Applied physics

, Volume 8, Issue 1, pp 1–14 | Cite as

Optical spectroscopy of electronic surface states

  • Hans Lüth
Invited Paper


In this paper a number of optical spectroscopic methods for investigating surface electronic structure are discussed, including reflectance techniques, ellipsometry, surface photoconductivity and surface photovoltage spectroscopy. In addition to electron scattering techniques and UV-photoemission, optical spectroscopic methods have contributed much in recent times to the understanding of electronic surface states on solids. A discussion and comparison is given of the nature and significance of information obtained by these methods and exemplary experimental results are presented to illustrate the contribution of the optical techniques to the present knowledge about surface states. The relation between information obtained from optical measurements and electron spectroscopy is considered.


Surface State Space Charge Layer Electronic Surface State Surface Phonon Surface Photovoltage Spectroscopy 
These keywords were added by machine and not by the authors. This process is experimental and the keywords may be updated as the learning algorithm improves.


Unable to display preview. Download preview PDF.

Unable to display preview. Download preview PDF.


  1. 1.
    I. Tamm: Phys. Z. S. U.1, 733 (1932)zbMATHGoogle Scholar
  2. 2.
    W. Shockley: Phys. Rev.56, 317 (1939)CrossRefADSzbMATHGoogle Scholar
  3. 3.
    G. Heiland: Fortschr. Physik9, 393 (1961)Google Scholar
  4. 4.
    A. Many, Y. Goldstein, N. B. Grover:Semiconductor Surfaces (North-Holland, Amsterdam 1965)Google Scholar
  5. 5.
    D. R. Frankl:Electrical Properties of Semiconductor Surfaces (Pergamon, Oxford 1967)Google Scholar
  6. 6.
    S. G. Davison, J. D. Levine: “Surface States”, inSolid State Physics 25, Ed. by F. Seitz, D. Turnbull and H. Ehrenreich (Academic Press, New York 1970) p. 1Google Scholar
  7. 7.
    M. Henzler: Surface Sci.25, 650 (1971)CrossRefADSGoogle Scholar
  8. 8.
    E. W. Plummer, J. W. Gadzuk: Phys. Rev. Letters25, 1493 (1970)CrossRefADSGoogle Scholar
  9. 9.
    B. J. Waclawski, E. W. Plummer: Phys. Rev. Letters29, 783 (1972)CrossRefADSGoogle Scholar
  10. 10.
    B. Feuerbacher, B. Fitton: Phys. Rev. Letters29, 786 (1972)CrossRefADSGoogle Scholar
  11. 11.
    G. Heiland, W. Mönch: Surface Sci.37, 30 (1973)CrossRefADSGoogle Scholar
  12. 12.
    D. E. Eastman, M. I. Nathan: Physics Today28, 44 (April 1975)CrossRefGoogle Scholar
  13. 13.
    D. E. Eastman, J. Freeouf: Phys. Rev. Letters33, 1601 (1974)CrossRefADSGoogle Scholar
  14. 14.
    H. Ibach: Proc. 12th Int. Conf. Physics of Semiconductors, Stuttgart 1974, Ed. by M. H. Pilkuhn (B. G. Teubner, Stuttgart 1974), p. 655Google Scholar
  15. 15.
    See e.g.: M. Born, E. Wolf:Principles of Optics (Pergamon, Oxford 1965)Google Scholar
  16. 16.
    P. Drude: Ann. Phys. Chem.36, 532 (1889);39, 481 (1890)ADSGoogle Scholar
  17. 17.
    P. Drude: Ann. Phys. Chem.43, 146 (1891)Google Scholar
  18. 18.
    P. Drude:The Theory of Optics, transl. C. R. Mann and R. A. Millikan (Longmans, Green and Co., London 1920)Google Scholar
  19. 19.
    C. S. Strachan: Proc. Cambridge Phil. Soc.29, 116 (1933)Google Scholar
  20. 20.
    D. V. Sivukhin: Zh. Eksperim. Teoret. Fiz SSSR18, 976 (1948);21, 367 (1951)Google Scholar
  21. 20a.
    D. V. Sivukhin: Soviet. Phys.—JETP3, 269 (1956)zbMATHGoogle Scholar
  22. 21.
    J. R. Miller, J. E. Berger: J. Phys. Chem.70, 3070 (1966)CrossRefGoogle Scholar
  23. 22.
    G. A. Bootsma, F. Meyer: Surface Sci.13, 110 (1969)CrossRefADSGoogle Scholar
  24. 23.
    P. W. Atkins, A. D. Wilson: Surface Sci.22, 433 (1970)CrossRefADSGoogle Scholar
  25. 24.
    J. D. E. McIntyre, D. E. Aspnes: Surface Sci.24, 417 (1971)CrossRefADSGoogle Scholar
  26. 25.
    G. W. Rubloff, J. Anderson, M. A. Passler, P. J. Stiles: Phys. Rev. Letters32, 667 (1973)CrossRefADSGoogle Scholar
  27. 26.
    U. Gerhardt, G. Rubloff: Appl. Opt.8, 305 (1969)ADSGoogle Scholar
  28. 27.
    T. E. Madey: Surface Sci.36, 281 (1973)CrossRefADSGoogle Scholar
  29. 28.
    J. Anderson, G. W. Rubloff, M. A. Passler, P. J. Stiles: Phys. Rev. (B)10, 2401 (1974)ADSGoogle Scholar
  30. 29.
    E. W. Plummer, also D. E. Eastman, J. M. Baker, J. E. Demuth: In Proc. European Physical Society Conference on Metal Surfaces, Hindas, Sweden (1973) and to be publishedGoogle Scholar
  31. 30.
    B. Feuerbacher, B. Fitton: Phys. Rev. (B)8, 4890 (1973)ADSGoogle Scholar
  32. 31.
    J. M. Baker, D. E. Eastman: J. Vac. Sci. Technol.10, 223 (1973)CrossRefADSGoogle Scholar
  33. 32.
    N. J. Harrick:Internal Reflection Spectroscopy (Interscience Publishers — John Wiley and Sons, New York, London, Sidney 1967)Google Scholar
  34. 33.
    A. Otto: “Festkörperprobleme: XIV” (Advances in Solid State Physics), ed. by H. J. Queisser (Pergamon Press, Oxford 1974) pp. 1–37Google Scholar
  35. 34.
    E. Burstein, W. P. Chen, Y. J. Chen, A. Hartstein: J. Vac. Sci. Technol.11, 1004 (1974)CrossRefADSGoogle Scholar
  36. 35.
    G. Chiarotti, G. Del Signore, S. Nannarone: Phys. Rev. Letters21, 1170 (1968)CrossRefADSGoogle Scholar
  37. 36.
    G. Chiarotti, S. Nannarone, R. Pastore, P. Chiaradia: Phys. Rev. (B)4, 3398 (1971)ADSGoogle Scholar
  38. 37.
    N. J. Harrick: Phys. Rev.125, 1165 (1962)CrossRefADSGoogle Scholar
  39. 38.
    I. Bartoš: Phys. Stat. Sol.33, 779 (1969)Google Scholar
  40. 39.
    G. F. Bassani: In Proc. Intl. School of Physics Enrico Fermi, course 34 “The Optical Properties of Solids”, ed. by J. Tauc (Academic Press, New York 1966)Google Scholar
  41. 40.
    G. Chiarotti, P. Chiaradia, S. Nannarone: to be published in Surface Sci.Google Scholar
  42. 41.
    H. Froitzheim, H. Ibach: to be publishedGoogle Scholar
  43. 42.
    J. A. Appelbaum, D. R. Hamann: Phys. Rev. Letters31, 106 (1973)CrossRefADSGoogle Scholar
  44. 43.
    K. C. Pandey, J. C. Phillips: Solid State Commun.14, 439 (1974)CrossRefADSGoogle Scholar
  45. 44.
    W. Müller, W. Mönch: Phys. Rev. Letters27, 250 (1971)CrossRefADSGoogle Scholar
  46. 45.
    W. Mönch: InFestkörperprobleme XIII (Advances in Solid State Physics), ed. by H. J. Queisser (Pergamon Press, Oxford 1973) p. 241Google Scholar
  47. 46.
    F. L. McCrackin, E. Passaglia, R. R. Stromberg, H. L. Steinberg: J. Res. Natl. Bur. Stand. A67, 363 (1963)Google Scholar
  48. 47.
    R. J. Archer, G. W. Gobeli: J. Phys. Chem. Solids26, 343 (1965)CrossRefADSGoogle Scholar
  49. 48.
    G. A. Bootsma, F. Meyer: Surface Sci.14, 52 (1969)CrossRefADSGoogle Scholar
  50. 49.
    R. Dorn, H. Lüth, H. Ibach: Surface Sci.42, 583 (1974)CrossRefADSGoogle Scholar
  51. 50.
    R. Dorn, H. Lüth, G. J. Russell: Phys. Rev. (B)10, 5049 (1974)ADSGoogle Scholar
  52. 51.
    Proc. Symp. Recent Developments in Ellipsometry, Nebraska, 1968, published in Surface Sci.16 (1969)Google Scholar
  53. 52.
    F. Meyer, E. E. De Kluizenaar, G. A. Bootsma: Surface Sci.27, 88 (1971)CrossRefADSGoogle Scholar
  54. 53.
    F. Meyer: Phys. Rev. (B)9, 3622 (1974)ADSGoogle Scholar
  55. 54.
    H. Ibach, K. Horn, R. Dorn, H. Lüth: Surface Sci.38, 433 (1973)CrossRefADSGoogle Scholar
  56. 55.
    M. Cardona, K. L. Shaklee, F. H. Pollak: Phys. Rev.154, 696 (1967)CrossRefADSGoogle Scholar
  57. 56.
    F. Meyer, J. J. Vrakking: Surface Sci.33, 271 (1972)CrossRefADSGoogle Scholar
  58. 57.
    H. R. Phillip, H. Ehrenreich: Phys. Rev.129, 1550 (1963)CrossRefADSGoogle Scholar
  59. 58.
    J. E. Rowe, H. Ibach: Phys. Rev. Letters31, 102 (1973)CrossRefADSGoogle Scholar
  60. 59.
    R. Dorn, H. Lüth: Phys. Rev. Letters33, 1024 (1974)CrossRefADSGoogle Scholar
  61. 60.
    M. Cardona:Modulation Spectroscopy, Solid State Physics, Suppl. 11; ed. by F. Seitz, D. Turnbull and H. Ehrenreich (Academic Press, New York and London 1969)Google Scholar
  62. 61.
    B. O. Seraphin: Surface Sci.8, 399 (1967)CrossRefADSGoogle Scholar
  63. 62.
    W. Franz: Z. Naturforsch.13a, 484 (1958)zbMATHADSGoogle Scholar
  64. 63.
    L. V. Keldysh: Zh. Eksp. Teor. Fiz.34, 1138 (1958) [Soviet Phys. JETP7 788 (1958)]Google Scholar
  65. 64.
    A. E. Morgan: Surface Sci.43, 150 (1974)CrossRefADSGoogle Scholar
  66. 65.
    F. Lukeš: to be publishedGoogle Scholar
  67. 66.
    S. M. Ryvkin:Photoelectric Effects in Semiconductors (Consultants Bureau, New York 1964)Google Scholar
  68. 67.
    J. Assmann, W. Mönch, W. Müller: Electrón Fisc. Apli.17, 128 (1974)Google Scholar
  69. 68.
    W. Müller, W. Mönch: Phys. Stat. Sol. (a)24, 197 (1974)CrossRefGoogle Scholar
  70. 69.
    D. E. Aspnes, P. Handler: Surface Sci.4, 353 (1966)CrossRefADSGoogle Scholar
  71. 70.
    F. Bäuerle, W. Mönch, M. Henzler: J. Appl. Phys.43, 3917 (1972)CrossRefADSGoogle Scholar
  72. 71.
    H. Lüth, G. Heiland: Phys. Stat. Sol. (a)14, 573 (1972)CrossRefGoogle Scholar
  73. 72.
    H. Lüth: Phys. Rev. Letters29, 1377 (1972)CrossRefADSGoogle Scholar
  74. 73.
    R. Ludeke, L. Esaki: Phys. Rev. Letters33, 653 (1974)CrossRefADSGoogle Scholar
  75. 74.
    H. Lüth: Surface Sci.37, 90 (1973)CrossRefADSGoogle Scholar
  76. 75.
    H. Y. Fan: Radiation Eff.4, 7 (1970)Google Scholar
  77. 76.
    H. Y. Stocker, C. R. Stannard Jr., H. Kaplan, H. Levinstein: Phys. Rev. Letters12, 163 (1964)CrossRefADSGoogle Scholar
  78. 77.
    H. Lüth: Phys. Stat. Sol.33, 267 (1969)Google Scholar
  79. 78.
    K. L. Kliewer, R. Fuchs: Phys. Rev.150, 573 (1966)CrossRefADSGoogle Scholar
  80. 79.
    H. Ibach: Phys. Rev. Letters24, 1416 (1970)CrossRefADSGoogle Scholar
  81. 80.
    H. Ibach: InFestkörperprobleme XI (Advances in Solid State Physics), ed. by O. Madelung (Pergamon, New York 1971) pp. 135–174Google Scholar
  82. 81.
    R. Ulbrich: Phys. Rev. Letters27, 1512 (1971)CrossRefADSGoogle Scholar
  83. 82.
    H. Ibach, W. Mönch: Phys. Stat. Sol. (b)55, 243 (1973)Google Scholar
  84. 83.
    H. Ibach: Phys. Rev. Letters27, 253 (1971)CrossRefADSGoogle Scholar
  85. 84.
    D. R. Frankl, E. A. Ulmer: Surface Sci.6, 115 (1966)CrossRefADSGoogle Scholar
  86. 85.
    D. L. Lile: Surface Sci.34, 337 (1973)CrossRefADSGoogle Scholar
  87. 86.
    Lord Kelvin: Phil. Mag.5, 46 (1898)Google Scholar
  88. 87.
    F. Steinrisser, R. E. Hetrick: Rev. Sci. Instr.42, 304 (1971)CrossRefADSGoogle Scholar
  89. 88.
    M. Büchel, H. Lüth: to be published in Surface Sci. 1975Google Scholar
  90. 89.
    J. J. Lander, G. W. Gobeli, J. Morrison: J. Appl. Phys.34, 2298 (1963)CrossRefADSGoogle Scholar
  91. 90.
    F. Jona: Appl. Phys. Letters6, 205 (1965)CrossRefADSGoogle Scholar
  92. 91.
    P. W. Palmberg, W. T. Peria: Surface Sci.6, 57 (1967)CrossRefADSGoogle Scholar
  93. 92.
    M. Henzler: J. Appl. Phys.40, 3758 (1969)CrossRefADSGoogle Scholar
  94. 93.
    D. E. Eastman, W. D. Grobman: Phys. Rev. Letters28, 1378 (1972)CrossRefADSGoogle Scholar
  95. 94.
    D. R. Frankl: Surface Sci.6, 334 (1967)CrossRefADSGoogle Scholar
  96. 95.
    F. Steinrisser, R. E. Hetrick: Surface Sci.28, 607 (1971)CrossRefADSGoogle Scholar
  97. 96.
    P. Mark: J. Phys. Chem. Solids26, 1767 (1965)CrossRefADSGoogle Scholar
  98. 97.
    R. Schubert, K. W. Böer: J. Phys. Chem. Solids32, 77 (1971)CrossRefADSGoogle Scholar
  99. 98.
    J. Łagowski, C. L. Balestra, H. C. Gatos: Surface Sci.27, 547 (1971)CrossRefGoogle Scholar
  100. 99.
    J. Łagowski, C. L. Balestra, H. C. Gatos: Surface Sci.29, 213 (1972)CrossRefGoogle Scholar
  101. 100.
    J. Łagowski, E. S. Sproles, H. C. Gatos: Surface Sci.30, 265 (1972)Google Scholar
  102. 101.
    F. Proix, P. Handler: Surface Sci.5, 81 (1966)CrossRefADSGoogle Scholar
  103. 102.
    A. Kobayashi, K. Sugiyawa, H. Arata, Z. Oda: J. Phys. Soc. Jap.16, 2481 (1961)ADSGoogle Scholar

Copyright information

© Springer-Verlag 1975

Authors and Affiliations

  • Hans Lüth
    • 1
  1. 1.IBM Thomas J. Watson Research CenterYorktown HeightsUSA

Personalised recommendations