Surface States, Surface Effects

  • Stefan Hüfner
Part of the Springer Series in Solid-State Sciences book series (SSSOL, volume 82)


It has been stated already that PES, because of the small escape depth of the electrons in a solid, in principle, is a surface sensitive technique. However, the agreement found in the preceding chapter between calculated and experimental bulk band structures was remarkable. We take this as evidence that most of the information obtained in a PES experiment is representative for the bulk solid. This is due to the fact that the electronic and lattice relaxation at the surface of a solid are generally not very large. This means, for example, that for most materials the interlattice spacing perpendicular to the surface is changed measurably only for the topmost layer, typically only by a few percent of the bulk lattice constant. A similar statement holds with respect to the perturbation of the electron states perpendicular to a surface: the unperturbed bulk electronic states are generally found to within one lattice constant from the surface. Therefore in conventional PES experiments, which probe several atomic layers perpendicular to the surface, the genuine surface contribution is not a large fraction of the total measured spectrum and is often even hard to recover (but see Sect. 7.3.4 for notable exceptions).


Wave Function Surface State Fermi Energy Vacuum Level High Potential Barrier 
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. 8.1
    G.K. Wertheim, D.N.E. Buchanan: Phys. Rev. B 43, 13815 (1991)CrossRefGoogle Scholar
  2. 8.2
    E. Weschke, C. Laubschat, C.T. Simmons, M. Domke, O. Strebel, G. Kaindl: Phys. Rev. B 44, 8304 (1991)CrossRefGoogle Scholar
  3. 8.3
    P.H. Citrin, G.K. Wertheim, M. Schlüter: Phys. Rev. B 20, 4343 (1979)CrossRefGoogle Scholar
  4. 8.4
    D. Spaanjaard, C. Guillot, M.C. Desjonqueres, G. Treglia, J. Lecante: Surf. Sci. Reports 5, 1 (1985);CrossRefGoogle Scholar
  5. 8.4a
    W.F. Egelhoff, Jr.: Surf. Science Reports 6, 253 (1987)CrossRefGoogle Scholar
  6. 8.4a
    J.W. Holland, D.E. Ingelsfield: In The Chemical Physics of Solid Surfaces and Heterogeneous Catalysis I, ed. by D.A. King, D.P. Woodruff (Elsevier, Amsterdam 1981)Google Scholar
  7. 8.4b
    G.V. Hansson, R.I.G. Uhrberg: Surf. Sci. Rep. 9, 197 (1988)CrossRefGoogle Scholar
  8. 8.4c
    Landoldt-Börnstein, New Series III, Vol.24-D (Springer, Berlin, Heidelberg 1994) Sect.8.2 by A.M. Bradshaw, R. Hammen, Th. Schedel-Niedrig, D. Richen: Photoemission and inverse photoemissionGoogle Scholar
  9. 8.5
    PES investigations of quantum well states in metallic multi-layers can be found: W.E. McMahon, M.A. Mueller, T. Miller, T.C. Chiang: Phys. Rev. B 49, 10426 (1994)CrossRefGoogle Scholar
  10. 8.5a
    N.V. Smith, N.B. Brookes, Y. Chang, P.D. Johnson: Phys. Rev. B 49, 332 (1994)CrossRefGoogle Scholar
  11. 8.5b
    N.B. Brookes, Y. Chang, P.D. Johnson: Phys. Rev. B 50, 15330 (1994)CrossRefGoogle Scholar
  12. 8.5c
    T. Miller, A. Samesavar, T.-C. Chiang: Phys. Rev. B 50, 17686 (1994)CrossRefGoogle Scholar
  13. 8.5d
    F. Patthey, W.D. Schneiden: Phys. Rev. B 50, 17560 (1994)CrossRefGoogle Scholar
  14. 8.5e
    U. Alkemper, C. Carbone, E. Vescovo, W. Eberhardt, O. Rader, W. Gudat: Phys. Rev. B 50, 17495 (1994)CrossRefGoogle Scholar
  15. 8.6
    A.W. Maue: Z. Phys. 94, 717 (1935)CrossRefGoogle Scholar
  16. 8.7
    E.T. Goodwin: Proc. Cambridge Philos. Soc. 35, 205 (1935)CrossRefGoogle Scholar
  17. 8.8
    W. Shockley: Phys. Rev. 56, 317 (1939)CrossRefGoogle Scholar
  18. 8.9
    F. Forstmann: Z. Phys. 235, 69 (1970)CrossRefGoogle Scholar
  19. 8.10
    D.S. Boudreaux, V. Heine: Surf. Sci. 8, 426 (1967)CrossRefGoogle Scholar
  20. 8.11
    N.V. Smith: Phys. Rev. B 32, 3549 (1985)CrossRefGoogle Scholar
  21. 8.12
    P.M. Echenique, J.B. Pendry: J. Phys. C 11, 2065 (1978)CrossRefGoogle Scholar
  22. 8.12a
    For a review of the results obtained with the Echenique-Pendry method see N.V. Smith, C.T. Chen: Surf. Sci. 247, 133 (1991)CrossRefGoogle Scholar
  23. 8.13
    E.G. McRae: Rev. Mod. Phys. 51, 541 (1979)CrossRefGoogle Scholar
  24. 8.14
    E.G. McRae: J. Vac. Sci. Technol. 16, 654 (1979)CrossRefGoogle Scholar
  25. 8.15
    W. Steinmann: Appl. Phys. A 49, 365 (1989)CrossRefGoogle Scholar
  26. 8.16
    N.V. Smith, C.T. Chen, M. Weinert: Phys. Rev. B 40, 7565 (1989)CrossRefGoogle Scholar
  27. 8.17
    N.V. Smith: Rep. Prog. Phys. 51, 1227 (1988)CrossRefGoogle Scholar
  28. 8.18
    N.V. Smith: Phys. Rev. B 35, 975 (1987)CrossRefGoogle Scholar
  29. 8.19
    K. Giesen, F. Hage, F.J. Himpsel, J.H. Riess, W. Steinmann: Phys. Rev. Lett. 55, 300 (1985)CrossRefGoogle Scholar
  30. 8.20
    M.W. Cole, M.H. Cohen: Phys. Rev. Lett. 23, 1238 (1969)CrossRefGoogle Scholar
  31. 8.21
    C.C. Grimes, G. Adams: Phys. Rev. Lett. 42, 795 (1979)CrossRefGoogle Scholar
  32. 8.22
    I. Tamm: Z. Phys. 76, 848 (1932); see also Physikalische Zeitschrift der Sowjet Union 1, 733 (1932)Google Scholar
  33. 8.23
    P. Thiry: La photoémission angulaire dans les solides. Thése d’état, Université Paris, 1979Google Scholar
  34. 8.24
    P. Heimann, H. Neddermeyer, H.F. Roloff: J. Phys. C 10, L17 (1977)CrossRefGoogle Scholar
  35. 8.25
    P. Heimann, J. Hermanson, H. Miosga, H. Neddermeyer: Surf. Sci. 85, 263 (1979)CrossRefGoogle Scholar
  36. 8.26
    S.D. Kevan: Phys. Rev. Lett. 50, 526 (1983); Phys. Rev. B 33, 4364 (1986)CrossRefGoogle Scholar
  37. 8.26a
    S.D. Kevan, R.H. Gaylord: Phys. Rev. Lett. 36, 5809 (1987)Google Scholar
  38. 8.27
    B.A. McDougall, T. Balasubramanian, E. Jensen: Phys. Rev. B 51, 13891 (1995). In this communication a careful analysis of the temperature and energy dependences of a Cu(111) surface state has been reported. The temperature dependence is linear, however, no variation of the width with the binding energy was observedCrossRefGoogle Scholar
  39. 8.28
    P. Heimann, J. Hermanson, M. Miosga, H. Neddermeyer: Phys. Rev. Lett. 42, 1782 (1979)CrossRefGoogle Scholar
  40. 8.29
    P. Heimann, J. Hermanson, M. Miosga, H. Neddermeyer: Phys. Rev. B 20, 3059 (1979)CrossRefGoogle Scholar
  41. 8.30
    Y. Petroff, P. Thiry: Appl. Optics 19, 3957 (1980)CrossRefGoogle Scholar
  42. 8.31
    S. Louie, P. Thiry, R. Pinchaux, Y. Petroff, D. Chandesris, J. Lecante: Phys. Rev. Lett. 44, 549(1980)CrossRefGoogle Scholar
  43. 8.32
    K. Giesen, F. Hage, F.J. Himpsel, J.H. Ries, W. Steinmann: Phys. Rev. B 35, 971 (1987)CrossRefGoogle Scholar
  44. 8.33
    K. Giesen, F. Hage, F.J. Himpsel, J.H. Ries, W. Steinmann, N.V. Smith: Phys. Rev. B 35, 975 (1987)CrossRefGoogle Scholar
  45. 8.34
    S. Schuppler, N. Fischer, W. Steinmann, R. Schneider, E. Bertel: Phys. Rev. B 42, 9403 (1990)CrossRefGoogle Scholar
  46. 8.35
    K. Giesen, F. Hage, F.J. Himpsel, H.J. Riess, W. Steinmann: Phys. Rev. B 33, 5241 (1986)CrossRefGoogle Scholar
  47. 8.36
    T. Wegehaupt, D. Rieger, W. Steinmann: Phys. Rev. B 37, 10086 (1988)CrossRefGoogle Scholar
  48. 8.37
    R. Manzke, M. Skibowski: Physica Scripta 31, 2213 (1988)Google Scholar
  49. 8.38
    J. Fraxedas, H.J. Trodahl, S. Gopalan, L. Ley, M. Cardona: Phys. Rev. B 41, 10068 (1990)CrossRefGoogle Scholar
  50. 8.38a
    J. Fraxedas, M.K. Kelly, M. Cardona: preprint (1991)Google Scholar
  51. 8.38b
    H. Carstensen, R. Claessen, R. Manzke, M. Skibowski: Phys. Rev. B 41, 9880 (1990)CrossRefGoogle Scholar
  52. 8.39
    Tran Minh Duc, C. Guillot, Y. Lassailly, J. Lecante, Y. Jugnet, C. Védrine: Phys. Rev. Lett. 43, 789 (1979)CrossRefGoogle Scholar
  53. 8.40
    M.C. Desjonqueres, F. Cyrot-Lackmann: J. Phys. F 5, 1368 (1975)CrossRefGoogle Scholar
  54. 8.41
    J.A. Appelbaum, D.R. Hamann: Solid State Commun. 27, 881 (1978)CrossRefGoogle Scholar
  55. 8.42
    R.C. Baetzold, G. Apai, E. Shustorovitch, R. Jaeger: Phys. Rev. B 26, 4022 (1982)CrossRefGoogle Scholar
  56. 8.43
    P.J. Feiblman, J.A. Appelbaum, D.R. Hamann: Phys. Rev. B 20, 1433 (1979)CrossRefGoogle Scholar
  57. 8.44
    P.H. Citrin, G.K. Wertheim, Y. Baer: Phys. Rev. B 27, 3160 (1983)CrossRefGoogle Scholar
  58. 8.45
    M.C. Desjonqueres, D. Spanjaard, Y. Lassailly, C. Guillot: Solid State Commun. 34, 807 (1980)CrossRefGoogle Scholar
  59. 8.46
    A. Rosengren, B. Johansson: Phys. Rev. B 22, 3706 (1980)CrossRefGoogle Scholar
  60. 8.47
    G. Treglia, M.C. Desjonqueres, D. Spanjaard, Y. Lassailly, C. Guillot, Y. Jugnet, Tran Minh Duc, J. Lecante: J. Phys. C 14, 3464 (1981)Google Scholar
  61. 8.48
    A. Rosengren: Phys. Rev. B 24, 7393 (1981)CrossRefGoogle Scholar
  62. 8.49
    D. Tomanek, V. Kumar, S. Holloway, K.H. Bennemann: Solid State Commun. 41, 273 (1982)CrossRefGoogle Scholar
  63. 8.50
    D. Tomanek, P.A. Dowben, M. Grunze: Surf. Sci. 126, 112 (1983)CrossRefGoogle Scholar
  64. 8.51
    G.A. Benesh, R. Haydock: J. Phys. C 17, L 83 (1984)CrossRefGoogle Scholar
  65. 8.52
    E. Wimmer, A.J. Freeman, J.R. Hiskes, A.M. Karo: Phys. Rev. B 28, 3074 (1980)CrossRefGoogle Scholar
  66. 8.53
    P.H. Citrin, G.K. Wertheim, Y. Baer: Phys. Rev. B 6, 425 (1977)Google Scholar
  67. 8.54
    P.H. Citrin, G.K. Wertheim, Y. Baer: Phys. Rev. Lett. 41, 1425 (1978)CrossRefGoogle Scholar
  68. 8.55
    G. Apai, R.C. Bätzold, E. Shustorovitch, R. Jaeger: Surf. Sci. 116, L 191 (1982)CrossRefGoogle Scholar
  69. 8.56
    K. Düchers, H.P. Bonzel, D.A. Wesner: Surf. Sci. 166, 141 (1986)CrossRefGoogle Scholar
  70. 8.57
    C. Laubschat, G. Kaindl, W.D. Schneider, B. Reihl, N. Martensson: Phys. Rev. B 33, 6675 (1986)CrossRefGoogle Scholar
  71. 8.58
    J.F. van der Veen, F.J. Himpsel, D.E. Eastman: Phys. Rev. Lett. 44, 189 (1980)CrossRefGoogle Scholar
  72. 8.59
    S.F. Alvarado, M. Campagna, W. Gudat: J. Electron Spectrosc. Relat. Phenom. 18, 43 (1980)CrossRefGoogle Scholar
  73. 8.59a
    M. Alden, H.L. Skriver, I.A. Abrikosov, B. Johansson: Phys. Rev. B 51, 1981 (1995). Analysing the surface core-level shifts for rare-earth metalsCrossRefGoogle Scholar
  74. 8.60
    B. Johansson, N. Martensson: Phys. Rev. B 21, 4427 (1980)CrossRefGoogle Scholar
  75. 8.60a
    For a recent review on surface core-level shifts see A. Flodström, R. Nyholm, B. Johansson: In Synchrotron Radiation Research, Advances in Surface and Interface Science, ed. by R.Z. Bachrach (Plenum, New York 1992) Vol.1Google Scholar
  76. 8.61
    J.F. van der Veen, F.J. Himpsel, D.E. Eastman: Solid State Commun. 37, 555 (1981)CrossRefGoogle Scholar
  77. 8.62
    J.F. van der Veen, F.J. Himpsel, D.E. Eastman: Solid State Commun. 40, 57 (1981)CrossRefGoogle Scholar
  78. 8.63
    C. Guillot, C. Thuault, Y. Jugnet, D. Chauveau, R. Hoogewijs, J. Lecante, Tran Minh Duc, G. Treglia, M.C. Desjonqueres, D. Spanjaard: J. Phys. C 15, 4023 (1982)CrossRefGoogle Scholar
  79. 8.64
    C. Guillot, M.C. Desjonqueres, D. Chauveau, G. Treglia, J. Lecante, D. Spanjaard, Tran Minh Duc: Solid State Commun. 50, 393 (1984)CrossRefGoogle Scholar
  80. 8.65
    C. Guillot, P. Roubin, J. Lecante, M.C. Desjonqueres, G. Treglia, D. Spanjaard, Y. Jugnet: Phys. Rev. B 30, 5487 (1984)CrossRefGoogle Scholar
  81. 8.66
    R. Nyholm, J. Schmidt-May: J. Phys. C 17, L113 (1984)CrossRefGoogle Scholar
  82. 8.67
    M.C. Desjonqueres, F. Cyrot-Lackmann: Solid State Commun. 18, 1127 (1976)CrossRefGoogle Scholar
  83. 8.68
    G.K. Wertheim, P.H. Citrin: Phys. Rev. B 38, 7820 (1988)CrossRefGoogle Scholar
  84. 8.69a
    N. Martensson, H.B. Saalfeld, H. Kuhlenbeck, M. Neumann: Phys. Rev. B 39, 8181 (1989)CrossRefGoogle Scholar
  85. 8.69b
    G. Le Lay, M. Gothelid, T.M. Grelik, M. Björkquist, U.O. Karlson, V.Yu. Aristov: Phys. Rev. B 50, 14277 (1994). Reviewing the situation with respect to an understanding of the surface core-level shifts observed for the Si(111) 7×7 surfaceCrossRefGoogle Scholar
  86. 8.69c
    J.N. Andersen, D. Henning, E. Lundgren, M. Methfessel, R. Nyholm, M. Scheffler: Phys. Rev. B 50, 17525 (1994). Discussing surface core-level shifts in 4d transition metalsCrossRefGoogle Scholar
  87. 8.70a
    C. Laubschat, E. Weschke, C. Hoitz, M. Domke, O. Strebel, G. Kaindl: Phys. Rev. Lett. 65, 1639(1990)CrossRefGoogle Scholar
  88. 8.70b
    A more detailed analysis indicates, however, that initial as well as final state effects have to be considered for a complete understanding of surface core-level shifts; for Gd seeGoogle Scholar
  89. 8.70c
    J.E. Ortega, I.J. Himpsel, Dongqi Li, P.A. Dowlen: Solid State Commun. 91, 807 (1994)CrossRefGoogle Scholar
  90. 8.70d
    A.V. Federov, E. Arenholz, K. Starke, E. Navas, L. Baumgarten, C. Laubschat, G. Kaindl: Phys. Rev. Lett. 73, 601 (1994)and for Be(0001) seeCrossRefGoogle Scholar
  91. 8.70e
    P.J. Feibelman, R. Stumpf: Phys. Rev. B 50, 17480 (1994)CrossRefGoogle Scholar
  92. 8.71
    D.M. Riffe, G.K. Wertheim, P.H. Citrin: Phys. Rev. Lett. 64, 571 (1990)CrossRefGoogle Scholar
  93. 8.72
    M. Scheffler, Ch. Droste, A. Fleszar, M. Maca, G. Wachuta, G. Barzel: Physica B 172, 143 (1991)CrossRefGoogle Scholar
  94. 8.73
    J. Neugebauer, M. Scheffler: Phys. Rev. B 46, Dez. (1992)Google Scholar
  95. 8.74
    G.A. Benesh, D.A. King: Chem. Phys. Lett. 191, 315 (1992)CrossRefGoogle Scholar
  96. 8.75
    G.K. Wertheim, D.M. Riffe, P.H. Citrin: Phys. Rev. B 49, 4824 (1994)Google Scholar
  97. 8.75a
    A.B. Andrews, D.M. Riffe, G.K. Wertheim: Phys. Rev. B 49, 8396 (1994)CrossRefGoogle Scholar

Copyright information

© Springer-Verlag Berlin Heidelberg 1996

Authors and Affiliations

  • Stefan Hüfner
    • 1
  1. 1.Fachbereich PhysikUniversität des SaarlandesSaarbrückenGermany

Personalised recommendations