Multiscale model of electronic behavior and localization in stretched dry DNA
Ryan L. Barnett1,
, Paul Maragakis2,
, Ari Turner1, Maria Fyta1, and Efthimios Kaxiras1,3
Department of Physics, Harvard University, Cambridge, MA 02138
Department of Chemistry and Chemical Biology, Harvard University, Cambridge, MA 02138
School of Engineering and Applied Sciences, Harvard University, Cambridge, MA 02138
When the DNA double helix is subjected to external forces it can stretch elastically to elongations
reaching 100% of its natural length. These distortions, imposed at the mesoscopic or macroscopic
scales, have a dramatic effect on electronic properties at the atomic scale and on electrical transport
along DNA. Accordingly, a multiscale approach is necessary to capture the electronic behavior of the
stretched DNA helix. To construct such a model, we begin with accurate density-functional-theory
calculations for electronic states in DNA bases and base pairs in various relative configurations
encountered in the equilibrium and stretched forms. These results are complemented by semi-
empirical quantum mechanical calculations for the states of a small size [18 base pair poly(CG)-
poly(CG)] dry, neutral DNA sequence, using previously published models for stretched DNA. The
calculated electronic states are then used to parametrize an effective tight-binding model that can
describe electron hopping in the presence of environmental effects, such as the presence of stray water
molecules on the backbone or structural features of the substrate. These effects introduce disorder
in the model hamiltonian which leads to electron localization. The localization length is smaller by
several orders of magnitude in stretched DNA relative to that in the unstretched structure.
I. INTRODUCTION
Soon after Watson and Crick’s discovery of the DNA
double-helix structure [1], Eley and Spivey [2] introduced
the notion of efficient charge transport along the stacked
π orbitals of the bases. The mechanism of charge trans-
port has been the subject of numerous studies in the
intervening years, with renewed interest fuelled recently
by both biological and technological considerations. Over
a decade ago, Barton and co-workers observed distance-
independent charge transfer between DNA-intercalated
transition-metal complexes [3] and argued that it would
be relevant for biology and biotechnology. More recent
electron transport experiments on DNA have yielded
widely varying results, showing alternatively insulating
behavior [4, 5, 6, 7, 8], semiconducting behavior [9],
Ohmic conductivity [10, 11, 12, 13], and proximity in-
duced superconductivity [14]. The large number of rel-
evant variables endemic to such experiments, like the
DNA-electrode contact, and the rich variety of structures
that DNA can assume, are the causes of variability in the
experimental measurements (for a recent review of trans-
port theory and experiments see Ref. [15]).
Specifically, there is a large diversity of the DNA forms
in terms of its composition, length, and structure. Exper-
iments done long ago, suggested that DNA substantially
longer than its natural length (also referred to as “over-
stretched DNA”) can undergo a transition to an elon-
gated structure up to twice the length of relaxed DNA
[16]. This was also confirmed by recent single molecule
∗Present address: Department of Physics, California Institute of
Technology, Pasadena, CA 91125.
†Present address: D.E. Shaw Group, 120 West Forty-Fifth St., New
York, NY 10036.
stretching experiments [17, 18, 19], which showed that
the molecule can be reversibly stretched up to 90% of its
natural length. Such important deformations of the dou-
ble helix may occur in biological environments. Stretch-
ing of DNA is also related to cellular processes, such as
transcription and replication. For example, proteins of-
ten induce important local distortions in the double helix
while they diffuse along the molecule in search of their
target sequences. The electronic and transport proper-
ties of DNA are directly influenced by its different con-
formations as well as by environmental factors, such as
counterions, impurities or temperature. A full account of
these effects based on a realistic, atomic scale description
of the structure and the electronic properties challenges
the capabilities of theoretical models.
Theoretical efforts to understand the electronic behav-
ior and transport in DNA can be divided into two general
categories:
(i) Model calculations that use effective hamiltonians and
master equations to describe the dynamics of electrons
and holes in DNA (see, for instance, Refs. [20, 21, 22,
23]). Recent results [24] have led to considerable in-
sights concerning the sequence-independent delocaliza-
tion of electronic states in DNA. The main limitation
of such approaches lies in the difficulty of determining
accurate values for the parameters in the effective hamil-
tonians.
(ii) Ab initio calculations that can provide an accurate
and detailed description of the electronic features [25,
26, 27]. These approaches are typically limited to a small
number of atoms due to computational costs, and cannot
readily handle the full complexity of DNA molecules in
various conformations. In particular, stretching of DNA
can induce a very significant deviation from the B form
which is stable under normal conditions in aqueous so-
lution. Such structural distortions are bound to have a
profound effect on the electronic behavior. A realistic
http://arxiv.org/abs/0704.0660v1
description of these effects makes it necessary to handle
both the atomic scale features and the overall state of
the macromolecule.
In the present work, we address the problem of DNA
stretching effects on the electronic states and the electron
localization by providing a bridge between the two ex-
tremes of the length scale; a similar methodology was re-
cently used to study hole transfer in DNA [28]. Theoreti-
cally, there are different ways of pulling the opposite ends
of the DNA strands, leading to different stretched DNA
forms, which are determined largely by base pair reorien-
tations. Here, we use the poly(CG)-poly(CG) structures
obtained in the pioneering study of Lebrun and Lavery
[29] as the representative structure for stretching effects.
This study modeled the adiabatic elongation of selected
DNA molecules in two modes of stretching, correspond-
ing to pulling on opposite 3’-3’ ends or 5’-5’ ends of the
molecule: In the 3’-3’ stretching mode, the DNA helix is
unwound leading to a ribbon-like structure, while in the
5’-5’ stretching mode the DNA helix contracts.
We begin with a set of detailed calculations for the
electronic structure of DNA bases (A,T,C,G) and repre-
sentative base pairs (AT-AT, CG-CG, AT-CG, CG-GC)
in various relative configurations, as they are likely to
appear in the stretched forms, These calculations are
based on density-functional theory [30, 31] and serve
to set the stage for more extensive calculations which
employ successive levels of approximations necessary to
handle the computational demands. Specifically, we ex-
tract the salient features of electronic structure of the
individual DNA bases and base pairs from the ab ini-
tio calculations; these are compared to an efficient and
realistic semi-empirical model [32], in order to establish
the validity of the latter approach. At this intermediate
scale, we consider an 18 base pair poly(CG)-poly(CG)
DNA sequence which has been stretched by 30%, 60%
and 90% relative to the natural length of the unstretched
B form. The atomic structure of these forms has been
established by Lebrun and Lavery [29], using empirical
interatomic potentials. We next use the information from
this approximate description to build an effective hamil-
tonian for the electronic behavior at much larger scales.
This allows us to describe electron localization, due to
the combined effects of stretching and environmental fac-
tors, over mesoscopic to macroscopic length scales. The
essence of the approach and the different scales involved
are shown schematically in Fig. 1. We emphasize that we
address here issues related only to dry and neutral DNA
structures, where the negatively charged groups on the
backbone are passivated by protons, conditions that are
relevant to the experiments we consider for comparison
to our theoretical results; water molecules or counterions
(such as Na+) are not considered in our calculations.
II. THEORETICAL METHODS
A. Ab initio calculations
As our first step toward establishing the electronic be-
havior of dry, neutral DNA, we study the nature of elec-
tronic states in individual bases and in base pairs. For
these calculations we used three different implementa-
tions of density-functional theory [30]: a method that
uses atomic-like orbitals as the basis [33], one that uses
plane waves [34] and a third that uses a real-space grid
[35]. In all three approaches, we used the same exchange-
correlation functional in the local-density approxima-
tion [31], for consistency and simplicity. More elabo-
rate approximations to exchange-correlation effects, such
as the generalized gradient approximation [36], do not
provide any improvement in describing the physics of
these weakly interacting units. In each method we used
pseudopotentials to represent the atomic cores, of the
Trouiller-Martins type [37] in SIESTA, the Vanderbilt
ultrasoft type [38] in VASP and the Hammann-Schluter-
Chiang type [39] in HARES, with computational pa-
rameters (number of orbitals in basis, plane-wave ki-
netic energy cutoff and grid spacing) that ensure a high
level of convergence. These calculations provide a thor-
ough check on the consistency of various computational
schemes to reproduce the electronic features of interest.
The results are in excellent agreement across the three
approaches. Since in these calculations there are no ad-
justable parameters, we refer to them in the following as
ab initio results.
B. Construction of semi-empirical model
The stretched forms contain a large number of atoms,
typically beyond what can be efficiently treated with
the ab initio methods used for the DNA bases and base
pairs. Accordingly, for the electronic structure calcula-
tions of these structures we use an efficient semi-empirical
quantum-mechanical approach which employs a minimal
basis set [32]. The consistency of this approach is then
verified against the ab-initio calculations. Within the
semi-empirical scheme, the electronic eigenfunctions are
expressed as
|ψ(n)〉 =
c(n)ν |ϕν〉 (1)
where the basis set |ϕn〉 includes the s and p atomic or-
bitals for each atom in the system. The coefficients c
are numerical constants, with |c(n)ν |2 giving the weight of
orbital |ϕn〉 to the electronic wavefunction. This method
uses a second order expansion in the electronic den-
sity to obtain the total energy and takes into account
self-consistently charge transfer effects which are impor-
tant for biological systems. The method gives results
for the band gaps that are in excellent agreement with
those of the ab initio approaches described above (see
Refs. [5, 40]).
The highest occupied and lowest unoccupied molecu-
lar orbitals (HOMO and LUMO, respectively, also re-
ferred to collectively as “frontier states” in the following)
are extended over the entire structure in Bloch-like wave
functions. In order to describe electron hopping and lo-
calization, we need to express these in terms of a basis
of Wannier-like states that are localized on the individ-
ual bases. To this end, we construct maximally localized
states on single base pairs by taking linear combinations
of the HOMO and LUMO states from the wavefunctions
of Eq. (1). The maximally localized states will then be
used to calculate the hopping parameters in the effective
1D hamiltonian. Using the extended electronic states
|ψ(n)〉 of the frontier states, with corresponding ener-
gies ε(n), we define the maximally localized states |ψ̃(i)〉
through the unitary transformation
|ψ̃(i)〉 =
〈ψ(n)|ψ̃(i)〉|ψ(n)〉 (2)
which minimizes the sum of the variances
〈ψ̃(i)|ẑ2|ψ̃(i)〉 − 〈ψ̃(i)|ẑ|ψ̃(i)〉2
under the constraint 〈ψ̃(i)|ψ̃(j)〉 = δij where z is the po-
sition along the helical axis. Similar and more general
methodologies have been developed in the past for ob-
taining maximally localized states from extended ones
[41, 42]. Due to the invariance of the trace, the first term
in Eq. (3) is independent of the unitary transformation
and the problem is simplified to one of maximizing the
second term on the right-hand side with the same or-
thonormality constraint. Carrying out the minimization,
we arrive at the equation
〈ψ̃(n)|ẑ|ψ̃(m)〉(zn − zm) = 0 (4)
where
zn = 〈ψ̃(n)|ẑ|ψ̃(n)〉. (5)
By inspection, we see that ζ is maximized when zn = zm
for all m and n, corresponding to maximally delocalized
states. On the other hand, ζ is minimized when the states
|ψ̃(n)〉 are the eigenfunctions of the position operator ẑ
within the HOMO or LUMO subspace. Therefore, the
problem is further reduced to constructing and diagonal-
izing the matrix
Mnm = 〈ψ(n)|ẑ|ψ(m)〉 (6)
which has the eigenvectors 〈ψ(n)|ψ̃(i)〉 that provide the
desired transformation given in Eq. (2). The eigenvalues
zn are the positions of the localized states. To evaluate
the matrix elements we use the approximation
〈ψ(n)|ẑ|ψ(m)〉 =
c(n)∗µ c
ν 〈ϕµ|ẑ|ϕν〉
c(n)∗µ c
ν Sµνzµν (7)
where Sµν = 〈ϕµ|ϕν〉 is the overlap matrix between the
two atomic orbitals and zµν =
zµ+zν
is the average z-
value for the atoms located at sites given by the labels
µ and ν. Once the localized states are constructed, the
hopping parameters can be computed as
tij = 〈ψ̃(i)|H|ψ̃(j)〉 =
ε(n)〈ψ̃(i)|ψ(n)〉〈ψ(n)|ψ̃(j)〉 (8)
recalling that the quantities 〈ψ(n)|ψ̃(i)〉 are determined
from the transformation described above.
Having defined the maximally localized states in terms
of the electronic wavefunctions from the all-atom calcula-
tions, we next produce an effective tight-binding hamilto-
nian, which allows us to study electron hopping along the
DNA double helix. This approach has also been used in a
recent study on functionalized carbon nanotubes [43]. In
our effective hamiltonian, we consider hopping between
first and second neighbors along the helix, and denote
the hopping matrix elements according to the scheme
shown in Fig. 2 for the HOMO state of the poly(CG)-
poly(CG) structure (all other frontier states involve ex-
actly the same type of hopping matrix elements):
H = ε
c†ncn + t1
n even
c†ncn+1 + c
n+1cn
n odd
c†ncn+1 + c
n+1cn
c†ncn+2 + c
n+2cn
where n represents the nth base pair along the helical
axis and we have neglected spin indices because they are
unimportant for our analysis. Note that there is a dif-
ference between hopping elements connecting even and
odd sites to their neighbors (t1 and t2 terms in the ef-
fective hamiltonian of Eq. (9)), due to the asymmetry in
the structure illustrated in Fig. 2. Performing a Fourier
transform on the electron creation and annihilation op-
erators
e−ikncn (10)
gives a hamiltonian which has coupling between momenta
k and k + π/a. By doubling the unit cell (and reducing
the Brillouin Zone by a factor of two), this can finally be
diagonalized to obtain the eigenvalues
E±k = ε+ 2t3 cos(2k)±
t 21 + t
2 + 2 t1t2 cos(2k)(11)
with the momentum sum carried out over the reduced
Brillouin Zone. With these expressions for the band
structure energies, the density of states (DOS)
g(ω) =
δ(ω − E(n)k ) (12)
can be readily obtained. These quantities are essential
in describing electron localization along the DNA double
helix under different conditions.
C. Disorder and Localization length
In order to quantify the amount of localization that is
expected in stretched DNA forms, we add a term to the
hamiltonian in Eq. (9) of the form
Hdis =
ncn (13)
which is meant to emulate disorder arising from a variety
of sources such as interaction of the DNA bases with
stray water molecules and ions, or interaction with the
substrate. Un are uncorrelated random energy variations
chosen according to a Gaussian distribution of zero mean
and width γ
P (U) =
. (14)
Once the disorder hamiltonian is constructed with a spe-
cific set of random on-site energies, by direct diagonaliza-
tion we find the eigenstates |Ψ(i)〉 ofH+Hdis (we use cap-
ital symbols to denote the new wavefunctions from the
hamiltonian that includes the disorder term) and then
calculate the localization length defined as
〈Ψ(i)|n̂2|Ψ(i)〉 − 〈Ψ(i)|n̂|Ψ(i)〉2
where
nc†ncn. (16)
For a single-hopping model with weak disorder, the lo-
calization length scales as L ∼ (t/γ)2 for electrons near
the middle of the band [44], with t the hopping matrix
element which determines the band width. The more
complicated effective hamiltonian considered here is not
amenable to simple analytic treatment.
III. RESULTS AND DISCUSSION
We begin our discussion with an overview of electronic
states in single bases and isolated base pairs. The struc-
ture of the base pairs is shown in Fig. 3 with the atoms
in each base labeled for future reference. These calcula-
tions will set the stage for a proper interpretation of the
behavior in the stretched and unstretched dry, neutral
DNA helix.
A. Frontier states
The frontier states in the base pairs are related to only
one component of the pair for both AT and CG. This is
shown in Fig. 4. Specifically, the HOMO state of the AT
pair is exactly the same as that of the HOMO state of
the isolated A, and the LUMO state of AT the same as
that of the isolated T. Similarly, the HOMO state of CG
is identified with that of the isolated G and the LUMO
state with that of the isolated C. Thus, the purines (A or
G) give rise to the HOMO state, while the pyrimidines
(T or C) are responsible for the LUMO states of each
pair. It is clear from the same figure, that essentially all
atomic pz orbitals which belong to a purine or pyrimidine
contribute to the respective HOMO or LUMO π state of
the base pair. This is in agreement with calculations on
the optical absorption spectra of DNA bases and base
pairs [45]. A closer inspection of Fig. 4 shows that the
molecular frontier states of both AT and CG can be iden-
tified as similar contributions (up to sign changes) from
specific groups of carbon and nitrogen atoms. Specif-
ically, in the purines (A and G) three distinct groups
of atoms are mainly involved in forming the HOMO or-
bital and include atoms (C8-N7), (C2-N3) and (N1-C6-
C5-C4-N9), respectively. In the pyrimidines (T and C)
the main groups involved in forming the LUMO orbital
are two, (C4-C5-N1) and (N3-N7-C6). In both base pairs
the atoms that are less involved in the frontier molecu-
lar states are the carbon atoms that form a double bond
with an oxygen atom, such as C2 of A and C and the
four-fold bonded C7 atom of A.
The frontier states are very little affected when the
two components of the base-pair are separated along the
direction in which they are hydrogen-bonded. To demon-
strate this, we show in Fig. 5 the change in the eigenval-
ues of the frontier states in AT and CG as a function of
the distance between the two atoms that are bonded to
the two backbones (we call this the backbone distance).
For both base pairs the nitrogen atoms labeled N1 and
N9, are the ones attached to the backbone (see Fig. 3).
In order to obtain realistic structures, for each value of
the backbone distance we hold the atoms of each base
that are bonded to the backbone fixed and allow all other
atoms to relax fully. These calculations were performed
with the SIESTA code [33] and the relaxed configurations
were used as input to calculate the electronic structure
with the other two methodologies [34, 35]. In Fig. 5 we
show complete results from the SIESTA calculations and
selected results from one of the other two approaches.
The results of Fig. 5 show clearly that only in the re-
gion where the backbone distance becomes significantly
smaller than the equilibrium value, interaction between
the two bases shifts the eigenvalues of the electronic
states appreciably, but even then the shifts are relatively
small for the frontier states. It is also noteworthy that
the band gap of the AT pair is significantly larger (∼ 3
eV) than that of the CG pair (∼ 2 eV) and that the fron-
tier states of CG lie within the band gap of the AT pair.
This observation is important because it indicates that
in an arbitrary sequence of base pairs, the frontier states
will be associated with those of the CG pairs. This state-
ment is verified by calculations of electronic states in the
AT-AT, CG-CG and AT-CG base pair combinations, to
which we turn next.
For more detailed comparisons, we collect in Table I
min HOMO LUMO gap
Backbone distance
AT 8.67 Å −1.63 1.60 3.23
CG 8.73 Å −0.80 1.31 2.11
Axial distance
AT-AT 3.67 Å −1.33 1.37 2.70
CG-CG 3.52 Å −0.46 0.95 1.41
AT-CG 3.36 Å −0.71 1.00 1.71
Rotation angle
36o −1.48 1.58 3.06
AT-AT 108o −1.45 1.68 3.13
180o −1.55 1.63 3.18
36o −0.52 1.22 1.74
CG-CG 108o −0.64 1.54 2.18
180o −0.94 1.60 2.54
36o −0.86 1.51 2.37
CG-GC 108o −0.66 1.43 2.09
180o −0.60 1.12 1.72
36o −0.73 1.38 2.11
AT-CG 108o −0.59 1.27 1.86
180o −0.81 1.25 2.06
TABLE I: Eigenvalues (in eV) of the frontier states for the
DNA base pairs and the base-pair combinations, at the equi-
librium configurations for the backbone distance, the axial
distance (at zero relative angle of rotation) and the angle of
rotation (at the equilibrium axial distance). The column la-
beled “min” gives the values of the distances and the angle at
the equilibrium configurations. Due to symmetry the values
for the minima at rotation angles larger than 180o are similar
to those given here and are not shown.
the eigenvalues of the frontier states for the DNA pairs
and the pair combinations, at different equilibrium con-
figurations in the three relevant variables, the backbone
distance, the axial distance and the rotation angle. Some
results on the CG-GC base pair combination are also
shown, to allow for comparison to the poly(C)-poly(G)
sequence.
When two base pairs are stacked on top of each other,
there are two degrees of freedom for motion of one relative
to the other: a separation along the helical axis, which
we will call axial distance, and a relative rotation around
the helical axis. We take the helical axis to be that which
corresponds to stacking of successive base pairs in the B
form of the DNA double helix. According to the notation
of Fig. 3, the helical axis for both base-pairs is normal
to the line connecting atoms C4 and C6 and is closer
(about one third of their distance) to the purine atom
C6. For each configuration we fix the atoms that are
bonded to the backbone at a given relative position and
allow all other atoms to relax, as was done in the calcu-
lations involving the backbone distance discussed above.
In Fig. 6 we show the behavior of electronic eigenval-
ues as a function of the axial distance and the rotation
HOMO LUMO
ε (eV) 3.12 −0.09
t1 (meV) 14.0 −0.29
t2 (meV) 2.60 0.04
t3 (meV) 0.09 0.26
TABLE II: Parameters for the on-site (ε) and hopping matrix
elements (ti, i = 1, 2, 3), for the HOMO and LUMO states of
unstretched poly(CG)-poly(CG) DNA.
angle. As above, the eigenvalues show little dependence
on these two variables, except for rather small values of
the axial distance which correspond to unphysically small
separation between the two base pairs.
What is also remarkable in the above results, is that
in the AT-CG combination, the frontier states are clearly
identified with those corresponding to the CG pair ex-
clusively, which has the smaller band gap (see Fig. 6).
Moreover, we note that the band gap of the poly(C)-
poly(G) sequence, as calculated by the semi-empirical
method based on a minimal atomic orbital basis [32] is
in excellent agreement with the value obtained from the
SIESTA calculation (2.0 eV and 2.1 eV, respectively).
The band gap is expected to be significantly smaller in
the case of wet DNA and in the presence of counterions,
as shown in Ref. [46], for a Z-DNA helix. The band gaps
between all three ab initio methods are identical within
the accuracy of these methods. The nature of electronic
wavefunctions obtained by the different methods is also
in good qualitative agreement. Accordingly, in the rest
of this paper we focus our attention to electron local-
ization in the dry, neutral poly(CG)-poly(CG) sequence,
and employ the results of the semi-empirical electronic
structure method.
B. Hopping electrons
In Fig. 7, we show the unstretched and the three
stretched forms of the poly(CG)-poly(CG) sequences at
30%, 60%, 90% elongation, along with the features of
the frontier states. For visualization purposes, we repre-
sent the calculated wavefunction magnitude of the fron-
tier states by blue (HOMO) and red (LUMO) spheres,
centered at the sites where the atomic orbitals are lo-
cated. The radius of the sphere centered on a particu-
lar atom is proportional to the magnitude of the dom-
inant coefficient |c(n)ν |2 at this site (see Eq. (1)), which
is essentially proportional to the local electronic density.
It is evident from this figure that the nature of the or-
bitals themselves, represented by the radii of the colored
spheres, does not change much in the different stretched
DNA forms, but the overlap between orbitals at neigh-
boring bases is affected greatly by the amount of stretch-
ing. For the poly(CG)-poly(CG) sequence shown, the
HOMO orbitals are always associated with the G sites
for all the stretching modes, while the LUMO orbitals
are related to the C sites. However, as the DNA be-
comes more elongated, the orbitals overlap even less and
become localized for high stretching modes. The elon-
gation to the overstretched form is achieved by changing
the dihedral angle configuration of the DNA backbone,
which leaves the local part of the orbitals essentially in-
tact. Note how the orbitals rotate and spread out as the
structure is being ovestretched, following the rotation of
bases.
We now turn to a discussion of the results for the hop-
ping matrix elements of Eq. (9). Our discussion here
is relevant to what happens when the occupation of a
frontier state is changed from complete filling (for the
HOMO) or complete depletion (for the LUMO), that is,
the physics of small amounts of hole or electron doping.
In Table II we give the values for ε, t1, t2, t3 (see Fig. 2)
for the two frontier states of the unstretched poly(CG)-
poly(CG) DNA form. The hopping matrix elements for
the HOMO state involve only the G sites; those for the
LUMO state involve only the C sites. As a consistency
check, we have also calculated matrix elements for farther
neighbors and found those to be much smaller in magni-
tude. We have calculated the values of t1, t2, t3 by repeat-
ing the same procedure as above for the stretched forms
of the poly(CG)-poly(CG) DNA sequence. We note that
if t2 = t3 = 0 electrons will not be able to migrate along
the DNA molecule even if t1 is quite large, because at
least one of the other two hops is necessary for migra-
tion (see Fig. 2). From this simple picture, it is evident
that the conductivity will be determined by which ma-
trix element dominates. Quantitatively, the “bottleneck”
hopping matrix element is given by
t = max (min(|t1|, |t2|), |t3|) . (17)
In Fig. 8 we show the value of the “bottleneck” hop-
ping matrix element calculated as a function of stretch-
ing. This indicates that hopping conductivity will dra-
matically decrease by several orders of magnitude upon
stretching the molecule and that the hopping will de-
crease more from stretching in the 3’-3’ mode than in
the 5’-5’ mode. This is due to the conformational changes
induced by the different stretching modes, described ear-
lier.
C. Localization length
The significant dropping of the hopping matrix ele-
ments upon stretching as described in the previous sec-
tion is indicative of electron localization with a weak
amount of disorder. To investigate this possibility in
detail, we focus on effects of stretching in the 3’-3’
mode. The evolution of the density of HOMO states
upon stretching is shown in Fig. 9; similar behavior is
observed for the LUMO states. The dramatic narrowing
of the DOS width (equivalent to reduced dispersion in a
band-structure picture) is strongly suggestive of electron
localization [47], in this case induced by stretching. This
localization length is controlled by the hopping elements
t, since ε is the same at each site.
For a more quantitative description, we show in Fig. 9
the localization length Li for each eigenstate for a 1500
base-pair DNA strand under different amounts of stretch-
ing. The value of L(i) for each state is obtained from
Eq.(15), with disorder strength γ = 0.3 meV, which de-
termines the width of the gaussian given in Eq. (14). This
disorder strength is much smaller than the band width
of the unstretched DNA, but becomes comparable to the
band width as the molecule is stretched. The magni-
tude of such variations in on-site energies is consistent
with those produced by the dipole potential terms, for
instance, due to the presence of a stray water molecule
situated on the substrate roughly 15 Å away from the
DNA bases. We find that changing the value of γ by an
order of magnitude (either smaller or larger) does not af-
fect the qualitative picture presented here. Note that the
localization length is not a strict function of the energy,
as it depends on the disorder near where a given state
happens to be localized. As the molecule is stretched,
the localization length dramatically decreases until, for
60% stretching, the eigenstates are completely localized
on single base pairs.
The charge localization length as a function of DNA
stretching has been recently studied in the experiment
of Heim et al. [48]. This study focuses on λ-DNA which
has an irregular sequence of base pairs, and can be com-
pared to our theoretical results for poly(CG)-poly(CG)
recalling that the frontier states even for a random se-
quence are associated with those of the CG base-pairs.
In the experiment, ropes of λ-DNA on a substrate are
overstretched by a receding meniscus technique. The
DNA ropes in this experimental setup are slightly pos-
itively charged, corresponding to a depletion of a few
electrons per 1000 base pairs. We suggest that this situa-
tion is approximated by the structures of dry and neutral
DNA that we considered above. Electrons were injected
into the DNA and the resulting localization length was
measured by an electron force microscope. For the un-
stretched DNA, the charge was found to delocalize across
the entire molecule, extending over a length of several
microns. On the other hand, the charge injected into
the overstretched DNA is localized, extending over a few
hundred nanometers only. This is qualitatively consistent
with the picture that emerges from our theoretical analy-
sis, and is even in reasonable quantitative agreement: the
degree of localization in experiment, measured by the ra-
tio of length scales going from unstretched to stretched
DNA structures, is approximately two orders of magni-
tude, while the same quantity in our calculations, going
from unstretched to 60% stretched DNA is ∼ 103.
IV. SUMMARY
We have described and implemented a multiscale
method to derive effective hamiltonian models that are
able to capture the dynamics of conduction and valence
electrons in stretched DNA, starting from ab initio, all-
atom quantum mechanical calculations. The ab initio
simulations revealed that the frontier states in the base
pairs are related to only one component of the pair. The
purines were found to be associated with the HOMO
states while the pyrimidines with the LUMO states. In
the AT-CG combination the frontier states are identified
with those of the CG pair. For all combinations of bases
and base pairs studied here, the nature of these states was
not affected by separation of the bases or base pairs along
different directions or rotation along the helical axis.
Turning to the next length scale and the semi-empirical
calculations, we have calculated the “bottleneck” matrix
elements for electron hopping along the DNA molecule,
as a function of stretching. These show a significant
decrease with elongation of DNA, which is stronger for
stretching in the 3’-3’ mode than in the 5’-5’ mode. We
were able to show quantitatively that stretching of DNA
dramatically narrows the DOS width of frontier states.
A small amount of disorder produced by environmental
factors will naturally lead to localization of the electrons
along the DNA. Our estimate for the degree of localiza-
tion, based on a reasonable (and quite small) amount of
disorder in the on-site energies for the electron states,
is in very good agreement with recent experimental ob-
servations. This provides direct validation for the con-
sistency and completeness of the multiscale method pre-
sented here.
Acknowledgements: The authors are grateful to
Richard Lavery for providing the overstretched struc-
tures. MF acknowledges support by Harvard’s Nanoscale
Science and Engineering Center, funded by the National
Science Foundation, Award Number PHY-0117795.
[1] J. D. WATSON and F. H. C. CRICK, Nature 171 (1953)
737 .
[2] D. D. ELEY and D. I. SPIVEY, Trans. Faraday Soc. 58
(1961) 411.
[3] C. J. MURPHY, M. R. ARKIN, Y. JENKINS, N. D.
GHATLIA, S. H. BOSSMANN, N. J. TURRO, and J. K.
BARTON, Science 262 (1993) 1025.
[4] E. BRAUN, Y. EICHEN, U. SIVAN, and G. BEN-
YOSEPH, Nature 391 (1998) 775.
[5] P. DE PABLO, F. MORENO-HERRERO,
J. COLCHERO, J. HERRERO, P. HERRERO,
A. BARO, P. ORDEJÓN, J. SOLER, and E. ARTA-
CHO, Phys. Rev. Lett. 85 (2000) 4992.
[6] A. J. STORM, J. VAN NOORT, S. DE VRIES, and
C. DEKKER, Appl. Phys. Lett. 79 (2001) 3881.
[7] Y. ZHANG, R. H. AUSTIN, J. KRAEFT, E. C. COX,
and N. P. ONG, Phys. Rev. Lett. 89 (2002) 198102.
[8] Y. BABA, T. SEKIGUCHI, I. SHIMOYAMA, N. HI-
RAO, and K. .G. NATH, Phys. Rev. B 74 (2006) 205433.
[9] D. PORATH, A. BEZRYADIN, S. DE VRIES, and
C. DEKKER, Nature 403 (2000) 635.
[10] H.-W. FINK and C. SCHONENBERGER, Nature 398
(1999) 407.
[11] L. CAI, H. TABATA, and T. KAWAI, Appl. Phys. Lett.
77 (2000) 3105.
[12] P. TRAN, B. ALAVI, and G. GRUNER, Phys. Rev. Lett.
85 (2000) 1564.
[13] H. COHEN, C. NOGUES, R. NAAMAN, and D. PO-
RATH, Proc. Natl. Acad. Sci., 102 (2005) 11589.
[14] A. KASUMOV, M. KOCIAK, S. GUERON,
B. REULET, V. VOLKOV, D. KLINOV, and
H. BOUCHIAT, Science 291 (2001) 280.
[15] R. G. ENDRES, D. L. COX, and R. R. P. SINGH, Rev.
Mod. Phys. 76 (2004) 195.
[16] M.H.F. WILKINS, R.G. GOSLING, and W.E. SEEDS,
Nature (London) 167 (1951) 759.
[17] S. B. SMITH, Y. J. CUI, and C. BUSTAMANTE, Sci-
ence 271 (1996) 795.
[18] P. CLUZEL, A. LEBRUN, C. HELLER, R. LAVERY,
J. L. VIOVY, D. CHATENAY, and F. CARON, Science
271 (1996) 792.
[19] T. R. STRICK, J. F. ALLEMAND, D. BENSIMON,
and V. CROQUETTE, Annu. Rev. Biophys. Biomolec.
Struct. 29 (2000) 523.
[20] Y. YAMADA, Int. J. Mod. Phys. B, 18 (2004) 1697.
[21] K. IGUCHI, Int. J. Mod. Phys. B, 18 (2004) 1845.
[22] J. Y. YI, Phys. Rev. B 68 (2003) 193103.
[23] C. M. CHANG, A. H. C. NETO, and A. R. BISHOP,
Chem. Phys. 303 (2004) 189.
[24] R. A. CAETANO and P. A. SCHULZ, Phys. Rev. Lett.,
95 (2005) 126601.
[25] R. N. BARNETT, C. L. CLEVELAND, A. JOY,
U. LANDMAND, G. B. SCHUSTER, Science, 294
(2001) 567.
[26] E. ARTACHO, M. MACHADO, S. SÁNCHEZ-
PORTAL, P. ORDEJÓN, J. M. SOLER, Molec. Phys.
101 (2003) 1587.
[27] S. S. ALEXANDRE, E. ARTACHO, J. M. SOLER, Phys.
Rev. Lett. 91 (2003) 108105.
[28] K. SENTHILKUMAR et al, J. Am. Chem. Soc. 127
(2005) 14894.
[29] A. LEBRUN and R. LAVERY, Nucl. Ac. Res. 24 (1996)
2260.
[30] P. HOHENBERG and W. KOHN, Phys. Rev. 136 (1964)
B864; W. KOHN and L. J. SHAM, Phys. Rev. 140 (1965)
A1133.
[31] J. P. PERDEW and A. ZUNGER, Phys. Rev. B 23
(1981) 5048.
[32] M. ELSTNER, D. POREZAG, G. JUNGNICKEL, J. EL-
SNER, M. HAUGK, T. FRAUENHEIM, S. SUHAI, and
G. SEIFERT, Phys. Rev. B 58 (1998) 7260.
[33] J. M. SOLER, E. ARTACHO, J. D. GALE, A. GARCÍA,
J. JUNGUERA, P. ORDEJÓN, and D. SÁNCHEZ-
PORTAL, J. Phys.: Condens. Matter, 14 (2002) 2745.
[34] G. KRESSE and J. FURTHMÜLLER, Phys. Rev. B, 54
(1996) 11169.
[35] U. V. WAGHMARE, H. KIM, I. J. PARK, N. MO-
DINE, P. MARAGAKIS, E. KAXIRAS, Computer Phys.
Comm., 137, (2001) 341.
[36] J. P. PERDEW and Y. WANG, Phys. Rev. B 45 (1992)
13244; J. P. PERDEW, K. BURKE, and M. ERNZER-
HOF, Phys. Rev. Lett. 77 (1996) 3865.
[37] N. TROUILLER and J. L. MARTINS, Phys. Rev. B, 43
(1991) 8861.
[38] D. VANDERBILT, Phys. Rev. B, 41 (1990) 7892.
[39] D. R. HAMANN, M. SCHLUTER and C. CHIANG,
Phys. Rev. Lett. 43 (1979) 1494.
[40] P. MARAGAKIS, R. L. BARNETT, E. KAXIRAS,
M. ELSTNER, and T. FRAUENHEIM, Phys. Rev. B
66 (2002) 241104(R).
[41] N. MARZARI and D. VANDERBILT, Phys. Rev. B 56
(1997) 12847.
[42] C. SGIAROVELLO,M. PERESSI, and R. RESTA, Phys.
Rev. B 64 (2001) 115202
[43] Y-S. LEE, M. BUONGIORNO NARDELLI, and N.
MARZARI, Phys. Rev. Lett. 95 (2005) 076804.
[44] D. J. THOULESS, J. Phys. C 5 (1972) 77.
[45] D. VARSANO, R.I. FELICE, M. A. .L. MARQUES, and
A. RUBIO, J. Phys. Chem. B 110 (2006) 7129.
[46] F. L. GERVASIO, P. CARLONI, M. PARRINELLO,
Phys. Rev. Lett. 89 (2002) 108102.
[47] P. W. ANDERSON, Phys. Rev. 109 (1958) 1492.
[48] T. HEIM, T. MELIN, D. DERESMES, D. VUILLAUME,
Appl. Phys. Lett. 85 (2004) 2637.
[49] R. R. SINDEN, in “DNA Structure and Function”, (Aca-
demic Press, London, 1994).
density
functional theory
ab−initio
structure
electronic
semi−empirical
1500 b
hamiltonian
tight−binding
effective
1130 atoms94000
FIG. 1: Schematic illustration of the different scales included
in the current multiscale model: The two pictures on the left
are atomistic systems simulated with different computational
approaches (ab initio density functional theory and semi-
empirical electronic structure, resprectively). The picture on
the right represents a rope composed of DNA molecules, as in
experiments [48], which is treated by an effective tight-binding
hamiltonian constructed from the atomistic scale calculations.
FIG. 2: Schematic depiction of electron hopping in poly(CG)-
poly(CG) DNA for the HOMO state. The hopping matrix
elements ti are denoted by the indices (i) = (1), (2), (3). Elec-
trons are localized on the G bases. For the LUMO state, the
hopping is similar with electrons localized on the C bases.
C2 C2
FIG. 3: The DNA base pairs AT (top) and CG (bottom), with
the atoms labeled. The purines (A, G) are on the right, the
pyrimidines (T, C) on the left. Atom labeling follows standard
notation convention [49]. All rotations were performed with
respect to the helical axis denoted by the black circle (see
text).
FIG. 4: The frontier states in the base pairs and their identifi-
cation with corresponding orbitals in the isolated bases. The
middle figure in each panel shows the total charge density on
the plane of the base pair, with higher values of the charge
density in red and lower values in blue. The figure on the left
shows the HOMO state and the figure on the right shows the
LUMO state, where red and blue isosurfaces correspond to
positive and negative values of the wavefunctions. The labels
on the left denote the type of bases and base pairs.
7 8 9 10 11
 backbone distance (Α
7 8 9 10 11
 backbone distance (Α
AT CG
T−LUMO C−LUMO
G−HOMO
A−HOMO
FIG. 5: Eigenvalues of states in the AT and CG base pairs
as a function of backbone distance. In each case three states
are included above and below the band gap. Lines are results
from SIESTA calculations, points are results from HARES
calculations (see text). The frontier orbitals in both pairs
are related to one component of the pair as indicated by the
labels. The equilibrium backbone distance is denoted by a
vertical dashed line.
2.9 3.4 3.9 4.4 4.9 5.4
axial distance (Α
0 60 120 180 240 300 360
angle (deg.)
AT−AT
CG−CG
T−LUMO
A−HOMO
C−LUMO
G−HOMO
C−LUMO
G−HOMO
AT−CG
FIG. 6: Eigenvalues of states in the AT-AT, CG-CG and AT-
CG base pair combinations as a function of the distance along
the helical axis (at zero angle of rotation) and the rotation an-
gle around the helical axis (at the equilibrium axial distance).
Lines are results from SIESTA calculations, points are results
from VASP calculations (see text). In each case three states
are included above and below the band gap. The value of the
distance or the rotation angle that correspond to equilibrium
configurations are indicated by vertical dashed lines (there are
five almost equivalent local minima in rotation). As in Fig.
5, frontier orbitals are identified as the corresponding orbital
of one base only.
3’−3’ 5’−5’
FIG. 7: The DNA structures for the unstretched (top) and the
different amounts of stretching in the 3’-3’ and the 5’-5’ modes
with features of the frontier orbitals described by the blue
(HOMO) and red (LUMO) spheres (see text for details). For
both modes the amount of stretching is (a) 30%, (b) 60%, and
(c) 90% relative to the unstretched structure, which is the B-
DNA form. The 3’-5’ orientations of the poly(CG)-poly(CG)
sequence are shown in the left panel at 90% stretching, where
these the structure is easier to visualize.
0 30 60 90
% stretching
HOMO 3’−3’
HOMO 5’−5’
LUMO 3’−3’
LUMO 5’−5’
(2) (2)
(2) (3)
FIG. 8: The frontier state “bottleneck” hopping matrix el-
ements as given by Eq. (17) for the different types (3’-3’ or
5’-5’) and amounts of stretching of poly(CG)-poly(CG) DNA.
At each value of stretching, the dominant hopping process is
indicated in parenthesis.
−20 −10 0 10 20
energy (meV)
FIG. 9: (bottom) The density of electronic states for the
HOMO state stretched in the 3’-3’ mode. For comparison,
the on-site energy parameter, ε, has been set to zero. (top)
The localization length Li, defined in Eq. (15), is computed
for each eigenstate with disorder strength γ = 0.3 meV.

  When the DNA double helix is subjected to external forces it can stretch
elastically to elongations reaching 100% of its natural length. These
distortions, imposed at the mesoscopic or macroscopic scales, have a dramatic
effect on electronic properties at the atomic scale and on electrical transport
along DNA. Accordingly, a multiscale approach is necessary to capture the
electronic behavior of the stretched DNA helix. To construct such a model, we
begin with accurate density-functional-theory calculations for electronic
states in DNA bases and base pairs in various relative configurations
encountered in the equilibrium and stretched forms. These results are
complemented by semi-empirical quantum mechanical calculations for the states
of a small size [18 base pair poly(CG)-poly(CG)] dry, neutral DNA sequence,
using previously published models for stretched DNA. The calculated electronic
states are then used to parametrize an effective tight-binding model that can
describe electron hopping in the presence of environmental effects, such as the
presence of stray water molecules on the backbone or structural features of the
substrate. These effects introduce disorder in the model hamiltonian which
leads to electron localization. The localization length is smaller by several
orders of magnitude in stretched DNA relative to that in the unstretched
structure.

Multiscale model of electronic behavior and localization in stretched dry DNA
Ryan L. Barnett1,
, Paul Maragakis2,
, Ari Turner1, Maria Fyta1, and Efthimios Kaxiras1,3
Department of Physics, Harvard University, Cambridge, MA 02138
Department of Chemistry and Chemical Biology, Harvard University, Cambridge, MA 02138
School of Engineering and Applied Sciences, Harvard University, Cambridge, MA 02138
When the DNA double helix is subjected to external forces it can stretch elastically to elongations
reaching 100% of its natural length. These distortions, imposed at the mesoscopic or macroscopic
scales, have a dramatic effect on electronic properties at the atomic scale and on electrical transport
along DNA. Accordingly, a multiscale approach is necessary to capture the electronic behavior of the
stretched DNA helix. To construct such a model, we begin with accurate density-functional-theory
calculations for electronic states in DNA bases and base pairs in various relative configurations
encountered in the equilibrium and stretched forms. These results are complemented by semi-
empirical quantum mechanical calculations for the states of a small size [18 base pair poly(CG)-
poly(CG)] dry, neutral DNA sequence, using previously published models for stretched DNA. The
calculated electronic states are then used to parametrize an effective tight-binding model that can
describe electron hopping in the presence of environmental effects, such as the presence of stray water
molecules on the backbone or structural features of the substrate. These effects introduce disorder
in the model hamiltonian which leads to electron localization. The localization length is smaller by
several orders of magnitude in stretched DNA relative to that in the unstretched structure.
I. INTRODUCTION
Soon after Watson and Crick’s discovery of the DNA
double-helix structure [1], Eley and Spivey [2] introduced
the notion of efficient charge transport along the stacked
π orbitals of the bases. The mechanism of charge trans-
port has been the subject of numerous studies in the
intervening years, with renewed interest fuelled recently
by both biological and technological considerations. Over
a decade ago, Barton and co-workers observed distance-
independent charge transfer between DNA-intercalated
transition-metal complexes [3] and argued that it would
be relevant for biology and biotechnology. More recent
electron transport experiments on DNA have yielded
widely varying results, showing alternatively insulating
behavior [4, 5, 6, 7, 8], semiconducting behavior [9],
Ohmic conductivity [10, 11, 12, 13], and proximity in-
duced superconductivity [14]. The large number of rel-
evant variables endemic to such experiments, like the
DNA-electrode contact, and the rich variety of structures
that DNA can assume, are the causes of variability in the
experimental measurements (for a recent review of trans-
port theory and experiments see Ref. [15]).
Specifically, there is a large diversity of the DNA forms
in terms of its composition, length, and structure. Exper-
iments done long ago, suggested that DNA substantially
longer than its natural length (also referred to as “over-
stretched DNA”) can undergo a transition to an elon-
gated structure up to twice the length of relaxed DNA
[16]. This was also confirmed by recent single molecule
∗Present address: Department of Physics, California Institute of
Technology, Pasadena, CA 91125.
†Present address: D.E. Shaw Group, 120 West Forty-Fifth St., New
York, NY 10036.
stretching experiments [17, 18, 19], which showed that
the molecule can be reversibly stretched up to 90% of its
natural length. Such important deformations of the dou-
ble helix may occur in biological environments. Stretch-
ing of DNA is also related to cellular processes, such as
transcription and replication. For example, proteins of-
ten induce important local distortions in the double helix
while they diffuse along the molecule in search of their
target sequences. The electronic and transport proper-
ties of DNA are directly influenced by its different con-
formations as well as by environmental factors, such as
counterions, impurities or temperature. A full account of
these effects based on a realistic, atomic scale description
of the structure and the electronic properties challenges
the capabilities of theoretical models.
Theoretical efforts to understand the electronic behav-
ior and transport in DNA can be divided into two general
categories:
(i) Model calculations that use effective hamiltonians and
master equations to describe the dynamics of electrons
and holes in DNA (see, for instance, Refs. [20, 21, 22,
23]). Recent results [24] have led to considerable in-
sights concerning the sequence-independent delocaliza-
tion of electronic states in DNA. The main limitation
of such approaches lies in the difficulty of determining
accurate values for the parameters in the effective hamil-
tonians.
(ii) Ab initio calculations that can provide an accurate
and detailed description of the electronic features [25,
26, 27]. These approaches are typically limited to a small
number of atoms due to computational costs, and cannot
readily handle the full complexity of DNA molecules in
various conformations. In particular, stretching of DNA
can induce a very significant deviation from the B form
which is stable under normal conditions in aqueous so-
lution. Such structural distortions are bound to have a
profound effect on the electronic behavior. A realistic
http://arxiv.org/abs/0704.0660v1
description of these effects makes it necessary to handle
both the atomic scale features and the overall state of
the macromolecule.
In the present work, we address the problem of DNA
stretching effects on the electronic states and the electron
localization by providing a bridge between the two ex-
tremes of the length scale; a similar methodology was re-
cently used to study hole transfer in DNA [28]. Theoreti-
cally, there are different ways of pulling the opposite ends
of the DNA strands, leading to different stretched DNA
forms, which are determined largely by base pair reorien-
tations. Here, we use the poly(CG)-poly(CG) structures
obtained in the pioneering study of Lebrun and Lavery
[29] as the representative structure for stretching effects.
This study modeled the adiabatic elongation of selected
DNA molecules in two modes of stretching, correspond-
ing to pulling on opposite 3’-3’ ends or 5’-5’ ends of the
molecule: In the 3’-3’ stretching mode, the DNA helix is
unwound leading to a ribbon-like structure, while in the
5’-5’ stretching mode the DNA helix contracts.
We begin with a set of detailed calculations for the
electronic structure of DNA bases (A,T,C,G) and repre-
sentative base pairs (AT-AT, CG-CG, AT-CG, CG-GC)
in various relative configurations, as they are likely to
appear in the stretched forms, These calculations are
based on density-functional theory [30, 31] and serve
to set the stage for more extensive calculations which
employ successive levels of approximations necessary to
handle the computational demands. Specifically, we ex-
tract the salient features of electronic structure of the
individual DNA bases and base pairs from the ab ini-
tio calculations; these are compared to an efficient and
realistic semi-empirical model [32], in order to establish
the validity of the latter approach. At this intermediate
scale, we consider an 18 base pair poly(CG)-poly(CG)
DNA sequence which has been stretched by 30%, 60%
and 90% relative to the natural length of the unstretched
B form. The atomic structure of these forms has been
established by Lebrun and Lavery [29], using empirical
interatomic potentials. We next use the information from
this approximate description to build an effective hamil-
tonian for the electronic behavior at much larger scales.
This allows us to describe electron localization, due to
the combined effects of stretching and environmental fac-
tors, over mesoscopic to macroscopic length scales. The
essence of the approach and the different scales involved
are shown schematically in Fig. 1. We emphasize that we
address here issues related only to dry and neutral DNA
structures, where the negatively charged groups on the
backbone are passivated by protons, conditions that are
relevant to the experiments we consider for comparison
to our theoretical results; water molecules or counterions
(such as Na+) are not considered in our calculations.
II. THEORETICAL METHODS
A. Ab initio calculations
As our first step toward establishing the electronic be-
havior of dry, neutral DNA, we study the nature of elec-
tronic states in individual bases and in base pairs. For
these calculations we used three different implementa-
tions of density-functional theory [30]: a method that
uses atomic-like orbitals as the basis [33], one that uses
plane waves [34] and a third that uses a real-space grid
[35]. In all three approaches, we used the same exchange-
correlation functional in the local-density approxima-
tion [31], for consistency and simplicity. More elabo-
rate approximations to exchange-correlation effects, such
as the generalized gradient approximation [36], do not
provide any improvement in describing the physics of
these weakly interacting units. In each method we used
pseudopotentials to represent the atomic cores, of the
Trouiller-Martins type [37] in SIESTA, the Vanderbilt
ultrasoft type [38] in VASP and the Hammann-Schluter-
Chiang type [39] in HARES, with computational pa-
rameters (number of orbitals in basis, plane-wave ki-
netic energy cutoff and grid spacing) that ensure a high
level of convergence. These calculations provide a thor-
ough check on the consistency of various computational
schemes to reproduce the electronic features of interest.
The results are in excellent agreement across the three
approaches. Since in these calculations there are no ad-
justable parameters, we refer to them in the following as
ab initio results.
B. Construction of semi-empirical model
The stretched forms contain a large number of atoms,
typically beyond what can be efficiently treated with
the ab initio methods used for the DNA bases and base
pairs. Accordingly, for the electronic structure calcula-
tions of these structures we use an efficient semi-empirical
quantum-mechanical approach which employs a minimal
basis set [32]. The consistency of this approach is then
verified against the ab-initio calculations. Within the
semi-empirical scheme, the electronic eigenfunctions are
expressed as
|ψ(n)〉 =
c(n)ν |ϕν〉 (1)
where the basis set |ϕn〉 includes the s and p atomic or-
bitals for each atom in the system. The coefficients c
are numerical constants, with |c(n)ν |2 giving the weight of
orbital |ϕn〉 to the electronic wavefunction. This method
uses a second order expansion in the electronic den-
sity to obtain the total energy and takes into account
self-consistently charge transfer effects which are impor-
tant for biological systems. The method gives results
for the band gaps that are in excellent agreement with
those of the ab initio approaches described above (see
Refs. [5, 40]).
The highest occupied and lowest unoccupied molecu-
lar orbitals (HOMO and LUMO, respectively, also re-
ferred to collectively as “frontier states” in the following)
are extended over the entire structure in Bloch-like wave
functions. In order to describe electron hopping and lo-
calization, we need to express these in terms of a basis
of Wannier-like states that are localized on the individ-
ual bases. To this end, we construct maximally localized
states on single base pairs by taking linear combinations
of the HOMO and LUMO states from the wavefunctions
of Eq. (1). The maximally localized states will then be
used to calculate the hopping parameters in the effective
1D hamiltonian. Using the extended electronic states
|ψ(n)〉 of the frontier states, with corresponding ener-
gies ε(n), we define the maximally localized states |ψ̃(i)〉
through the unitary transformation
|ψ̃(i)〉 =
〈ψ(n)|ψ̃(i)〉|ψ(n)〉 (2)
which minimizes the sum of the variances
〈ψ̃(i)|ẑ2|ψ̃(i)〉 − 〈ψ̃(i)|ẑ|ψ̃(i)〉2
under the constraint 〈ψ̃(i)|ψ̃(j)〉 = δij where z is the po-
sition along the helical axis. Similar and more general
methodologies have been developed in the past for ob-
taining maximally localized states from extended ones
[41, 42]. Due to the invariance of the trace, the first term
in Eq. (3) is independent of the unitary transformation
and the problem is simplified to one of maximizing the
second term on the right-hand side with the same or-
thonormality constraint. Carrying out the minimization,
we arrive at the equation
〈ψ̃(n)|ẑ|ψ̃(m)〉(zn − zm) = 0 (4)
where
zn = 〈ψ̃(n)|ẑ|ψ̃(n)〉. (5)
By inspection, we see that ζ is maximized when zn = zm
for all m and n, corresponding to maximally delocalized
states. On the other hand, ζ is minimized when the states
|ψ̃(n)〉 are the eigenfunctions of the position operator ẑ
within the HOMO or LUMO subspace. Therefore, the
problem is further reduced to constructing and diagonal-
izing the matrix
Mnm = 〈ψ(n)|ẑ|ψ(m)〉 (6)
which has the eigenvectors 〈ψ(n)|ψ̃(i)〉 that provide the
desired transformation given in Eq. (2). The eigenvalues
zn are the positions of the localized states. To evaluate
the matrix elements we use the approximation
〈ψ(n)|ẑ|ψ(m)〉 =
c(n)∗µ c
ν 〈ϕµ|ẑ|ϕν〉
c(n)∗µ c
ν Sµνzµν (7)
where Sµν = 〈ϕµ|ϕν〉 is the overlap matrix between the
two atomic orbitals and zµν =
zµ+zν
is the average z-
value for the atoms located at sites given by the labels
µ and ν. Once the localized states are constructed, the
hopping parameters can be computed as
tij = 〈ψ̃(i)|H|ψ̃(j)〉 =
ε(n)〈ψ̃(i)|ψ(n)〉〈ψ(n)|ψ̃(j)〉 (8)
recalling that the quantities 〈ψ(n)|ψ̃(i)〉 are determined
from the transformation described above.
Having defined the maximally localized states in terms
of the electronic wavefunctions from the all-atom calcula-
tions, we next produce an effective tight-binding hamilto-
nian, which allows us to study electron hopping along the
DNA double helix. This approach has also been used in a
recent study on functionalized carbon nanotubes [43]. In
our effective hamiltonian, we consider hopping between
first and second neighbors along the helix, and denote
the hopping matrix elements according to the scheme
shown in Fig. 2 for the HOMO state of the poly(CG)-
poly(CG) structure (all other frontier states involve ex-
actly the same type of hopping matrix elements):
H = ε
c†ncn + t1
n even
c†ncn+1 + c
n+1cn
n odd
c†ncn+1 + c
n+1cn
c†ncn+2 + c
n+2cn
where n represents the nth base pair along the helical
axis and we have neglected spin indices because they are
unimportant for our analysis. Note that there is a dif-
ference between hopping elements connecting even and
odd sites to their neighbors (t1 and t2 terms in the ef-
fective hamiltonian of Eq. (9)), due to the asymmetry in
the structure illustrated in Fig. 2. Performing a Fourier
transform on the electron creation and annihilation op-
erators
e−ikncn (10)
gives a hamiltonian which has coupling between momenta
k and k + π/a. By doubling the unit cell (and reducing
the Brillouin Zone by a factor of two), this can finally be
diagonalized to obtain the eigenvalues
E±k = ε+ 2t3 cos(2k)±
t 21 + t
2 + 2 t1t2 cos(2k)(11)
with the momentum sum carried out over the reduced
Brillouin Zone. With these expressions for the band
structure energies, the density of states (DOS)
g(ω) =
δ(ω − E(n)k ) (12)
can be readily obtained. These quantities are essential
in describing electron localization along the DNA double
helix under different conditions.
C. Disorder and Localization length
In order to quantify the amount of localization that is
expected in stretched DNA forms, we add a term to the
hamiltonian in Eq. (9) of the form
Hdis =
ncn (13)
which is meant to emulate disorder arising from a variety
of sources such as interaction of the DNA bases with
stray water molecules and ions, or interaction with the
substrate. Un are uncorrelated random energy variations
chosen according to a Gaussian distribution of zero mean
and width γ
P (U) =
. (14)
Once the disorder hamiltonian is constructed with a spe-
cific set of random on-site energies, by direct diagonaliza-
tion we find the eigenstates |Ψ(i)〉 ofH+Hdis (we use cap-
ital symbols to denote the new wavefunctions from the
hamiltonian that includes the disorder term) and then
calculate the localization length defined as
〈Ψ(i)|n̂2|Ψ(i)〉 − 〈Ψ(i)|n̂|Ψ(i)〉2
where
nc†ncn. (16)
For a single-hopping model with weak disorder, the lo-
calization length scales as L ∼ (t/γ)2 for electrons near
the middle of the band [44], with t the hopping matrix
element which determines the band width. The more
complicated effective hamiltonian considered here is not
amenable to simple analytic treatment.
III. RESULTS AND DISCUSSION
We begin our discussion with an overview of electronic
states in single bases and isolated base pairs. The struc-
ture of the base pairs is shown in Fig. 3 with the atoms
in each base labeled for future reference. These calcula-
tions will set the stage for a proper interpretation of the
behavior in the stretched and unstretched dry, neutral
DNA helix.
A. Frontier states
The frontier states in the base pairs are related to only
one component of the pair for both AT and CG. This is
shown in Fig. 4. Specifically, the HOMO state of the AT
pair is exactly the same as that of the HOMO state of
the isolated A, and the LUMO state of AT the same as
that of the isolated T. Similarly, the HOMO state of CG
is identified with that of the isolated G and the LUMO
state with that of the isolated C. Thus, the purines (A or
G) give rise to the HOMO state, while the pyrimidines
(T or C) are responsible for the LUMO states of each
pair. It is clear from the same figure, that essentially all
atomic pz orbitals which belong to a purine or pyrimidine
contribute to the respective HOMO or LUMO π state of
the base pair. This is in agreement with calculations on
the optical absorption spectra of DNA bases and base
pairs [45]. A closer inspection of Fig. 4 shows that the
molecular frontier states of both AT and CG can be iden-
tified as similar contributions (up to sign changes) from
specific groups of carbon and nitrogen atoms. Specif-
ically, in the purines (A and G) three distinct groups
of atoms are mainly involved in forming the HOMO or-
bital and include atoms (C8-N7), (C2-N3) and (N1-C6-
C5-C4-N9), respectively. In the pyrimidines (T and C)
the main groups involved in forming the LUMO orbital
are two, (C4-C5-N1) and (N3-N7-C6). In both base pairs
the atoms that are less involved in the frontier molecu-
lar states are the carbon atoms that form a double bond
with an oxygen atom, such as C2 of A and C and the
four-fold bonded C7 atom of A.
The frontier states are very little affected when the
two components of the base-pair are separated along the
direction in which they are hydrogen-bonded. To demon-
strate this, we show in Fig. 5 the change in the eigenval-
ues of the frontier states in AT and CG as a function of
the distance between the two atoms that are bonded to
the two backbones (we call this the backbone distance).
For both base pairs the nitrogen atoms labeled N1 and
N9, are the ones attached to the backbone (see Fig. 3).
In order to obtain realistic structures, for each value of
the backbone distance we hold the atoms of each base
that are bonded to the backbone fixed and allow all other
atoms to relax fully. These calculations were performed
with the SIESTA code [33] and the relaxed configurations
were used as input to calculate the electronic structure
with the other two methodologies [34, 35]. In Fig. 5 we
show complete results from the SIESTA calculations and
selected results from one of the other two approaches.
The results of Fig. 5 show clearly that only in the re-
gion where the backbone distance becomes significantly
smaller than the equilibrium value, interaction between
the two bases shifts the eigenvalues of the electronic
states appreciably, but even then the shifts are relatively
small for the frontier states. It is also noteworthy that
the band gap of the AT pair is significantly larger (∼ 3
eV) than that of the CG pair (∼ 2 eV) and that the fron-
tier states of CG lie within the band gap of the AT pair.
This observation is important because it indicates that
in an arbitrary sequence of base pairs, the frontier states
will be associated with those of the CG pairs. This state-
ment is verified by calculations of electronic states in the
AT-AT, CG-CG and AT-CG base pair combinations, to
which we turn next.
For more detailed comparisons, we collect in Table I
min HOMO LUMO gap
Backbone distance
AT 8.67 Å −1.63 1.60 3.23
CG 8.73 Å −0.80 1.31 2.11
Axial distance
AT-AT 3.67 Å −1.33 1.37 2.70
CG-CG 3.52 Å −0.46 0.95 1.41
AT-CG 3.36 Å −0.71 1.00 1.71
Rotation angle
36o −1.48 1.58 3.06
AT-AT 108o −1.45 1.68 3.13
180o −1.55 1.63 3.18
36o −0.52 1.22 1.74
CG-CG 108o −0.64 1.54 2.18
180o −0.94 1.60 2.54
36o −0.86 1.51 2.37
CG-GC 108o −0.66 1.43 2.09
180o −0.60 1.12 1.72
36o −0.73 1.38 2.11
AT-CG 108o −0.59 1.27 1.86
180o −0.81 1.25 2.06
TABLE I: Eigenvalues (in eV) of the frontier states for the
DNA base pairs and the base-pair combinations, at the equi-
librium configurations for the backbone distance, the axial
distance (at zero relative angle of rotation) and the angle of
rotation (at the equilibrium axial distance). The column la-
beled “min” gives the values of the distances and the angle at
the equilibrium configurations. Due to symmetry the values
for the minima at rotation angles larger than 180o are similar
to those given here and are not shown.
the eigenvalues of the frontier states for the DNA pairs
and the pair combinations, at different equilibrium con-
figurations in the three relevant variables, the backbone
distance, the axial distance and the rotation angle. Some
results on the CG-GC base pair combination are also
shown, to allow for comparison to the poly(C)-poly(G)
sequence.
When two base pairs are stacked on top of each other,
there are two degrees of freedom for motion of one relative
to the other: a separation along the helical axis, which
we will call axial distance, and a relative rotation around
the helical axis. We take the helical axis to be that which
corresponds to stacking of successive base pairs in the B
form of the DNA double helix. According to the notation
of Fig. 3, the helical axis for both base-pairs is normal
to the line connecting atoms C4 and C6 and is closer
(about one third of their distance) to the purine atom
C6. For each configuration we fix the atoms that are
bonded to the backbone at a given relative position and
allow all other atoms to relax, as was done in the calcu-
lations involving the backbone distance discussed above.
In Fig. 6 we show the behavior of electronic eigenval-
ues as a function of the axial distance and the rotation
HOMO LUMO
ε (eV) 3.12 −0.09
t1 (meV) 14.0 −0.29
t2 (meV) 2.60 0.04
t3 (meV) 0.09 0.26
TABLE II: Parameters for the on-site (ε) and hopping matrix
elements (ti, i = 1, 2, 3), for the HOMO and LUMO states of
unstretched poly(CG)-poly(CG) DNA.
angle. As above, the eigenvalues show little dependence
on these two variables, except for rather small values of
the axial distance which correspond to unphysically small
separation between the two base pairs.
What is also remarkable in the above results, is that
in the AT-CG combination, the frontier states are clearly
identified with those corresponding to the CG pair ex-
clusively, which has the smaller band gap (see Fig. 6).
Moreover, we note that the band gap of the poly(C)-
poly(G) sequence, as calculated by the semi-empirical
method based on a minimal atomic orbital basis [32] is
in excellent agreement with the value obtained from the
SIESTA calculation (2.0 eV and 2.1 eV, respectively).
The band gap is expected to be significantly smaller in
the case of wet DNA and in the presence of counterions,
as shown in Ref. [46], for a Z-DNA helix. The band gaps
between all three ab initio methods are identical within
the accuracy of these methods. The nature of electronic
wavefunctions obtained by the different methods is also
in good qualitative agreement. Accordingly, in the rest
of this paper we focus our attention to electron local-
ization in the dry, neutral poly(CG)-poly(CG) sequence,
and employ the results of the semi-empirical electronic
structure method.
B. Hopping electrons
In Fig. 7, we show the unstretched and the three
stretched forms of the poly(CG)-poly(CG) sequences at
30%, 60%, 90% elongation, along with the features of
the frontier states. For visualization purposes, we repre-
sent the calculated wavefunction magnitude of the fron-
tier states by blue (HOMO) and red (LUMO) spheres,
centered at the sites where the atomic orbitals are lo-
cated. The radius of the sphere centered on a particu-
lar atom is proportional to the magnitude of the dom-
inant coefficient |c(n)ν |2 at this site (see Eq. (1)), which
is essentially proportional to the local electronic density.
It is evident from this figure that the nature of the or-
bitals themselves, represented by the radii of the colored
spheres, does not change much in the different stretched
DNA forms, but the overlap between orbitals at neigh-
boring bases is affected greatly by the amount of stretch-
ing. For the poly(CG)-poly(CG) sequence shown, the
HOMO orbitals are always associated with the G sites
for all the stretching modes, while the LUMO orbitals
are related to the C sites. However, as the DNA be-
comes more elongated, the orbitals overlap even less and
become localized for high stretching modes. The elon-
gation to the overstretched form is achieved by changing
the dihedral angle configuration of the DNA backbone,
which leaves the local part of the orbitals essentially in-
tact. Note how the orbitals rotate and spread out as the
structure is being ovestretched, following the rotation of
bases.
We now turn to a discussion of the results for the hop-
ping matrix elements of Eq. (9). Our discussion here
is relevant to what happens when the occupation of a
frontier state is changed from complete filling (for the
HOMO) or complete depletion (for the LUMO), that is,
the physics of small amounts of hole or electron doping.
In Table II we give the values for ε, t1, t2, t3 (see Fig. 2)
for the two frontier states of the unstretched poly(CG)-
poly(CG) DNA form. The hopping matrix elements for
the HOMO state involve only the G sites; those for the
LUMO state involve only the C sites. As a consistency
check, we have also calculated matrix elements for farther
neighbors and found those to be much smaller in magni-
tude. We have calculated the values of t1, t2, t3 by repeat-
ing the same procedure as above for the stretched forms
of the poly(CG)-poly(CG) DNA sequence. We note that
if t2 = t3 = 0 electrons will not be able to migrate along
the DNA molecule even if t1 is quite large, because at
least one of the other two hops is necessary for migra-
tion (see Fig. 2). From this simple picture, it is evident
that the conductivity will be determined by which ma-
trix element dominates. Quantitatively, the “bottleneck”
hopping matrix element is given by
t = max (min(|t1|, |t2|), |t3|) . (17)
In Fig. 8 we show the value of the “bottleneck” hop-
ping matrix element calculated as a function of stretch-
ing. This indicates that hopping conductivity will dra-
matically decrease by several orders of magnitude upon
stretching the molecule and that the hopping will de-
crease more from stretching in the 3’-3’ mode than in
the 5’-5’ mode. This is due to the conformational changes
induced by the different stretching modes, described ear-
lier.
C. Localization length
The significant dropping of the hopping matrix ele-
ments upon stretching as described in the previous sec-
tion is indicative of electron localization with a weak
amount of disorder. To investigate this possibility in
detail, we focus on effects of stretching in the 3’-3’
mode. The evolution of the density of HOMO states
upon stretching is shown in Fig. 9; similar behavior is
observed for the LUMO states. The dramatic narrowing
of the DOS width (equivalent to reduced dispersion in a
band-structure picture) is strongly suggestive of electron
localization [47], in this case induced by stretching. This
localization length is controlled by the hopping elements
t, since ε is the same at each site.
For a more quantitative description, we show in Fig. 9
the localization length Li for each eigenstate for a 1500
base-pair DNA strand under different amounts of stretch-
ing. The value of L(i) for each state is obtained from
Eq.(15), with disorder strength γ = 0.3 meV, which de-
termines the width of the gaussian given in Eq. (14). This
disorder strength is much smaller than the band width
of the unstretched DNA, but becomes comparable to the
band width as the molecule is stretched. The magni-
tude of such variations in on-site energies is consistent
with those produced by the dipole potential terms, for
instance, due to the presence of a stray water molecule
situated on the substrate roughly 15 Å away from the
DNA bases. We find that changing the value of γ by an
order of magnitude (either smaller or larger) does not af-
fect the qualitative picture presented here. Note that the
localization length is not a strict function of the energy,
as it depends on the disorder near where a given state
happens to be localized. As the molecule is stretched,
the localization length dramatically decreases until, for
60% stretching, the eigenstates are completely localized
on single base pairs.
The charge localization length as a function of DNA
stretching has been recently studied in the experiment
of Heim et al. [48]. This study focuses on λ-DNA which
has an irregular sequence of base pairs, and can be com-
pared to our theoretical results for poly(CG)-poly(CG)
recalling that the frontier states even for a random se-
quence are associated with those of the CG base-pairs.
In the experiment, ropes of λ-DNA on a substrate are
overstretched by a receding meniscus technique. The
DNA ropes in this experimental setup are slightly pos-
itively charged, corresponding to a depletion of a few
electrons per 1000 base pairs. We suggest that this situa-
tion is approximated by the structures of dry and neutral
DNA that we considered above. Electrons were injected
into the DNA and the resulting localization length was
measured by an electron force microscope. For the un-
stretched DNA, the charge was found to delocalize across
the entire molecule, extending over a length of several
microns. On the other hand, the charge injected into
the overstretched DNA is localized, extending over a few
hundred nanometers only. This is qualitatively consistent
with the picture that emerges from our theoretical analy-
sis, and is even in reasonable quantitative agreement: the
degree of localization in experiment, measured by the ra-
tio of length scales going from unstretched to stretched
DNA structures, is approximately two orders of magni-
tude, while the same quantity in our calculations, going
from unstretched to 60% stretched DNA is ∼ 103.
IV. SUMMARY
We have described and implemented a multiscale
method to derive effective hamiltonian models that are
able to capture the dynamics of conduction and valence
electrons in stretched DNA, starting from ab initio, all-
atom quantum mechanical calculations. The ab initio
simulations revealed that the frontier states in the base
pairs are related to only one component of the pair. The
purines were found to be associated with the HOMO
states while the pyrimidines with the LUMO states. In
the AT-CG combination the frontier states are identified
with those of the CG pair. For all combinations of bases
and base pairs studied here, the nature of these states was
not affected by separation of the bases or base pairs along
different directions or rotation along the helical axis.
Turning to the next length scale and the semi-empirical
calculations, we have calculated the “bottleneck” matrix
elements for electron hopping along the DNA molecule,
as a function of stretching. These show a significant
decrease with elongation of DNA, which is stronger for
stretching in the 3’-3’ mode than in the 5’-5’ mode. We
were able to show quantitatively that stretching of DNA
dramatically narrows the DOS width of frontier states.
A small amount of disorder produced by environmental
factors will naturally lead to localization of the electrons
along the DNA. Our estimate for the degree of localiza-
tion, based on a reasonable (and quite small) amount of
disorder in the on-site energies for the electron states,
is in very good agreement with recent experimental ob-
servations. This provides direct validation for the con-
sistency and completeness of the multiscale method pre-
sented here.
Acknowledgements: The authors are grateful to
Richard Lavery for providing the overstretched struc-
tures. MF acknowledges support by Harvard’s Nanoscale
Science and Engineering Center, funded by the National
Science Foundation, Award Number PHY-0117795.
[1] J. D. WATSON and F. H. C. CRICK, Nature 171 (1953)
737 .
[2] D. D. ELEY and D. I. SPIVEY, Trans. Faraday Soc. 58
(1961) 411.
[3] C. J. MURPHY, M. R. ARKIN, Y. JENKINS, N. D.
GHATLIA, S. H. BOSSMANN, N. J. TURRO, and J. K.
BARTON, Science 262 (1993) 1025.
[4] E. BRAUN, Y. EICHEN, U. SIVAN, and G. BEN-
YOSEPH, Nature 391 (1998) 775.
[5] P. DE PABLO, F. MORENO-HERRERO,
J. COLCHERO, J. HERRERO, P. HERRERO,
A. BARO, P. ORDEJÓN, J. SOLER, and E. ARTA-
CHO, Phys. Rev. Lett. 85 (2000) 4992.
[6] A. J. STORM, J. VAN NOORT, S. DE VRIES, and
C. DEKKER, Appl. Phys. Lett. 79 (2001) 3881.
[7] Y. ZHANG, R. H. AUSTIN, J. KRAEFT, E. C. COX,
and N. P. ONG, Phys. Rev. Lett. 89 (2002) 198102.
[8] Y. BABA, T. SEKIGUCHI, I. SHIMOYAMA, N. HI-
RAO, and K. .G. NATH, Phys. Rev. B 74 (2006) 205433.
[9] D. PORATH, A. BEZRYADIN, S. DE VRIES, and
C. DEKKER, Nature 403 (2000) 635.
[10] H.-W. FINK and C. SCHONENBERGER, Nature 398
(1999) 407.
[11] L. CAI, H. TABATA, and T. KAWAI, Appl. Phys. Lett.
77 (2000) 3105.
[12] P. TRAN, B. ALAVI, and G. GRUNER, Phys. Rev. Lett.
85 (2000) 1564.
[13] H. COHEN, C. NOGUES, R. NAAMAN, and D. PO-
RATH, Proc. Natl. Acad. Sci., 102 (2005) 11589.
[14] A. KASUMOV, M. KOCIAK, S. GUERON,
B. REULET, V. VOLKOV, D. KLINOV, and
H. BOUCHIAT, Science 291 (2001) 280.
[15] R. G. ENDRES, D. L. COX, and R. R. P. SINGH, Rev.
Mod. Phys. 76 (2004) 195.
[16] M.H.F. WILKINS, R.G. GOSLING, and W.E. SEEDS,
Nature (London) 167 (1951) 759.
[17] S. B. SMITH, Y. J. CUI, and C. BUSTAMANTE, Sci-
ence 271 (1996) 795.
[18] P. CLUZEL, A. LEBRUN, C. HELLER, R. LAVERY,
J. L. VIOVY, D. CHATENAY, and F. CARON, Science
271 (1996) 792.
[19] T. R. STRICK, J. F. ALLEMAND, D. BENSIMON,
and V. CROQUETTE, Annu. Rev. Biophys. Biomolec.
Struct. 29 (2000) 523.
[20] Y. YAMADA, Int. J. Mod. Phys. B, 18 (2004) 1697.
[21] K. IGUCHI, Int. J. Mod. Phys. B, 18 (2004) 1845.
[22] J. Y. YI, Phys. Rev. B 68 (2003) 193103.
[23] C. M. CHANG, A. H. C. NETO, and A. R. BISHOP,
Chem. Phys. 303 (2004) 189.
[24] R. A. CAETANO and P. A. SCHULZ, Phys. Rev. Lett.,
95 (2005) 126601.
[25] R. N. BARNETT, C. L. CLEVELAND, A. JOY,
U. LANDMAND, G. B. SCHUSTER, Science, 294
(2001) 567.
[26] E. ARTACHO, M. MACHADO, S. SÁNCHEZ-
PORTAL, P. ORDEJÓN, J. M. SOLER, Molec. Phys.
101 (2003) 1587.
[27] S. S. ALEXANDRE, E. ARTACHO, J. M. SOLER, Phys.
Rev. Lett. 91 (2003) 108105.
[28] K. SENTHILKUMAR et al, J. Am. Chem. Soc. 127
(2005) 14894.
[29] A. LEBRUN and R. LAVERY, Nucl. Ac. Res. 24 (1996)
2260.
[30] P. HOHENBERG and W. KOHN, Phys. Rev. 136 (1964)
B864; W. KOHN and L. J. SHAM, Phys. Rev. 140 (1965)
A1133.
[31] J. P. PERDEW and A. ZUNGER, Phys. Rev. B 23
(1981) 5048.
[32] M. ELSTNER, D. POREZAG, G. JUNGNICKEL, J. EL-
SNER, M. HAUGK, T. FRAUENHEIM, S. SUHAI, and
G. SEIFERT, Phys. Rev. B 58 (1998) 7260.
[33] J. M. SOLER, E. ARTACHO, J. D. GALE, A. GARCÍA,
J. JUNGUERA, P. ORDEJÓN, and D. SÁNCHEZ-
PORTAL, J. Phys.: Condens. Matter, 14 (2002) 2745.
[34] G. KRESSE and J. FURTHMÜLLER, Phys. Rev. B, 54
(1996) 11169.
[35] U. V. WAGHMARE, H. KIM, I. J. PARK, N. MO-
DINE, P. MARAGAKIS, E. KAXIRAS, Computer Phys.
Comm., 137, (2001) 341.
[36] J. P. PERDEW and Y. WANG, Phys. Rev. B 45 (1992)
13244; J. P. PERDEW, K. BURKE, and M. ERNZER-
HOF, Phys. Rev. Lett. 77 (1996) 3865.
[37] N. TROUILLER and J. L. MARTINS, Phys. Rev. B, 43
(1991) 8861.
[38] D. VANDERBILT, Phys. Rev. B, 41 (1990) 7892.
[39] D. R. HAMANN, M. SCHLUTER and C. CHIANG,
Phys. Rev. Lett. 43 (1979) 1494.
[40] P. MARAGAKIS, R. L. BARNETT, E. KAXIRAS,
M. ELSTNER, and T. FRAUENHEIM, Phys. Rev. B
66 (2002) 241104(R).
[41] N. MARZARI and D. VANDERBILT, Phys. Rev. B 56
(1997) 12847.
[42] C. SGIAROVELLO,M. PERESSI, and R. RESTA, Phys.
Rev. B 64 (2001) 115202
[43] Y-S. LEE, M. BUONGIORNO NARDELLI, and N.
MARZARI, Phys. Rev. Lett. 95 (2005) 076804.
[44] D. J. THOULESS, J. Phys. C 5 (1972) 77.
[45] D. VARSANO, R.I. FELICE, M. A. .L. MARQUES, and
A. RUBIO, J. Phys. Chem. B 110 (2006) 7129.
[46] F. L. GERVASIO, P. CARLONI, M. PARRINELLO,
Phys. Rev. Lett. 89 (2002) 108102.
[47] P. W. ANDERSON, Phys. Rev. 109 (1958) 1492.
[48] T. HEIM, T. MELIN, D. DERESMES, D. VUILLAUME,
Appl. Phys. Lett. 85 (2004) 2637.
[49] R. R. SINDEN, in “DNA Structure and Function”, (Aca-
demic Press, London, 1994).
density
functional theory
ab−initio
structure
electronic
semi−empirical
1500 b
hamiltonian
tight−binding
effective
1130 atoms94000
FIG. 1: Schematic illustration of the different scales included
in the current multiscale model: The two pictures on the left
are atomistic systems simulated with different computational
approaches (ab initio density functional theory and semi-
empirical electronic structure, resprectively). The picture on
the right represents a rope composed of DNA molecules, as in
experiments [48], which is treated by an effective tight-binding
hamiltonian constructed from the atomistic scale calculations.
FIG. 2: Schematic depiction of electron hopping in poly(CG)-
poly(CG) DNA for the HOMO state. The hopping matrix
elements ti are denoted by the indices (i) = (1), (2), (3). Elec-
trons are localized on the G bases. For the LUMO state, the
hopping is similar with electrons localized on the C bases.
C2 C2
FIG. 3: The DNA base pairs AT (top) and CG (bottom), with
the atoms labeled. The purines (A, G) are on the right, the
pyrimidines (T, C) on the left. Atom labeling follows standard
notation convention [49]. All rotations were performed with
respect to the helical axis denoted by the black circle (see
text).
FIG. 4: The frontier states in the base pairs and their identifi-
cation with corresponding orbitals in the isolated bases. The
middle figure in each panel shows the total charge density on
the plane of the base pair, with higher values of the charge
density in red and lower values in blue. The figure on the left
shows the HOMO state and the figure on the right shows the
LUMO state, where red and blue isosurfaces correspond to
positive and negative values of the wavefunctions. The labels
on the left denote the type of bases and base pairs.
7 8 9 10 11
 backbone distance (Α
7 8 9 10 11
 backbone distance (Α
AT CG
T−LUMO C−LUMO
G−HOMO
A−HOMO
FIG. 5: Eigenvalues of states in the AT and CG base pairs
as a function of backbone distance. In each case three states
are included above and below the band gap. Lines are results
from SIESTA calculations, points are results from HARES
calculations (see text). The frontier orbitals in both pairs
are related to one component of the pair as indicated by the
labels. The equilibrium backbone distance is denoted by a
vertical dashed line.
2.9 3.4 3.9 4.4 4.9 5.4
axial distance (Α
0 60 120 180 240 300 360
angle (deg.)
AT−AT
CG−CG
T−LUMO
A−HOMO
C−LUMO
G−HOMO
C−LUMO
G−HOMO
AT−CG
FIG. 6: Eigenvalues of states in the AT-AT, CG-CG and AT-
CG base pair combinations as a function of the distance along
the helical axis (at zero angle of rotation) and the rotation an-
gle around the helical axis (at the equilibrium axial distance).
Lines are results from SIESTA calculations, points are results
from VASP calculations (see text). In each case three states
are included above and below the band gap. The value of the
distance or the rotation angle that correspond to equilibrium
configurations are indicated by vertical dashed lines (there are
five almost equivalent local minima in rotation). As in Fig.
5, frontier orbitals are identified as the corresponding orbital
of one base only.
3’−3’ 5’−5’
FIG. 7: The DNA structures for the unstretched (top) and the
different amounts of stretching in the 3’-3’ and the 5’-5’ modes
with features of the frontier orbitals described by the blue
(HOMO) and red (LUMO) spheres (see text for details). For
both modes the amount of stretching is (a) 30%, (b) 60%, and
(c) 90% relative to the unstretched structure, which is the B-
DNA form. The 3’-5’ orientations of the poly(CG)-poly(CG)
sequence are shown in the left panel at 90% stretching, where
these the structure is easier to visualize.
0 30 60 90
% stretching
HOMO 3’−3’
HOMO 5’−5’
LUMO 3’−3’
LUMO 5’−5’
(2) (2)
(2) (3)
FIG. 8: The frontier state “bottleneck” hopping matrix el-
ements as given by Eq. (17) for the different types (3’-3’ or
5’-5’) and amounts of stretching of poly(CG)-poly(CG) DNA.
At each value of stretching, the dominant hopping process is
indicated in parenthesis.
−20 −10 0 10 20
energy (meV)
FIG. 9: (bottom) The density of electronic states for the
HOMO state stretched in the 3’-3’ mode. For comparison,
the on-site energy parameter, ε, has been set to zero. (top)
The localization length Li, defined in Eq. (15), is computed
for each eigenstate with disorder strength γ = 0.3 meV.
