First principles based multiparadigm modeling of electronic structures and dynamics

Electronic structures and dynamics are the key to linking the material composition and structure to functionality and performance.

An essential issue in developing semiconductor devices for photovoltaics is to design materials with optimal band gaps and relative positioning of band levels. Approximate DFT methods have been justified to predict band gaps from KS/GKS eigenvalues, but the accuracy is decisively dependent on the choice of XC functionals. We show here for CuInSe<sub>2sub> and CuGaSe<sub>2sub>, the parent compounds of the promising CIGS solar cells, conventional LDA and GGA obtain gaps of 0.0-0.01 and 0.02-0.24 eV (versus experimental values of 1.04 and 1.67 eV), while the historically first global hybrid functional, B3PW91, is surprisingly the best, with band gaps of 1.07 and 1.58 eV. Furthermore, we show that for 27 related binary and ternary semiconductors, B3PW91 predicts gaps with a MAD of only 0.09 eV, which is substantially better than all modern hybrid functionals, including B3LYP (MAD of 0.19 eV) and screened hybrid functional HSE06 (MAD of 0.18 eV).

The laboratory performance of CIGS solar cells (> 20% efficiency) makes them promising candidate photovoltaic devices. However, there remains little understanding of how defects at the CIGS/CdS interface affect the band offsets and interfacial energies, and hence the performance of manufactured devices. To determine these relationships, we use the B3PW91 hybrid functional of DFT with the AEP method that we validate to provide very accurate descriptions of both band gaps and band offsets. This confirms the weak dependence of band offsets on surface orientation observed experimentally. We predict that the CBO of perfect CuInSe<sub>2sub>/CdS interface is large, 0.79 eV, which would dramatically degrade performance. Moreover we show that band gap widening induced by Ga adjusts only the VBO, and we find that Cd impurities do not significantly affect the CBO. Thus we show that Cu vacancies at the interface play the key role in enabling the tunability of CBO. We predict that Na further improves the CBO through electrostatically elevating the valence levels to decrease the CBO, explaining the observed essential role of Na for high performance. Moreover we find that K leads to a dramatic decrease in the CBO to 0.05 eV, much better than Na. We suggest that the efficiency of CIGS devices might be improved substantially by tuning the ratio of Na to K, with the improved phase stability of Na balancing phase instability from K. All these defects reduce interfacial stability slightly, but not significantly.

A number of exotic structures have been formed through high pressure chemistry, but applications have been hindered by difficulties in recovering the high pressure phase to ambient conditions (i.e., one atmosphere and room temperature). Here we use dispersion-corrected DFT (PBE-ulg flavor) to predict that above 60 GPa the most stable form of N<sub>2sub>O (the laughing gas in its molecular form) is a 1D polymer with an all-nitrogen backbone analogous to cis-polyacetylene in which alternate N are bonded (ionic covalent) to O. The analogous trans-polymer is only 0.03-0.10 eV/molecular unit less stable. Upon relaxation to ambient conditions both polymers relax below 14 GPa to the same stable non-planar trans-polymer, accompanied by possible electronic structure transitions. The predicted phonon spectrum and dissociation kinetics validate the stability of this trans-poly-NNO at ambient conditions, which has potential applications as a new type of conducting polymer with all-nitrogen chains and as a high-energy oxidizer for rocket propulsion. This work illustrates in silico materials discovery particularly in the realm of extreme conditions.

Modeling non-adiabatic electron dynamics has been a long-standing challenge for computational chemistry and materials science, and the eFF method presents a cost-efficient alternative. However, due to the deficiency of FSG representation, eFF is limited to low-Z elements with electrons of predominant s-character. To overcome this, we introduce a formal set of ECP extensions that enable accurate description of p-block elements. The extensions consist of a model representing the core electrons with the nucleus as a single pseudo particle represented by FSG, interacting with valence electrons through ECPs. We demonstrate and validate the ECP extensions for complex bonding structures, geometries, and energetics of systems with p-block character (C, O, Al, Si) and apply them to study materials under extreme mechanical loading conditions.

Despite its success, the eFF framework has some limitations, originated from both the design of Pauli potentials and the FSG representation. To overcome these, we develop a new framework of two-level hierarchy that is a more rigorous and accurate successor to the eFF method. The fundamental level, GHA-QM, is based on a new set of Pauli potentials that renders exact QM level of accuracy for any FSG represented electron systems. To achieve this, we start with using exactly derived energy expressions for the same spin electron pair, and fitting a simple functional form, inspired by DFT, against open singlet electron pair curves (H<sub>2sub> systems). Symmetric and asymmetric scaling factors are then introduced at this level to recover the QM total energies of multiple electron pair systems from the sum of local interactions. To complement the imperfect FSG representation, the AMPERE extension is implemented, and aims at embedding the interactions associated with both the cusp condition and explicit nodal structures. The whole GHA-QM+AMPERE framework is tested on H element, and the preliminary results are promising.

The Equation of State and Petrogenesis of Komatiite

(1) Equation of State of Komatiite

The equation of state (EOS) of a molten komatiite (27 wt% MgO) was detennined in the 5 to 36 GPa pressure range via shock wave compression from 1550°C and 0 bar. Shock wave velocity, U<sub>Ssub>, and particle velocity, U<sub>Psub>, in km/s follow the linear relationship U<sub>Ssub> = 3.13(±0.03) + 1.47(±0.03) U<sub>Psub>. Based on a calculated density at 1550°C, 0 bar of 2.745±0.005 glee, this U<sub>Ssub>-U<sub>Psub> relationship gives the isentropic bulk modulus K<sub>Ssub> = 27.0 ± 0.6 GPa, and its first and second isentropic pressure derivatives, K'<sub>Ssub> = 4.9 ± 0.1 and K"<sub>Ssub> = -0.109 ± 0.003 GPa^-1.

The calculated liquidus compression curve agrees within error with the static compression results of Agee and Walker [1988a] to 6 GPa. We detennine that olivine (FO<sub>94sub>) will be neutrally buoyant in komatiitic melt of the composition we studied near 8.2 GPa. Clinopyroxene would also be neutrally buoyant near this pressure. Liquidus garnet-majorite may be less dense than this komatiitic liquid in the 20-24 GPa interval, however pyropic-garnet and perovskite phases are denser than this komatiitic liquid in their respective liquidus pressure intervals to 36 GPa. Liquidus perovskite may be neutrally buoyant near 70 GPa.

At 40 GPa, the density of shock-compressed molten komatiite would be approximately equal to the calculated density of an equivalent mixture of dense solid oxide components. This observation supports the model of Rigden et al. [1989] for compressibilities of liquid oxide components. Using their theoretical EOS for liquid forsterite and fayalite, we calculate the densities of a spectrum of melts from basaltic through peridotitic that are related to the experimentally studied komatiitic liquid by addition or subtraction of olivine. At low pressure, olivine fractionation lowers the density of basic magmas, but above 14 GPa this trend is reversed. All of these basic to ultrabasic liquids are predicted to have similar densities at 14 GPa, and this density is approximately equal to the bulk (PREM) mantle. This suggests that melts derived from a peridotitic mantle may be inhibited from ascending from depths greater than 400 km.

The EOS of ultrabasic magmas was used to model adiabatic melting in a peridotitic mantle. If komatiites are formed by >15% partial melting of a peridotitic mantle, then komatiites generated by adiabatic melting come from source regions in the lower transition zone (≈500-670 km) or the lower mantle (>670 km). The great depth of incipient melting implied by this model, and the melt density constraint mentioned above, suggest that komatiitic volcanism may be gravitationally hindered. Although komatiitic magmas are thought to separate from their coexisting crystals at a temperature =200°C greater than that for modern MORBs, their ultimate sources are predicted to be diapirs that, if adiabatically decompressed from initially solid mantle, were more than 700°C hotter than the sources of MORBs and derived from great depth.

We considered the evolution of an initially molten mantle, i.e., a magma ocean. Our model considers the thermal structure of the magma ocean, density constraints on crystal segregation, and approximate phase relationships for a nominally chondritic mantle. Crystallization will begin at the core-mantle boundary. Perovskite buoyancy at > 70 GPa may lead to a compositionally stratified lower mantle with iron-enriched mangesiowiistite content increasing with depth. The upper mantle may be depleted in perovskite components. Olivine neutral buoyancy may lead to the formation of a dunite septum in the upper mantle, partitioning the ocean into upper and lower reservoirs, but this septum must be permeable.

(2) Viscosity Measurement with Shock Waves

We have examined in detail the analytical method for measuring shear viscosity from the decay of perturbations on a corrugated shock front The relevance of initial conditions, finite shock amplitude, bulk viscosity, and the sensitivity of the measurements to the shock boundary conditions are discussed. The validity of the viscous perturbation approach is examined by numerically solving the second-order Navier-Stokes equations. These numerical experiments indicate that shock instabilities may occur even when the Kontorovich-D'yakov stability criteria are satisfied. The experimental results for water at 15 GPa are discussed, and it is suggested that the large effective viscosity determined by this method may reflect the existence of ice VII on the Rayleigh path of the Hugoniot This interpretation reconciles the experimental results with estimates and measurements obtained by other means, and is consistent with the relationship of the Hugoniot with the phase diagram for water. Sound waves are generated at 4.8 MHz at in the water experiments at 15 GPa. The existence of anelastic absorption modes near this frequency would also lead to large effective viscosity estimates.

(3) Equation of State of Molybdenum at 1400°C

Shock compression data to 96 GPa for pure molybdenum, initially heated to 1400°C, are presented. Finite strain analysis of the data gives a bulk modulus at 1400°C, K'<sub>Ssub>. of 244±2 GPa and its pressure derivative, K'<sub>OSsub> of 4. A fit of shock velocity to particle velocity gives the coefficients of U<sub>Ssub> = C<sub>Osub>+S U<sub>Psub> to be C<sub>Osub> = 4.77±0.06 km/s and S = 1.43±0.05. From the zero pressure sound speed, C<sub>Osub>, a bulk modulus of 232±6 GPa is calculated that is consistent with extrapolation of ultrasonic elasticity measurements. The temperature derivative of the bulk modulus at zero pressure, θK<sub>OSsub>θT|<sub>Psub>, is approximately -0.012 GPa/K. A thermodynamic model is used to show that the thermodynamic Grüneisen parameter is proportional to the density and independent of temperature. The Mie-Grüneisen equation of state adequately describes the high temperature behavior of molybdenum under the present range of shock loading conditions.

Nonclassical excitation and quantum interference in a three level atom

Non-classical properties and quantum interference (QI) in two-photon excitation of a three level atom (|1〉), |2〉, |3〉) in a ladder configuration, illuminated by multiple fields in non-classical (squeezed) and/or classical (coherent) states, is studied. Fundamentally new effects associated with quantum correlations in the squeezed fields and QI due to multiple excitation pathways have been observed. Theoretical studies and extrapolations of these findings have revealed possible applications which are far beyond any current capabilities, including ultrafast nonlinear mixing, ultrafast homodyne detection and frequency metrology. The atom used throughout the experiments was Cesium, which was magneto-optically trapped in a vapor cell to produce a Doppler-free sample. For the first part of the work the |1〉 → |2〉 → |3〉 transition (corresponding to the 6S<sub>1/2sub>F = 4 → 6P<sub>3/2sub>F' = 5 → 6D<sub>5/2sub>F" = 6 transition) was excited by using the quantum-correlated signal (Ɛ<sub>ssub>) and idler (Ɛ<sub>isub>) output fields of a subthreshold non-degenerate optical parametric oscillator, which was tuned so that the signal and idler fields were resonant with the |1〉 → |2〉 and |2〉 → |3〉 transitions, respectively. In contrast to excitation with classical fields for which the excitation rate as a function of intensity has always an exponent greater than or equal to two, excitation with squeezed-fields has been theoretically predicted to have an exponent that approaches unity for small enough intensities. This was verified experimentally by probing the exponent down to a slope of 1.3, demonstrating for the first time a purely non-classical effect associated with the interaction of squeezed fields and atoms. In the second part excitation of the two-photon transition by three phase coherent fields Ɛ<sub>1sub> , Ɛ<sub>2sub> and Ɛ<sub>0sub>, resonant with the dipole |1〉 → |2〉 and |2〉 → |3〉 and quadrupole |1〉 → |3〉 transitions, respectively, is studied. QI in the excited state population is observed due to two alternative excitation pathways. This is equivalent to nonlinear mixing of the three excitation fields by the atom. Realizing that in the experiment the three fields are spaced in frequency over a range of 25 THz, and extending this scheme to other energy triplets and atoms, leads to the discovery that ranges up to 100's of THz can be bridged in a single mixing step. Motivated by these results, a master equation model has been developed for the system and its properties have been extensively studied.

Synthesis, Oxidation and Photophysics of Perfluoroborated Tetrakis(pyrophosphito)diplatinate (II) and Density Functional Theory (DFT) Study of Electrochemical CO2 Reduction by Mn Catalysts

In the first part of this thesis (Chapters I and II), the synthesis, characterization, reactivity and photophysics of per(difluoroborated) tetrakis(pyrophosphito)diplatinate(II) (Pt(POPBF<sub>2sub>)) are discussed. Pt(POP-BF<sub>2sub>) was obtained by reaction of [Pt<sub>2sub>(POP)<sub>4sub>]^4- with neat boron trifluoride diethyl etherate (BF<sub>3sub>·Et<sub>2sub>O). While Pt(POP-BF<sub>2sub>) and [Pt<sub>2sub>(POP)<sub>4sub>]^4- have similar structures and absorption spectra, they differ in significant ways. Firstly, as discussed in Chapter I, the former is less susceptible to oxidation, as evidenced by the reversibility of its oxidation by I2. Secondly, while the first excited triplet states (T<sub>1sub>) of both Pt(POP-BF<sub>2sub>) and [Pt<sub>2sub>(POP)<sub>4sub>]^4- exhibit long lifetimes (ca. 0.01 ms at room temperature) and substantial zero-field splitting (40 cm^-1), Pt(POP-BF<sub>2sub>) also has a remarkably long-lived (1.6 ns at room temperature) singlet excited state (S<sub>1sub>), indicating slow intersystem crossing (ISC). Fluorescence lifetime and quantum yield (QY) of Pt(POP-BF<sub>2sub>) were measured over a range of temperatures, providing insight into the slow ISC process. The remarkable spectroscopic and photophysical properties of Pt(POP-BF<sub>2sub>), both in solution and as a microcrystalline powder, form the theme of Chapter II.

In the second part of the thesis (Chapters III and IV), the electrochemical reduction of CO<sub>2sub> to CO by [(L)Mn(CO)<sub>3sub>]^- catalysts is investigated using density functional theory (DFT). As discussed in Chapter III, the turnover frequency (TOF)-limiting step is the dehydroxylation of [(bpy)Mn(CO)<sub>3sub>(CO<sub>2sub>H)]^0/- (bpy = bipyridine) by trifluoroethanol (TFEH) to form [(bpy)Mn(CO)<sub>4sub>]^+/0. Because the dehydroxylation of [(bpy)Mn(CO)<sub>3sub>(CO<sub>2sub>H)]^- is faster, maximum TOF (TOF<sub>maxsub>) is achieved at potentials sufficient to completely reduce [(bpy)Mn(CO)<sub>3sub>(CO<sub>2sub>H)]⁰ to [(bpy)Mn(CO)<sub>3sub>(CO<sub>2sub>H)]^-. Substitution of bipyridine with bipyrimidine reduces the overpotential needed, but at the expense of TOF<sub>maxsub>. In Chapter IV, the decoration of the bipyrimidine ligand with a pendant alcohol is discussed as a strategy to increase CO<sub>2sub> reduction activity. Our calculations predict that the pendant alcohol acts in concert with an external TFEH molecule, the latter acidifying the former, resulting in a ~ 80,000-fold improvement in the rate of TOF-limiting dehydroxylation of [(L)Mn(CO)<sub>3sub>(CO<sub>2sub>H)]^-.

An interesting strategy for the co-upgrading of light olefins and alkanes into heavier alkanes is the subject of Appendix B. The proposed scheme involves dimerization of the light olefin, operating in tandem with transfer hydrogenation between the olefin dimer and the light alkane. The work presented therein involved a Ta olefin dimerization catalyst and a silica-supported Ir transfer hydrogenation catalyst. Olefin dimer was formed under reaction conditions; however, this did not undergo transfer hydrogenation with the light alkane. A significant challenge is that the Ta catalyst selectively produces highly branched dimers, which are unable to undergo transfer hydrogenation.

Cavity-enhanced spectroscopies for applications of remote sensing, chemical kinetics and detection of radical species

This thesis describes applications of cavity enhanced spectroscopy towards applications of remote sensing, chemical kinetics and detection of transient radical molecular species. Both direct absorption spectroscopy and cavity ring-down spectroscopy are used in this work. Frequency-stabilized cavity ring-down spectroscopy (FS-CRDS) was utilized for measurements of spectral lineshapes of O<sub>2sub> and CO<sub>2sub> for obtaining laboratory reference data in support of NASA’s OCO-2 mission. FS-CRDS is highly sensitive (> 10 km absorption path length) and precise (> 10000:1 SNR), making it ideal to study subtle non-Voigt lineshape effects. In addition, these advantages of FS-CRDS were further extended for measuring kinetic isotope effects: A dual-wavelength variation of FS-CRDS was used for measuring precise D/H and ¹³C/¹²C methane isotope ratios (sigma>0.026%) for the purpose of measuring the temperature dependent kinetic isotope effects of methane oxidation with O(¹D) and OH radicals. Finally, direct absorption spectroscopic detection of the trans-DOCO radical via a frequency combs spectrometer was conducted in collaboration with professor Jun Ye at JILA/University of Colorado.

Spectroscopic investigations of inter- and intramolecular processes in crystalline benzene

I. Introductory Remarks

A brief discussion of the overall organization of the thesis is presented along with a discussion of the relationship between this thesis and previous work on the spectroscopic properties of benzene.

II. Radiationless Transitions and Line broadening

Radiationless rates have been calculated for the ³B<sub>1u→sub>¹A<sub>1gsub> transitions of benzene and perdeuterobenzene as well as for the ¹B<sub>2u→sub>¹A<sub>1gsub> transition of benzene. The rates were calculated using a model that considers the radiationless transition as a tunneling process between two multi-demensional potential surfaces and assuming both harmonic and anharmonic vibrational potentials. Whenever possible experimental parameters were used in the calculation. To this end we have obtained experimental values for the anharmonicities of the carbon-carbon and carbon-hydrogen vibrations and the size of the lowest triplet state of benzene. The use of the breakdown of the Born-Oppenheimer approximation in describing radiationless transitions is critically examined and it is concluded that Herzberg-Teller vibronic coupling is 100 times more efficient at inducing radiationless transitions.

The results of the radiationless transition rate calculation are used to calculate line broadening in several of the excited electronic states of benzene. The calculated line broadening in all cases is in qualitative agreement with experimental line widths.

III. ³B<sub>1usub>←¹A<sub>1gsub> Absorption Spectra

The ³B<sub>1usub>←¹A<sub>1gsub> absorption spectra of C<sub>6sub>H<sub>6sub> and C<sub>6sub>D<sub>6sub> at 4.2˚K have been obtained at high resolution using the phosphorescence photoexcitation method. The spectrum exhibits very clear evidence of a pseudo-Jahn-Teller distortion of the normally hexagonal benzene molecule upon excitation to the triplet state. Factor group splitting of the 0 – 0 and 0 – 0 + v exciton bands have also been observed. The position of the mean of the 0 – 0 exciton band of C<sub>6sub>H<sub>6sub> when compared to the phosphorescence origin of a C<sub>6sub>H<sub>6sub> guest in a C<sub>6sub>D<sub>6sub> host crystal indicates that the “static” intermolecular interactions between guest and hose are different for C<sub>6sub>H<sub>6sub> and C<sub>6sub>D<sub>6sub>. Further investigation of this difference using the currently accepted theory of isotopic mixed crystals indicates that there is a 2cm^-1 shift of the ideal mixed crystal level per hot deuterium atom. This shift is observed for both the singlet and triplet states of benzene.

IV. ³E<sub>1usub>←¹A<sub>1gsub>, Absorption Spectra

The ³E<sub>1usub>←¹A<sub>1gsub> absorption spectra of C<sub>6sub>H<sub>6sub> and C<sub>6sub>D<sub>6sub> at 4.2˚K have been obtained using the phosphorescence photoexcitation technique. In both cases the spectrum is broad and structureless as would be expected from the line broadening calculations.

Magnetic field and pressure effects in a saturated gas laser amplifier

Theoretical and experimental studies of a gas laser amplifier are presented, assuming the amplifier is operating with a saturating optical frequency signal. The analysis is primarily concerned with the effects of the gas pressure and the presence of an axial magnetic field on the characteristics of the amplifying medium. Semiclassical radiation theory is used, along with a density matrix description of the atomic medium which relates the motion of single atoms to the macroscopic observables. A two-level description of the atom, using phenomenological source rates and decay rates, forms the basis of our analysis of the gas laser medium. Pressure effects are taken into account to a large extent through suitable choices of decay rate parameters.

Two methods for calculating the induced polarization of the atomic medium are used. The first method utilizes a perturbation expansion which is valid for signal intensities which barely reach saturation strength, and it is quite general in applicability. The second method is valid for arbitrarily strong signals, but it yields tractable solutions only for zero magnetic field or for axial magnetic fields large enough such that the Zeeman splitting is much larger than the power broadened homogeneous linewidth of the laser transition. The effects of pressure broadening of the homogeneous spectral linewidth are included in both the weak-signal and strong-signal theories; however the effects of Zeeman sublevel-mixing collisions are taken into account only in the weak-signal theory.

The behavior of a He-Ne gas laser amplifier in the presence of an axial magnetic field has been studied experimentally by measuring gain and Faraday rotation of linearly polarized resonant laser signals for various values of input signal intensity, and by measuring nonlinearity - induced anisotropy for elliptically polarized resonant laser signals of various input intensities. Two high-gain transitions in the 3.39-μ region were used for study: a J = 1 to J = 2 (3s<sub>2sub> → 3p<sub>4sub>) transition and a J = 1 to J = 1 (3s<sub>2sub> → 3p<sub>2sub>) transition. The input signals were tuned to the centers of their respective resonant gain lines.

The experimental results agree quite well with corresponding theoretical expressions which have been developed to include the nonlinear effects of saturation strength signals. The experimental results clearly show saturation of Faraday rotation, and for the J = 1 t o J = 1 transition a Faraday rotation reversal and a traveling wave gain dip are seen for small values of axial magnetic field. The nonlinearity induced anisotropy shows a marked dependence on the gas pressure in the amplifier tube for the J = 1 to J = 2 transition; this dependence agrees with the predictions of the general perturbational or weak signal theory when allowances are made for the effects of Zeeman sublevel-mixing collisions. The results provide a method for measuring the upper (neon 3s<sub>2sub>) level quadrupole moment decay rate, the dipole moment decay rates for the 3s<sub>2sub> → 3p<sub>4sub> and 3s<sub>2sub> → 3p<sub>2sub> transitions, and the effects of various types of collision processes on these decay rates.

On the interaction of actinomycin and DNA

Experiments have been accomplished that (a) further define the nature of the strong, G-containing DNA binding sites for actinomycin D (AMD), and (b) quantitate the in vitro inhibition of E. coli RNA polymerase activity by T7 DNA-bound AMD.

Twenty-five to forty percent of the G's of crab dAT are disallowed as strong AMD binding sites. The G's are measured to be randomly distributed, and, therefore, this datum cannot be explained on the basis of steric interference alone. Poly dAC:TG binds as much AMD and as strongly as any natural DNA, so the hypothesis that the unique strong AMD binding sites are G and a neighboring purine is incorrect. The datum can be explained on the basis of both steric interference and the fact that TGA is a disallowed sequence for strong AMD binding.

Using carefully defined in vitro conditions, there is one RNA synthesized per T7 DNA by E. coli RNA polymerase. The rate of the RNA polymerase-catalyzed reaction conforms to the equation 1/rate = 1/k<sub>Asub>(ATP) + 1/K<sub>Gsub>(GTP) + 1/K<sub>Csub>(CTP) + 1/K<sub>Usub>(UTP) T7 DNA-bound AMD has only modest effects on initiation and termination of the polymerase-catalyzed reaction, but a large inhibitory effect on propagation. In the presence of bound AMD, k<sub>Gsub> and k<sub>Csub> are decreased, whereas k<sub>Asub> and k<sub>Usub> are unaffected. These facts are interpreted to mean that on the microscopic level, on the average, the rates of incorporation of ATP and UTP are the same in the absence or presence of bound AMD, but that the rates of incorporation of GTP and CTP are decreased in the presence of AMD.

I. Electronic states of heavily-doped molecular crystals--naphthalene. I. Theoretical. II. Experimental. II. Lowest singlet and triplet excited states of pyrazine

PART I

The energy spectrum of heavily-doped molecular crystals was treated in the Green’s function formulation. The mixed crystal Green’s function was obtained by averaging over all possible impurity distributions. The resulting Green’s function, which takes the form of an infinite perturbation expansion, was further approximated by a closed form suitable for numerical calculations. The density-of-states functions and optical spectra for binary mixtures of normal naphthalene and deuterated naphthalene were calculated using the pure crystal density-of-state functions. The results showed that when the trap depth is large, two separate energy bands persist, but when the trap depth is small only a single band exists. Furthermore, in the former case it was found that the intensities of the outer Davydov bands are enhanced whereas the inner bands are weakened. Comparisons with previous theoretical calculations and experimental results are also made.

PART II

The energy states and optical spectra of heavily-doped mixed crystals are investigated. Studies are made for the following binary systems: (1) naphthalene-h<sub>8sub> and d<sub>8sub>, (2) naphthalene--h<sub>8sub> and αd<sub>4sub>, and (3) naphthalene--h<sub>8sub> and βd<sub>1sub>, corresponding to strong, medium and weak perturbations. In addition to ordinary absorption spectra at 4˚K, band-to-band transitions at both 4˚K and 77˚K are also analyzed with emphasis on their relations to cooperative excitation and overall density-of-states functions for mixed crystals. It is found that the theoretical calculations presented in a previous paper agree generally with experiments except for cluster states observed in system (1) at lower guest concentrations. These features are discussed semi-quantitatively. As to the intermolecular interaction parameters, it is found that experimental results compare favorably with calculations based on experimental density-of-states functions but not with those based on octopole interactions or charge-transfer interactions. Previous experimental results of Sheka and the theoretical model of Broude and Rashba are also compared with present investigations.

PART III

The phosphorescence, fluorescence and absorption spectra of pyrazine-h<sub>4sub> and d<sub>4sub> have been obtained at 4˚K in a benzene matrix. For comparison, those of the isotopically mixed crystal pyrazine-h<sub>4sub> in d<sub>4sub> were also taken. All these spectra show extremely sharp and well-resolved lines and reveal detailed vibronic structure.

The analysis of the weak fluorescence spectrum resolves the long-disputed question of whether one or two transitions are involved in the near-ultraviolet absorption of pyrazine. The “mirror-image relationship” between absorption and emission shows that the lowest singlet state is an allowed transition, properly designated as ¹B<sub>3usub> ← ¹A<sub>1gsub>. The forbidden component ¹B<sub>2gsub>, predicted by both “exciton” and MO theories to be below the allowed component, must lie higher. Its exact location still remains uncertain.

The phosphorescence spectrum when compared with the excitation phosphorescence spectra, indicates that the lowest triplet state is also symmetry allowed, showing a strong 0-0 band and a “mirror-image relationship” between absorption and emission. In accordance with previous work, the triplet state is designated as ³B<sub>3usub>.

The vibronic structure of the phosphorescence spectrum is very complicated. Previous work on the analysis of this spectrum all concluded that a long progression of v<sub>6asub> exists. Under the high resolution attainable in our work, the supposed v<sub>6asub> progression proves to have a composite triplet structure, starting from the second member of the progression. Not only is the v<sub>9asub> hydrogen-bending mode present as shown by the appearance of the C-D bending mode in the d<sub>4sub> spectrum, but a band of 1207 cm^-1 in the pyrazine in benzene system and 1231 cm^-1 in the mixed crystal system is also observed. This band is assigned as 2v<sub>6bsub> and of a<sub>1gsub> symmetry. Its anonymously strong intensity in the phosphorescence spectrum is interpreted as due to the Fermi resonance with the 2v<sub>6asub> and v<sub>9asub> band.

To help resolve the present controversy over the crystal phosphorescence spectrum of pyrazine, detailed vibrational analyses of the emission spectra were made. The fluorescence spectrum has essentially the same vibronic structure as the phosphorescence spectrum.

The separation of atomic and molecular gases from helium by cataphoresis

The cataphoretic purification of helium was investigated for binary mixtures of He with Ar, Ne, N<sub>2sub>, O<sub>2sub>, CO, and CO<sub>2sub> in DC glow discharge. An experimental technique was developed to continuously measure the composition in the anode end-bulb without sample withdrawal. Discharge currents ranged from 10 ma to 100 ma. Total gas pressure ranged from 2 torr to 9 torr. Initial compositions of the minority component in He ranged from 1.2 mole percent to 7.5 mole percent.

The cataphoretic separation of Ar and Ne from He was found to be in agreement with previous investigators. The cataphoretic separation of N<sub>2sub>, O<sub>2sub>, and CO from He was found to be similar to noble gas systems in that the steady-state separation improved with (1) increasing discharge current, (2) increasing gas pressure, and (3) decreasing initial composition of the minority component. In the He-CO<sub>2sub> mixture, the CO<sub>2sub> dissociated to CO plus O<sub>2sub>. The fraction of CO<sub>2sub> dissociated was directly proportional to the current and pressure and independent of initial composition.

The experimental results for the separation of Ar, Ne, N<sub>2sub>, O<sub>2sub>, and CO from He were interpreted in the framework of a recently proposed theoretical model involving an electrostatic Peclet number. In the model the electric field was assumed to be constant. This assumption was checked experimentally and the maximum variation in electric field was 35% in time and 30% in position. Consequently, the assumption of constant electric field introduced no more than 55% variation in the electrostatic Peclet number during a separation.

To aid in the design of new cataphoretic systems, the following design criteria were developed and tested in detail: (1) electric field independent of discharge current, (2) electric field directly proportional to total pressure, (3) ion fraction of impurity directly proportional to discharge current, and (4) ion fraction of impurity independent of total pressure. Although these assumptions are approximate, they enabled the steady-state concentration profile to be predicted to within 25% for 75% of the data. The theoretical model was also tested with respect to the characteristic time associated with transient cataphoresis. Over 80% of the data was within a factor of two of the calculated characteristic times.

The electrostatic Peclet number ranged in value from 0.13 to 4.33. Back-calculated ion fractions of the impurity component ranged in value from 4.8x10^-6 to 178x10^-6.

Field and Laboratory Studies of Atmospheric Organic Aerosol

This thesis is the culmination of field and laboratory studies aimed at assessing processes that affect the composition and distribution of atmospheric organic aerosol. An emphasis is placed on measurements conducted using compact and high-resolution Aerodyne Aerosol Mass Spectrometers (AMS). The first three chapters summarize results from aircraft campaigns designed to evaluate anthropogenic and biogenic impacts on marine aerosol and clouds off the coast of California. Subsequent chapters describe laboratory studies intended to evaluate gas and particle-phase mechanisms of organic aerosol oxidation.

The 2013 Nucleation in California Experiment (NiCE) was a campaign designed to study environments impacted by nucleated and/or freshly formed aerosol particles. Terrestrial biogenic aerosol with > 85% organic mass was observed to reside in the free troposphere above marine stratocumulus. This biogenic organic aerosol (BOA) originated from the Northwestern United States and was transported to the marine atmosphere during periodic cloud-clearing events. Spectra recorded by a cloud condensation nuclei counter demonstrated that BOA is CCN active. BOA enhancements at latitudes north of San Francisco, CA coincided with enhanced cloud water concentrations of organic species such as acetate and formate.

Airborne measurements conducted during the 2011 Eastern Pacific Emitted Aerosol Cloud Experiment (E-PEACE) were aimed at evaluating the contribution of ship emissions to the properties of marine aerosol and clouds off the coast of central California. In one study, analysis of organic aerosol mass spectra during periods of enhanced shipping activity yielded unique tracers indicative of cloud-processed ship emissions (m/z 42 and 99). The variation of their organic fraction (f<sub>42sub> and f<sub>99sub>) was found to coincide with periods of heavy (f<sub>42sub> > 0.15; f<sub>99sub> > 0.04), moderate (0.05 < f<sub>42sub> < 0.15; 0.01 < f<sub>99sub> < 0.04), and negligible (f<sub>42sub> < 0.05; f<sub>99sub> < 0.01) ship influence. Application of these conditions to all measurements conducted during E-PEACE demonstrated that a large fraction of cloud droplet (72%) and dry aerosol mass (12%) sampled in the California coastal study region was heavily or moderately influenced by ship emissions. Another study investigated the chemical and physical evolution of a controlled organic plume emitted from the R/V Point Sur. Under sunny conditions, nucleated particles composed of oxidized organic compounds contributed nearly an order of magnitude more cloud condensation nuclei (CCN) than less oxidized particles formed under cloudy conditions. The processing time necessary for particles to become CCN active was short ( < 1 hr) compared to the time needed for particles to become hygroscopic at sub-saturated humidity ( > 4 hr).

Laboratory chamber experiments were also conducted to evaluate particle-phase processes influencing aerosol phase and composition. In one study, ammonium sulfate seed was coated with a layer of secondary organic aerosol (SOA) from toluene oxidation followed by a layer of SOA from α-pinene oxidation. The system exhibited different evaporative properties than ammonium sulfate seed initially coated with α-pinene SOA followed by a layer of toluene SOA. This behavior is consistent with a shell-and-core model and suggests limited mixing among different SOA types. Another study investigated the reactive uptake of isoprene epoxy diols (IEPOX) onto non-acidified aerosol. It was demonstrated that particle acidity has limited influence on organic aerosol formation onto ammonium sulfate seed, and that the chemical system is limited by the availability of nucleophiles such as sulfate.

Flow tube experiments were conducted to examine the role of iron in the reactive uptake and chemical oxidation of glycolaldehyde. Aerosol particles doped with iron and hydrogen peroxide were mixed with gas-phase glycolaldehyde and photochemically aged in a custom-built flow reactor. Compared to particles free of iron, iron-doped aerosols significantly enhanced the oxygen to carbon (O/C) ratio of accumulated organic mass. The primary oxidation mechanism is suggested to be a combination of Fenton and photo-Fenton reactions which enhance particle-phase OH radical concentrations.

Observation and interpretation of tectonic strain release mechanisms

In four chapters various aspects of earthquake source are studied.

Chapter I

Surface displacements that followed the Parkfield, 1966, earthquakes were measured for two years with six small-scale geodetic networks straddling the fault trace. The logarithmic rate and the periodic nature of the creep displacement recorded on a strain meter made it possible to predict creep episodes on the San Andreas fault. Some individual earthquakes were related directly to surface displacement, while in general, slow creep and aftershock activity were found to occur independently. The Parkfield earthquake is interpreted as a buried dislocation.

Chapter II

The source parameters of earthquakes between magnitude 1 and 6 were studied using field observations, fault plane solutions, and surface wave and S-wave spectral analysis. The seismic moment, M<sub>Osub>, was found to be related to local magnitude, M<sub>Lsub>, by log M<sub>Osub> = 1.7 M<sub>Lsub> + 15.1. The source length vs magnitude relation for the San Andreas system found to be: M<sub>Lsub> = 1.9 log L - 6.7. The surface wave envelope parameter AR gives the moment according to log M<sub>Osub> = log AR<sub>300sub> + 30.1, and the stress drop, τ, was found to be related to the magnitude by τ = 0.54 M - 2.58. The relation between surface wave magnitude M<sub>Ssub> and M<sub>Lsub> is proposed to be M<sub>Ssub> = 1.7 M<sub>Lsub> - 4.1. It is proposed to estimate the relative stress level (and possibly the strength) of a source-region by the amplitude ratio of high-frequency to low-frequency waves. An apparent stress map for Southern California is presented.

Chapter III

Seismic triggering and seismic shaking are proposed as two closely related mechanisms of strain release which explain observations of the character of the P wave generated by the Alaskan earthquake of 1964, and distant fault slippage observed after the Borrego Mountain, California earthquake of 1968. The Alaska, 1964, earthquake is shown to be adequately described as a series of individual rupture events. The first of these events had a body wave magnitude of 6.6 and is considered to have initiated or triggered the whole sequence. The propagation velocity of the disturbance is estimated to be 3.5 km/sec. On the basis of circumstantial evidence it is proposed that the Borrego Mountain, 1968, earthquake caused release of tectonic strain along three active faults at distances of 45 to 75 km from the epicenter. It is suggested that this mechanism of strain release is best described as "seismic shaking."

Chapter IV

The changes of apparent stress with depth are studied in the South American deep seismic zone. For shallow earthquakes the apparent stress is 20 bars on the average, the same as for earthquakes in the Aleutians and on Oceanic Ridges. At depths between 50 and 150 km the apparent stresses are relatively high, approximately 380 bars, and around 600 km depth they are again near 20 bars. The seismic efficiency is estimated to be 0.1. This suggests that the true stress is obtained by multiplying the apparent stress by ten. The variation of apparent stress with depth is explained in terms of the hypothesis of ocean floor consumption.

Locally convex Riesz spaces and Archimedean quotient spaces

A Riesz space with a Hausdorff, locally convex topology determined by Riesz seminorms is called a locally convex Riesz space. A sequence {x<sub>nsub>} in a locally convex Riesz space L is said to converge locally to x ϵ L if for some topologically bounded set B and every real r ˃ 0 there exists N (r) and n ≥ N (r) implies x – x<sub>nsub> ϵ r^b. Local Cauchy sequences are defined analogously, and L is said to be locally complete if every local Cauchy sequence converges locally. Then L is locally complete if and only if every monotone local Cauchy sequence has a least upper bound. This is a somewhat more general form of the completeness criterion for Riesz – normed Riesz spaces given by Luxemburg and Zaanen. Locally complete, bound, locally convex Riesz spaces are barrelled. If the space is metrizable, local completeness and topological completeness are equivalent.

Two measures of the non-archimedean character of a non-archimedean Riesz space L are the smallest ideal A<sub>osub> (L) such that quotient space is Archimedean and the ideal I (L) = { x ϵ L: for some 0 ≤ v ϵ L, n |x| ≤ v for n = 1, 2, …}. In general A<sub>osub> (L) ᴝ I (L). If L is itself a quotient space, a necessary and sufficient condition that A<sub>osub> (L) = I (L) is given. There is an example where A<sub>osub> (L) ≠ I (L).

A necessary and sufficient condition that a Riesz space L have every quotient space Archimedean is that for every 0 ≤ u, v ϵ L there exist u<sub>1sub> = sup (inf (n v, u): n = 1, 2, …), and real numbers m<sub>1sub> and m<sub>2sub> such that m<sub>1sub> u<sub>1sub> ≥ v<sub>1sub> and m<sub>2sub> v<sub>1sub> ≥ u<sub>1sub>. If, in addition, L is Dedekind σ – complete, then L may be represented as the space of all functions which vanish off finite subsets of some non-empty set.

Nuclear hyperfine interactions in W^(182), W^(183), and Pt^(195) as studies by the Mossbauer effect

The Mössbauer technique has been used to study the nuclear hyperfine interactions and lifetimes in W¹⁸² (2⁺ state) and W¹⁸³ (3/2^- and 5/2^- states) with the following results: g(5/2^-)/g(2⁺) = 1.40 ± 0.04; g(3/2^- = -0.07 ± 0.07; Q(5/2^-)/Q(2⁺) = 0.94 ± 0.04; T<sub>1/2sub>(3/2^-) = 0.184 ± 0.005 nsec; T<sub>1/2sub>(5/2^-) >̰ 0.7 nsec. These quantities are discussed in terms of a rotation-particle interaction in W¹⁸³ due to Coriolis coupling. From the measured quantities and additional information on γ-ray transition intensities magnetic single-particle matrix elements are derived. It is inferred from these that the two effective g-factors, resulting from the Nilsson-model calculation of the single-particle matrix elements for the spin operators ŝ<sub>zsub> and ŝ<sub>+sub>, are not equal, consistent with a proposal of Bochnacki and Ogaza.

The internal magnetic fields at the tungsten nucleus were determined for substitutional solid solutions of tungsten in iron, cobalt, and nickel. With g(2⁺) = 0.24 the results are: |H<sub>effsub>(W-Fe)| = 715 ± 10 kG; |H<sub>effsub>(W-Co)| = 360 ± 10 kG; |H<sub>effsub>(W-Ni)| = 90 ± 25 kG. The electric field gradients at the tungsten nucleus were determined for WS<sub>2sub> and WO<sub>3sub>. With Q(2⁺) = -1.81b the results are: for WS<sub>2sub>, eq = -(1.86 ± 0.05) 10¹⁸ V/cm²; for WO<sub>3sub>, eq = (1.54 ± 0.04) 10¹⁸ V/cm² and ƞ = 0.63 ± 0.02.

The 5/2^- state of Pt¹⁹⁵ has also been studied with the Mössbauer technique, and the g-factor of this state has been determined to be -0.41 ± 0.03. The following magnetic fields at the Pt nucleus were found: in an Fe lattice, 1.19 ± 0.04 MG; in a Co lattice, 0.86 ± 0.03 MG; and in a Ni lattice, 0.36 ± 0.04 MG. Isomeric shifts have been detected in a number of compounds and alloys and have been interpreted to imply that the mean square radius of the Pt¹⁹⁵ nucleus in the first-excited state is smaller than in the ground state.

A generalized Hausdorff dimension for functions and sets

Let E be a compact subset of the n-dimensional unit cube, 1<sub>nsub>, and let C be a collection of convex bodies, all of positive n-dimensional Lebesgue measure, such that C contains bodies with arbitrarily small measure. The dimension of E with respect to the covering class C is defined to be the number

d<sub>Csub>(E) = sup(β:H<sub>β, Csub>(E) > 0),

where H<sub>β, Csub> is the outer measure

inf(Ʃm(C<sub>isub>)^β:UC<sub>isub> Ↄ E, C<sub>isub> ϵ C) .

Only the one and two-dimensional cases are studied. Moreover, the covering classes considered are those consisting of intervals and rectangles, parallel to the coordinate axes, and those closed under translations. A covering class is identified with a set of points in the left-open portion, 1’<sub>nsub>, of 1<sub>nsub>, whose closure intersects 1<sub>nsub> - 1’<sub>nsub>. For n = 2, the outer measure H<sub>β, Csub> is adopted in place of the usual:

Inf(Ʃ(diam. (C<sub>isub>))^β: UC<sub>isub> Ↄ E, C<sub>isub> ϵ C),

for the purpose of studying the influence of the shape of the covering sets on the dimension d<sub>Csub>(E).

If E is a closed set in 1<sub>1sub>, let M(E) be the class of all non-decreasing functions μ(x), supported on E with μ(x) = 0, x ≤ 0 and μ(x) = 1, x ≥ 1. Define for each μ ϵ M(E),

d<sub>Csub>(μ) = lim/c → inf/0 log ∆μ(c)/log c , (c ϵ C)

where ∆μ(c) = v/x (μ(x+c) – μ(x)). It is shown that

d<sub>Csub>(E) = sup (d<sub>Csub>(μ):μ ϵ M(E)).

This notion of dimension is extended to a certain class Ӻ of sub-additive functions, and the problem of studying the behavior of d<sub>Csub>(E) as a function of the covering class C is reduced to the study of d<sub>Csub>(f) where f ϵ Ӻ. Specifically, the set of points in 1<sub>1sub>,

(*) {d<sub>Bsub>(F), d<sub>Csub>(f)): f ϵ Ӻ}

is characterized by a comparison of the relative positions of the points of B and C. A region of the form (*) is always closed and doubly-starred with respect to the points (0, 0) and (1, 1). Conversely, given any closed region in 1<sub>2sub>, doubly-starred with respect to (0, 0) and (1, 1), there are covering classes B and C such that (*) is exactly that region. All of the results are shown to apply to the dimension of closed sets E. Similar results can be obtained when a finite number of covering classes are considered.

In two dimensions, the notion of dimension is extended to the class M, of functions f(x, y), non-decreasing in x and y, supported on 1<sub>2sub> with f(x, y) = 0 for x · y = 0 and f(1, 1) = 1, by the formula

d<sub>Csub>(f) = lim/s · t → inf/0 log ∆f(s, t)/log s · t , (s, t) ϵ C

where

∆f(s, t) = V/x, y (f(x+s, y+t) – f(x+s, y) – f(x, y+t) + f(x, t)).

A characterization of the equivalence d<sub>Csub><sub>1sub>(f) = d<sub>Csub><sub>2sub>(f) for all f ϵ M, is given by comparison of the gaps in the sets of products s · t and quotients s/t, (s, t) ϵ C<sub>isub> (I = 1, 2).