Thin Solid Films 583 (2015) 712

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Thin Solid Films

journal homepage: www.elsevier.com/locate/tsf

Theoretical investigation of the thermodynamic properties of metallic

thin lms
Vu Van Hung a, Duong Dai Phuong b, Nguyen Thi Hoa c, Ho Khac Hieu d,
a

Vietnam Education Publishing House, 81 Tran Hung Dao, Hanoi, Vietnam

Hanoi National University of Education, 136 Xuan Thuy, Hanoi, Vietnam
University of Transport and Communications, Lang Thuong, Dong Da, Hanoi, Vietnam
d
Institute of Research and Development, Duy Tan University, K7/25 Quang Trung, Danang, Vietnam
b
c

a r t i c l e

i n f o

Article history:
Received 19 September 2014
Received in revised form 7 March 2015
Accepted 18 March 2015
Available online 27 March 2015
Keywords:
Metallic thin lms
Thermodynamic properties
Specic heats
Anharmonicity
Statistical moment method

a b s t r a c t
The thermodynamic properties of metallic thin lms with face-centered cubic structure at ambient conditions
were investigated using the statistical moment method including the anharmonicity effects of thermal lattice
vibrations. The analytical expressions of Helmholtz free energy, lattice parameter, linear thermal expansion
coefcient, specic heats at the constant volume and constant pressure were derived in terms of the power moments of the atomic displacements. Numerical calculations of thermodynamic properties have been performed
for Au and Al thin lms and compared with those of bulk metals. This research proposes that thermodynamic
quantities of thin lms approach the values of bulk when the thickness of thin lm is about 70 nm.
2015 Elsevier B.V. All rights reserved.

1. Introduction
With attractive properties for technological and industrial applications [13], metallic thin lm has generated enormous scientic interests in material sciences. The knowledge about the thermodynamic
and mechanical properties of metallic thin lm such as the stress, the
elastic modulus, elastic constants and the coefcient of thermal expansion, is of great importance to determine the parameters for the stability
and reliability of the manufactured devices.
A number of experimental and theoretical studies have been
performed to determine thermo-mechanical properties of metal and
nonmetal thin lms [48]. Many methods such as X-ray diffraction [4],
Raman spectroscopy [5], nanoindentation technique [6,7], Brillouin
scattering [8] were used for measuring the thermodynamic properties
or mechanical properties of crystalline thin lms on the substrates
(for example: thermal expansion coefcient [911], heat capacity
[12], Youngs modulus and Poisson ratio [13]). A few theoretical or
experimental systematic studies were done to explain the thermomechanical properties of metallic free-standing thin lms. In addition,
the previous theoretical studies mostly focused on the properties of
metallic thin lm at low temperature, and temperature dependence of
the thermodynamic quantities has not been studied in detail.
The main purpose of this article is to investigate the thermodynamic
properties of metallic free-standing thin lm with face-centered cubic
Corresponding author.
E-mail address: hieuhk@duytan.edu.vn (H.K. Hieu).

http://dx.doi.org/10.1016/j.tsf.2015.03.040
0040-6090/ 2015 Elsevier B.V. All rights reserved.

(FCC) structure using the statistical moment method (SMM) in quantum statistical mechanics [14,15]. The major advantage of our approach
is that the thermodynamic quantities are derived from the Helmholtz
free energy, and the explicit expressions of the linear thermal lattice expansion coefcient, specic heats at constant volume CV and constant
pressure CP are presented taking into account the anharmonicity effects
of the thermal lattice vibrations. The inuence of surface and size effects
on the thermodynamic properties has also been concerned.
2. Theory
2.1. The anharmonic oscillations of metallic thin lm
Let us consider a metal free standing thin lm has n* layers with the
thickness d. We assume that the thin lm consists of two atomic
surface-layers, two next atomic surface-layers and (n* 4) atomic
internal-layers (see Fig. 1). Nng, Nng1 and Ntr are respectively the number
of atoms on surface-layers, next-surface-layers and internal-layers of
this thin lm. Then, the potential energy of the system can be written as
ng

ng1

tr

U U U U
 N X


Nng X ng 


ng1 
ng1

io r i;ng ui;ng 
io r i;ng1 ui;ng1 
2 i
2 i

N X tr 
tr

r ui;tr  ;
2 i io i;tr

V.V. Hung et al. / Thin Solid Films 583 (2015) 712

Fig. 1. The free-standing thin lm.





N ng
N
ng
ng1
ng1
where U ng
ng1
r i;ng1 and U tr
0
0 2 i i0 r i;ng , U 0
2 i i0
 
tr
N tr
2 i i0 r i;tr and ri is the equilibrium position of ith atom, ui is its disng

u2i;ng

ui;ng

eq

4 ng
1 X io
3! i
u4i;ng

1 X io
2 i
u3i;ng
3

ng

ui;ng

eq

D
E
3
ui;ng p 0:

eq

E
p

1 X 2 tr
io
2 i
u2i

Using moment expansion formulas [14,15], one can nd the thermal

2
3
and ui,ng
(soaverage displacements of the surface-layer atoms ui,ng
called the second-order and the third-order moments) in terms of the
rst moment ui,ng. Then Eq. (2) is transformed into the new differential equation as

1ng

h
 ng
; kB T;
2

eq

2ng

ng

!
;

eq

4 ng
6 X io
48 i u2i u2i

!
;

eq

2
!
! 3
4 ng


4 ng
1 X 4 io
io
5 4 1ng 2ng ;

6
12 i
u4i eq
u2i u2i

eq

and kB is the Boltzmann constant, T is the absolute temperature, m0 is

the mass of atom, ng is the frequency of lattice vibration of surfacelayer atoms; kng, 1ng, 2ng, ng are the parameters of crystal depending
on the structure of crystal lattice and the interaction potential between
atoms; ui, ui, ui are the displacements of ith atom from equilibrium
position on the direction ( = x, y, z), ( = x, y, z), ( = x, y, z), respectively, and the subscript eq indicates the evaluation at equilibrium.
For determining the displacement b ui,ng N of the surface-layer atom,
the symmetry property which is appropriate for cubic crystals is used
b ui N b ui N b ui N b ui;ng N:

Then, the solutions of the nonlinear differential Eq. (3) can be

expanded in the power series of the supplemental force p as
ng

ng 2

yng y0 A1 p A2 p :

where
yng b ui;ng N p ; xng

m0 ng ;

4 ng
1 X io
48 i
u4i

ng

d2 yng

dyng
3
ng yng kng yng
3ng yng
ng
2
dp
dp


ng
xng cothx ng 1 yng p 0;
kng
2

ng

placement of the ith atom from the equilibrium position; i0 , i0 1, tr

i0
are the effective interatomic potential between 0th and ith surfacelayer atoms, next-surface-layer atoms, internal-layer atoms, and
U0ng, U0ng1, Utr
0 represent the sum of effective pair interaction energies
for surface-layer atoms, next-surface-layer atoms and internal-layer
atoms, respectively.
For surface-layer atoms of thin lm, the atomic force acting on the
given 0th atom in the lattice can be evaluated by taking derivative of
the internal energy of the ith atomic site and evaluating the power
moments of the atomic displacements. If the 0th surface-layer atom in
the lattice is affected by a supplementary force p, then the total force
acting on it must be equal to zero, and one gets the force balance
relation as [14,15]
X 2 ng
io

kng

10

Here, yng
0 is the average atomic displacement in the limit of zero of
supplemental force p. Substituting the above expression into the original differential Eq. (3), one can get the coupled equations on the coefng
ng
cients Ang
1 and A2 , from which the solution of y0 is given as [14,15]
v
u
u2 ng 2
ng
Ang ;
y0 t
3k3ng

11

V.V. Hung et al. / Thin Solid Films 583 (2015) 712

It is straightforward to evaluate the following integrals analytically

where
ng
a1

Ang

2ng 2
k4ng

ng
a2

3ng 3
k6ng

ng
a3

4ng 4
k8ng

ng
a4

5ng 5
k10
ng

ng
a5

6ng 6
k12
ng

Z
ng
a6

I1

12
and X ng xng cothx ng ; ang
1 1

X ng
2

ng

a5

561
1489 2
927 3
733 4
145 5
31 6
X
X ng
X
X
X
X
2 ng
3
2 ng
3 ng
2 ng
3 ng

ng

17

18

19

n
h

io
ng1
2x
ng1 U 0 3Nng1 xng1 ln 1e ng1



2 1ng1
X ng1
2
1

2ng1 ng1
3
2
k2ng1


3
6Nng1 4 2
X ng1
X ng1

2ng1 1
4
2
3
kng1





X ng1 
2
1 X ng1 ;
2 1ng1 21ng1 2ng1 1
2

d yng1

d ytr
dy

3
3tr ytr tr tr ytr ktr ytr tr
x cothx tr 1ytr p 0:
ktr tr
dp
dp2

13
Such, with the aid of the statistical moment method [14,15], we can
get power moments of the atomic displacement.
2.2. Free energy of the metallic thin lm
Usually, the previous theoretical study about the size effect has been
carried by introducing the surface energy contribution in the continuum
mechanics or by the computational simulations reecting the surface
stress, or surface relaxation inuence. In this paper, the inuence of
the size effect on thermodynamic properties of the metal thin lm is
studied by introducing the surface energy contribution to the free
energy of the system atoms.
Let us consider a quantum system given by the following
Hamiltonian:
X
^
c
a^
H H
0
iV i

14

3N ng1 2

20



n
h

io 3N 2 
2 1tr
X tr
tr
2x
2
tr

tr U 0 3Ntr xtr ln 1e tr

tr
2tr
3
2
k2tr







6N tr 3 4 2
X tr
X tr
2

:
2

X
1

X
tr
tr
1tr
2tr
2tr
1tr
3
2
2
k4tr

21
Let us assume that the system consists of N atoms with n* layers, the
atom number on each layer is NL, then we have


N n NL

N
:
NL

22

The number of atoms of internal-layers, next-surface-layers and

surface-layers are respectively determined as





N
N tr n 4 NL
4 NL N4NL ;

NL 



N ng1 2NL N n 2 NL and Nng 2NL N n 2 N L :

23

Free energy of the system and of one atom, respectively, are given

where 0 denotes the lattice Hamiltonian in the harmonic approxima^ is added due to the anharmonicity
tion, and the second term i i V
i
of thermal lattice vibrations, i denotes a parameter characterizing the
anharmonicity of thermal lattice vibrations and Vb the related operator.
i

For the surface-layers, the Helmholtz free energy given by

Hamiltonian (14) is formally written as

ng

16



n
h

io 3N 2 
21ng
X ng
ng
2x
2
ng

ng U 0 3N ng xng ln 1e ng
2ng X ng
1
2
3
2
kng





3



6N ng 4 2
X ng
X ng 
2
X ng 2 1ng 2 1ng 2ng 1
1 X ng :

2
2
3 2ng
k4ng

dyng1
3
ng1 yng1 kng1 yng1
3 ng1 yng1
dp
dp2


xng1 cothx ng1 1 yng1 p 0;
ng1
kng1
2


2
2
b ui;ng N p 1ng 0 d 2ng :

Then the free energy for surface-layer atoms is given by

tr

2ng

Similar derivation can be also done for next-surface-layers and

internal-layers. Free energy of these layer-types respectively are

Similar derivation can be also done for next-surface-layer atoms and

internal-layer atoms of thin lm, their displacements are the solutions
of the following equations, respectively
2

I2

Using the expression of the second and fourth order moments

[14,15], we derived the free energy of surface-layers as

1 7
X ng :
2

ng1

h

i
ng
2x
0 3Nng xng ln 1e ng :



103 749
363 2
391 3 148 4
53 5
1 6

X ng
X ng
X ng
X ng
X ng X ng ;
3
6
2
3
3
6
2

ng

b ui;ng N p d1ng

where ng
0 denotes the free energy in the harmonic approximation of
surface-layers which has the form as [14]

43 93
169 2
83 3
22 4
1 5

X
X
X
X X ;
3
2 ng
3 ng
3 ng
3 ng 2 ng

a6 65

ng



25 121
50 2
16 3
1 4
ng
a3

X ng
X ng
X ng X ng ;
3
6
3
3
2
ng
a4

1ng

ng U 0 0 3Nng :I1 3Nng :I 2 ;

13 47
23 2
1 3

X
X X ;
3
6 ng
6 ng 2 ng

ng

a2

ng

ng U 0 0

Z
0

i D

^
V
i

E
i

d i :

15

by

ng ng1 tr TSc
Nng ng N ng1 ng1 N tr tr TSc
N4NL tr 2N L ng1 2NL ng TSc ;

24

4
2
2
TS
1  tr  ng1  ng c ;
N
N
n
n
n

25

10

V.V. Hung et al. / Thin Solid Films 583 (2015) 712

where Sc is the entropy conguration of the system; ng, ng1 and tr

are correspondingly the free energy of one atom at surface-layers,
next-surface-layers and internal-layers.
Using as the average nearest-neighbor distance (NND) and b is the
average thickness two-layers and c is the average lattice constant. Then
we have
a
b p
2

and

ac 2b

p
2a:

26



d 2bng 2bng1 n 5 btr n 1 b

p
p


 a
n 5
2ang 2ang1 p atr n 1 p :
2
2

d
b

29

ng1

tr

ang a0;ng y0 ; ang1 a0;ng1 y0 ; atr a0;tr y0 ;

30

where a0,ng, a0,ng1 and a0,tr denote the values of ang, ang1 and atr at zero
temperature which can be determined from experiment or from the
minimum condition of the potential energy of the system.
Substituting Eq. (28) into Eq. (25) we obtained the expression of the
free energy per atom as follows
p
d 23a
2a
2a
TS
p
tr p
ng p
ng1 c :
N
N
d 2a
d 2a
d 2a

31

2.3. Thermodynamic quantities of the thin metal lm

The average thermal expansion coefcient of thin metal lm can be
calculated as


kB da dng ng dng1 ng1 ddng dng1 tr
;

a0 d
d

32

where dng and dng1 are the thickness of surface-layers and next-surfacelayers, and
;

ng1

ng1
kB y0 T
a0;ng1

tr

kB ytr
0 T
:
a0;tr
33

With the aid of the free energy formula = W TS, we can nd

other thermodynamic quantities of the system. The specic heat at constant volume CV is derived from the free energy of the system as [14,15]
CV

ng
T

ng

C V T

ng1
T 2

35

 3
3 aa

! ;
p
2
2
d 23a 2 tr
2a ng
2a ng1
p
p

d 2 a a2tr
d 2 a a2ng
d 2 a a2ng1 T
0

a2
2P
3V

36

C P C V T

In above equation, ang, ang1 and atr are correspondingly the average
NND between two intermediate atoms at surface-layers, next-surfacelayers and internal-layers of thin lm at a given temperature T. These
quantities can be determined as

ng
kB y0 T
a0;ng

 
1 V
V 0 P T

28

2ang 2ang1 n 5atr

:
n 1

ng

ng

C V T

where BT = 1/T denotes the isothermal elastic modulus of the thin lm.
Furthermore, the specic heat at constant pressure CP is determined
from the thermodynamic relations

p
d 2
:
a

ng

The isothermal compressibility T is given by

and the average NND of thin lm is

a

2 tr
T 2

27

From Eq. (27), we derived



tr

C V T

The thickness d of thin lm can be given by

n 1

where

p


W
2 d 23a tr
2a
2a
ng
ng1
T 2 p
C V p
C V p
CV ;
T V
T
d 2a
d 2a
d 2a
34

 2  
V
P
2
C V 9TV BT :
T P V T

37

3. Numerical results and discussion

In this section, the derived expressions in previous section will be
used to investigate the thermodynamic properties of metallic thin
lms with FCC structure including Au and Al at zero pressure. For the
sake of simplicity, the interaction potential between two intermediate
atoms of these thin lms is assumed as the MieLennardJones potential which has the form as
r

r m i
D h r 0 n
n 0
m
;
r
r
nm

38

where D describing dissociation energy; r0 is the equilibrium value of r;

and the parameters n and m can be determined by tting experimental
data (e.g., cohesive energy and elastic modulus). The potential parameters D, m, n and r0 of some metallic thin lms are showed in Table 1 [16].
Using expression (29), we can determine the average lattice constant of Al thin lm as functions of thickness and temperature. From
these results, thermal expansion coefcient can be calculated easily. In
Fig. 2, we showed the theoretical calculations of thermal expansion coefcients of Al thin lm with various layer thickness. The experimental thermal expansion coefcients [17] of bulk material have also been
reported for comparison. One can see that the value of thermal expansion coefcient increases with the increasing of absolute temperature
T. It also be noted that, at a given temperature, the lattice parameter of
thin lm is not a constant but strongly depends on the layer thickness,
especially at high temperature. From Fig. 2 we can conclude that a
thicker thin lm has a smaller thermal expansion coefcient. This result
has been explained as the internal stress relaxation when clusters grow
[18]. Interestingly, when the thickness of thin lm increases, the
thermal expansion coefcients approach the value of bulk [17]. Our
calculations at room temperature show that for Au and Al thin lms
when the thickness is larger than 350 layers (about 70 nm), the thermal
expansion coefcient approaches the bulk value.
At low temperature T b 50 K, the average atomic displacements at
the surface-layers and next-surface-layers are small. It leads to the
Table 1
MieLennardJones potential parameters of Au and Al thin metal lms [16].
Metals

r0()

D/kB(K)

Au
Al

16.34
13.70

1.89
2.20

2.8751
2.8541

7411.50
6631.02

V.V. Hung et al. / Thin Solid Films 583 (2015) 712

26
10 layers
30 layers
70 layers
200 layers
Bulk (Ref. 17)

24

(10

K )

Al
Specific heat CV (J/mol.K)

4
3
2

22
20

10 layers
30 layers
70 layers
200 layers

18
16

Al
14

1
0
0

11

100

200

300

400
500
T (K)

600

700

800

12
0

100

200

300
400
500
Temperature (K)

600

700

800

Fig. 2. Temperature-dependent thermal expansion coefcient of Al thin lm.

Fig. 3. Specic heat at constant volume of Al thin lm as a function temperature.

atomic distances at the internal-layers are larger than those at the

surface-layers and the next-surface-layers of the thin lm. So, the average lattice constant of thin lm increases with the layer thickness. When
temperature increases (50 K b T b 700 K), the link forces acting on
atoms at surface-layers and next-surface-layers are smaller than those
at internal-layers (here we have considered to the surface effect the
defect atoms on surface-layers and next-surface-layers of the thin
lms). At the surface-layers and next-surface-layers, atoms uctuate
more strongly than those at the internal-layers atoms. This result
leads to that the atomatom distance at external layers is larger than
one of the internal-layers. Therefore, the average lattice constants
decrease with the increasing of thickness.
In Fig. 3, we presented SMM results of the specic heats at constant
volume of Al thin lm with various thickness as functions of temperature. It is clearly seen that at temperature in range 50 K b T b 300 K,
the specic heat at constant volume CV depends strongly on the temperature. It increases robustly with the increasing of absolute temperature.
In high temperature range T N 300 K, the specic heat CV reduces and depends weakly on the temperature. The thicker thin lm is the less
dependent on temperature specic heat CV becomes. In our SMM calculations, when the thicknesses of Au and Al thin lms are larger than
30 nm, the specic heats CV are almost independent on the layer thickness and reach the values of bulk materials.
The lattice specic heat at constant pressure CP is one of important
thermodynamic quantities of solid. Its dependence on thickness and
temperature was showed in Fig. 4 for Al thin lm. Experimental data

of CP of Al bulk crystal were also displayed for comparison [17]. It is

clearly seen that at temperature range below 500 K, the specic heat
CP of thin lm follows very well the value of bulk material. When temperature and the thickness of thin lm increase, there is the reduction
of specic heat at constant pressure CP of Al thin lm. In our calculations,
the contributions of lattice vacancies and electronic parts of the specic
heats CV, which are known to give signicant contributions in metals for
higher temperature region near the melting temperature have been
neglected. Therefore, the present formulas of the lattice contribution
to the specic heats, both CV and CP, for the cubic metals [14] as well
as metallic thin lms tend to underestimate the specic heats for higher
temperature region, when compared with the experimental results. As
expected from abovementioned reasons, the calculated CP values of Al
thin lm with more than 70 layers are smaller than the experimental
values of bulk material at high temperatures.
By using above scheme of SMM theory, the thermodynamic properties of other metallic thin lms can also be determined analogously.
In Table 2, we reported the values of some thermodynamic quantities
(average lattice constant , specic heats at constant volume and constant pressure CV and CP, thermal expansion coefcient ) as functions
of temperature at ambient pressure of Au thin lm for example.
4. Conclusions
In this work, we have used the effective pair potentials for metallic
thin lm atoms to demonstrate the utility of the present theoretical

Table 2
Temperature-dependent thermodynamic quantities of Au thin lm.
Quantities

n*

100 K

200 K

300 K

400 K

500 K

600 K

700 K

800 K

()

10
30
70
200
10
30
70
200
10
30
70
200
10
30
70
200

4.0184
4.0179
4.0178
4.0177
2.8988
2.6707
2.6111
2.5829
22.4748
22.4216
22.4062
22.3990
23.2346
23.1091
23.0764
23.0610

4.0303
4.0289
4.0285
4.0283
3.0602
2.7958
2.7267
2.6940
23.9496
23.9898
24.0015
24.0070
25.5287
25.4036
25.3751
25.3622

4.0429
4.0403
4.0396
4.0393
3.2462
2.9338
2.8522
2.8135
24.0191
24.1044
24.1287
24.1408
26.4939
26.2902
26.2441
26.2232

4.0564
4.0524
4.0514
4.0509
3.4956
3.1048
3.0027
2.9543
23.8731
23.9952
24.0304
24.0471
27.4031
27.0374
26.9533
26.9153

4.0711
4.0653
4.0638
4.0630
3.9054
3.3407
3.1931
3.1231
23.6655
23.8220
23.8668
23.8885
28.6918
27.8985
27.7115
27.6257

4.0881
4.0793
4.0770
4.0760
4.6710
3.7121
3.4612
3.3423
23.4337
23.6237
23.6781
23.7045
31.1323
29.1524
28.6830
28.4679

4.1092
4.0953
4.0917
4.0899
6.0438
4.3211
3.8697
3.6557
23.1911
23.4141
23.4777
23.5086
35.9000
31.2093
30.1156
29.6177

4.1373
4.1143
4.1083
4.1055
8.2376
5.2778
4.5002
4.1311
22.9425
23.4141
23.2710
23.3066
42.3756
34.1540
32.2126
31.3256

(105K1)

CV(J/mol. K)

CP(J/mol. K)

12

V.V. Hung et al. / Thin Solid Films 583 (2015) 712

40

References

30

Specific heat C (J/mol.K)

35

25

20

Al

15

10

100

200

300

400
500
600
Temperature (K)

10 layers
30 layers
70 layers
200 layers
Bulk (Ref. 17)
700

800

Fig. 4. Specic heat at constant pressure of Al thin lm as a function temperature.

scheme based on the moment method in the quantum statistical

dynamics. The use of the simple potential is due to the fact that the
purpose of the present study is to gain a general understanding of the
effects of the anharmonic lattice vibration and temperature on the thermodynamic properties of metallic thin lms. The method is simple and
physically transparent, and thermodynamic quantities of metallic thin
lms with FCC structures can be expressed in closed forms within the
fourth order moment approximation of the atomic displacements. In
general, thermodynamic quantities in our calculations for Al and Au
are in good agreement with other theoretical results and experimental
data. The current model calculation not only can be used for determining the thermodynamic quantities of metallic thin lms but also has the
potential on investigating the thermodynamic properties as well as the
mechanical properties of metallic nanowires. However, it should be
noted that, the extended model should be considered about size and
grain-boundary effects of nanowires.

Acknowledgments
This research is funded by the Vietnam National Foundation for Science and Technology Development (NAFOSTED) under grant number
103.01-2011.16.

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