Theoretical study of the electronic structure of the Si3N4(0 0 0 1) surface

Density functional theory has been applied to a study of the electronic structure of the ideally-terminated, relaxed and H-saturated (0 0 0 1) surfaces of β-Si₃N₄ and to that of the bulk material. For the bulk, the lattice constants and atom positions and the valence band density of states are all in good agreement with experimental results. A band gap of 6.7 eV is found which is in fair accord with the experimental value of 5.1-5.3 eV for H-free Si₃N₄. Using a two-dimensionally-periodic slab model, a π-bonding interaction is found between threefold-coordinated Si and twofold-coordinated N atoms in the surface plane leading to π and π* surface-state bands in the gap. A surface-state band derived from s-orbitals is also found in the gap between the upper and lower parts of the valence band. Relaxation results in displacements of surface and first-underlayer atoms and to a stronger π-bonding interaction which increases the π-π* gap. The relaxed surface shows no occupied surface states above the valence band maximum, in agreement with recent photoemission data for a thin Si₃N₄ film. The π* band, however, remains well below the conduction band minimum (but well above the Fermi level). Adsorbing H at all dangling-bond sites on the ideally-terminated surface and then relaxing the surface and first underlayer leads to smaller, but still finite, displacements in comparison to the clean relaxed surface. This surface is more stable, by about 3.67 eV per H, than the clean relaxed surface.     

A DFT + U description of oxygen vacancies at the TiO2 rutile (1 1 0) surface

Experimental observations indicate that removing bridging oxygen atoms from the TiO₂ rutile (1 1 0) surface produces a localised state approximately 0.7 eV below the conduction band. The corresponding excess electron density is thought to localise on the pair of Ti atoms neighbouring the vacancy; formally giving two Ti³⁺ sites. We consider the electronic structure and geometry of the oxygen deficient TiO₂ rutile (1 1 0) surface using both gradient-corrected density functional theory (GGA DFT) and DFT corrected for on-site Coulomb interactions (GGA + U) to allow a direct comparison of the two methods. We show that GGA fails to predict the experimentally observed electronic structure, in agreement with previous uncorrected DFT calculations on this system. Introducing the +U term encourages localisation of the excess electronic charge, with the qualitative distribution depending on the value of U. For low values of U (?4.0 eV) the charge localises in the sub-surface layers occupied in the GGA solution at arbitrary Ti sites, whereas higher values of U (?4.2 eV) predict strong localisation with the excess electronic charge mainly on the two Ti atoms neighbouring the vacancy. The precise charge distribution for these larger U values is found to differ from that predicted by previous hybrid-DFT calculations.     

Progressive changes in atomic structure and gap states on Si(0 0 1) by Bi adsorption

From ab initio studies employing the pseudopotential method and the density functional scheme, we report on progressive changes in geometry, electronic states, and atomic orbitals on Si(0 0 1) by adsorption of different amounts of Bi coverage. For the 1/4 ML coverage, uncovered Si dimers retain the characteristic asymmetric (tilted) geometry of the clean Si(0 0 1) surface and the Si dimers underneath the Bi dimer have become symmetric (untilted) and elongated. For this geometry, occupied as well as unoccupied surface states are found to lie in the silicon band gap, both sets originating mainly from the uncovered and tilted silicon dimers. For the 1/2 ML coverage, there are still both occupied and unoccupied surface states in the band gap. The highest occupied state originates from an elaborate mixture of the p_z orbital at the Si and Bi dimer atoms, and the lowest unoccupied state has a ppσ* antibonding character derived from the Bi dimer atoms. For 1 ML coverage, there are no surface states in the fundamental bulk band gap. The highest occupied and the lowest unoccupied states, lying close to band edges, show a linear combination of the p_z orbitals and ppσ* antibonding orbital characters, respectively, derived from the Bi dimer atoms.     

Optical anisotropy at the W(1 1 0) surface

We report ab initio calculations of the anisotropic dielectric function of tungsten (1 1 0) surface using the linear muffin-tin-orbital method. The calculated anisotropy in the optical spectrum, for polarization of light parallel to the surface, exhibits three dominant broad structures at 3.00, 4.01 and 5.34 eV successively positive, negative and then positive. The first peak is clearly assigned to p → d interband transitions in surface atomic sites whereas the two others have their origin in interband transitions in bulk like atoms. Our results, including the interlayer relaxation effect on the surface optical response, are compared to recent reflectance anisotropy measurements.     

The kaolinite (0 0 1) polar basal plane

Kaolinite is thought to be an efficient ice nucleating agent because kaolinite crystals expose perfect unreconstructed (0 0 1) basal surfaces which provide a suitable template for ice growth. However, we show here with the aid of density functional theory calculations that the unreconstructed basal surface is polar. Various mechanisms to eliminate the macroscopic dipole and in so-doing stabilize the basal surface are considered. The most promising option identified so far involves the adsorption of foreign atoms (for example, Na and Cl atoms) on the perfect basal surface, since this yields a non-metallic surface with a cleavage energy lower than the unreconstructed polar basal surface. A quantitative experimental structure determination of the kaolinite basal surface is called for.     

Ab initio study of atomic geometry and electronic states of GaSb(0 0 1) reconstructions

We have employed the pseudopotential method and the density functional scheme to study the atomic geometry and electronic states of the GaSb(0 0 1) surface such as (1 × 3), c(2 × 6) and (4 × 3) reconstructions. It is found that both of (1 × 3) and c(2 × 6) reconstructions are characterised by metallic band structures, and thus violate the so-called electron counting rule, one of the main building principles of the stability of compound semiconductor surfaces. We establish that the stability of these reconstructions results from significant elastic deformation in the top atomic layers of the surface, a process which overcomes the penality incurred by the violation of the electron counting rule. The atomic geometry and electronic states for the two reconstructions are compared and contrasted with each other. The α and β phases of the (4 × 3) reconstruction also show large atomic relaxations but are semiconducting and obey the electron counting rule.     

Atomic geometry and electronic properties of the Ge(1 1 1)2 × 1-Sb surface studied by scanning tunneling microscopy/spectroscopy and core-level photoemission

By scanning tunneling microscopy and spectroscopy (STM/S) and high-resolution core-level photoemission using synchrotron radiation, we have investigated the atomic structure and electronic properties of Sb-induced 2 × 1 reconstruction on Ge(1 1 1). Our results support well the zigzag-chain model proposed for this phase in the literature; in particular, the STM images visualize the Sb zigzag (Seiwatz) chain in a real space, and the STS I-V spectrum suggests this surface to be semiconducting, in good agreement with the atomic configuration proposed. However, a closer inspection of the STM results does not support the buckling of Sb chains reported in earlier studies. Moreover, the analysis of the Sb 4d core-level line shape of the (2 × 1) reconstruction shows that the bonding state of the Sb atoms is very similar, suggesting an unbuckled Seiwatz chain. In addition, the Ge 3d core-level emission reveals only one component, giving evidence for the ideal bulk-terminated structure of the Ge substrate.     

Interpretation of orientational contrast in STM images of GaAs(1 1 0) cleavage surface

The electronic structure of GaAs(1 1 0) surface is analyzed using Density Functional Theory (DFT-GGA) in atomic orbital basis (LCAO). The surface orbitals and the corresponding local density of electronic states (LDOS) are calculated for purposes of interpreting STM images. We show how local atomic orbitals of surface atoms are related to tunneling channels for electrons in STM imaging. A destructive interference between orbitals of two neighbouring atoms increases the contrast between the two atoms, and this is reflected in directionality of STM patterns of GaAs(1 1 0) surfaces. We also discuss how the basic formalism of Tersoff-Hamann approach to STM simulation can be reformulated to reveal the role of phase difference between tunneling channels.     

Ab initio calculations of surface structure and electronic properties caused by adsorption of Ca atoms on a Si(1 1 0) surface

The adsorption of Ca metals onto a Si(1 1 0) surface has been theoretically investigated by first-principle total-energy calculations. We employed a local density approximation of the density functional theory as well as a pseudopotential theory to study the atomic and electronic properties of the Ca/Si(1 1 0) structure. The (1×1) and (2×1) surface structures were considered for Ca coverages of 0.5 and 0.25 ML, respectively. It is found that the (1×1) phase is not expected to occur even for rich Ca regime. It was found that Ca adatoms are adsorbed on top of the surface and form a bridge with the uppermost Si atoms. The most stable structure of Ca/Si(1 1 0)-(2×1) surface produces a semiconducting surface band structure with a direct band gap that is slightly smaller than that of the clean surface. We have observed one filled and two empty surface states in the gap region. These empty surface states originated from the uppermost Si dangling bond states and the Ca 4s states. Furthermore, the Ca-Si bonds have an ionic nature with almost complete charge transfer from Ca to the surface Si atoms. The structural parameters of the ground state atomic configuration are detailed and compared with the available results of metal-adsorbed Si(1 1 0) surface, Ca/Si(0 0 1), and Ca/Si(1 1 1) structures.     

Vacancy charging on Si(1 1 1)-(7 × 7) investigated by density functional theory

The structure and energetics of charged vacancies on Si(1 1 1)-(7 × 7) are investigated using density functional theory calculations supplemented by estimates of ionization entropy. The calculations predict multiple possible charge states for the unfaulted edge vacancy in the adatom layer, although the −2 state is most stable on real Si(1 1 1) surfaces for which the Fermi level lies near the middle of the band gap.     

Surface electronic structure of the (3 × 2) reconstruction induced by Yb on a Si(1 1 1) surface

We have investigated the electronic structure of the Yb/Si(1 1 1)-(3 × 2) surface using angle-resolved photoelectron spectroscopy. Five surface states have been identified in the gap of the bulk band projection. Among these five surface state, the dispersions of three of them agree well with those of the surface states of monovalent atom adsorbed Si(1 1 1)-(3 × 1) surfaces. The dispersions of the two other surface states agree well with those observed on the Ca/Si(1 1 1)-(3 × 2) surface, whose basic structure is the same as that of monovalent atom adsorbed Si(1 1 1)-(3 × 1) surfaces. Taking these results into account, we conclude that the five surface states observed in the band gap originate from the orbitals of Si atoms that form a honeycomb-chain-channel structure.     

Anomalous hybridization in the In-rich InAs(0 0 1) reconstruction

The surface bonding arrangement in nearly all the confirmed reconstructions of InAs(0 0 1) and GaAs(0 0 1) have only two types of hybridization present. Either the bonds are similar to those in the bulk and the surface atoms are sp³ hybridized or the surface atoms are in a tricoordinated bonding arrangement and are sp² hybridized. However, dicoordinated In atoms with sp hybridization are observed on the InAs(0 0 1), In-rich, room temperature and low temperature surfaces. Scanning tunneling microscopy (STM) images of the room temperature (300 K) InAs(0 0 1) surface reveal that the In-rich surface reconstruction consists of single-atom rows with areas of high electron density that are separated by ∼4.3 Å. The separation in electron density is consistent with rows of undimerized, sp hybridized, In atoms, denoted as the β3′(4 × 2) reconstruction. As the sample is cooled to 77 K, the reconstruction spontaneously changes. STM images of the low temperature surface reveal that the areas of high electron density are no longer separated by ∼4.3 Å but instead by ∼17 Å. In addition, the LEED pattern changes from a (4 × 2) pattern to a (4 × 4) pattern at 77 K. The 77 K reconstruction is consistent with two (4 × 2) subunit cells; one that contains In dimers on the row and another subunit cell that contains undimerized, sp hybridized, In atoms on the row. This combination of dimerized and undimerized subunit cells results in a new unit cell with (4 × 4) periodicity, denoted as the β3(4 × 4) reconstruction. Density functional theory (DFT) and STM simulations were used to confirm the experimental findings.     

Diffusions of small clusters on Pt(1 1 1) and Cu(1 1 1) surfaces

Diffusions of small cluster Pt₆ on Pt(1 1 1) surface and Cu₆ on Cu(1 1 1) are studied by molecular dynamics simulation, respectively. The atomic interaction is modeled by the semiempirical potential. The results show that the diffusion processes in the two systems are far different. For example, on Pt(1 1 1) surface, the hopping of single atom and the shearing of two atoms of hexamer only occur on the adatom(s) adsorbed at B-step, while on Cu(1 1 1) surface they can appear on the adatom(s) either at A-step or B-step. To the concerted translation of the parallelogram hexamer, the anisotropy in the diffusion path is observed in the two systems, the mechanisms and then the preferential paths, however, are completely different. The reasons for these diffusion characteristics and differences are discussed.     

Density functional theory investigation of CN on Cu(1 1 1), Ni(1 1 1) and Ni(1 0 0)

The adsorption of CN on Cu(1 1 1), Ni(1 1 1) and Ni(1 0 0) has been investigated using density functional theory (DFT). While experimental studies of CN on Cu(1 1 1) show the molecular axis to be essentially parallel to the surface, the normally-preferred DFT approach using the generalised gradient approximation (GGA) yields a lowest energy configuration with the C-N axis perpendicular to the surface, although calculations using the local density approximation (LDA) do indicate that the experimental geometry is energetically favoured. The same conclusions are found for CN on Ni(1 1 1); on both surfaces bonding through the N atom is always unfavourable, in contrast to some earlier published results of ab initio calculations for Ni(1 1 1)/CN and Ni(1 0 0)/CN. The different predictions of the GGA and LDA approaches may lie in subtly different relative energies of the CN 5σ and 1π orbitals, a situation somewhat similar to that for CO adsorbed on Pt(1 1 1) which has proved challenging for DFT calculations. On Ni(1 0 0) GGA calculations favour a lying-down species in a hollow site in a geometry rather similar to that found experimentally and in GGA calculations for CN on Ni(1 1 0).     

Theoretical study on the temperature-induced structural transition of the Si(1 1 3) surface

The temperature-induced structural transition of the Si(1 1 3) surface is investigated by ab initio calculations. In this study, it is found that the room-temperature phase and the high-temperature phase have the 3 × 2 interstitial structure and the 3 × 1 interstitial structure, respectively. The existence of the 3 × 2 and 3 × 1 interstitial structures is supported by the analysis of scanning tunneling microscopy (STM) images and the calculation of surface core level shifts using final state pseudopotential theory. The theoretical STM images of interstitial structures are in good agreement with the STM images suggested by experiments. The analysis of STM images provides an insight into the characteristics of domain boundaries observed frequently in experiments. It is also found that the domain boundary can be formed by local 3 × 1 interstitial structures on the 3 × 2 interstitial surface. The theoretical analysis of the surface core level shifts reveals that the surface core levels in experiment originate from the interstitial structures. The lowest values in the surface core level shifts are found to be associated with the 2p core level shifts of the interstitial atoms.     

First-principles study on field evaporation of surface atoms from W(0 1 1) and Mo(0 1 1) surfaces

The simulations of field-evaporation processes for surface atoms on W(0 1 1) and Mo(0 1 1) surfaces are implemented using first-principles calculations based on the real-space finite-difference method. The threshold values of the external electric field for evaporation of the surface atoms, which are ∼6 V/Å for tungsten and ∼5 V/Å for molybdenum, are in agreement with the experimental results. While the threshold value of the electric field and the local-field enhancement around the evaporating atoms agree with those expected from the conclusion of the previous study using structureless jellium, the induced charge around the surface atom has a significant difference from that obtained by the jellium model.     

Initial stages of oxidation of Cu(1 1 1)

Several surface analysis techniques were combined to study the initial stages of oxidation of Cu(1 1 1) surfaces exposed to O₂ at low pressure (<5 × 10⁻⁶ mbar) and room temperature. Scanning tunneling microscopy (STM) results show that the reactivity is governed by the restructuring of the Cu(1 1 1) surface. On the terraces, oxygen dissociative adsorption leads to the formation of isolated O adatoms and clusters weakly bound to the surface. The O adatoms are located in the fcc threefold hollow sites of the unrestructured terraces. Friedel oscillations with an amplitude lower than 5 pm have been measured around the adatoms. At step edges, surface restructuring is initiated and leads to the nucleation and growth of a two-dimensional disordered layer of oxide precursor. The electronic structure of this oxide layer is characterised by a band gap measured by scanning tunneling spectroscopy to be ∼1.5 eV wide. The growth of the oxide islands progresses by consumption of the upper metal terraces to form triangular indents. The extraction of the Cu atoms at this interface generates a preferential orientation of the interface along the close-packed directions of the metal. A second growth front corresponds to the step edges of the oxide islands and progresses above the lower metal terraces. This is where the excess Cu atoms extracted at the first growth front are incorporated. STM shows that the growing disordered oxide layer consists of units of hexagonal structure with a first nearest neighbour distance characteristic of a relaxed Cu-Cu distance (∼0.3 nm), consistent with local Cu₂O(1 1 1)-like elements. Exposure at 300 °C is necessary to form an ordered two-dimensional layer of oxide precursor. It forms the so-called “29” superstructure assigned to a periodic distorted Cu₂O(1 1 1)-like structure.     

Study of ammonia molecule adsorbing on diamond (1 0 0) surface

The diamond (1 0 0) surface with amino terminations is investigated based on density function theory within the generalized gradient approximation. Our calculated negative electron affinity of diamond (1 0 0) surface with hydrogen termination provides a necessary condition for initiating radical reaction. The results display that the ammonia molecule can form stable C-N covalent bonds on the diamond surface. In addition, due to the lower adsorption energy of one amino group binding on diamond surface, single amino group (SAG) model is easy to be realized in experiment with the comparison of double amino group (DAG) model. The adsorbed ammonia molecule will induce acceptor-like gap states with little change of the valence and conduction band of diamond in SAG model. The adsorption mechanism in the formation of ammonia monolayer on H-terminated diamond (1 0 0) surface, and two possible adsorption structures (SAG and DAG) were especially studied.     

Density-functional study of the CO adsorption on ferromagnetic Co(0 0 0 1) and Co(1 1 1) surfaces

The regular CO overlayers at coverage θ = 1/3 adsorbed on the (0 0 0 1) surface of hcp Co and (1 1 1) surface of fcc Co are studied by first-principles density-functional theory with the exchange-correlation component in the PBE form. Adsorption in atop, bridge, and three-fold hcp or fcc position are considered. The adsorption energies, CO stretching frequencies, geometry, work function, and local magnetic moments are studied, and, when possible, compared with experimental or theoretical data. Particularly, we show that the recently proposed correction to adsorption energy of CO prefers correctly the atop adsorption site, whereas the remaining sites are almost degenerate in energy. The CO molecule lowers magnetization on neighbouring Co atoms, and the effect decreases with the adsorption site coordination. We show, however, that this trend is not the result of the different C-Co separation at different adsorption sites. A very small magnetic moment appears on CO that couples antiferromagnetically to Co. Most results are very similar for the Co(0 0 0 1) and Co(1 1 1) surfaces.     

The adsorption of methylcyclopentane on Pt(1 1 1)

The adsorption of methylcyclopentane (MCP) on Pt(1 1 1) has been studied using the atom superposition and electron delocalization (ASED-MO) molecular orbital method. Results show a weak interaction with the metallic surface. The adsorption energy is rather independent of the adsorption site coordination number. We find that Pt 6s, 6p_z and 5d_z² orbitals are involved in the bonding with MCP. There is no bonding between the carbon ring and the Pt surface and the interaction comes from the hydrogen atoms to the surface.