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I. INTRODUCTION
merely the demonstration of the presence of energy transfer, but a more detailed
investigation designed to establish which available mechanism of energy transfer
is operative.
The field of excitation energy transfer is replete with redundant and overlapping
terms, whose multitude itself lends little order to the subject. Various authors
quote, as energy transfer mechanisms, exciton transfer, resonance transfer, dipoledipole transfer, inductive resonance, resonance force transfer, virtual photons, and
diffuse excitation, among others.
This paper will be devoted to the laying down of a further perspective for the
discrimination and understanding of the main types of excitation energy transfer.
A necessary introduction to such a discussion will be the examination of detailed
differences in types of intermolecular electronic interaction. The present treatment
will be a strictly nonmathematical one; a later paper will serve to develop the mathe-
matical framework at an intermediate level to that available in the literature (1, 2).
1 This paper was presented at the Exciton Symposium held at the 10th Annual Meeting of
the Radiation Research Society, Colorado Springs, May 20-23, 1962. The Society is indebted
to Dr. Michael Kasha, Director of the Institute of Molecular Biophysics, The Florida State
University, Tallahassee, for the organization of the symposium and for assembling the manuscripts for publication.
2 This study was supported in part by a contract between the Division of Biology and
Medicine and the U. S. Atomic Energy Commission and in part by the Chemistry Division,
U. S. Air Force Office of Scientific Research, and the Florida State University.
55
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56
KASHA
The exciton model may be defined as the treatment of the resonance interaction
between excited states of weakly coupled aggregate systems. The various forms of
the theory depend on whether the system consists of atomic ions or molecular units,
on the nature of the external disturbance, on the strength of intermolecular interaction, on the structure of the aggregate, and on the nature of the interacting excited
states. The goal of the treatment is primarily to give the correct description of the
excited states of the aggregate. Secondarily, the nature of excitation migration may
be described.
To limit the discussion to optically excited aggregate systems, this paper will deal
only with transverse excitons, in which case the perturbation of the aggregate system
by the electric vector of the light wave is perpendicular to the direction of propagation of the photon (rather than longitudinal excitons, excited by momentum transfer
parallel to the direction of impingement of a colliding massive particle). Furthermore, atomic excitons, in which the excited electron distribution function covers
many lattice sites and hence may be described as a loosely bound exciton (Wannier
exciton), will not be considered (3).
Instead, molecular excitons, in which the excited electron is strongly bound to a
specific molecular center in a van der Waals aggregate of molecules (e.g., molecular
crystals), will be described (3). We may then seek to describe the excited states
of the molecular aggregate in terms of the excited states of the component molecules as a starting point. Under certain conditions (see later discussion), a collective excitation (Frenkel exciton) of the system of locally excited states serves as
the best description of the excited molecular aggregate; alternatively, a superposition of these collective excited states may be used, which describes the excitation
in terms of a traveling-wave packet of excitation, the exciton.
In general, the formal treatment may be applied to a crystalline molecular solid,
or to other molecular aggregates such as multilayered laminae, or a monolayer; or
to helical and other polymers. However, the formalism may be used in part to
study the intermolecular electronic excited-state interaction in much simpler
band will consist of N discrete exciton states; again characteristically, only one or
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57
FREE
COLLECTIVE EXCITATION
EXCITON
C I/r3
EXCITON >> I
MODEL 2 << I
LOCALIZED
Davydov E
EXCITON
LOCALIZED EXCITATION
STEPWISE TRANSFER
(Identical units)
12 -I
C: I /r3
INTERACTION OF
CONTINUA
MODEL
Forster
VERY>
WEAK
U?I
A"E7
VIBRATIONAL-
STEPWISE TRANSFER
RELAXATION
(Dissimilar units)
RESONANCE
TRANSFER
Theoretical
Energy
P henomenological
Model
Coupling
Model
OC I/r6
Characteristics
Criteria
a very few (equal in number to the number of molecules per unit cell) of these
exciton states for the aggregate can be reached by allowed electric-dipole transitions.
Leaving the question of the detailed exciton band structure and the consequent
observable spectral effects to Sections IV and V, we turn first to the consideration
of the various limits for intermolecular coupling cases (Fig. 1) as proposed by Simpson and Peterson, by F6rster, and by Davydov.
Simpson and Peterson (5) proposed what seem to be the most operationally practicable criteria for the strength of intermolecular electronic interaction between
excited states relative to the strength of intramolecular vibrational-electronic
coupling. For their strong-coupling exciton case they propose the criterion 2U/AI >>
1, where 2U is the exciton band width, and AE is the Franck-Condon band width
of the corresponding molecular electronic transition in the individual molecular
unit. For the weak-coupling criterion, Simpson and Peterson propose the converse
inequality, 2U/Ae << 1. Thus, if a band shift for the exciton states of a molecular
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,58
KASHA
aggregate is observed which is greater than the total electronic band width of the
corresponding transition in the individual molecule, the strong-coupling case prevails. We shall favor the Simpson and Peterson strong-coupling and weak-coupling
classification and criteria and discuss these and the case intermediate to those in
Section IV.
Forster (6), in one of the keynote presentations of energy transfer theory, proposed a slightly modified designation of these two criteria. In his attempt to bring
unity to the subject, F6rster proposed that Simpson and Peterson's criteria (aside
most is the fact that Forster's proposed "weak-coupling" criterion (labeled "very
weak" in Fig. 1), U/Ae' << 1, where U is the interaction energy for excited states,
and AE' is the individual vibronic band width, although understandable in principle,
is not operationally accessible. Individual vibronic bands are seldom resolved in
most solution spectra, and these are the spectra of primary interest. (Experimentally
one could not distinguish Simpson and Peterson's original weak-coupling case and
Forster's weak-coupling case by direct spectral criteria.) Secondly, the exciton model
is based essentially on a first-order perturbation theory treatment, with an inverse-
cube dependence on the distance between interacting excited-state transition dipoles. There is a theoretical discontinuity in the transition to the Forster model.
Forster's vibrational-relaxation resonance transfer model has been derived by him
both by a phenomenological path (7) as well as by the quantum-mechanical interaction of continuous configurations (6, 8), which yields results essentially of the
form familiar in second-order perturbation theory and results in an interaction
energy which depends on the inverse sixth power of the distance between interacting excited transition dipoles. Further discussion of this mechanism will be given
in Section VI.
state (t = h/2AU, where A U is the exciton band width) is much shorter than the
lattice relaxation time (time for the lattice to re-equilibrate as a result of changes in
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59
In this section we shall examine schematically the types of spectral effect which
can be observed for the strong-coupling, intermediate-coupling, and weak-coupling
exciton cases of Simpson and Peterson (5).
Strong coupling requires the Born-Oppenheimer separability of intramolecular
electronic and vibrational wave functions for a molecule (5, 9). Thus, the allowed
excited electronic states of identical molecules in a molecular aggregate will interact,
and the vibrational envelope will follow along. Figure 2 schematically illustrates
the spectral effects (molar absorption coefficient versus frequency in cm-1) for
such a case. The upper curve shows a Franck-Condon band envelope for a strong
electric-dipole molecular electronic transition in a unit molecule. In a dimer (middle curves), a splitting occurs in principle, although one of the components may be
forbidden (see Section V) and not observable. However, in the dimer, the excitation
is now distributed over both molecules, so the vibrational frequencies in the excited
state will change (exaggerated in figure). In the infinite polymer (bottom curve),
STRONG COUPLING
MONOMER
DIMER
INFINITE
POLYMER
I,
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60
KASHA
a much larger exciton splitting will be observed, but the band width of the allowed
components now becomes characteristically very narrow. The latter effect is caused
by the fact that the excitation is now spread over many molecules, so that each
molecule has approximately the same electronic structure as a ground-state molecule. In spectroscopic language, only the 0,0 or vibrationless electronic transition
is now allowed by the Franck-Condon principle.
In strong coupling, the splitting of the spectral band would be exactly double for
the infinite polymer compared with the dimer, in the approximation of nearestneighbor interaction (since in the former case each molecule has two neighbors).
Actually, the splitting in the infinite polymer would be somewhat greater than
double that for the dimer, because the net interaction would be obtained by summing the interaction over all molecule neighbors to a given molecule. Since the
dipole-dipole interaction falls off as the inverse cube of distance, most of the interaction would come from the first six neighbors on each side. In our schematic illustration, a topologically linear polymer is considered. The actual geometry for a real
case would modify the observed spectral components of the exciton band. Furthermore, the splitting would be symmetrical about the origin only for a molecule with
no permanent dipole moment.
Weak coupling (Fig. 3, right side) corresponds to the failure of Born-Oppenheimer
separability of intramolecular electronic and vibrational wave functions for a mole-
cule (5, 9). Application of the Simpson and Petersen criteria to the whole electronic
band having determined that the weak-coupling case prevails, one now calculates
the splitting of each vibronic sub-band separately. In the limit of weak coupling,
no spectral band shape change is observed, but instead second-order effects such as
hypochromism or hyperchromism (band intensity decreases or increases in aggre-
",
FIG. 3. Spectral effects of the intermediate-coupling and weak-coupling cases in the exciton
model.
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61
gate) may be observed. In practice, this case may apply roughly when the molar
absorption coefficient of an electronic absorption band falls below 1000.
Intermediate coupling (Fig. 3, left side) constitutes one of the difficult unsolved
problems of exciton theory (10, 11). The electronic and vibrational wave functions
are not separable, so that individual vibronic sub-bands interact according to their
individual oscillator strengths (intensities). However, here the splitting of vibronic
sub-bands degenerate in the molecular aggregate is comparable with the vibronic
spacings in the original electronic transition for the individual molecule. Consequently, a general confusion of the band contour may result, as schematically in-
dicated in the lower curve (Fig. 3, left side). The exact spectral contours for various
coupling strengths are the subject of current investigation. Intermediate coupling
probably prevails for molecular electronic bands of normal band width and of molar
In the previous section it was seen that the most dramatic spectral effects for
exciton states of molecular aggregates are seen for strong-coupling cases. It is quite
rewarding to translate the quantum-mechanical results for these cases into a quasiclassical vector model for the electrostatic interaction of dipoles.
The intermolecular interaction in molecular aggregates should be expressed accurately by potential terms of coulomb type between the electrons and nuclei of
multipole expansion, which summed over all multipoles (dipole-dipole, quadrupole-quadrupole, octupole-octupole, . . ., dipole-quadrupole, . . ., etc.) becomes
equivalent to the coulomb potential. However, since the electronically excited states
are usually of (allowed) electric-dipole type, only the dipole-dipole intermolecular
potential term is used, as an approximation, in the molecular exciton model. Then,
one may easily factor the quantum-mechanical intermolecular interaction integrals;
and also in this approximation one may understand the nature of the exciton model
in terms of a quasi-classical electrostatic vector model.
Dimers of dye molecules have been studied by the exciton formalism by Levinson
et al. (12). Figure 4 shows the possible exciton band structure's and selection rules
(after Kasha et al., 13). Two separate questions may be answered by such vector
diagrams: (1) What is the energy of the resulting exciton states, and (2) what are
the electric dipole selection rules for optical transitions to these states?
In the diagrams of Fig. 4, it is assumed that the polarization vector for light absorption is parallel to the long axis of a long planar molecule, whose skeleton is
schematically indicated by a flat rectangular plate. Other electronic transitions may
of course be considered, polarized along the short axis of the plate, or out-of-plane;
or oblique to the skeletal axes for an "unsymmetrical" molecule. No new selection
rules arise for these additional cases.
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62
KASHA
-G
-E'
AX
E'EAE
(Hypsochromic) (Bathochromic)
FIG. 4. Diagrams for exciton band structure in molecular dimers with various geometrical
arrangements of transition dipoles. After Kasha et al. (13).
To deduce the energy of the exciton state of the dimer relative to the monomer
excited-state energy, one must ask whether the dipole-dipole interaction will be
attractive or repulsive. To deduce the selection rule for light absorption, one must
take the vector sum of the transition dipoles for the given exciton state. It naturally
turns out that only in-phase arrangements of dipoles give allowed exciton states,
which is necessary, since the wavelength of the light used for electronic excitation
of molecules is much greater than molecular dimensions of ordinary molecules, and
thus molecules of a dimer should be simultaneously under an in-phase perturbation.
The oblique dimer yields a splitting into two allowed components, but with mutually
perpendicular polarization for light absorption to the exciton states of the dimer.
Numerous actual examples of molecular dimers corresponding to several different
geometrical arrangements have been studied recently (13, 14).
Linear polymer exciton models are of considerable value to consider, since they
afford the simplest example of full exciton band development in a geometry-determined molecular aggregate system, even though actual linear polymers (as dis-
tinguished from helical ones) may be rare or unstable in nature. Selection rules in
the linear polymer exciton model were developed by McRae and Kasha (15) together with interaction energy expressions in the nearest-neighbor approximation
for the cases illustrated in Fig. 5.
In each energy-level diagram of Fig. 5, the polymer is assumed to consist of N
molecular identical units or chromophores. Before excited-state interaction, an
N-fold excitation degeneracy exists, depicted schematically on the left side of each
energy-level diagram. After the electrostatic perturbation caused by the intermolecular dipole-dipole interaction of transition dipoles, an exciton band of N
discrete exciton states is produced, as shown on the right side of each energy-level
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7_
__
_A__
__^
EXCITED
STATE
-__
GROUND STATE
diagram. The solid line indicates the allowed exciton state of the polymer, which
can be reached by electric-dipole radiation; the dashed lines correspond to forbidden
exciton states.
Below the energy-level diagrams for each case are shown vector diagrams for a
few of the exciton states of the polymer. In the head-to-tail case, the nodeless exciton
wave function (bottom vector array) corresponds to all transition dipoles in phase,
yielding the lowest-energy exciton state for this exciton band, and also an allowed
exciton state, with a finite net transition moment. The exciton wave function with a
single excitation node (vector diagram just above bottom array) will correspond to
the exciton state next higher in energy, but now with a transition dipole vector sum
between each molecular unit (top vector diagram for the head-to-tail case). This
last gives the highest-energy exciton band component, with repulsive electrostatic
interaction between each transition dipole, and with a net transition moment of zero,
correspond to one molecule per unit cell, and the case on the right to two molecules
per unit cell in the space group for the system, and lead consequently to one, one,
and two allowed levels in the exciton band system, respectively. Thus, the linear
polymer exciton models demonstrate very simply the relation of exciton wave funcThis content downloaded from 129.125.32.217 on Tue, 26 Apr 2016 08:25:49 UTC
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64
KASHA
tion nodal properties and exciton-state energy and selection rules for electric-dipole
transitions.
The forbidden exciton states, although not observed directly by light absorption
in most cases, nevertheless play an extremely important role in excitation and light
emission from molecular aggregates (12, 15). A forbidden lowest exciton level in an
exciton band corresponds to a metastable singlet level. If a triplet level lies below
such a level, greatly enhanced triplet-state excitation may result, accompanied by a
total quenching of normal singlet-state emission of the unit molecule.
Helical polymer exciton models have special interest in connection with spectra
and energy transfer in polypeptides and proteins, polynucleotides, and deoxyribonucleic acids. Moffitt (16) has developed the formalism for the exciton model
applied to polypeptides.
We may develop a more complete exciton band diagram to describe the exciton
states for a helical polymer with four molecular chromophore units (not electroni-
x,y
\--- Iz
FIG. 6. Diagrams for exciton band structure in helical molecular polymers with four nonconjugated molecular chromophore units per turn.
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65
There are evidently two one-noded exciton wave functions, giving an exciton-state
If the interactions are summed over the entire helix relative to the perpendicular
projection, additional contributions to the splitting will occur, but the polarization
results will be unchanged. The exciton band structure thus shows two allowed bands
at the same energy and with polarization vectors for light absorption which are
mutually perpendicular and perpendicular to the helix axis, and one allowed exciton
state at the bottom of the exciton band polarized parallel to the helix axis.
The spectroscopic observations on the polarized ultraviolet absorption of oriented
films of poly-L-alanine and poly-y-methyl-L-glutamate by Gratzer et al. (17) confirm the pattern and polarizations of exciton states for the helical polymer exciton
model and confirm Moffitt's calculated value (16) of the exciton splitting. The spectroscopic studies of the helix-random coil transition in poly-L-lysine and poly-Lglutamic acid by Rosenheck and Doty (18) lend further support to the justification
of the treatment of the polypeptide a-helix by the helical polymer exciton model.
In polynucleotides the near-ultraviolet absorption band at about 2600 A is of
66
KASHA
- *.mA+ mB- ma
/ A IA Bm
o s (^ . . _ - C _ _ _ _
,2A \M ?B ,_ _
/ ( \ .... _.
/D
--
I ,- I W _ _ _ _ _
vapor
crystal
FIG. 7. Exciton band structure (Davydov splitting) for the anthracene crystal (schematic).
From M. Ashraf El-Bayoumi's Doctoral Dissertation, Florida State University, Tallahassee,
Florida, January 1961.
thracene (20). This crystal contains two molecules per unit cell. The displacements
of the exciton manifold of states by energy 2A and 2B correspond to excitation
exchange between translationally equivalent molecules along the two axes of the
unit cell, and the splitting by energy 8C corresponds to the excitation exchange between the translationally nonequivalent molecules of the unit cell. Two allowed
components for the exciton states of the crystal are thus possible. However, the
exciton-state pattern is not simple, and a correlation between exciton-state wave
functions and exact location of a particular exciton state within the band is not
available.
In the simple discussion presented in this section, several features of interest were
lost owing to the simplifications or the approximations used. Thus, the symmetrical
splitting of an exciton band is merely a consequence of the nearest neighbor interaction approximation; in polymeric aggregates the splitting would be unsymmetrical
in general. Also, the displacement of the whole exciton band origin, owing to the
changes in static intermolecular forces between an excited molecule and its neighbors, was also omitted.
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67
Rates of energy transfer for various theoretical excitation energy transfer models
were considered by F6rster in his elegant recent comparative study (6). Here a few
words of commentary will be added which may focus attention on new experimental
approaches to the problem.
It should be clear from the present paper and from Forster's that several energy
transfer mechanisms are available for the exchange of excitation energy between
similar and between dissimilar molecules. The interest should lie in distinctions
For the strong-coupling case, the oscillator strength is integrated over the entire
electronic band. For weak coupling an additional factor is present, which consists
in summing over, for the vibrational levels v' and v of the nonexcited and the excited molecules, respectively, the populations of these levels, gv' and gv*, and the
vibronic overlap integrals. Effectively, in this case, individual vibronic band intensities are involved.
TABLE I
RATE OF EXCITATION TRANSFER
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68
KASHA
Let us now compare the distinctive features of the three mechanisms. It is clear
that the two exciton cases yield an inverse cube of the intermolecular distance dependence as a distinctive feature (see also Fig. 1). This thus becomes a very longrange effect as an extremely characteristic feature. With large spectral effects (e.g.
SA - 1000 cm-1) in the strong-coupling case, resonance rates may be as high as 1015
sec- . However, with much smaller exciton band widths (e.g., AP - 10 to 100 cm-1),
the resonance lifetimes may still be in the range 1012 to 1013 sec-1. However, now in-
tronic transition. It should thus be noted that, although the strong-coupling exciton
model is often thought of as an excitation energy exchange mechanism for identical,
strongly absorbing molecules in the solid state, nevertheless it also may apply in the
molecular distances to 100 A. The exciton model may yield an important competing
excitation energy transfer process in many chemical and biological cases.
The mechanism introduced by F6rster (7, 6, 21), which is termed here vibrational-
relaxation resonance transfer (cf. Table 1 and Fig. 1), differs fundamentally from
the exciton model mechanism. It is widely thought to be the only long-range energy
transfer which is severely cut down over that of the weak-coupling exciton model
by the fact that the fourth power of the Franck-Condon integral for vibronic transi-
tions now multiplies the f value; Ae', the individual vibronic band width (in principle), appears in the denominator as a compensating factor. The F6rster mechanism
may be the dominant one at large distances in comparison with the weak coupling
exciton case.
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69
considers a continuous transition between the two classes of mechanism (see especially his Figs. 3 and 4). It is possible that in some experiments the direct competition between the weak-coupling exciton mechanism and the vibrational-relaxation
resonance transfer mechanism may be detected, or in other words the weak-coupling
exciton mechanism might extend far into the range of the vibrational-relaxation
resonance transfer rates (106 to 1011 sec-1).
One final point which remains on the vibrational-relaxation resonance transfer
mechanism concerns the exact validity of the continuum interaction theory to the
problem. The origin of the continuous feature of spectra in solution is of course not
the same as, e.g., the predissociation continua and other cases to which it is usually
applied.
The topic of intermolecular excitation energy provides fertile territory for much
new investigation.
VII. SUMMARY
The molecular exciton model is defined as the resonance interaction between the
excited states of loosely bound molecular aggregates (molecular crystals, nonconjugated polymers, molecular laminae, molecular dimers and trimers). The Simpson
and Peterson vibrational-electronic coupling cases are applied to spectral characteristics of molecular aggregates.
The quasi-classical electrostatic vector model is described for simple molecular
aggregates as an approach to understanding the formation of the exciton-state
formation. Selection rules and exciton band structures are described for several
tance. In weak-coupling exciton cases, no conspicuous spectral changes are predicted, but the transfer rates are still high (--1012 to 1013 sec-1) and preserve the
inverse-cube intermolecular distance dependence.
Forster's vibrational-relaxation resonance transfer mechanism is emphasized as a
contrasting mechanism based on a different theoretical origin (interaction of continua model), with inverse sixth-power dependence on intermolecular distance and
much slower transfer rates (106 to 1011 sec-1).
Emphasis is placed on the need for new discriminative experimental work.
REFERENCES
1. A. S. DAVYDOV, Theory of Molecular Excitons (translated by. M Kasha and M. Oppenheimer, Jr.), 174 pp., McGraw-Hill Book Company, New York, 1962.
2. D. S. McCLURE, Electronic spectra of molecules and ions in crystals. Solid State Phys. 8,
1-47 (1960).
3. General discussion and references will be found in M. KASHA, Relation between exciton
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70
KASHA
bands and conduction bands in molecular lamellar systems. Rev. Mod. Phys. 31, 162-169
(1959); also in Biophysical Science (Oncley, Schmitt, Williams, Rosenberg, and Bolt,
eds.), pp. 162-169, John Wiley & Sons, New York, 1959.
4. A. S. DAVYDOV, Theory of absorption spectra of molecular crystals. Zhur. Eksptl. Teoret.
Fiz. 18, 210-218 (1948).
8. CF. H. A. KRAMERS, Quantum Mechanics, pp. 218 ff, North-Holland Publishing Co., Amsterdam, 1958.
9. CF. D. S. MCCLURE, Energy transfer in crystals and double molecules. Can. J. Chem. 36,
59 (1958).
10. E. G. McRAE, Molecular vibrations in the exciton theory for molecular aggregates. Australian J. Chem. 14, 329, 344, 354 (1961).
11. CF. R. E. MERRIFIELD, Vibronic states of dimers. Radiation Res. 20, 154-158 (1963).
12. G. L. LEVINSON, W. T. SIMPSON, AND W. CURTIS, Electronic spectra of pyridocyanine dyes
with assignment of transitions. J. Am. Chem. Soc. 79, 4314-4320 (1957).
13. M. KASHA, M. ASHRAF EL-BAYOUMI, and W. RHODES, Excited states of nitrogen base-
tion bands in alpha-helical polypeptides. Proc. Natl. Acad. Sci. U. S. 47, 1785 (1961).
18. K. ROSENHEOK and P. DOTY, The far ultraviolet spectra of polypeptide and protein solutions and their dependence on concentration. Proc. Natl. Acad. Sci. U. S. 47, 1775 (1961).
19. W. RHODES, Symmetry of helical polymers. Electronic states of double-stranded polynucleotides. J. Chem. Phys. 37, 2433-2439 (1962).
20. D. P. CRAIG and P. C. HOBBINS, The polarized spectrum of anthracene. J. Chem. Soc.
1955, 539, 2302, 2309.
21. TH. F6RSTER, Transfer mechanisms of electronic excitation. Discussions Faraday Soc.
27, 717 (1959).
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