
- •Contents
- •Preface
- •1.1 Elementary thermodynamic ideas of surfaces
- •1.1.1 Thermodynamic potentials and the dividing surface
- •1.1.2 Surface tension and surface energy
- •1.1.3 Surface energy and surface stress
- •1.2 Surface energies and the Wulff theorem
- •1.2.1 General considerations
- •1.2.3 Wulff construction and the forms of small crystals
- •1.3 Thermodynamics versus kinetics
- •1.3.1 Thermodynamics of the vapor pressure
- •1.3.2 The kinetics of crystal growth
- •1.4 Introduction to surface and adsorbate reconstructions
- •1.4.1 Overview
- •1.4.2 General comments and notation
- •1.4.7 Polar semiconductors, such as GaAs(111)
- •1.5 Introduction to surface electronics
- •1.5.3 Surface states and related ideas
- •1.5.4 Surface Brillouin zone
- •1.5.5 Band bending, due to surface states
- •1.5.6 The image force
- •1.5.7 Screening
- •Further reading for chapter 1
- •Problems for chapter 1
- •2.1 Kinetic theory concepts
- •2.1.1 Arrival rate of atoms at a surface
- •2.1.2 The molecular density, n
- •2.2 Vacuum concepts
- •2.2.1 System volumes, leak rates and pumping speeds
- •2.2.2 The idea of conductance
- •2.2.3 Measurement of system pressure
- •2.3 UHV hardware: pumps, tubes, materials and pressure measurement
- •2.3.1 Introduction: sources of information
- •2.3.2 Types of pump
- •2.3.4 Choice of materials
- •2.3.5 Pressure measurement and gas composition
- •2.4.1 Cleaning and sample preparation
- •2.4.3 Sample transfer devices
- •2.4.4 From laboratory experiments to production processes
- •2.5.1 Historical descriptions and recent compilations
- •2.5.2 Thermal evaporation and the uniformity of deposits
- •2.5.3 Molecular beam epitaxy and related methods
- •2.5.4 Sputtering and ion beam assisted deposition
- •2.5.5 Chemical vapor deposition techniques
- •Further reading for chapter 2
- •Problems for chapter 2
- •3.1.1 Surface techniques as scattering experiments
- •3.1.2 Reasons for surface sensitivity
- •3.1.3 Microscopic examination of surfaces
- •3.1.4 Acronyms
- •3.2.1 LEED
- •3.2.2 RHEED and THEED
- •3.3 Inelastic scattering techniques: chemical and electronic state information
- •3.3.1 Electron spectroscopic techniques
- •3.3.2 Photoelectron spectroscopies: XPS and UPS
- •3.3.3 Auger electron spectroscopy: energies and atomic physics
- •3.3.4 AES, XPS and UPS in solids and at surfaces
- •3.4.2 Ratio techniques
- •3.5.1 Scanning electron and Auger microscopy
- •3.5.3 Towards the highest spatial resolution: (a) SEM/STEM
- •Further reading for chapter 3
- •Problems, talks and projects for chapter 3
- •4.2 Statistical physics of adsorption at low coverage
- •4.2.1 General points
- •4.2.2 Localized adsorption: the Langmuir adsorption isotherm
- •4.2.4 Interactions and vibrations in higher density adsorbates
- •4.3 Phase diagrams and phase transitions
- •4.3.1 Adsorption in equilibrium with the gas phase
- •4.3.2 Adsorption out of equilibrium with the gas phase
- •4.4 Physisorption: interatomic forces and lattice dynamical models
- •4.4.1 Thermodynamic information from single surface techniques
- •4.4.2 The crystallography of monolayer solids
- •4.4.3 Melting in two dimensions
- •4.4.4 Construction and understanding of phase diagrams
- •4.5 Chemisorption: quantum mechanical models and chemical practice
- •4.5.1 Phases and phase transitions of the lattice gas
- •4.5.4 Chemisorption and catalysis: macroeconomics, macromolecules and microscopy
- •Further reading for chapter 4
- •Problems and projects for chapter 4
- •5.1 Introduction: growth modes and nucleation barriers
- •5.1.1 Why are we studying epitaxial growth?
- •5.1.3 Growth modes and adsorption isotherms
- •5.1.4 Nucleation barriers in classical and atomistic models
- •5.2 Atomistic models and rate equations
- •5.2.1 Rate equations, controlling energies, and simulations
- •5.2.2 Elements of rate equation models
- •5.2.3 Regimes of condensation
- •5.2.4 General equations for the maximum cluster density
- •5.2.5 Comments on individual treatments
- •5.3 Metal nucleation and growth on insulating substrates
- •5.3.1 Microscopy of island growth: metals on alkali halides
- •5.3.2 Metals on insulators: checks and complications
- •5.4 Metal deposition studied by UHV microscopies
- •5.4.2 FIM studies of surface diffusion on metals
- •5.4.3 Energies from STM and other techniques
- •5.5 Steps, ripening and interdiffusion
- •5.5.2 Steps as sources: diffusion and Ostwald ripening
- •5.5.3 Interdiffusion in magnetic multilayers
- •Further reading for chapter 5
- •Problems and projects for chapter 5
- •6.1 The electron gas: work function, surface structure and energy
- •6.1.1 Free electron models and density functionals
- •6.1.2 Beyond free electrons: work function, surface structure and energy
- •6.1.3 Values of the work function
- •6.1.4 Values of the surface energy
- •6.2 Electron emission processes
- •6.2.1 Thermionic emission
- •6.2.4 Secondary electron emission
- •6.3.1 Symmetry, symmetry breaking and phase transitions
- •6.3.3 Magnetic surface techniques
- •6.3.4 Theories and applications of surface magnetism
- •Further reading for chapter 6
- •Problems and projects for chapter 6
- •7.1.1 Bonding in diamond, graphite, Si, Ge, GaAs, etc.
- •7.1.2 Simple concepts versus detailed computations
- •7.2 Case studies of reconstructed semiconductor surfaces
- •7.2.2 GaAs(111), a polar surface
- •7.2.3 Si and Ge(111): why are they so different?
- •7.2.4 Si, Ge and GaAs(001), steps and growth
- •7.3.1 Thermodynamic and elasticity studies of surfaces
- •7.3.2 Growth on Si(001)
- •7.3.3 Strained layer epitaxy: Ge/Si(001) and Si/Ge(001)
- •7.3.4 Growth of compound semiconductors
- •Further reading for chapter 7
- •Problems and projects for chapter 7
- •8.1 Metals and oxides in contact with semiconductors
- •8.1.1 Band bending and rectifying contacts at semiconductor surfaces
- •8.1.2 Simple models of the depletion region
- •8.1.3 Techniques for analyzing semiconductor interfaces
- •8.2 Semiconductor heterojunctions and devices
- •8.2.1 Origins of Schottky barrier heights
- •8.2.2 Semiconductor heterostructures and band offsets
- •8.3.1 Conductivity, resistivity and the relaxation time
- •8.3.2 Scattering at surfaces and interfaces in nanostructures
- •8.3.3 Spin dependent scattering and magnetic multilayer devices
- •8.4 Chemical routes to manufacturing
- •8.4.4 Combinatorial materials development and analysis
- •Further reading for chapter 8
- •9.1 Electromigration and other degradation effects in nanostructures
- •9.2 What do the various disciplines bring to the table?
- •9.3 What has been left out: future sources of information
- •References
- •Index

218 6 Electronic structure and emission processes
Figure 6.20. Magnetic image of a 6 ML Co layer on W(110): (a, b) images taken with
P parallel and antiparallel to M in the two domain orientations; (c) diVerence image between
(a) and (b); (d) diVerence image between two images with P ' M (from Bauer et al. 1996, reproduced with permission).
rapidly and the sharper the tip, the faster the ®eld gradient decay. Measurements are usually made in an a.c. detection scheme where the tip is vibrated at some resonance frequency, and the departure from that resonance due to the tip's interaction with the ®eld gradient is detected with lock-in ampli®ers. In this fashion, an image can be made at about 50 nm resolution. But inevitably, the entire integrated ®eld gradient pro®le from the sample contributes to the image, so the reconstruction of the local sample magnetization from such measurements may not be entirely straightforward (Rugar et al. 1990).
6.3.4Theories and applications of surface magnetism
Magnetic interactions in 3d metals are dominated by the d-electrons and perturbed by s-d hybridization. The 3d-electrons, responsible for the magnetism of Fe, Ni and Co,
6.3 Magnetism at surfaces and in thin ®lms |
219 |
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form a relatively narrow band which overlaps with the wide 4s band. The question of why these members of the 3d series are ferromagnetic, while others are antiferromagnetic, and why the 4d and 5d series are not magnetic, is a typically subtle problem in cohesive energy, in which several terms of diVering sign are closely balanced (Moruzzi et al. 1978, Sutton 1994, Pettifor 1995). The magnetism of the parent atoms is a result of Hund's rule, which asserts that the ®rst ®ve d-electrons are populated with parallel spins, and the remaining ®ve then ®ll up the band with antiparallel alignment. This is due to the reduced electron±electron Coulomb interaction between pairs with parallel spins, because the exchange-correlation hole which accompanies each electron (see Appendix J) keeps these electrons further apart on average. The rare earth elements are an important class of magnetic materials based on 4f-electrons, but are not discussed here.
When these atoms are assembled into solids, several eVects occur which we should not try to oversimplify. The d-band is very important for cohesion, and the simplest model is that due to Friedel (1969), which predicts a parabolic dependence of the bond energy as the number of d-electrons Nd is increased across the series. This model leads to the contribution of d-d bonding to the pair-bond energy, Eb
2 Eb52 eEF(E2 «d) (5/W)dE52 (W/20)Nd(102 Nd), |
(6.16) |
where «d is the unperturbed atomic d-level energy and W is the d-band width in the solid. This parabolic behavior with Nd is quite closely obeyed by the 4d and 5d series, leading to surface energies displaying similar trends (Skriver & Rosengaard 1992). In terms of the second moment of the energy distribution m2, the overlap integrals between d-orbitals of strength b, the band width are related by
W5(12z)1/2 |b|, |
(6.17) |
with z nearest neighbors; this can be derived for a rectangular d-band, where the second moment m25W2/12 (Sutton 1994). However, when magnetic eVects are considered, the shape of the d-band is also very important, and ferromagnetism only results when both the d-d nearest neighbor overlap is strong and the density of states near the Fermi energy is large. These conditions are ful®lled towards the end of the 3d series, aided by the two-peaked character of the density of states, sketched in ®gure 6.21(a); this energy distribution has a large fourth moment m4, which is also implicated in the discussion of why Fe has the b.c.c. structure, points which can be explored further via project 6.4.
When detailed band structure calculations are done including magnetic interactions, we have to account separately for the majority spin-up (r↑) and minority spin-down (r↓) densities. By analogy to LDA, there is a corresponding local spin density (LSD) approximation. This is illustrated in ®gures 6.21(b, c) and 6.22 by the calculations for b.c.c. Fe by Papaconstantopoulos (1986); the up and down spins bands are shifted by almost 2 eV. Above the ferro-paramagnetic transition at T5770°C these spins lose long range order, but short range order is still present.
These spin density methods have been pursued intensively by Freeman & co-workers (Weinert et al. 1982, Freeman et al. 1985), particularly in the version known as the FPLAPW (full potential, linearized APW). Several features of thin ®lm magnetism have been studied by this method as described by Wu et al. (1995). Comparisons of

Spin-up |
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Spin-down |
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s-band
d-band
(a)
Figure 6.21. (a) Schematic distribution of s-d band overlap with the d-band having a double-peaked density of states; (b) the calculated spin-up and
(c) spin-down band structures of Fe along D5[100], after Papaconstantopoulos (1986, reproduced with permission). The symmetry points at G labelled 1 are s-like; the d-like states are 12 (eg53z2 2 r2, x2 2 y2) and 25 (t2g5yz, zx, xy).

(a)
(b)
Figure 6.22. (a) Majority and (b) minority spin density of states, as calculated for b.c.c. Fe by Papaconstantopoulos (1986, reproduced with permission); the vertical dashed line corresponds to the Fermi energy. Note that both the 3d-bands have large fourth moments, with the t2g band having a large DOS at EF , and that the s- and p-bands are much broader than the d-bands.

222 6 Electronic structure and emission processes
Figure 6.23. Calculated magnetic moments of 3d transition metals in their bulk, surfaces and monolayers, in comparison with isolated ions in paramagnetic salts. Open (®lled) circles denote ferromagnetic (antiferromagnetic) ground states (after Wu et al. 1995, replotted with permission, and Jiles 1991). This plot assumes that the solid states contain 1 s-electron/atom.
magnetism in the bulk 3d transition series with freestanding monolayers, with monolayers on non-magnetic substrates, and with isolated atoms or ions have been made. The general feature is that reduced dimensionality goes part way to restoring the individual magnetic moment per atom to the atomic value. This is illustrated in ®gure 6.23 by comparison with isolated ions in paramagnetic salts, on the assumption that the solids have 1 s-electron, whereas the ions have only d-electrons. In the bulk, the magnetic moment per atom is reduced from the atomic value, in part from the itinerant character of d-elec- trons, in part from the quenching of orbital angular momentum in a crystal (Kittel 1976, Jiles 1991). These reductions are less marked at the surface and in monolayers.
Perhaps the most dramatic eVect is that these changes may be suYcient to change the sign of the coupling between layers from ferromagnetic (F) to antiferromagnetic (AF) or vice versa. Some of these eVects have been seen over the last few years in magnetic multilayers, in which thin magnetic layers are separated by non-magnetic spacers. The coupling between the layers can be either F or AF, and can be changed, both by the thickness of the spacer layers, and by the application of a magnetic ®eld.
The coupling between magnetic layers separated by noble or transition metals, as in Fe±Cr, Fe±Ag or ±Au, or Co±Cu superlattices, have all the magnetic interactions we have discussed, plus a coupling due to the conduction electrons in the non-magnetic spacers. The phenomenon is best thought of as a quantum size eVect with magnetic

6.3 Magnetism at surfaces and in thin ®lms |
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Figure 6.24. SEMPA magnetization images of the magnetic coupling of Fe layers in an Fe/Cr/Fe sandwich grown on a wedge shaped Cr layer whose thickness increases from left to right, on a single crystal Fe(001) substrate. There are two domains in the substrate with magnetization to the left and right, giving the sharp horizontal demarcation in both panels of size ,300 mm square viewed obliquely. In the lower panel, the rough Cr layer was grown at room temperature giving long period reversals between antiferroand ferro-magnetic coupling, whereas in the upper panel, layer by layer growth at T5300°C reveals additional short, ,2 ML, period reversals (after Unguris et al. 1991, reproduced with permission).
complications (Stiles 1993, 1996). In eVect, there are Friedel oscillations at each metal interface, and in the case of magnetic materials these are spin-dependent; there are standing waves in the spacer layer, and re¯ection and transmission amplitudes at the interfaces. The period is given by (2kF)21 of the spacer layer in the direction perpendicular to the layers, but in noble and transition metals there can be more than one value of kF due to the topology of the Fermi surface.
The competition between these length scales and the ML period produces complex magnetic patterns in superlattice `wedges' which have been seen by SEMPA, as shown in ®gure 6.24 (Unguris et al. 1991, 1994, Pierce et al.1994). These studies show that observing the ®ner periods is dependent on the quality of the interfaces, i.e. on crystal growth processes. The use of wedged samples is a clever way of studying several diVerent thicknesses in the same experiment, by using a microscope to pinpoint the place where the multilayer is being sampled. It can even be done in 2D to probe two thickness variables at once (Inomata et al. 1996); this is clearly very advantageous as a