Reiszadeh M.; Chavoshi A. & Nazempour M. (2011), A study on the
effect of zinc oxide (ZnO) and calcium carbonate (CaCO3) nanoparticles on the
thermal conductivity (TC) of polypropylene. Composites: part B (revised)
Fischer J.E. (2006), Carbon nanotubes: structure and properties. Gogotsi Y., Carbon
nanomaterials, Taylor and Francis Group, New York, pp. 51–58.
Frank H. R. & Phillip D. S. (2002), Enhanced Boron Nitride Composition and Polymer Based
High Thermal Conductivity Molding Compound, EP 0 794 227 B1.
Frormann L.; Iqbal A. & Abdullah S.A. (2008), Thermo-viscoelastic behavior of PCNF-filled
polypropylene nanocomposites. Journal of Applied Polymer Science; 107: 2695-2703.
Fukushima H.; Drzal L. T.; Rook B. P. & Rich M. J. (2006), Thermal conductivity of exfoliated
Graphite nanocomposites. Journal of Thermal Analysis and Calorimetry, Vol. 85,
pp.235–238.
Gaal P.S.; Thermitus M.A. & Stroe D.E. (2004), Thermal conductivity measurements using
the flash method, Journal of Thermal Analysis and Calorimetry, vol.78, pp. 185–189.
Ganguli S.; Roy A.K. & Anderson D.P. (2008), Improved thermal conductivity for chemically
functionalized exfoliated graphite/epoxy composites, Carbon, vol.46, pp. 806–817.
Greig D. & Hardy N.D. (1981), The thermal conductivity of semicrystalline polymers at very
low temperatures, Journal of Physics Colloq, vol.42, pp. 69–71.
Gu J.; Zhang Q.; Dang J.; Zhang J. & Yang Z. (2009), Thermal conductivity and mechanical
properties of aluminum nitride filled linear low-density polyethylene composites,
Polymer Engineering Science, vol.49, pp. 1030–1034.
Han Z. & Fina A. (2011). Thermal conductivity of carbon nanotubes and their polymer
nanocomposites: A review, Progress in Polymer Science, vol.36, Issue 7, pp.914-944.
He H.; Fu R.; Han Y.; Shen Y. & Song X (2007),Thermal conductivity of ceramic particle
filled polymer composites and theoretical predictions. Journal of Material Science,
vol.42, pp.6749–6754. DOI 10.1007/s10853-006-1480-y.
Hermansen R. D. (2001), Room-Temperature Stable, One-Component, Thermally-
Conductive, Flexible Epoxy Adhesives, EP 0 754 741 B1.
Hodgin M. J. & Estes R. H. (1999). Proceedings of the Technical Programs, NEPCO WEST
Conference, pp. 359–366.Anaheim, CA.
Holotescu S. & Stoian F. D. (2009), Evaluation of the effective thermal conductivity of
composite polymers by considering the filler size distribution law. Journal of
Zhejiang University SCIENCE A. vol. 10(5) pp.704-709.
Hu M.; Yu D. & Wei J. (2007), Thermal conductivity determination of small polymer

samples by differential scanning calorimetry. Polymer Testing, vol.26, pp.333-337.
Ishida H. (2000), Surface Treated Boron Nitride for Forming A Low Viscosity High Thermal
Conductivity Polymer Based on Boron Nitride Composition and Method, US
Patent, 6,160,042.
Ishida H. & Heights S. (1999), Composition for Forming High Thermal Conductivity
Polybenzoxazine-Based Material and Method, US Patent 5,900,447.
Ishida H. & Rimdusit S. (1998), Very high thermal conductivity obtained by boron nitride-
filled polybenzoxazine, Thermochimica Acta, vol.320, pp. 177–186.
Kalaitzidou K.; Fukushima H. & Drzal L.T. (2007), Multifunctional polypropylene
composites produced by incorporation of exfoliated graphite nanoplatelets, Carbon,
vol.45, pp. 1446–1452.
Kelly B.T. (1981), Physics of graphite, Applied Science Publishers, Barking (UK).
King J.A.; Barton R.L., Hauser R.A. & Keith J.M. (2008), Synergistic effects of carbon fillers in
electrically and thermally conductive liquid crystal polymer based resins, Polymer
Composites, vol.29, pp. 421–428.
King J.A.; Morrison F.A.; Keith J.M.; Miller M.G.; Smith R.C.; Cruz M.; Neuhalfen A.M. &
Barton R.L. (2006), Electrical conductivity and rheology of carbon-filled liquid
crystal polymer composites, Journal of Applied Polymer Science, vol.101, pp. 2680–
2688.
King J.A.; Tucker K.W.; Vogt B.D.; Weber E.H. & Quan C. (1999), Electrically and thermally
conductive nylon 6,6, Polymer Composites, vol.20, pp. 643–654.
Kline D.E. (1961), Thermal conductivity studies of polymers, Journal of Polymer Science,
vol.50, pp. 441–450.
Kowalski L.; Duszczyk J. & Katgerman L(1999), Thermal conductivity of metal powder-
polymer feedstock for powder injection moulding. Journal of Material Science, vol.34,
pp.1– 5.
Kumar A.P.; Depan D.; Tomer N.S. & Singh R.P. (2009), Nanoscale particles for polymer
degradation and stabilization—trends and future perspectives, Progress Polymer
Science, vol.34, pp. 479–515.
Kumlutas D.; Tavman I. H. & Coban M.T. (2003). Thermal conductivity of particle filled
polyethylene composite materials. Composites Science and Technology, vol.63, pp.113–
117.
Kuriger R.J.; Alam M.K.; Anderson D.P. & Jacobsen R.L. (2002), Processing and
characterization of aligned vapor grown carbon fiber reinforced polypropylene,
Composites: PartA, vol.33, pp. 53–62.
Lee H. & Eun S. (2004). In Composites 2004 Convention and Trade Show, American
Composites Manufacturers Association, Tampa, Florida.
Lipton R. & Vernescu B. (1996), Composites with imperfect interface, Proc R Soc Lond A,
vol.452, pp. 329–358.
Liu C. & Mather T. (2004), ANTEC 2004, Society of Plastic Engineers, pp. 3080–3084.
Liu Z., Guo Q., Shi J., Zhai G. & Liu L. (2008), Graphite blocks with high thermal
conductivity derived from natural graphite flake, Carbon, vol.46, pp. 414–421.
Mai Y. & Yu Z. (2006), Polymer nanocomposites. Woodhead publishing limited, Cambridge
England.
Majumdar A. (1998), Microscale transport phenomena. Rohsenow W.M.; Hartnett J.R. & Cho
Y.I., Handbook of heat transfer, (3rd ed.), McGraw-Hill, New York, pp. 8.1–8.8.
Mamunya Y.P.; Davydenko V.V.; Pissis P. & Lebedev E.V. (2002), Electrical and thermal
conductivity of polymers filled with metal powders, European Polymer Journal,
vol.38, pp. 1887–1897.
Marcus S.M. & Blaine R.L. (1994), Thermal conductivity of polymers, glasses and ceramics
by modulated DSC, Thermochimica Acta, vol.243, pp. 231–239.
Merzlyakov M. & Schick C. (2001), Thermal conductivity from dynamical response of DSC,
Thermochimica Acta, vol.377, pp. 183–191.
Mohammed H.A. & Uttandaraman S. (2009), A review of vapor grown carbon
nanofiber/polymer conductive composites, Carbon, vol.47, pp. 2–22.
Momentive Performance Materials, Boron nitride finds new applications in thermoplastic
compounds. (2008), Plastics, Additives and Compounding, (May/June), pp. 26–31.
Mu Q.; Feng S. & Diao G. (2007), Thermal conductivity of silicone rubber filled with ZnO,
Polymer Composites, vol.28, pp. 125–130.
Mu Q. and Feng S. (2007), Thermal conductivity of graphite/silicone rubber prepared by
solution intercalation, Thermochimica Acta, vol.462, pp. 70–75.
Nan C.W.; Birringer R.; Clarke D.R. & Gleiter H. (1997), Effective thermal conductivity of
particulate composites with interfacial thermal resistance, Journal of Applied Physics,
vol. 10, pp. 6692–6699.
Nan C.W.; Liu G.; Lin Y. & Li M. (2004), Interface effect on thermal conductivity of carbon
nanotube composites. Applied Physics Letter, vol. 85, pp.3549-3555.
Nielsen E.; Landel R.F. (1994), Mechanical Properties of Polymers and Composites. 2nd
edition, Marcel Dekker Inc., New York.
Nunes dos Santos W., Mummery P. & Wallwork A. (2005), Thermal diffusivity of polymers
by the laser flash technique, Polymer Testing, vol.24, pp. 628–634.
Nunes dos Santos W. (2007), Thermal properties of polymers by non-steady-state
techniques, Polymer Testing, vol.26, pp. 556–566.
Ohashi M.; Kawakami S. & Yokogawa Y. (2005), Spherical aluminum nitride fillers for heat-
conducting plastic packages, Journal of American Ceramic Society, vol.88, pp. 2615–
2618.
Okamoto S. & Ishida H. (1999), A new theoretical equation for thermal conductivity of two-
phase systems, Journal of Applied Polymer Science, vol.72, pp. 1689–1697.
Park S.H.; Hong C.M.; Kim S. & Lee Y.J. (2008), Effect of fillers shape factor on the
performance of thermally conductive polymer composites, ANTEC Plastics - Annual
Technical Conference Proceedings 2008, pp. 39–43.
Price D.M. & Jarratt M. (2002), Thermal conductivity of PTFE and PTFE composites,
Thermochimiuca Acta, vol.392-393, pp. 231–236.
Pierson H.O. (1993), Handbook of carbon, graphite, diamond and fullerenes: properties.
Processing and applications, Noyes Publications, New Jersey.
Reese W. (1969), Thermal properties of polymers at low temperatures, Journal of
Macromolecular Science A, vol.3, pp. 1257–1295.
Rides M.; Morikawa J.; Halldahl L.; Hay B.; Lobo H.; Dawson A. & Allen C. (2009),
Intercomparison of thermal conductivity and thermal diffusivity methods for
plastics, Polymer Testing, vol.28, pp. 480–489.
Speight J.G. (2005), Lange's handbook of chemistry (16th ed.), McGraw-Hill, New York pp.
2794–2797.
Stankovich S.; Dikin D.A.; Dommett G.H.B.; Kohlhaas K.M.; Zimney E.J.; Stach E.A.; Piner
R.D.; Nguyen S.T. & Ruoff R.S., Graphene-based composite materials, Nature,
vol.442 (2006), pp. 282–286.
Sui G.; Jana S.; Zhong W.H.; Fuqua M.A. & Ulven C.A. (2008), Dielectric properties and
conductivity of carbon nanofiber/semi-crystalline polymer composites, Acta
Material, vol.56, pp. 2381–2388.
Tavman I.H. (1996), Thermal and mechanical properties of aluminum powder-filled high-
density polyethylene composites, Journal of Applied Polymer Science, vol. 62, pp.
2161–2167.
Tavman I. H. (2004). in Nanoengineered Nanofibrous Materials, NATO Science Series II,
Mathematics, Physics and Chemistry, Guceri S. I.; Gogotsi Y. & Kuzentsov V., Kluwer
Academic Book Publication, Dordrecht, Netherlands, Vol. 169, p. 449.
Tekce H.S.; Kumlutas D. & Tavman I.H. (2007), Effect of particle shape on thermal
conductivity of copper reinforced polymer composites, Journal of Reinforced Plastics
and Composites, vol.26. pp. 113–121.
Thostenson E.K.; Li C. & Chou T.W. (2005), Nanocomposites in context, Composite Science
Technology, vol.65, pp. 491–516.
Tibbetts G.G.; Lake M.L.; Strong K.L. & Rice B.P. (2007), A review of the fabrication and
properties of vapor-grown carbon nanofiber/polymer composites, Composite
Science Technology, vol.67, pp. 1709–1718.
T’Joen C.; Park Y.; Wang Q.; Sommers A.; Han X. & Jacobi A. (2009), A review on polymer
heat exchangers for HVAC&R applications, International Journal of Refrigeration,
vol.32, pp. 763–779.
Torquato S. & Rintoul M.D. (1995), Effect of interface on the properties of composite media,
Physical Review Letters, vol.75, pp. 4067–4070.
Tritt T.M. & Weston D. (2004), Measurement techniques and considerations for determining
thermal conductivity of bulk materials. Tritt T.M., Thermal conductivity theory,
properties, and applications, Kluwer Academic/Plenum Publishers, New York, pp.
187–203.
Tu H. & Ye L. (2009), Thermal conductive PS/graphite composites, Polymer Advanced
Technology, vol.20, pp. 21–27.
Vakili M.H.; Ebadi-Dehaghani H.; Haghshenas-Fard M. (2011), Crystallization and Thermal
Conductivity of CaCO3 Nanoparticle Filled Polypropylene. Journal of
Macromolocular Science: Part B. Physics, vol.50, pp.1637–1645.
Veca M.L.; Meziani M.J.; Wang W.; Wang X.; Lu F.; Zhang P.; Lin Y., Fee R.; Connell J.W. &
Sun Y. (2009), Carbon nanosheets for polymeric nanocomposites with high thermal
conductivity, Advanced Material, vol. 21, pp. 2088–2092.
Wang J.; Carson J.K.; North M.F. & Cleland D.J. (2008), A new structural model of effective
thermal conductivity for heterogeneous materials with cocontinuous phases,
International Journal of Heat and Mass Transfer, vol.51, pp. 2389–2397.
Weidenfeller B.; Hofer M & Schilling F. R. (2004), Thermal conductivity, thermal diffusivity,
and specific heat capacity of particle filled polypropylene. Composites: Part A,
vol.35, pp. 423-429.
Wolff S. & Wang M.J. (1993), Carbon black science & technology (2nd ed.), Marcel Dekker,
New York.
Wong Y.W.; Lo K.L. & Shin F.G. (2001), Electrical and thermal properties of composite of
liquid crystalline polymer filled with carbon black, Journal of Applied Polymer
Science, vol.82, pp. 1549–1555.
Wypych G. (2000), Handbook of fillers: physical properties of fillers and filled materials,
ChemTec Publishing, Toronto.
Yano O. & Yamaoka H. (1995), Cryogenic properties of polymers, Progress Polymer Science,
vol.20, pp. 585–613.
Ye C.M.; Shentu B.Q. & Weng Z.X. (2006), Thermal conductivity of high density
polyethylene filled with graphite, Journal of Applied Polymer Science, vol.101, pp.
3806–3810.
Yu S.; Hing P. & Hu X. (2002), Thermal conductivity of polystyrene–aluminum nitride
composite, Composites: Part A, vol.33, pp. 289–292.
Zhang X.; Fujiwara S. & Fujii M. (2000), Measurements of thermal conductivity and electrical
conductivity of a single carbon fiber, International Journal of Thermophysics, vol.21,
pp. 965–980.
Zhao H. & Li R.K.Y. (2006), A study on the photo-degradation of zinc oxide (ZnO) filled
polypropylene nanocomposites. Polymer; vol.47, pp.3207-3217.
Zeng J.; Fu R.; Agathopoulos S.; Zhang S.; Song X. & He H. (2009), Numerical simulation of
thermal conductivity of particle filled epoxy composites, Journal of Electronic
Packaging, vol.131, pp.1–7.
Zhi C.; Bando Y.; Terao T.; Tang C.; Kuwahara H. & Golberg D. (2009), Towards
thermoconductive, electrically insulating polymeric composites with boron nitride
nanotubes as fillers, Advanced Functional Materials, vol.19, pp. 1857–1862.
Zhong C.; Yang Q. & Wang W. (2001), Correlation and prediction of the thermal
conductivity of amorphous polymers, Fluid Phase Equilibria, vol.181, pp. 195–202.
Zhou H.; Zhang S. & Yang M. (2007), The effect of heat-transfer passages on the effective
thermal conductivity of high filler loading composite materials, Composites Science
and Technology, vol.67, pp. 1035–1040.
Zhou W.; Qi S.; An Q.; Zhao H. & Liu N. (2007), Thermal conductivity of boron nitride
reinforced polyethylene composites, Materials Research Bulletin, vol.42, pp. 1863–
1873.
24
Magnetic Properties and Size Effects of

Spin-1/2 and Spin-1 Models of Core-Surface
Nanoparticles in Different Type Lattices
Orhan Yalçın1, Rıza Erdem2 and Zafer Demir3
1Departmentof Physics, Niğde University, Niğde
2Department of Physics, Akdeniz University, Antalya
3Institute of Graduate School of Natural and Applied Sciences, Niğde University, Niğde
Turkey
1. Introduction
Dimension in the range of 1 to 100 nm, is called the nano regime. In recent years,
nanoparticles/quantum dots are in a class of magnetic nanostructures (Aktaş et al., 2003,
2006; Kartopu & Yalçın, 2010). Nanoparticles (NPs) have been steadily interesting in Physics,
Chemistry, Biology, Biomedicine, Spintronics, etc. As the dimensions of magnetic NPs
decrease down to the nanometer scale, these core-surface NPs start to exhibit new and
interesting physical properties mainly due to quantum size effects. Even the intrinsic
physical characteristics of NPs are observed to change drastically compared to their
macroscopic counterparts. The potential applications of NPs are very attractive for magneto-
sensor, bio-sensor, magneto-electronics, data storage media, computer hard disks,
microwave electronic devices, nano-transistors, etc. Especially, the studies of core-surface
NPs are extremely important for technology because of transmission of data at high density
to optical computer, nanorobot to assemble, compose rigid disk. The nanoparticles have
relevance to thin film devices in the new breed of magnetoelectronics, spin-valve, spin-
transistors, spin-dependence tunneling devices and etc. (Babin, et al., 2003). The hysteresis
in fine magnetic particles applied to new technologies such as Magnetic Random Access
Memory (MRAM).
In generally, a nanoparticle is divided into the inner, outer and intermediate regions. These
zones are called core (C), surface (S) and core-surface (CS), respectively. The size effects of
core-surface NPs are very important for technological and biomedicine applications
(Fraerman et al., 2001; Pankhurst et al., 2003). Especially, superparamagnetic (single-
domain) NPs are important for non surgecial interfere of human body. The ferromagnetic
(FM) orders in magnetic systems were dominated as mono-domain (or single-domain)
nanoparticles consisting of FM surface and antiferromagnetic (AFM) core regions which
couple with each other (Rego & Figueiredo, 2001; Leite & Figueiredo, 2004). At the lower
temperatures, the FM surface and AFM core are only ordered in the noninteracting
(monodomain) NPs. Stoner-Wohlfarth (Stoner & Wohlfarth, 1948) and Heisenberg model
(Heisenberg, 1928) to describe the fine structure were fistly used in detail. Magnetic
evolutions with temperatures (Babin, et al., 2003; Szlaferek, 2004; Usov & Gudoshnikov,
2005), thermodynamic properties (Vargas et al., 2002) and experimental techniques
(Wernsdorfer et al., 1995; Wernsdorfer et al., 2000) were performed by different type works
for the core-surface NPs. A simple (Bakuzis & Morais, 2004) and the first atomic-scale
models of the ferrimagnetic and heterogeneous systems in which the exchange energy plays
a central role in determining the magnetization of the NPs, were studied (Kodama et al.,
1996, 1999; Kodama & Berkowitz, 1999).
Ising models and real magnets have provided a rich and productive field for the interaction
between theory and experiment over the past 86 years (Ising, 1925; Peierls, 1936). Ising
models (Erdem, 1995; Keskin, & Erdem 1997; Erdem & Keskin, 2001; Erdem, 2009; Erdem,
2008; Chen & Levy, 1973) and thier variants such as Blume-Capel (Blume, 1966; Capel, 1966;
Bakchich, et al., 1994), Blume-Emery-Griffiths (Blume, et al., 1971; Achiam, 1985; Hoston, &
Berker, 1991; Bakkali, 1996; Goveas & Mukhopadhyay, 1997; Keskin, et al., 1999; Temizer,
2008) and mixed spin (Benayad & Dakhama 1997; Kaneyoshi, 1998; Albayrak, & Yigit, 2005;
Albayrak, & Yigit, 2006; Albayrak, 2007; Albayrak, 2007; Deviren, et al., 2009) models were
regarded as theoretical simplifications, designed to model the essential aspects of
cooperative system (Kikuchi,1951) without detailed correspondence to specific materials.
In the scope of this chapter, we give a detailed analysis for both spin S  1 / 2 and S  1
Ising models of homegeneous and core-surface composite NPs to describe the magnetic
properties of these particles. These models are based on the pair approximation in the
Kikuchi version (Kikuchi, 1974; Keskin, 1986; Erdinç & Keskin, 2002; Yalçın, et al. 2008,
Özüm, 2010; Çiftçi, 2011). Incorporating the pair correlations between the spins inside the
NPs, we calculated the free energy and minimized with respect to pair variables to obtain
the field-cooled magnetization. The field cooling magnetization (M) curves of homogeneous
and composite NPs are given as a function of the reduced temperature with different radius
and different type lattices. Hysteresis loops and coercive fields with their linear fit to the
data were plotted as a function of radius and temperature of different NPs. We compared
our result with other works (Kaneyoshi, 2005; Kodama, 1999; Usov & Gudoshnikov, 2005).
2. Theoretical model
2.1 Ising model
Ising model, which was introduced in the field of magnetism, is one of the most studied
models in modern statistical physics. Although its greatest success during the last century
has been in the theory of phase transitions, the model today is viewed as a mathematical
structure which can represent a variaty of different physical phenomena. In this section, we
give a brief summary for the basics of the model before its application to the nanoparticle
(NP) magnetism.
Ising model is considered on a regular lattice where each interior site has the same number
of nearest-neighbour sites. This is called the coordination number of the lattice and will be
denoted by  . The system under consideration is composed of the magnetic atoms (also
called the spins) located at the lattice sites. It is assumed that, in the thermodynamic limit,
boundary sites can be disregarded and that, with N sites, the number of nearest-neighbour
site pairs is N 2 . The standard Hamiltonian for the the simplest Ising model is given by
Magnetic Properties and Size Effects of Spin-1/2 and Spin-1
Models of Core-Surface Nanoparticles in Different Type Lattices 543
 Si    J  Si S j  h  (Si  S j ) , with Si  1 , (1)

ij ij
where h is the external magnetic field at the site i and the summation is performed for
nearest-neighbour sites. J is the exchange interaction between neighbouring sites ij . Two
distinctive cases corresponding to different signs of intersite interaction is considered, i.e.,
J  0 (ferromagnetic (FM) coupling) and J  0 (antiferromagnetic (AFM) coupling). The
fractions of Si  1 spins given by Xi are called the point (or state) variables. The Xi are
normalized by  i  1 Xi  1 . The long-range order parameter in the model is called the
2
magnetization ( M ) and it is defined by M  X1  X 2 . From this definition and the

normalization condition the point variables can be written as
1 1
X1  (1  M ) , X 2  (1  M ) . (2)
2 2
On the other hand, Eq. (1) may be extended by allowing values s  0,  1,  2,..., S for the
variables. It is then possible to consider higher order interactions such as K  ij Si2S 2j or a
chemical potential such as   i Si2 . These generalizations are regarded as extensions of the
Blume-Emery-Griffiths (BEG) model (Blume et al., 1971). Recently, there have been many
theoretical studies of mixed spin Ising systems. These are of interest because they have less
translational symmetry than their single-spin counterparts since they consist of two
interpenetrating inequivalent sublattices. The latter property is very important to study a
certain type of ferrimagnetism, namely molecular-based magnetic materials which are of
current interest (Kaneyoshi et al., 1998).
2.2 Pair approximation

In the pair approximation, we consider the pair correlations between the spins. Besides the
point variables ( Xi ) , we introduce new variables (Yij ) , indicating the average number of
the states in which the first member of the nearest-neighbour pair is in state i and the
second member in state j . These will be called the pair or bond variables. The bond
variables are normalized by  i , j  1 Yij  1 and related to the state varibales by the relations
n
Xi   j  1 Yij . Here n is the number of spin states in the given spin S model. The
n
interaction energy E and entropy SE can be written in terms of Yij as
n

EN
2
ijYij , (3)
i, j
 n
 n 
SE  Nk  (  1)  Xi ln( Xi )   Yij ln(Yji )  , (4)
 2 i , j 1 
 i , j 1 
where   1 / kT ( k Boltzmann’s constant and T temperature). In Eq. (3), the parameters

ij are called the bond energies for the spin pairs (i , j ) and determined from Eq. (1). The free
energy per site  can be found from
F 
  (E  TSE ) . (5)
N N
For the system at equilibrium, the minimization of Eq. (5) with respect to Yij (  / Yij  0 )
leads to the following set of self-consistent equations:
1   eij
Yij  ( Xi X j ) e ij  , (6)
Z Z
where   (  1) /  and Z is the partition function:
n
Z  exp(2  /  )   eij . (7)
i , j 1
In Eq. (7),  is introduced to maintain the normalization condition. Applications of the

above formulation to S  1 / 2 and S  1 Ising systems can be found in many works in the
literature (Meijer et al., 1986; Keskin & Meijer, 1986; Keskin & Erdinç, 1995; Erdinç & Keskin,
2002). These applications are summerized for comparison in Table 1.
S1 2 S1
Spin state variables  Xi  X1 , X2 X1 , X 2 , X 3
Spin values  Si  1 ,  1 1 , 0,  1
Y11 ( 1,  1), Y12 ( 1,0), Y13 ( 1,  1)

Bond variables Y11 ( 1,  1), Y12 ( 1,  1)
Y21 (0,  1), Y22 (0,0), Y23 (0,  1)
Yij (Si , S j ) Y21 ( 1,  1), Y22 ( 1,  1)
Y31 ( 1,  1), Y32 ( 1,0), Y33 ( 1,  1)
2 2 3 3
Normalization  Xi  1,  Yij  1  Xi  1,  Yij  1
i 1 i , j 1 i 1 i , j 1
2 3
Xi   Yij Xi   Yij
Relations between point j 1 j 1
variables and X1  Y11  Y12  Y13

pair variables X1  Y11  Y12
X 2  Y21  Y22  Y23
X 2  Y21  Y22
X 3  Y31  Y32  Y33
M  X1  X 2 M  X1  X 3
Avarage
magnetization ( M  Si  ) M  Y  Y  Y  Y  M  Y11  Y12  Y13
 Y31  Y32  Y33 
11 12 21 22
Quadrupole moment Q  X1  X3
2 –––––
Q  Q  Si  Q  Y11  Y12  Y13  Y31  Y32  Y33
Table 1. Comparison of the S  1 2 and S  1 Ising models under the pair approximation.
3. Magnetic properties of S  1 / 2 and S  1 Ising nanoparticles

The magnetic particles become single domain below a critical size in contrast with the usual
multidomain structure of the bulk materials. Therefore, in the scope of this section, we study
size effects and magnetic properties of monodomain NPs manifestations. We consider a
noninteracting monodomain NP with Ising spins on both hexagonal and square lattices for
any two-dimensional (2D) regular arrays which can also be extended to hexagonal closed
packed (hcp) and simple cubic (sc) lattices for the three-dimensional (3D) case as in Fig.1.
The shells and their numbers originate from the nearest-neighbor pair interactions for the
hexagonal and square lattices in 2D. In this structure, number of shells for hexagonal and
square lattices can be associated with radius ( R ) of the NPs. This behaviour can be seen
explicitly in Fig. 2 for hexagonal lattice and in Fig. 3 for square lattice. The value of
R includes number of shells and the size of a NP increases as the number of shells increses.
Therefore, we have considered Ising spins in three parts that are core ( C ), core-surface ( CS )
and surface ( S ) within the NP. Each of these parts contain core spin number ( NC ), core-
surface spin number ( NCS ) and surface spin number ( N S ), respectively. The total number
of spins ( N ) in a single NP involves core and surface spin numbers, i.e. N  NC  N S . The
C and S spins interact ferromagnetically ( J  0) or antiferromagnetically ( J  0) . The
S  1 / 2 and S  1 Ising model Hamiltonians with dipol-dipol interaction ( J ) for a NP is
given by
   C   CS   S , (8)
with
 C   JC  SiS j  h  (Si  S j ) ,
i, j i, j
CS   JCS  Si j , (9)

i, j
 S   JS   i j  h  ( i   j ) ,
i, j i, j
where JC , JCS and JS represent exchange interactions for C , CS and S atoms,

respectively. If JC  JCS  JS , the NP is known as a homegeneous NP. It is called a composite
NP when JC  JCS  JS , JC  JCS  JS , JC  JCS  JS or JCS  JC  JS . In Eqs. (9), Si is called
the core spin values and  i is the surface spin values. These variables take on the values
1 for S  1 / 2 and 0,  1 for S  1 Ising systems.
The interaction energies for S  1 / 2 and S  1 models of an Ising NP in 2D can be written
shortly in term of Yij as
E  ( N CPijC  N CS CS S S
P ij  N Pij )Yij , (10)
i, j
where the numbers of spin pairs for C , CS and S regions are defined by
N CP  ( NC  C 2)  NCS , N CS S
P  2 NCS CS 2 and N P  N S S 2 , respectively. Similarly  C ,
 CS ,  S denote the coordination numbers for these regions. Since we consider the arrays of
Ising spins for a structure made up of bigger particles in 2D, we choose  C  6 ,  CS   S  2
for hexagonal lattice and  C  4 ,  S  0 ,  CS  2 for square lattice, as depicted in Figs. 2
and 3, respectively. The values of these numbers for both suructures in 2D are given in Table
2. The expressions for the bond energies ijC , ijCS and ijS of three regions are found using
Eq. (9) for both models, as listed in Table 3.
Fig. 1. A spherical monodomain magnetic NP spaced coherently in a form of 3D arrays. The

shape of a single NP consists of the hexagonal lattice. The dashed lines displayed shells of
spins in a 2D finite arrays. The radius of NP ( R ) includes shell numbers. The insets exhibit
coordination numbers (  ) of hexagonal closed packed (hcp) and simple cubic (sc) lattices in
3D as well as hexagonal and square lattices in 2D structure.
Fig. 2. Schematic representation of a NP on a hexagonal lattice in 2D exhibiting nine shells of

spins. Small full coloured circles correspond to ten radius of the NP. Solid grey lines are
number of the core-shell pairs. Solid coloured lines are number of shell pair (this line
corresponds to core and shell number for R  2 ).
Fig. 3. Same as Fig. 2 but for the NP on square lattice in 2D.
Lattice Type R 2 3 4 5 6 7 8 9 10
NC 7 19 37 61 91 127 169 217 271
NS 12 18 24 30 36 42 48 54 60
NCS 9 15 21 27 33 39 45 51 57
Hexagonal
Lattice in 2D N CP 12 42 90 156 240 342 462 600 756
N PS 12 18 24 30 36 42 48 54 60
N CS
P 18 30 42 54 66 78 90 102 114
NC 5 13 25 41 61 85 113 145 181
NS 8 12 16 20 24 28 32 36 40
Square Lattice in NCS 6 10 14 18 22 26 30 34 38
2D
N CP 4 16 36 64 100 144 196 256 324
N CS
P 12 20 28 36 44 52 60 68 76
Table 2. Numbers of the spins and spin pairs within the C , CS and S regions (Yalçın, et al.,
2008).
Spin Model Bond energy Bond energy for Bond energy

Pair for Core Core –Surface for Surface
( ijC ) ( ijCS ) ( ijS )
11  JC  2 h  JCS  JS  2 h
S1 2
12  JC  JCS  JS
(n2 )
21  JC  JCS  JS
22  JC  2 h  JCS  JS  2 h
S1 11  JC  2 h  JCS  JS  2 h

(n3 )
12 h 0 h
13  JC  JCS  JS
21 h 0 h
22 0 0 0
23 h 0 h
31  JC  JCS  JS
32 h 0 h
33  JC  2 h  JCS  JS  2 h
Table 3. Bond energies for S  1 2 and S  1 models.
Using Eq. (6) we obtain four self-consistent equations of Yij for S  1 / 2 model of core-
surface NPs:
Y11 
1
Z
 X1X1  exp    N 
C C
P 11  N CS CS S S 

P 11  N P11  
e11
Z
,
1
Z

Y12   X1X 2  exp   
 N 
C
P
C CS CS S S 

12  N P 12  N P12  
e12
Z
,
(11)
1
Z
 
Y21   X 2 X1  exp  
 N 
C
P
C CS CS S S 

21  N P  21  N P 21  
e21
Z
,
1
Z

Y22   X 2 X 2  exp   
 N 
C
P
C CS CS S S 

22  N P 22  N P 22  
e22
Z
.
Similarly, nine self-consistent equations of Yij for S  1 model of these particles are
Y11 
1
Z
 X1X1  exp   N C C
P 11  N CS CS S S 
P 11  N P11   e11
Z
,
Y12
1
Z

  X1X 2  exp   
 N C
P
C CS CS S S 
12  N P 12  N P12   e12
Z
,
Y13
1
Z

  X1X 3  exp   
 N C
P
C CS CS S S 
13  N P 13  N P13   e13
Z
,
Y21
1
Z

  X 2 X1  exp   
 N C
P
C CS CS S S 

21  N P  21  N P 21  
e21
Z
,
Y22
1
Z

  X 2 X 2  exp   
 N C
P
C CS CS S S 

22  N P  22  N P 22  
e22
Z
, (12)
Y23
1
Z

  X 2 X 3  exp   
 N C
P
C CS CS S S 

23  N P  23  N P 23  
e23
Z
,
Y31
1
Z

  X 3 X1  exp   
 N C
P
C CS CS S S 

31  N P 31  N P 31  
e31
Z
,
Y32
1
Z

  X 3 X 2  exp   
 N C
P
C CS CS S S 
32  N P  32  N P32   e32
Z
,
Y33
1
Z

  X 3 X 3 . exp   
 N 
C
P
C CS CS S S 

33  N P  33  N P 33  
e33
Z
.
Eqs. (11) and (12) are solved numerically using Newton-Raphson method and normalized
magnetization ( M ) is easily calculated for both S  1 2 and S  1 models of homegeneous
and core-surface composite NPs. Results are shown as the magnetization curves and
hysteresis loops in Figs. 4–9.
4. Result and discussions

4.1 Magnetization
The evolution of normalized magnetization ( M ) as a function of the reduced temperature
( kBT / J 0 ) and particle size dependence of the transition temperature TC from FM to
paramagnetic (PM) phases for homogeneous and composite Ising NPs are shown in Figs. 4
and 5, respectively. The magnetization curves in Fig. 4 are plotted for S  1 2 and S  1
models of homogeneous NPs using the FM core ( J 0  1 , JC  1 ), FM surface ( JS  J 0 ) and
FM core-surface ( JCS  J 0 ) interactions and the curves in Fig. 5 are obtained for both models
of the composite NPs based on FM core ( JC  J 0 ), FM surface ( JS  J 0 ) and AFM core-
surface ( JCS   J 0 ) interactions. In the plots, different values for the applied magnetic field
are considered ( h  0.0-0.1 ). The solid curves in the figures correspond to hexagonal lattice
while dotted ones denote the square lattice. As seen from the figures, the changes in the
magnetization with the reduced temperature point out an interesting aspect for NPs on the
hexagonal and square lattices in 2D. The magnetization curves are decreasing from one (1)
to zero (0) value while the reduced temperature is increasing (Figs. 4(a), 4(b), 5(a), 5(b)).
These decreases terminate at the phase transition temperature (or Curie temperature, TC )
from FM phase to PM phase for h  0.0 , seen in Figs. 4(c) and 5(c). To show the size
dependence of the critical temperature we plot TC vs R in Figs. 4(d) and 5(d). All critical
temperature values follow a linear increase with the particle radius. With increase in the
particle radius it approaches to the Crue temperatures of the bulk materials. This is
consistent with the mean-field approximation for the magnetic structure of Heisenberg NP
(Usov & Gudoshnikov, 2005). On the other hand, it is interesting that composite S  1 2 and
S  1 Ising NPs show smaller transition temperatures than their corresponding
homegeneous NPs. This can easily be seen by comparing the same coloured fits in Figs. 4(d)
and 5(d).
Fig. 4. Normalized magnetization ( M ) vs. reduced temperature ( kBT / J 0 ) and particle size
dependence of the transition temperature TC from FM to PM phases for homogeneous
S  1 2 and S  1 Ising NPs on the hexagonal and square lattices. J 0  JC  JCS  JS  1 and
h  0.0-0.1.
Fig. 5. Same as Fig. 4 but for the core-surface composite NPs with
J 0  JC  JS  1, JCS   J 0  1.
4.2 Hysteresis loops

The magnetic field evolution of normalized magnetization (or hysteresis loops) for the
homegeneous S  1/2 and S  1 Ising NPs which has different particle sizes and their
corresponding coercive field vs. R -2 variation are given Figs. 6 and 7, respectively. We
consider a FM coupling in core ( JC  J 0 ) , surface ( JS  J 0 ) and core-surface ( JCS  J 0 )
regions with J 0  1 on the hexagonal and square lattice structures. The hysteresis curves of
small diameters, namely with radius R  2, 4, 5 in Figs. 6(a)-6(d), are approximately the
same. These behaviours are called superparamegnetic (SP) regime. However, the loops
strongly depend on the size of NP. The hysteresis curves of high diamater values change
sharply, as also shown in Figs. 6(a)-6(d). Moreover, the hysteresis curves for this type of NPs
are broadening while the diamater of NPs is increasing so that it approaches to bulk
materials. The size dependence of the coercive fields hC is determined from the hysteresis
loops in Fig. 7. In Fig. 7, the full red and blue circles correspond to the curves obtained for
R  2  9 in the Figs. 6(a) and 6(c), respectively. Similarly, the open red and blue circles
correspond to the curves obtained for R  3  11 and R  4  10 in Figs. 6(b) and 6(d),
respectively. The straight solid and dotted lines are the results from a linear fit to the
calculated data. From this fit, it is obvious that the coercive field ( hC ) depends linearly on
1 R2 .
Fig. 6. (a) Hysteresis loops of a homegeneous S  1/2 Ising NP on the hexagonal lattice for
various sizes. (b) Same as Fig. 6(a) but for NP on the square lattice. (c) Hysteresis loops of
a homegeneous S  1 Ising NP on the hexagonal lattice for different sizes. (d) Same as
Fig. 6(c) but for NP on the square lattice. J 0  JC  JCS  JS  1 and T  300 J 0 kB .
Magnetic hysteresis loops of composite S  1 / 2 and S  1 Ising NPs on the hexagonal and
square lattice (in 2D) structures for various values of particle sizes are shown in Fig. 8. The
exchange interactions in the C and S regions are FM, i.e. J 0  JC  JS , while the coupling
between C and S is an AFM exchange constant JCS   J 0 for each type of NP. From the
figure, it is clear that the hysteresis loops strongly depend on the particle size. The loops for
the S  1 / 2 and S  1 Ising NPs on the hexagonal lattice change suddenly in low radius
values while those for the S  1 / 2 and S  1 Ising NPs on the square lattice in high radius
values.
Fig. 7. The coercive field ( hC ) plotted as a function of R -2 for the hysteresis loops of the
homegeneous NP in Fig. 6.
Fig. 8. Same as Fig. 6 but for the composite NP. J 0  JC  JS  1, JCS   J 0 .
Finally, the evolutions of hysteresis loops and their coercive field according to the
temperature of composite Ising NPs are seen to change monotically as the temperature
increases, illustrated in Fig. 9(a) and 9(b), respectively. Since the loops for both models of
NPs on the hexagonal and square lattices display the same behaviour we have drawn only
the loops of S  1 / 2 Ising NP on the hexagonal lattice. In this case, hysteresis for the NP is
in superparamagnetic (SP) regime at 700 J 0 / kB . But, the loops for the temperature regime
between 150 J 0 kB - 600 J 0 / kB belong to the FM phase (Fig. 9(a)). The tempereture
dependence of the coercivity ( hC ) are determined from the hysteresis loops of Fig. 9(a), as
given in Fig. 9(b).
Fig. 9. (a) Temperature dependence of the hysteresis loops for the S  1 / 2 Ising NP on the
hexagonal lattice exhibiting five shells of spins ( R  5 ). (b) The coercive field ( hC ) plotted as
function of ( kBT )1/2 for two models of NP on both structures studied above.
J 0  JC  JS  1, JCS   J 0 .
5. Conclusion
In the scope of this chapter, we have focused on the magnetic properties with size effects for
homogeneous and core-surface composite NPs which have Ising spins ( 1 , 1 2 ) on 2D lattice
structures (hexagonal, square). The transition for all NPs corresponds to a second-order
phase transition in the absence of magnetic field ( h  0 ). The spin disorder can be caused by
lower coordination of the surface atoms in core-surface NPs broken exchange interactions
that produce spin-glass (SG) like state of spatially disordered spin in the surface captions
with inhomogeneous surface effects (Kodama, 1999; Kaneyoshi, 2005). Our theoretical
observations are scrutinized below briefly.
i. All critical temperature ( TC ) values of both types of Ising NPs on 2D lattice structures
follow a linear increase with the particle size. With increase in the NP size it approaches
to the Crue temperature of the bulk materials. These results agree with the mean-field
magnetic structure of Heisenberg NPs (Usov & Gudoshnikov, 2005).
ii. From the hysteresis loops for the homegeneous S  1/2 and S  1 Ising NPs which
have different sizes and corresponding coercive field ( hC ) vs. R -2 variations, it is clearly
seen that the coercivity strongly depends on the particle size. Due to the
superparamegnetic regime the hysteresis curves of small diameters are almost
independent of each other while the curves of big diameters sharply change. This
shows that the NP approaches to bulk materials.
iii. The hysteresis loops at different temperatures show a monotonic change in the coercive
field of composite Ising NPs on 2D lattice structures. This property probably is an
important aspect in the future high-density magnetic data storage.
6. Acknowledgements
One of us (Orhan Yalçın) would like to express his gratitude to “The Scientific and
Technological Research Council of Turkey” (TÜBİTAK) for financial support (Grant No.
107T635) during the this work.
7. References
Achiam, Y. (1985). Critical Relaxation of the One-Dimensional Blume-Emery-Griffiths
Model. Physical Review B, Vol.31, pp.260-265, ISSN:1095-3795.
Aktaş, B.; Tagirov, L. & Mikailov, F. (October, 2006). Magnetic Nanostructures, Springer Series
in materials science, Vol. 94, ISBN 978-3-540-49334-1.
Aktaş, B.; Tagirov, L. & Mikailov, F. (2004). Nanostructures Magnetic Materials and Their
Applications., Kluwer Academic Publisher. Nato Science Series. Mathematics,
Physics and Chemistry. Vol. 143. ISBN 1-4020-2004-X.
Albayrak, E. (2007). Mixed Spin-2 and Spin-5/2 Blume–Emery–Griffiths Model. Physica A,
Vol. 375, pp. 174-184, ISSN:0378-4371.
Albayrak, E. (2007). The Critical and Compensation Temperatures for the Mixed Spin-3/2
and Spin-2 Ising Model. Physica B, Vol. 391, pp. 47-53, ISSN: 0921-4526.
Albayrak, E. & Yigit, A. (2005). The Critical Behavior of the Mixed Spin-1 and Spin-2 Ising
Ferromagnetic System on the Bethe lattice. Physica A, Vol. 349, pp. 471-486,
ISSN:0378-4371.
Albayrak, E. & Yigit, A. (2006). Mixed Spin-3/2 and Spin-5/2 Ising System on the Bethe
Lattice. Physics Letters A, Vol. 353, pp. 121–129, ISSN: 0375-9601.
Bakkali, A.; Kerouad, M. & Saber, M. (1996). The Spin-3/2 Blume-Emery-Griffiths Model.
Physica A,Vol. 229, No.3-4, pp.563-573, ISSN:0378-4371.
Babin, V.; Garstecki, P. & Holyst, R. (2003). Multiple Photonic Band Gaps in the Structures
Composed of Core-Shell Particles. Journal of Applied Physics, Vol. 94, pp. 4244, ISSN:
1089-7550.
Benayad, N. & Dakhama, A. (1997). Magnetic Properties of the Mixed-Spin Ising
Ferromagnet with a Ferrimagnet Surface. Physical Review B, Vol. 55, No.18, pp.
12276-12289, ISSN:1095-3795.
Bakchich, A.; Bekhechi, S. & Benyoussef, A. (1994). Multicritical Behavior of the
Antiferromagnetic Spin-3/2 Blume-Capel Model. Physica A, Vol. 210, pp. 415-423,
ISSN:0378-4371.
Bakuzis, A.F. & Morais, P.C. (2004). Magnetic nanoparticle systems: an Ising model
approximation Journal of Magnetism and Magnetic Materials, Vol.272-276, pp. e1161-
e1163 ISSN: 0304-8853.
Blume, M. (January 1966). Theory of the First-Order Magnetic Phase Change in UO2, Physical
Review, Vol. 141, No.2, pp. 517-524, ISSN 1094-1622.
Blume, M.; Emery, V. J. & Griffiths, R. B. (September 1971). Ising Model for the λ Transition
and Phase Separation in He3-He4 Mixtures, Physical Review A, Vol. 4, No.3, pp.
1071-1077, ISSN 1094-1622.
Capel, H. W., (1966). On the Possibility of First-Order Phase transitions in Ising Systems of
Triplet Ions with Zero-Field Splitting. Physica Vol. 32, pp. 966-988.
Chen, H.H. & Levy, P.M. (1973). High Temperature Series Expansions for a Spin-1 Model of
Ferromagnetism, Physical Review B, Vol. 7, pp. 4284–4289, ISSN: 1538-4446.
Çiftçi, N. (July, 2011). Magnetic properties of a monodomain nanoparticle with dipole-quadropole

interaction, Master of Science Thesis. Thesis Supervisor, R. Erdem. Gaziosmanpaşa
University, Turkey.
Deviren, B.; Keskin, M.& Canko, O. (2009). Kinetics of a Mixed Spin-1/2 and Spin-3/2 Ising
Ferrimagnetic Model. Journal of Magnetism and Magnetic Materials, Vol. 321, pp. 458–
466,. ISSN: 0304-8853.
Deviren, B.; Keskin, M. & Canko, O. (2009). Magnetic Properties of an Anti-ferromagnetic
and ferrimagnetic Mixed Spin-1/2 and Spin-5/2 Ising Model in the Longitudinal
Magnetic Field within the Effective-Field Approximation. Physica A, Vol. 388, pp.
1835-1848, ISSN:0378-4371.
Erdem, R. (2009). Frequency Dependence of the Complex Susceptibility for a Spin-1 Ising
Model. Journal of Magnetism and Magnetic Materials, Vol. 321, pp. 2592–25595,. ISSN:
0304-8853.
Erdem, R. & Keskin, M. (2001). Dynamics of a Spin-1 Ising System in the neighborhood of
Equilibrium States. Physical Review E, Vol. 64, pp. 0261102-1-9, ISSN 1550-2376.
Erdem, R. (2008). Magnetic Relaxation in a Spin-1 Ising Model near the second-order Phase
Transition Point. Journal of Magnetism and Magnetic Materials, Vol. 320, pp. 2273–
2278,. ISSN: 0304-8853.
Erdem, R. (September, 1995) A study of the dynamics of a spin-1 Ising model with bilinear and
biquadratic interactions. Science Thesis. Thesis Supervisor, M. Keskin.
Gaziosmanpaşa University, Turkey.
Erdinç, A. & Keskin, M. (May 2002). Equilibrium and Nonequilibrium Behavior of the Spin-
1 Ising Model in the Quadrupole Phase. Physica A, Vol. 307, No. 3-4, pp. 453-468,
ISSN:0378-4371.
Fraerman, A. A.; Gusev, S.A.; Nefedov, I.M.; Nozdrin, Y.N.; Karetnikova, I.R.; Mazo L.A.;
Sapozhnikov, M.V.; Shereshevsky, I.A. & Suhodoev, L.V. (2001). Journal of Physics
Condensed Matter, Vol. 13, pp. 683-689. ISSN 1361-648X.
Goveas, N. & Mukhopadhyay, G. (1997). Study of Blume-Emery-Griffiths Model by a
Modified Bethe-Peierls Method. Physica Scripta, Vol. 56, pp.661-666, ISSN: 0031-
8949.
Heisenberg, W. (1928). Theory of ferromagnetism Zeitschrift für Physik. Vol. 49, pp. 619-636.
Hoston, W. & Berker, A. N. (1991). Multicritical Phase Diagrams of the Blume-Emery-
Griffiths Model with Republisive Biquadratic Coupling. Physical Review Letters,
Vol.67, pp.1027-1030. ISSN:0031-9007.
Ising, E. (1925). Beitrag zur Theorie des Ferromagnetismus. Zeitschrift für Physik, Vol. 31, pp.
253-258.
Kaneyoshi, T.; Nakamura, Y. & Shin, S. (1998). A Diluted Mixed Spin-2 and Spin-5/2
Ferrimagnetic Ising System; A Study of a Molecular-Based Magnet. Journal of
Physics: Condensed Matter, Vol.10, pp. 7025-7035. ISSN: 1361-648X.
Kartopu G. & Yalçın O., (February, 2010). Electrodeposited Nanowires and their
Applications, In: Electrodeposited Nanowires and Their Applications, Nicolate Lupu,
pp. 113-140. ISBN 978-953-7619-88-6.
Keskin, M.; Ekiz, C. &Yalcin, O. (1999). Stable, Metastable and Unstable Solutions of the
Blume-Emery-Griffiths Model. Physica A, Vol. 267, pp. 392-405, ISSN:0378-4371.
Keskin, M. (1986). A Model for Quenching Via Hidden Variables Non-Equilibrium

Behaviour of a system with Two Range Order Parameters II. Influence of a
Magnetic Field. Physica A, Vol. 135, pp. 226-236, ISSN:0378-4371.
Keskin, M. & Erdem, R. (1997). Dynamic Behavior of a Spin-1 Ising Model. I. Relaxation of
Order Parameters and the ‘Flatness’ Property of Metastable States. Journal of
Statistical Physics, Vol. 89, pp. 1035-1046, ISSN: 1572-9613.
Keskin, M. & Erdinç, A. (1995). The Spin-1 Ising Model on the Body-Centered Cubic Lattice
Using the Pair Approximation. Turkish Journal of Physics, Vol.19, pp. 88-100, ISSN
1010-7630.
Keskin, M. & Meijer, P. H. E. (December 1986). Dynamics of a Spin-1 Model with the Pair
Correlation. Journal of Chemical Physics, Vol. 85, pp.7324-7333. ISSN: 1520-5207.
Kikuchi, R. (1951). A Theory of Cooperative Phenomena. Physical Review, Vol. 81, pp. 988-
1002, ISSN: 1536-6065.
Kaneyoshi, T. (2005). Phase Diagrams of a Nanoparticle Described by the Transverse Ising
Model. Physica Status Solidi (b) Vol.242, pp. 2938-2948, ISSN: 1521-3951.
Kikuchi, R. (1974). Superposition Approximation and Natural İteration Calculation in
Cluster‐Variation Method. Journal of Chemical Physics, Vol. 60, pp. 1071, ISSN:1089-
7690.
Kodama, R.H. (1999)., Magnetic Nanoparticles. Journal of Magnetism and Magnetic Materials,
Vol.200, pp. 359–372, ISSN:0304-8853.
Kodama, R.H. & Berkowitz, A.E. (March 1999). Atomic-Scale Magnetic Modeling of Oxide
Nanoparticles. Physical Review B, Vol.59, No. 9, pp. 6321-6336, ISSN:0163-1829.
Kodama, R.H.; Berkowitz, A.E.; McNiff Jr. E.J. & Foner S. (July 1996). Surface Spin Disorder
in NiFe2O4 Nanoparticles. Physical Review Letters, Vol.77, No.2, pp.394-397,
ISSN:1079-7114.
Leite, V. S. & Figueiredo, W. (2004). Monte Carlo Simulations of Antiferromagnetic Small
Particles. BrazilianJournal of Physics, Vol. 34, No. 2a, pp.452-454, ISSN 0103-9733.
Meijer, P. H. E.; Keskin, M. & Bodegom, E. (October 1986). A Simple Model for the
Dynamics Towards Metastable States. Journal of Statistical Physics, Vol. 45, No1-2.
pp. 215-232. ISSN: 1572-9613.
Özüm, S. (July, 2010). A study with pair approximation of spin- Ising model of noninteracting
nanoparticles with quadratic and crystal field interactions, Master of Science Thesis.
Thesis Supervisor, Yalçın, O. Bozok University, Turkey.
Peierls, R. (1936). On Isings Model of Ferromagnetism. Proceedings of the Cambridge
Philosophical Society,.Vol. 32, pp. 477-481, ISSN: 1469-8064.
Pankhurst, Q. A.; Connolly, J.; Jones, S.K. & Dobson, J. (2003). Applications of magnetic
nanoparticles in biomedicine. Journal of Physics D Applied Physics, Vol. 36,pp. R167,
ISSN:1361-6463.
Rego, L. G. C. & Figueiredo, W. (September 2001). Magnetic Properties of Nanoparticles in
the Bethe-Peierls Aproximation. Physical Review B, Vol. 64, pp. 144424-1-7, ISSN:
1538-4446.
Stoner, E. C. & Wohlfarth, E. P. (1948). A Mechanism of Magnetic Hysteresis in
Heterogeneous Alloys. Philosophical Transactions of the Royal Society of London Series
A, Vol. 240,pp. 599-642, ISSN:0261-0523.
Szlaferek, A. (May 2004). Model Exchange-Spring Nanocomposite Magnetic Grains. Physica
Status Solidi B, Vol. 241, pp. 1312-1315, ISSN: 1521-3951.
Temizer, U.; Kantar, E.; Keskin, M. & Canko, O. (2008). Multicritical Dynamical Phase
Diagrams of the Kinetic Blume–Emery–Griffiths Model with Repulsive Biquadratic
Coupling in an Oscillating Field. Journal of Magnetism and Magnetic Materials, Vol.
320, pp. 1787–1801, ISSN: 0304-8853.
Usov, N. A. & Gudoshnikov, S. A. (2005). Magnetic Structure of a Nanoparticle in Mean-
Field Approximation. Journal of Magnetism and Magnetic Materials, Vol.290, pp. 727-
730, ISSN: 0304-8853.
Vargas, P.; Altbir, D.; Knobel, M. & Laroze, D. (May 2002). Thermodynamics of Two-
Dimensional Magnetic Nanoparticles. Europhysics Letters, Vol.58, No. 4, pp. 603-609,
ISSN:1286-4854.
Wernsdorfer, W.; Hasselbach, K.; Mailly, D.; Barbara, B.; Benoit, A.; Thomas, L. & Suran, G.
(1995). DC-SQUID Magnetization Measurements of Single Magnetic Particles.
Journal of Magnetism and Magnetic Materials, Vol.145, pp. 33, ISSN:0304-8853
Wernsdorfer, W.; Mailly, D. & Benoit, A. (May 2000). Single Nanoparticle Measurement
Techniques. Journal of Applied Physics, Vol. 87, No. 9, pp. 5094-5096, ISSN: 1089-
7550.
Yalçın, O.; Erdem, R. & Övünç, S. (2008). Spin-1 Model of Noninteracting Nanoparticles.
Acta Physica Polonica A, Vol. 114, No.4, pp. 835-844, ISSN: 0587-4246.
25
Organic Semiconductor Nanoparticle Film:

Preparation and Application
Xinjun Xu and Lidong Li
School of Materials Science and Engineering,
University of Science and Technology Beijing,
Beijing,
P. R. China
1. Introduction
Organic semiconductors usually comprising -conjugated structure in their molecules can
exhibit excellent optical and electronic properties. They have advantages of simple
fabrication and ease of tuning the chemical structure to give desired features. So they can
serve as attractive candidates for applications in bio/chemical sensors and optoelectronic
devices.1,2 To meet the requirement of domains including information, energy and
healthcare, nanoscale materials have emerged as new building blocks for optoelectronic
devices, bioimaging agents, and drug delivery carriers in recent years.35 These
nanomaterials especially nanoparticles have already shown great potential to offer exciting
opportunities in these areas.
Currently, most of the relevant works have been focused on inorganic semiconductor
nanoparticles. Besides inorganic ones, organic semiconductor nanoparticles (OSNs) are
desirable for a number of reasons. Their properties can be easily tuned for desired
applications through the choice of functional molecules and surface modification.
Additionally, their facile synthesis, good processability, high photoluminescence (PL)
efficiency, high reaction activity, tunable properties, low toxicity and good biocompatibility
further make them complementary to the inorganic nanomaterials and highly attractive in
the material choice. As a result, OSNs have captured more and more interests. These OSNs
can exhibit unique optical and electrical properties different from both the bulk solid
samples and their molecular precursors. In comparison with molecule dispersed systems,
OSNs are expected to show improved photostability and enhanced emission in various
media.6,7 These properties are essentially important in fluorescent labeling applications, such
as fluorescence bioimaging and single molecular spectroscopy. For example, single
molecules of most commercial dyes undergo photo-bleaching in a few milliseconds under
typical excitation conditions under the radiation of a laser beam. On the contrary, because
large numbers of chromophores are incorporated in single nanoparticles, they can show
bright fluorescence even at a low excitation power. Thus, the fluorescent nanoparticles do
not undergo rapid photo-bleaching and give less emission blinking which are generally
observed in single molecule experiment.8
Up to now, most of the OSNs are used in aqueous solutions to serve as biological labels,9,10
chemical sensors,11 and photocatalysis materials.12 To expand the application area of OSNs,
there is an increasing effort to prepare OSNs as an active solid film in chemo/biosensors
and optical and electronic devices.1316 Compared with bulk solid samples, nanoparticle
films provide larger contact interface area, which is highly desired for chemical and
biological sensing in sensors. So OSN based functional films tend to become a promising
research area for applications in biosensing, energy conversion, photonic and optoelectronic
devices.
In this review, after a brief introduction of organic semiconductor materials, we will
summarize the methods for preparation OSN films. Then, its application in
optical/electronic devices and chemo-/biosensors will be described. We hope this review
can cast light on the advances and main problems in the research field of nanoparticle-based
devices and sensors.
2. Organic semiconductor materials

Organic semiconductor materials are mainly classified into two categories. One is small
molecules and the other is polymers made from repeated small conjugated monomer units.
2.1 Small molecule semiconductors

Polyphenyl derivatives (13),17,18 fused aromatic rings (48),19,20 porphyrin derivatives
(9,10),21,22 metal phthalocyanines (11),23 fullerenes (12),24 and some fluorescent dyes (13,14)
have been made into nanoparticles.25,26 Their molecular structures are illustrated in Figure 1.
Small molecules are more easily packed to form crystals than polymers, so in some cases the
nanoparticles of small-molecule semiconductors can transform to nanorods, nanotubes and
nanoflakes.
Fig. 1. Molecular structures of some small molecule semiconductors for synthesizing OSNs.
Organic Semiconductor Nanoparticle Film: Preparation and Application 563
2.2 Polymer semiconductors

Poly(phenylene vinylene)s (15),27 polyfluorenes (1618),2830 polythiophenes (19),31 ladder-
type poly(para-phenylene)s (LPPP) (20),32 poly(phenylene ethynylene)s (PPEs) (21,22),33
polyanilines (PANIs) (23),34 and some copolymers (24,25) have been utilized to prepare
nanoparticles.35,36 Their molecular structures are shown in Figure 2. Polymers have longer
chains than small molecules, so it is possible for polymers to form nanoparticles even with a
single molecule, which is advantageous for researches on single molecule behavior.
Fig. 2. Molecular structures of some polymer semiconductors for synthesizing OSNs.
3. Methods for synthesizing organic semiconductor nanoparticles

3.1 Reprecipitation
In 1992, Nakanishi and co-workers proposed the reprecipitation method and demonstrated
the nanoparticles with the particle size less than 100 nm dispersed in water.37 Since then, this
method has been widely used in nanoparticle preparation for various kinds of molecules. In
this method, a hydrophobic organic semiconductor material is dissolved in a good solvent
(e.g., THF) for it and poured into a poor solvent (e.g., water), which is miscible with the
good solvent. The resulting mixture is stirred vigorously using a magnetic stir bar or a
sonicator to assist the formation of nanoparticles. After the nanoparticle formation the
organic solvent is removed either by partial vacuum evaporation or by repeated dialysis
process to leave behind water-dispersible nanoparticles. The main driving force for the
formation of nanoparticles is the hydrophobic effect. When the solution of an organic
semiconductor material in organic solvent is added to water, the compound molecules tend
to avoid contacting with water. Consequently, in order to achieve minimum exposure they
fold or packed into spherical shapes. The preparation does not involve the use of any
additives such as surfactants and can be applied to a wide variety of organic semiconductors
including both polymers and small molecules given that they are soluble in organic
solvents. Moreover, using this method, it is possible to tune the size of nanoparticles by
adjusting the concentration and the temperature of the solutions.
3.2 Miniemulsion
This is another commonly used method in the synthesis of OSNs. Using this method,
Landfester and co-workers prepared nanoparticles from various polymers.38 To prepare
OSNs, the compound is dissolved in a water immiscible organic solvent and then the
resulting solution is injected into an aqueous solution of an appropriate surfactant. The
mixture is stirred vigorously by ultrasonicating to form stable miniemulsions containing
small droplets of the polymer solution. The organic solvent is then evaporated to obtain a
stable dispersion of polymer nanoparticles in water. The size of nanoparticles could vary
from 30 nm to 500 nm depending on the concentration of the polymer solution. However,
the droplets could also be destabilized by Ostwald ripening as well as the flocculation
caused by the coalescence of droplets. To prevent flocculation appropriate surfactants are
needed, while Ostwald ripening can be suppressed by addition of a hydrophobic agent
(hydrophobe) to the dispersed phase. The hydrophobic agent promotes the formation of an
osmotic pressure inside the droplets that counteracts the Laplace pressure (the pressure
difference between the inside and the outside of a droplet) preventing diffusion from one
droplet to the surrounding aqueous medium.
3.3 Pulsed-laser ablation

In this method, OSNs are formed by pulsed-laser ablation of large, several-micrometer-
sized, organic crystals suspended in a liquid.39,40 The powder of organic semiconductors was
added to an aqueous solution containing surfactants such as sodium dodecyl sulfate (SDS).
Then, the suspension was sonicated for a while. The mixture was put into a quartz cuvette,
stirred vigorously with a magnetic stirrer, and then simultaneously exposed to the second
harmonic of a nanosecond YAG laser. The spot area was approximately tens of mm2, and
the laser intensity was adjusted using a polarizer. The laser ablation mechanism for
nanosecond laser ablation is based on photothermalization. The organic crystals in solutions
absorb the laser light leading to a local increase in temperature and evaporation of a small
amount of material from the crystal surface. The vaporized material is rapidly cooled by the
surrounding liquid to form nanoparticles.
For nanosecond photothermal ablation in a solvent, rapid temperature elevation upon pulse
excitation is compensated by a cooling process due to thermal diffusion to the solvent, and
its balance gives the transient temperature determining the nanoparticle size. Higher fluence
gives higher effective transient temperature, leading to efficient fragmentation to smaller
particles. One advantage of the laser ablation method is its high controllability of size and
phase of nanoparticles by tuning laser pulse width, wavelength, fluence, and shot number.
However, this method is limited to fabricate OSNs based on small molecules only.
3.4 Direct condensation of organic vapor

Due to the fact that in the reprecipitation or miniemulsion process a solution of organic
material (of typically about millimolar concentration) is added to a large excess of non-
solvent, only very dilute particle dispersions can be obtained. That is one main disadvantage
of these methods. The second one is that the reprecipitation or miniemulsion method is not
applicable for organic materials that are poorly soluble in organic solvents (such as
pentacene). As for laser ablation, more concentrated nanoparticle dispersions can be
prepared compared to the repreciptation and miniemulsion method. However, as particle

formation only occurs within the narrow laser beam, only small amounts of these
nanoparticle dispersions can be prepared. Furthermore, the intense laser light may cause
severe photochemical damage especially in the case of rather sensitive organic materials.
To overcome the above mentioned drawbacks, an approach for preparation of concentrated
dispersions of organic nanoparticles by direct condensation the vapor of an organic
semiconductor material into a liquid dispersion medium has been developed.19 This
approach combines elements from the physical vapor deposition (PVD) technique with
cooling and condensation of the vapor directly inside a liquid. An illustration of the
apparatus used in the direct condensation method is shown in Figure 3. The apparatus
consists of four main parts: a tube furnace, a double-walled heated-vapor injection tube, a
condensation and receiving vessel, and a vacuum pumping system. Temperatures in the
different zones are adjusted according to the organic material to be evaporated, and were
maintained such that no condensation of the organic materials occurred in the tubes. The
evaporated organic material will be carried by the inert gas flow to the vapor-injection tube,
which guides the organic material into a liquid condensation medium. The condensation
liquid typically consists of an aqueous solution containing surfactants or polymeric
stabilizers. It rapidly cools down the gas leading to condensation of the organic vapor and
formation of nanoparticles. These nanoparticles are subsequently stabilized in situ by the
surfactant or polymeric additive at the bubble/liquid interface to form a stable dispersion.
The size of OSNs prepared by this method is in the range of 100200 nm for fused aromatic
hydrocarbons such as pentacene, rubrene, and tetracene.
Fig. 3. Apparatus for direct condensation of organic vapor (Reproduced from Ref. 19,
Copyright 2009 Wiley-VCH Verlag GmbH & Co.)
3.5 Template-based approaches

3.5.1 Soft templates
Micelles can be used as soft templates to conduct the polymerization in the aqueous
heterophase system. By dispersing the appropriate monomers, surfactant, solvent, and
catalysts in an aqueous medium, the Glaser coupling reaction can be carried out exclusively
within the hydrophobic interior of surfactant micelles to produce the poly(arylene
diethynylenes) nanoparticles.41 Similarly, poly(p-phenyleneethynylene) nanoparticles can
also be prepared by this method.42
The molecular structure of surfactant used in the aqueous heterophase system has a big
influence on the shape of the formed nanoparticles. Using dodecylbenzene sulfonic acid as a
surfactant and doping agent for poly(3,4-ethylenedioxythiophene) (PEDOT) yielded
amorphous and polydisperse particles with diameters in the range of 35100 nm.43 Short
chain alcohol ethoxylate surfactants yielded more spherical particles, but significant
amounts of surfactant residue were trapped on the PEDOT latex, and secondary nucleation
could not be completely suppressed.44
These examples show that the soft template approach has been a versatile method for
preparing conjugated polymer nanoparticles. However, control over important parameters
such as particle diameter and polydispersity by this method is often not easy. Many of these
issues can be addressed by the use of a hard template.
3.5.2 Hard templates

Due to the shape persistence of hard templates, they typically offer a more reliable way of
directing the shape of conjugated polymer nanostructures. Monodisperse nanoparticles such
as silica and polystyrene particles can be used as a hard template for preparing core-shell
structures. Conjugated polymers such as polypyrrole, PANI and PEDOT, highly fluorescent
polymers such as PPE have also been attached to the surface of colloidal particles.45 The
conjugated polymers can either be polymerized in situ from monomers absorbed on the
surface of the particle templates or be deposited from a layer-by-layer technique through
electrostatic interactions.46
4. Methods for preparing nanoparticles film

Since OSNs are usually synthesized in solution with a low concentration, conventional thin
film forming processes such as spin-coating or dip-casting are not appropriate for preparing
OSN films. So other methods have been developed to prepare good OSN films.
4.1 Electrophoresis deposition

Electrophoretic deposition, which is based on the electrical collection of small, charged
particles dispersed in dielectric liquids, is one of the most widely used coating methods
capable of patterning. It has been reported that the phosphors for a cathode ray tube,47 the
oxide superconductors,48 and the carbon nanotubes for a cold cathode have been
successfully coated by electrophoretic deposition.49 As for OSNs in solutions, they often
carried charges on their surface. Such surface charges are generated according to Coehn’s
empirical rule. That is, the electrostatic charge separation may occur when two dielectrics
are in intimate contact. The substance with the higher dielectric constant will receive the
positive charge, while the other one will receive the negative charge. As illustrated in Figure
4, a DC voltage (usually hundreds of volts) was applied between two ITO-coated glass
plates soaked in the nanoparticle suspension. Then nanoparticles will move towards the
corresponding electrode under the driving of electric field force.50 The films thus obtained
were washed with clean solvent and dried in air.
Fig. 4. Apparatus for electrophoretic deposition of OSNs
4.2 Rapid expansion of supercritical solution (RESS) technique

This technique for prepare OSN film is based on a rapid expansion process of supercritical
solution (e.g. CO 2 ) which contains dissolved organic semiconductors. 51 By using an
apparatus illustrated in Figure 5, organic semiconductors dispersed in supercritical CO2
solution can be sprayed on the substrate through a long stainless steel capillary tube
attached to the chamber. After the rapid evaporation of CO2, OSNs are precipitated on the
surface of substrates. Using process conditions of compressed-fluid precipitation and
formulation, it appears possible to produce organic nanoparticles with tunable sizes and
optical properties. This capability opens up avenues to create devices and functional films
using organic nanoparticles as building blocks, which may be tailored for the application.
Fig. 5. Apparatus for preparation of OSN films by RESS technique (Reproduced from Ref.
51, Copyright 2006 Wiley-VCH Verlag GmbH & Co.)
Additionally, it is possible to mix building blocks of organic nanoparticles or combine

different molecules within a building block. However, the limitation of this technique is that
only small molecule based OSN film can be prepared while preparation of polymer based
OSN films by this technique is not available. Also, surfactants such as the ammonium-
exchanged Fluorolink 7004 (Cl(CF2CF(CF3)O)nCF2COO–NH4+) need to be introduced into
the supercritical solution to adjust the size of ultimate nanoparticles.51
4.3 Solvent-evaporation induced self-assembly

The evaporation behavior during the drying process of a solution plays a vital role in
controlling the film morphology and the distribution of solute in the final films. It is well
known that when a liquid drop containing dispersed solids evaporates on a surface, it
commonly leaves a dense, ring-like deposit along the perimeter. The reason is that the
contact line is pinned during the drying process, leading to a fixed contact area on the
substrate. Therefore, a capillary flow of the solvent occurs from the center of the drop to the
contact line to replenish the evaporation loss, and this flow transports the solutes to its
periphery.52 As far as the OSNs solution is concerned, such phenomenon will result in an
undesirably uneven distribution of nanoparticles across the deposited films. However, if
another flow which has an opposite direction to the capillary flow is introduced into the
OSNs solutions during the drying process, the transportation of nanoparticles towards the
contact line by the capillary flow is expected to be counteracted. Marangoni effect is usually
observed in a solution containing two kinds of solvents with different surface tensions and
boiling points, and a flow is induced by the surface tension gradient existed in the solution
caused by solvent evaporation. Such a flow is named as the Marangoni flow, and its
direction can be controlled to be the same as the spreading of a drop on a solid surface
(outward) or opposite to the spreading (inward), depending on the boiling points and
surface tensions of the two solvents to be mixed. Consequently, by proper introduction of a
second solvent into the solution, a Marangoni flow with an opposite direction to the
capillary flow can be achieved.
The solvent-evaporation induced self-assembly method for preparing the thin nanoparticles
films from their OSNs solutions is illustrated in Figure 6.53 By using ethylene glycol (EG) as
the second solvent with a high boiling point but a low surface tension, the capillary flow in
the solution can be counterbalanced by the Marangoni flow. The self-assembly of
nanoparticles on the substrate can thus be achieved through the nanoparticle-substrate and
nanoparticle-nanoparticle van der Waals interactions.
4.4 Vapor-driven self-assembly

The vapor-driven self-assembly process is based on the selective phase demixing and self-
assembled aggregate formation. Such behaviors occur from a molecularly dispersed solid
solution of specific fluorescent molecules in a polymer matrix when it is exposed to volatile
organic solvent vapors.54 After solvent exposure, the supramolecular self-assembly of
organic semiconductor materials leads to the formation of spherical nanoparticles (see
Figure 7). The advantage of this method is to form nanoparticles films in situ on the
substrate. Nevertheless, this kind of method is only appropriate for small-molecule
Fig. 6. Scheme for the solvent-evaporation-induced self-assembly of OSNs on the substrates

to form films. (Reproduced from Ref. 53, Copyright 2010 The American Chemical Society)
compounds with certain structures and is not a universal method for most polymer
semiconducting materials. In addition, OSNs formed by this method are discrete and
continuous OSNs films can not be obtained.
Fig. 7. Photograph of the 1-cyano-trans-1-(4’-methylbiphenyl)-2-[4’-(2’-pyridyl)

phenyl]ethylene (Py-CN-MBE)/poly(methyl methacrylate) (PMMA) film before and after
exposure to dichloromethane vapor (Left panel) and the SEM image of the Py-CN-MBE
nanoparticles formed by the vapor-driven self-assembly process (Right panel). (Reproduced
from Ref. 54, Copyright 2007 Wiley-VCH Verlag GmbH & Co.)
4.5 Inkjet printing

As mentioned above, when a droplet of OSN solution is dripped on the surface of a
substrate, the OSNs tend to form coffee-stains after the evaporation of the solvent. So direct
inkjet printing of OSN solutions can not provide good film morphology. To avoid this
drawback, an aqueous dispersion of semiconducting polymer nanospheres is deposited by
inkjet printing onto a polymer surface patterned by soft embossing.55 By interaction between
the spheres and the undulated surface a self assembly process is triggered, resulting in the
formation of OSN nanostructures determined by the template.
Fig. 8. The fabrication process for functional nanostructures from inkjet printing.
Reprodcued from Ref. 55 (Copyright 2008 The Royal Society of Chemistry).
As shown in Figure 8, after a droplet of the OSN solution was printed on the surface of the
structured polymeric template layer, OSNs assemble in the grooves of the embossed surface.
This method relies on the application of a polymer template layer, so that the patterned
structure that is formed with the OSNs can be incorporated into a device.
4.6 Spin-coating
Due to the very low concentration of OSN solutions, good film can hardly be formed by
spin-coating or dip-coating method without any additives. As a result, auxiliary underlayers
or additives such as surfactants or polymer matrix have to be introduced to assist the
deposition of nanoparticle films. As mentioned above, nanoparticles usually carry charges on
their surfaces when they are dispersed in solutions. Therefore, negatively charged
nanoparticles can be formed on polycationic films with the help of electrostatic interactions via
spin-coating and vice versa. Layers of LPPP nanoparticles were spin-coated on poly(allylamine
hydrochloride) (PAH) can exhibit a homogeneous fluorescence over large areas.38 Similarly,
conjugated polymer nanoparticles such as polyfluorene derivatives and LPPP spin-coated on
poly(3,4-ethylenedioxythiophene):poly(4-styrenesulfonate) (PEDOT:PSS) film can also exhibit
a good film morphology.32,56 Besides auxiliary underlayers, polymer matrix can also been
utilized to act as a binder to improve the film quality deposited from OSN solutions. This
kind of binder for the nanoparticles can also assist in the reduction of electric field
singularities around the particles that may result in regions of pinhole formation in
electronic devices. Poly(vinyl alcohol),57 hexadecyl-modified poly(ethylene oxide) (PEO),55
and PEDOT:PSS 5860 are polymer matrixes used for this purpose. These binders have
virtually no effect on the color characteristics of the electroluminescence spectrum since
PVA, PEO, and PEDOT:PSS have a negligible absorption in the luminance regime of OSNs.
Although by this means the film quality is improved, the additives remained in the
nanoparticles films will be disadvantages to the optical and electrical properties of OSNs. For
example, when using PEDOT:PSS as an additive to the OSNs aqueous solution for preparing
thin nanoparticles films by spin-coating, the acidity of PEDOT:PSS will deteriorate the
luminescent properties of the conjugated compounds largely.
5. Applications of OSN film in optical and electronic devices

5.1 Organic light-emitting diodes
LPPP, poly(9-vinylcarbazole) (PVK), 2-(4-tert-butylphenyl)-5-(4-biphenylyl)-1,3,4-oxadiazole
(tBu-PBD), coumarins, nile red, nanoparticles prepared by miniemulsion method, core-shell
nanoparticles with perylene as the core and poly[methyl methacrylate-co-vinylcarbazole-co-
2-(3'-nitrophenyl)-5-(4'-acryloylphenyl)-1,3,4-oxadiazole] as the shell formed by emulsion
copolymerization, poly(3-octadecylthiophene) nanoparticles prepared by reprecipitation
method, multi-component nanoparticles prepared by RESS process or miniemulsion method
have been reported to serve as an active layer in organic light-emitting diodes.61 For
nanoparticles synthesized by both miniemulsion and RESS methods, surfactants, stabilizing
agents or hydrophobes are necessary and can hardly be removed. Such additives will be
disadvantageous to the native optoelectronic properties of OSNs in devices. It would be still
interesting to fabricate optoelectronic devices from OSNs prepared via the reprecipitation
method in which there would be no additives including surfactants, stabilizing agents and
hydrophobes. Electrophoretic deposition of OSN films from reprecipitation-processed
nanoparticle solutions has been employed in fabricating OLEDs.62 Although an
electroluminescent emission from the device could be observed, the emission is not uniform
because the nanoporosity of the OSN film prepared by electrophoretic deposition probably
causes fatal pin-holes. As a result, an approach for preparing high-quality OSN films from
reprecipitation-processed nanoparticle solutions is highly desired. Fortunately, the solvent-
evaporation induced self-assembly method introduced above can meet this requirement.
Currently, the main drawback of this method for fabricating OLEDs is that the solvent
evaporation period is time-consuming. If there are some ways are found to overcome this
drawback, this method is very promising for fabricating OSN based OLEDs.
5.2 Organic field-effect transistors

Organic field-effect transistors (OFETs) fabricated using solution-deposition techqiques are
particularly well-suited for large-area electronic devices. For meaningful practical
applications, the organic semiconductors need to provide FET mobilities close to that of
amorphous silicon. This will necessitate establishment of proper molecular order in the
semiconductors to achieve high mobilities, since charge-carrier transport in organic
semiconductors is dominated by hopping and disordered materials are not efficient charge-
transporting media. In nanoparticles, molecules are closely packed and they are usually
highly ordered. For example, both poy(3-hexylthiophene) (P3HT) and poly(9,9'-

dioctylfluorene) (PFO) nanoparticles can exhibit highly ordered structures and can be
distinguished from the UV absorption spectrum with occurrence of a new peak.31,63
Poly(3,3'''-dialkylquarterthiophene)s (PQTs) nanoparticles have been explored for using in
OFETs.64 As expected, the presence of lamellar stacking order in the nanoparticles can be
verified by XRD and UV spectrum data. OFETs based on PQT nanoparticles show a 50 %
improvement in mobility on bare SiO2 dielectric layer and an order of magnitude
improvement in mobility on surface modified SiO2 dielectric layer relative to those based on
normal films.
5.3 Organic solar cells

It is well known that excitons formed in the active layer of organic solar cells usually have a
migration distance less than 20 nm.65 So in organic solar cells, the distance for excitons
diffused to the interface of electron donors and acceptors should be smaller than 20 nm to
ensure good light conversion efficiency. However, because the entropy of mixing is
generally low for polymers, solid polymer blends tend to phase-separate at the macroscopic
scale. Moreover, when a thin layer of immiscible polymers is deposited from solution, the
resulting morphology strongly depends on various parameters, such as the individual
solubility of the polymers in the solvent used, the interaction with the substrate surface, the
layer thickness and the method of deposition, drying and annealing. Therefore, controlling
of the lengths of phase separation in thin layers is important for organic solar cells to avoid
large-scale phase separation. Kietzke et al. have reported that by using the blend of poly(9,9-
dioctylfluorene-co-benzothiadiazole) (F8BT) and poly(9,9-dioctylfluorene-co-N,N-bis(4-
butylphenyl)-N,Ndiphenyl-1,4-phenylenediamine) (PFB) nanoparticles as the active layer
the phase separation in organic solar cells can be controlled on the nanoscale.29,56
5.4 Photonic crystals

If a photonic crystal is constructed from a material with sufficiently high refractive index, it
can exhibit a photonic bandgap, a frequency range in which the mode density is zero and
photons cannot propagate in any direction. Although this property is desirable since it
would allow the inhibition of spontaneous emission and the ability to manipulate the flow
of light, it is difficult to be achieved with organic semiconductors due to their relatively low
refractive index. Instead, an organic photonic crystal would more likely have a partial
bandgap, a frequency range where light can propagate in a limited number of directions.
However, even in this case, the mode density for forbidden directions can be strongly
modified by the photonic crystal. For frequencies just outside the partial bandgap, the mode
density along these directions can be higher than in free space. This increase indicates that
more optical modes are available to interact with electronic excitations. Thus, by combining
organic semiconductors with photonic crystals, this enhanced interaction with light can be
used to further improve optoelectronic properties.
One of the simplest ways of preparing photonic crystals is by the self assembly of
monodisperse spheres, for instance, by the self-assembly of colloidal silica or polystyrene
microspheres widely reported in the literatures. These spheres can then act as secondary
templates for the fabrication of conjugated polymer inverse photonic crystals, where the
interstitial voids of the sphere template have been filled with conjugated polymer. This
approach has been successfully used in the preparation of poly(p-phenylenevinylene) (PPV)
inverse photonic crystal films.66
6. Applications of OSN film in chemo-/biosensors

Although lots of applications of organic nanoparticles in chemo-/biosensors have been
explored in recent year, most of them are carried out in solutions. Compared with solutions,
solid-state samples can be more convenient for storage and transport which are highly
desired for off-site laboratory analysis. Here we will introduce some applications of OSN
film in chemical and biosensors.
6.1 Chemical sensors

Hydroxyl radical is one of the most important reactive oxygen species, which is recognized
to play an important role in physiological and pathological processes of the organisms. In
addition, hydroxyl radical is also involved in many chemical, environmental, and
pharmaceutical processes such as semiconductor photocatalysis in aqueous solution,
wastewater treatment, and tumor cell killing. By using a binary nanoparticle system
combining PFO nanoparticles and MEH-PPV nanoparticles, a linear relationship between
the concentration of hydroxyl radical and the intensity ratio (Band I to Band III) of PFO
nanoparticles can be found in the deposited nanoparticle film.67 The synergy between MEH-
PPV NPs and PFO NPs are crucial to the response of free radicals in this kind of binary NP
system. When exposed to free radicals, MEH-PPV NPs undergo molecular structure changes
in the outer shell. As a result, a broad-sense polarity vector across the whole NP pointing
from the weak-polarity core to the strong-polarity shell is established. Such a polarity vector
will influence on the vibronic coupling among different electronic states of PFO molecules
when the core-shell MEH-PPV NPs are adjacent to PFO NPs, which will change the relative
PL emission intensity between bands I and III of PFO.
6.2 Biosensors
In general, conducting polymer nanoparticles are dispersed on the surface of the electrode
to increase the area/volume ratio and to favor the adsorption of bio-molecules. By this
means, uniform electrostatic adsorption of protein was enabled, thereby exhibiting higher
signal-to-background ratios and shorter response times than electrochemically prepared
films.68 Taking advantage of conducting polymer nanoparticles, sufficient amounts
of enzyme were firmly immobilized during the fabrication of a phosphate biosensor.
The response time of the biosensors was about 6 s. A linear response was observed
between 1.0 M and 100 M and the detection limit was determined to be about 0.3 M.69
Besides, an ascorbic acid sensor has been fabricated via the drop-casting of PANI
nanoparticles onto a screen-printed carbon-paste electrode.70 The PANI nanoparticles not
only enhanced the catalytic reaction, but also allowed the detection of ascorbate at the
reduced applied potential of 0 V and operation at neutral pH, avoiding the problem of
sample interference.
7. Conclusions and prospects

Most of the organic semiconductors including both small molecules and conjugated
polymers can be utilized for preparing OSNs, thus ensuring a very wide material selectivity
for their applications. Various approaches have been reported for synthesizing OSNs.
Besides reprecipitation method, additives such as surfactants are usually employed in other
methods, which may be disadvantageous to the optical and electronic properties of OSNs.
When depositing the OSN solution onto the substrate to form nanoparticle films, auxiliary
underlayer and binders such as polymer matrix or surfactants are often used to improve the
film quality. An exception is the vapor-driven self-assembly and solvent-evaporation
induced self-assembly methods, which can prepare clean nanoparticle films and is highly
desired for the optical and electronic applications.
Although OSNs have been proved to be effective building blocks in both optoelectronic
devices and chemo/biosensors, a number of challenges and avenues of exploration remain.
The interface between nanoparticles and the surroundings is crucial to its optical, electrical,
and catalytic properties. So surface modification of OSNs can not only improve their contact
properties but also endow them with a new function. However, the surface modification of
OSNs is seldom reported yet.
The field of photonic crystals has recently provided a number of novel insights into the
manipulation of light. These photonic properties have yet to be fully combined with the
optoelectronic properties of OSNs, and the development of this area remains a very active
area of research. Additionally, the ability to precisely control the morphology and alignment
of OSNs is of importance to all fields of organic electronics.
In the field of electronic devices, OSN based OLEDs have been widely explored. However,
OSN based OFETs still need to be paid more attention. By appropriate design, OFETs using
OSNs as an active layer may be served as multifunctional optoelectronic devices.
With the great advantages of OSNs, they are believed to play an important role in more and
more application fields and will provide new scientific insights in the coming years.
8. References
[1] J. Janata, M. Josowicz, Nat. Mater. 2003, 2, 19–24.
[2] J. E. Anthony, A. Facchetti, M. Heeney, S. R. Marder, X. Zhan, Adv. Mater. 2010, 22, 3876–
3892.
[3] T. Sagawa, S. Yoshikawa, H. Imahori, J. Phys. Chem. Lett. 2010, 1, 1020–1025.
[4] L. Xia, Z. Wei, M. Wan, J. Colloid Interface Sci. 2010, 341, 1–11.
[5] X. Feng, F. Lv, L. Liu, H. Tang, C. Xing, Q. Yang, S. Wang, ACS Appl. Mater. Interfaces
2010, 2, 2429–2435. .
[6] B. -K. An, S.-K. Kwon, S.-D. Jung, S. Y. Park, J. Am. Chem. Soc. 2002, 124, 14410–14415.
[7] J. Chen, C. C. W. Law, J. W. Y. Lam, Y. Dong, S. M. F. Lo, I. D. Williams, D. Zhu, B. Tang,
Chem. Mater. 2003, 15, 1535–1546.
[8] J. N. Clifford, T. D. M. Bell, P. Tinnefeld, M. Heilemann, S. M. Melnikov, J. Hotta, M.
Sliwa, P. Dedecker, M. Sauer, J. Hofkens, E. K. L. Yeow, J. Phys. Chem. B 2007, 111,
6987–6991.
[9] Y. Zhou, G. Bian, L. Wang, L. Dong, L. Wang, J. Kan, Spectrochim. Acta, Part A 2005, 61,
1841–1845.
[10] X. Xu, S. Chen, L. Li, G. Yu, C. Di, Y. Liu, J. Mater. Chem. 2008, 18, 2555–2561.
[11] L. Wang, L. Dong, G. Bian, L. Wang, T. Xia, H. Chen, Anal. Bioanal. Chem. 2005, 382,
1300–1303.
[12] H. Y. Kim, T. G. Bjorklund, S.-H. Lim, C. J. Bardeen, Langmuir 2003, 19, 3941–3946.
[13] J. Jang, J. Ha, J. Cho, Adv. Mater. 2007, 19, 1772–1775.
[14] T. Matsuya, K. Otake, S. Tashiro, N. Hoshino, M. Katada, T. Okuyama, Anal. Bioanal.
Chem. 2006, 385, 797–806.
[15] S.-J. Lim, B.-K. An, S. D. Jung, M.-A. Chung, S. Y. Park, Angew. Chem. Int. Ed. 2004, 43,
6346–6350.
[16] F. Wang, M.-Y. Han, K. Y. Mya, Y. Wang, Y.-H. Lai, J. Am. Chem. Soc. 2005, 127, 10350–
10355.
[17] X. Xu, S. Chen, L. Li, G. Yu, C. Di, Y. Liu, J. Mater. Chem. 2008, 18, 2555–2561.
[18] Y. Liu, Y. Tang, N. N. Barashkov, I. S. Irgibaeva, J. W. Y. Lam, R. Hu, D. Birimzhanova,
Y. Yu, B. Z. Tang, J. Am. Chem. Soc. 2010, 132, 13951–13953.
[19] S. Köstler, A. Rudorfer, A. Haase, V. Satzinger, G. Jakopic, V. Ribitsch, Adv. Mater. 2009,
21, 2505–2510.
[20] E. H. Cho, M. S. Kim, D. H. Park, H. Jung, J. Bang, J. Kim, J. Joo, Adv. Funct. Mater. 2011,
21, 3056–3063.
[21] X. Gong, T. Milic, C. Xu, J. D. Batteas, C. M. Drain, J. Am. Chem. Soc. 2002, 124, 14290–
14291.
[22] C. Huang, Y. Li, Y. Song, Y. Li, H. Liu, D. Zhu, Adv. Mater. 2010, 22, 3532–3536.
[23] X. Zhang, Y. Wang, Y. Ma, Y. Ye, Y. Wang, K. Wu, Langmuir 2006, 22, 344–348.
[24] K. L. Chen, M. Elimelech, Langmuir 2006, 22, 10994–11001.
[25] A. M. Collins, S. N. Olof, J. M. Mitchels, S. Mann, J. Mater. Chem. 2009, 19, 3950–3954.
[26] Y. S. Zhao, H. Fu, A. Peng, Y. Ma, Q. Liao, J. Yao, Acc. Chem. Res. 2010, 43, 409–418.
[27] C. Szymanski, C. Wu, J. Hooper, M. A. Salazar, A. Perdomo, A. Dukes, J. McNeill, J.
Phys. Chem. B 2005, 109, 8543–8546.
[28] C. Wu, C. Szymanski, Z. Cain and J. McNeill, J. Am. Chem. Soc. 2007, 129, 12904–12905.
[29] T. Kietzke, D. Neher, K. Landfester, R. Montenegro, R. Güntner, U. Scherf, Nat. Mater.
2003, 2, 408–412.
[30] Y.-L. Chang, R. E. Palacios, F.-R. F. Fan, A. J. Bard, P. F. Barbara, J. Am. Chem. Soc. 2008,
130, 8906–8907.
[31] J. E. Millstone, D. F. J. Kavulak, C. H. Woo, T. W. Holcombe, E. J. Westling, A. L.
Briseno, M. F. Toney, J. M. J. Fréchet, Langmuir 2010, 26, 13056–13061.
[32] T. Piok, S. Gamerith, C. Gadermaier, H. Plank, F. P. Wenzl, S. Patil, R. Montenegro, T.
Kietzke, D. Neher, U. Scherf, et al. Adv. Mater. 2003, 15, 800–804.
[33] N. A. A. Rahim, W. McDaniel, K. Bardon, S. Srinivasan, V. Vickerman, P. T. C. So, J. H.
Moon, Adv. Mater. 2009, 21, 3492–3496.
[34] J. Yang, J. Choi, D. Bang, E. Kim, E.-K. Lim, H. Park, J.-S. Suh, K. Lee, K.-H. Yoo, E.-K.
Kim, Y.-M. Huh, S. Haam, Angew. Chem. Int. Ed. 2011, 50, 441–444.
[35] J. H. Moon, R. Deans, E. Krueger and L. F. Hancock, Chem. Commun. 2003, 104105.
[36] Z. Tian, A. D. Shallerz, A. D. Q. Li, Chem. Commun. 2009, 180–182.
[37] H. Kasai, H. S. Nalwa, H. Oikawa, S. Okada, H. Matsuda, N. Minami, A. Kakuta, K.
Ono, A. Mukoh, H. Nakanishi, Jpn. J. Appl. Phys. 1992, 31, L1132–L1134.
[38] K. Landfester, R. Montenegro, U. Scherf, R. Güntner, U. Asawapirom, S. Patil, D. Neher,

T. Kietzke, Adv. Mater. 2002, 14, 651655.
[39] T. Asahi, T. Sugiyama, H. Masuhara, Acc. Chem. Res. 2008, 41, 17901798.
[40] R. Yasukuni, T. Asahi, T. Sugiyama, H. Masuhara, M. Sliwa, J. Hofkens, F.C. De Schryver,
M. Van der Auweraer, A. Herrmann, K. Müllen, Appl. Phys. A 2008, 93, 5–9.
[41] M. C. Baier, J. Huber, S. Mecking, J. Am. Chem. Soc. 2009, 131, 14267–14273.
[42] E. Hittinger, A. Kokil, C. Weder, Angew. Chem. Int. Ed. 2004, 43, 1808–1811.
[43] J. W. Choi, M. G. Han, S. Y. Kim, S. G. Oh, S. S. Im, Synth. Met. 2004, 141, 293–299.
[44] A. M. J. Henderson, J. M. Saunders, J. Mrkic, P. Kent, J. Gore, B. R. Saunders, J. Mater.
Chem. 2001, 11, 3037–3042.
[45] T. L. Kelly, M. O. Wolf, Chem. Soc. Rev. 2010, 39, 1526–1535.
[46] J. H. Wosnick, J. H. Liao, T. M. Swager, Macromolecules 2005, 38, 9287–9290.
[47] P. F. Grosso, R. E. Rutherford, D. E. Sargent, Jr. J. Electrochem. Soc. 1970, 117, 1456–1459.
[48] C. T. Chu, B. Dunn, Appl. Phys. Lett. 1989, 55, 492–494.
[49] B. Gao, G. Z. Yue, Q. Qiu, Y. Cheng, H. Shimoda, L. Fleming, O. Zhou, Adv. Mater. 2001,
13, 1770–1773.
[50] K. Tada, M. Onoda, Adv. Funct. Mater. 2002, 12, 420–424.
[51] R. Jagannathan, G. Irvin, T. Blanton, S. Jagannathan, Adv. Funct. Mater. 2006, 16, 747–
753.
[52] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, T. A. Witten, Nature 1997,
389, 827–829.
[53] C. Zheng, X. Xu, F. He, L. Li, B. Wu, G. Yu, Y. Liu, Langmuir 2010, 26, 16730–16736.
[54] B.-K. An, S.-K. Kwon, S. Y. Park, Angew. Chem. Int. Ed. 2007, 46, 1978 –1982.
[55] E. Fisslthaler, A. Blümel, K. Landfester, U. Scherfd, E. J. W. List, Soft Matter 2008, 4,
2448–2453.
[56] T. Kietzke, D. Neher, M. Kumke, R. Montenegro, K. Landfester, U. Scherf,
Macromolecules 2004, 37, 4882–4890.
[57] J.-S. Heo, N.-H. Park, J.-H. Ryu, K.-D. Suh, Adv. Mater. 2005, 17, 822–826.
[58] C. F. Huebner, J. B. Carroll, D. D. Evanoff, Jr., Y. Ying, B. J. Stevenson,J. R. Lawrence, J. M.
Houchins, A. L. Foguth, J. Sperry, S. H. Foulger, J. Mater. Chem. 2008, 18, 4942–4948.
[59] C. F. Huebner, S. H. Foulger, Langmuir 2010, 26, 2945–2950.
[60] C. F. Huebner, R. D. Roeder, S. H. Foulger, Adv. Funct. Mater. 2009, 19, 3604–3609.
[61] D. Tuncel, H. V. Demirb, Nanoscale, 2010, 2, 484–494.
[62] K. Tada, M. Onoda, Thin Solid Films 2003, 438, 365–368.
[63] S. Moynihan, D. Iacopino, D. O’Carroll, P. Lovera, G. Redmond, Chem. Mater. 2008, 20,
996–1003.
[64] B. S. Ong, Y. Wu, P. Liu, S. Gardner, Adv. Mater. 2005, 17, 1141–1144.
[65] H. Hoppe, N. S. Sariciftci, Adv. Polym. Sci. 2008, 214, 1–86.
[66] M. Deutsch, Yu. A. Vlasov, D. J. Norris, Adv. Mater. 2000, 12, 1176–1180.
[67] J. Wang, X. Xu, Y. Zhao, C. Zheng, L. Li, J. Mater. Chem. 2011, 21, 18696–18703
[68] A. Morrin, O. Ngamna, A. J. Killard, S. E. Moulton, M. R. Smyth, G. G. Wallace,
Electroanalysis 2005, 17, 423–430.
[69] M. A. Rahman, D. S. Park, S. C. Chang, C. J. McNeil, Y. B. Shim, Biosens. Bioelectron.
2006, 21, 1116–1124.
[70] A. Ambrosi, A. Morrin, M.R. Smyth, A.J. Killard, Anal. Chim. Acta 2008, 609, 37–43.

Smart Nanoparticles Technology PDF

Uploaded by

Copyright:

Available Formats

Smart Nanoparticles Technology PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Smart Nanoparticles Technology PDF

Uploaded by

Copyright:

Available Formats

SMART NANOPARTICLES

Copyright © 2012 InTech

Publishing Process Manager Sandra Bakic

First published April, 2012

A free online edition of this book is available at www.intechopen.com

Smart Nanoparticles Technology, Edited by Abbass A. Hashim

Part 1 Metallic Nanoparticles 1

Chapter 1 Metallic Nanoparticles Coupled

Chapter 2 Hollow Nano Silica: Synthesis,

Chapter 3 Synthesis of Titanate and Titanium Dioxide Nanotube

Chapter 4 Self-Organization of Silver-Core Bimetallic Nanoparticles

Chapter 5 Utilization of Nanoparticles Produced by Aqueous-Solution

Chapter 6 Experimental and Theoretical Study of

Part 2 Testing Technology 147

Chapter 7 Iron Oxide Nanoparticles Imaging Tracking by MR

Chapter 8 Nanoscale Electrodeposition of Copper

Chapter 9 New Trends on the Synthesis of Inorganic Nanoparticles

Chapter 10 Polymeric Nanoparticles Stabilized by Surfactants:

Chapter 11 Phase Separations in Mixtures

Chapter 12 Laser-Combined STM and Related Techniques

Chapter 13 On the Optical Response of Nanoparticles:

Chapter 14 Deexcitation Dynamics of a Degenerate

Part 3 Properties and Applications 333

Chapter 15 Thermal Property Measurement

Chapter 16 Magnetic Nanoparticles:

Chapter 17 Thermal Effects on the Ferromagnetic

Chapter 18 Nanoparticle Dynamics in Polymer Melts 387

Chapter 19 Dielectric and Transport Properties

Chapter 20 Self-Assembly of Nanoparticles

Chapter 21 View on the Magnetic Properties of Nanoparticles

Chapter 22 Nanofluids 497

Chapter 23 Thermal Conductivity of Nanoparticles Filled Polymers 519

Chapter 24 Magnetic Properties and Size Effects

Chapter 25 Organic Semiconductor Nanoparticle Film:

The properties of many conventional materials changed when formed from

Currently, Nanoparticle research is a very promising scientific research due to the

Dr. Abbass A. Hashim

Metallic Nanoparticles Coupled with

Fig. 2. Comparison between absorption spectra of spherical end elongated gold

2. Materials and methods

2.1 Light-harvesting complexes

energy transfer dynamics as well as inter-pigment interactions in a well-defined geometry

2.1.2 Light-harvesting complex 2

2.2 Metallic nanostructures

2.2.1 Silver island film

2.2.2 Semicontinuous metallic layer

2.2.3 Colloidal metallic nanoparticles

In this contribution we report on synthesis of spherical gold nanoparticles and gold

2.3 Sample preparation

2.4 Experimental techniques

2.4.1 Fluorescence imaging

3.1 Peridinin-chlorophyll-protein on silver island film

3.2 Peridinin-chlorophyll-protein on semicontinuous silver film

Fig. 9. Comparison between fluorescence excitation spectra measured for acChl-PCP on

3.3 Peridinin-chlorophyll-protein on spherical gold nanoparticles

In Fig. 11 we compare representative fluorescence spectra of Chl-PCP deposited on

dependence of the fluorescence enhancement upon the distance between chlorophyll-

3.4 Light-harvesting complex 2 on spherical gold nanoparticles

In order to determine the possible origin of the observed fluorescence enhancement,