Surface Science 469 (2000) 71–79 www.elsevier.nl/locate/susc Formation of autoionizing Ne11 in grazing collisions with an Al(111) surface O. Grizzi a, *, E.A. Sánchez a, J.E. Gayone a, L. Guillemot b, V.A. Esaulov b, R.A. Baragiola c a Centro Atómico Bariloche, Instituto Balseiro, CNEA, and CONICET, 8400 Bariloche, Argentina b Laboratoire des Collisions Atomiques et Moléculaires, (Unité Mixte de Recherche CNRS–Université No. 8625), Bâtiment 351, Université Paris-Sud, F-91405 Orsay, France c Engineering Physics, University of Virginia, Charlottesville, VA 22904, USA Received 15 May 2000; accepted for publication 18 August 2000 Abstract We present a study of the production of neon autoionizing states during glancing scattering of 3–50 keV Ne+ on an Al(111) surface of varying degree of roughness. The projectile energy dependence of the intensity of neon autoionization peaks in the electron spectra indicates that the various autoionizing states fall into two main groups. At low keV energies, Ne(2p43s2) autoionizing states are formed, while at higher energies other peaks appear in the electron spectra with similar intensity. Some of these peaks may be due to low-lying 2p4nln∞l∞ states, whose population is aided by the motion of the projectile. Other peaks can be assigned to 2s2p5nl, 2s2p6nl and 2p3nln∞l∞ states. A study of the effect of surface roughness shows that the production of excited states in grazing scattering is favored at rougher surfaces. For flat surfaces the peaks become broader and less intense, an effect that we ascribe to autoionization decay closer to the surface, based on previous numerical simulations of peak shapes. © 2000 Elsevier Science B.V. All rights reserved. Keywords: Aluminum; Electron emission; Ion scattering spectroscopy; Ion–solid interactions; Noble gases 1. Introduction Projectile excitation in collisions of neon atoms and ions with surfaces has been studied extensively over the past 25 years [1–31] because it provides one of the richest and best-characterized examples of inelastic ion–surface collisions. In particular, several studies have been made on the production of autoionizing states of neon in collisions with magnesium, aluminum and silicon surfaces, which * Corresponding author. Fax: +54-2944-445299. E-mail address: [email protected] (O. Grizzi) are observed by spectroscopy of the emitted electrons. Most of these studies were performed on polycrystalline surfaces and for projectiles in the low keV energy range. Strong differences were observed with gas-phase collision studies [32–35] concerning the type of excited states produced. Unlike gas-phase collisions, where a multitude of autoionization peaks is observed in the electron spectra, in ion–surface collisions only two major peaks are observed, attributed to the decay of Ne11[2p4(3P)3s2] and [2p4(1D)3s2] (peaks labeled I and II, respectively, in Fig. 1) [6,7]. Also, ion– surface collisions experiments show the predomi- 0039-6028/00/$ - see front matter © 2000 Elsevier Science B.V. All rights reserved. PII: S0 0 39 - 6 0 28 ( 00 ) 0 08 0 5 -0 72 O. Grizzi et al. / Surface Science 469 (2000) 71–79 Fig. 1. (a) Electron energy spectrum for 3 keV Ne+–Al (111) collisions at 6° incidence. Inset: schematic geometry showing the projectile incident angle (a) and the direction of electron observation characterized by the angles (h, w) measured from the ion direction and the scattering plane, respectively. (b) Electron energy spectrum for 20 keV Ne+–Al (111) collisions at 2° incidence. nance of the triplet core state over the singlet core state [6,7,20,26,28]. The fact that the lowest 3s2 states and not other excited states are strongly populated, has been explained by considering the binding energies of the electrons in these states with respect to the work function of the metal surface [6 ]. In a static description, if the binding energy is lower than the work function, resonant ionization into the conduction band will occur and hence predominantly the lowest-lying states should be populated. More recently, other autoionizing peaks have been observed [15,18,19,27] with a typical intensity of almost two orders of magnitude smaller than the main peaks. Three of these peaks (b, c and f ) can also be observed in Fig. 1a. The identification of the smaller peaks has been based mainly on their energy position and is still a subject of discussion [15,18,19,27]. In an attempt to obtain additional information about the nature of these states and the dynamics of their formation, in this work we performed a study of the electron emission resulting from autoionization of neon scattered off an Al(111) surface in a projectile energy range extending from 3 to 50 keV. The condition of glancing incidence allows the reflection of most neon excited in collisions with surface atoms and extends the interaction time of the emerging projectile with the surface. Even at high impact energies, the energy associated with the motion of the projectile normal to the surface can be reduced to a few eV by decreasing the incident angle. Grazing collisions on smooth surfaces also ensure that ions do not enter the surface, making interpretation easier. The extended energy range and the grazing condition allowed us to determine the energy dependence of the production of the autoionizing peaks. By varying the roughness of the surface, we investigated different scattering conditions. Relatively rough surfaces lead predominantly to hard collisions (single or multiple) while smooth surfaces allow mainly soft multiple collision sequences. For this latter case the strong reflected beam has a narrow angular distribution (typically 0.5–3°, depending on the incident angle), which results in little Doppler broadening of the peaks (although with a large Doppler shift at our observation angles). 2. Experimental details The experiments were conducted in an ultrahigh vacuum chamber at an operating pressure of 3×10−10 Torr with the ion beam line open. The ions were generated in a radio-frequency source, mass-selected, and collimated to better than 0.1°. The emitted electrons were analyzed with a custom-made [36 ] cylindrical mirror energy spectrometer working at 1% energy resolution and ±1° angular resolution. The inner cylinder of the spectrometer rotates around its main axis allowing measurements over a wide range of observation angles [36 ]. For the present measurements the incident direction was selected to be random (i.e., not along a low-index crystallographic axis) and the observation angle fixed at (h, w)=(21°, 5°), O. Grizzi et al. / Surface Science 469 (2000) 71–79 with h measured from the ion beam direction and w from the scattering plane (see inset of Fig. 1). All of the electron energy spectra shown have been corrected for the transmission function of the spectrometer. The Al(111) sample was prepared by repeated cycles of grazing sputtering with 20 keV Ar+ ions followed by annealing at 450°C. The azimuthal orientation of the surface was continuously changed during the argon-ion irradiation. This method produces a surface topography that is strongly dependent on the incident angle of the argon-ion beam. At 0.5–2° incidence a very flat surface can be obtained, while increasing the incidence angle to 3–4° may result in a considerably rough surface. In this work we present measurements carried on both smooth and rough surfaces. The characterization of the surface roughness was performed by an atomic force microscope (AFM ) working in air, and in situ by measuring the convoy electron peak produced by 60 keV protons at 1° incidence [37]. This peak is due to electrons captured to the continuum of the projectile, and its energy position is critically dependent on surface roughness. The combined measurements of AFM and convoy electrons [37] indicate that the ‘smooth’ surfaces discussed here consist mainly of atomically flat terraces with average length of at least 100 Å; i.e., larger than the interaction length between a grazing ion and the surface. On the other hand, the ‘rough’ surfaces have an average roughness of 25 Å (root mean square of the height distribution), corresponding to terraces of very different size, which enhances the interaction of the ion beam with steps or defects. The AFM measurements show that, even for the rougher surfaces used in the work, there are neither blisters nor cones. The former are not formed because most of the measurements and the cleaning cycles are done at low incident angles, thus precluding a large accumulation of argon or neon in subsurface sites. The formation of cones is possible even at low incident angles if the ion beam is left on a fixed azimuthal direction for long periods. To avoid this effect, we continuously rotated the azimuthal direction during the cleaning cycles. In all cases, the surface cleaning was verified with Auger 73 electron spectroscopy before and after performing the measurements. 3. Results 3.1. Projectile energy dependence of the neon autoionization peaks Typical electron energy spectra in the energy range of autoionization of neon are shown in Figs. 1a and b for a rough surface. The effect on the electron spectra of smoothing out the surface will be discussed in the next section. The spectrum of Fig. 1b was taken with 20 keV Ne+ incident at 2° to the surface. The first interesting aspect is the evolution of the autoionizing peaks with projectile energy. The secondary peaks (a–h), hardly apparent below 5 keV, become prominent at higher energies, as may be seen by comparing Figs. 1a and b. We also note in the figures that these secondary peaks are broader than the main peaks (e.g., the width of line b is about 1.5 times that of peak I or II ). Spectra taken at Ne+ energies between 3 to 53 keV are shown in Fig. 2, after background subtraction. The spectra are shifted vertically by an amount proportional to the projectile energy, which aids the visualization of the Doppler shift caused by the motion of the ions, as is indicated for peak f by the parabolic dotted line. To maintain the energy associated with the motion of the projectile normal to the surface below 50 eV, while keeping a high counting rate in the autoionizing peaks, we varied the incident angle from 6° at 3 keV to 1° at 53 keV. The dependence of peak intensity and width on projectile energy E shows the existence of at least 0 two groups of peaks. While the intensity of peaks I and II reaches a maximum for E between 10 0 and 15 keV and then decreases, the intensity of peaks a–h grows from a threshold at higher E 0 and remains high at the highest energies. This is seen better in Fig. 3, which shows the peak intensity versus E (we do not present numerical data 0 for the low-intensity structures, d, e and g). As mentioned above, the identification of the process leading to peaks I and II is undisputed: autoionization of 2p4(3P)3s2(3P)2p5(2P) and 2p4(1D)3s2 74 O. Grizzi et al. / Surface Science 469 (2000) 71–79 Fig. 2. Electron energy spectra for Ne+–Al (111) collisions at different energies (indicated by the labels) after subtraction of a smooth background. The spectra were shifted vertically in proportion to the projectile energy. The dashed line shows the energy position of peak f shifted by the Doppler effect. (1D)2p5(2P). In contrast, different interpretations have been offered for peaks a–h [15,18,19,27]. In particular, Gallon and Nixon [15] suggested that peaks b–e could be attributed to 2p4nln∞l∞ states, while Xu et al. [19] proposed that peaks d–h could come from an initial 2p3 core configuration. It was also suggested that peak b could be due to decay of Ne11[2p4(3P)3s2(3P)] close to the surface, from a numerical simulation analysis of shape of the autoionization peaks [24]. To determine the peak energy in the frame of the excited neon, we corrected for the Doppler shift. This procedure is simple with the glancing angle geometry if we assume that projectiles scatter specularly. This is a reasonable assumption at high energies and for smooth surfaces. At low energies or for rough surfaces we considered that peaks I and II correspond to energies of 20.35 eV and 23.55 eV in the projectile frame. From the Doppler shifts of these peaks we obtained the scattering angles and then used these scattering angles to calculate the energies in the projectile frame of the Fig. 3. Intensity of the main autoionizing peaks (I, II ) and the most intense secondary peaks (a–c, f and h) versus projectile energy. other autoionizing peaks. We note that the accuracy of the estimated peak energies (indicated in Table 1) does not allow us to distinguish experimentally between different configurations having similar energies. From an analysis of the peak energy positions, there appear to be three possibilities of assigning parent states for the secondary peaks, as given in Table 1. In some previous reports, it was pointed out that the states 2s22p4nln∞l∞, possible parent states for peaks e–h, could not account for the strong peak f since these states have low ionization energies and therefore would not survive resonant ionization to the solid. However, this argument loses validity at high projectile velocities, where one needs to consider the effect of ion velocity: in the reference frame of the projectile, the velocity of surface electrons is shifted by the ion velocity. For electrons with velocity V at the Fermi level (energy e ) there is F F a smearing of the energy near the Fermi level of De#2e (V /V ), or De (eV )#E1/2 , with E in keV, F 0 F 0 0 for neon on aluminum. This smearing alters the probabilities of resonant electron capture and loss 4.08 4.35 26.5±0.2 2p4(3P) 3p3p(3P) 3P, 3D 26.44 2p4(3P) 3p3p(3P) 1D 26.79 27.3 27.3 28.3 28.7 30.8 28.0±0.2 2p4 (1S) 3s22p4(1D) 3s3p(1P) 1F, 1P, 1D 2p4(3P)3p(4D)3p(3?) 2p4(3P)3p(2S)3p(?P) 30.2±0.2 2p4(1D) 3p3p 1S, 1D 31.9±0.2 35.2±0.2 d e f g h 3.21 6.96 3.21 2.58 2.68 4.86 4.56 25.72 5.99 6.96 25.5±0.1 2p4(1D) 3s3p(3P) 3F 2p4(1D) 3s3p(3P) 3P,3D 23.59 4.25 6.8 c 2p4(1D) 3s3s 1D 22.90 22.2±0.2 2p4(3P) 3s3p(3P) 3P,3D b II 20.39 20.3±0.1 2p4(3P) 3s3s 3P I 30.6 30.7 31.8 31.7 32.3 32.5 32.0 35.0 35.1 35.8 35.2 35.2 35.6 2F 4D 2D 2D 2p3(2D) 3s3p 1P2p4 1D 2p3(2P) 3s23p2p4 (1D)3p 2p3(2D) 3s23p2p4 (3P)3p 2p3(2D) 3s23p2p4 (1D)3s 2p3(2D) 3s23p2p4 (3P)3p 2p3(2D) 3s3p (1P) 2p4 3P 2p3(2D) 3p2(iD) 2G 2p4 3P 2p3(2P) 3p2(3P) 4F 2p4 3P 2p3(2D) 3s23p2p4 (3P)3p 4P 2p3(2D) 3s23p2p4 (1D)3s 2D 2p3(2D) 3s23p 2p4 (3P)3s 4P 27.8 27.5 22.2 9.6 13.3 15.2 5.7 5.7 5.7 9.6 6.0 5.7 5.7 5.7 13.4 15.5 16.4 15.5 16.6 29.8 31.0 30.0 2s2p5(1P) 5p(2P) 2p4 (1D) 2s2p5(1P) 4p 2p4 (3P) 2s2p5(1P) 4s 2p4 (3P) 2s2p5(1P) 4s 2p4 (3P) 27.9 2s2p5(1P) 4p(2P) 2p4 (1D) 22.4 22.6 21.9 22.1 26.5 26.7 5p(4P) 2D2p4 (3P) 3p(2P) 2p4 (1D) 3s(2S ) 2p5 (2P) 3s(1S ) 2p5 (2P) 14.5 15.1 15.5 3.02 4.9 5.9 4.9 6.3 5.9 3.1 10.1 5.1 4.8 10.8 10.3 10.0 Predicted Ionisation energy energy (eV ) (eV ) 2s2p5(1P) 3d 2p4 (1D) 2s2p5(1P) 4s 2p4 (1D) 2s2p5(3P) 2s2p5(1P) 2s2p6(2S) 2s2p6(2S) 2s2p5(3P) 3p(4D) 2p4 (3P) 2s2p5(3P) 3p(4P) 2p4 (3P) 2s2p5(3P) 3p(2D) 2p4 (3P) Predicted Ionisation Initial state energy energy 2s2p5, 2s2p6 cores (eV ) (eV ) 2p3(2D) 3s3p 4F2p4 3P 2p3(2P) 3s3s 2P2p4 3P 2p3(2D) 3s3s 2D2p4 3P 2p3(2P) 3s3s 2D2p4 1D 2p3(4S ) 3s3s 4S 2p4 3P Predicted Ionisation Initial state energy energy 2s2 2p3 core (eV ) (eV ) 15.3±0.1 --------- Initial state 2s2 2p4 core 2p5 (2P) a label Expt. energy (eV ) Table 1 Comparison of measured neon autoionization energies (after Doppler correction) and possible assignments obtained from Refs. [28–48]. The states included are those with ionization energies higher than 2 eV O. Grizzi et al. / Surface Science 469 (2000) 71–79 75 76 O. Grizzi et al. / Surface Science 469 (2000) 71–79 involving excited states of the projectile, depopulating states below the Fermi level and populating states above the Fermi level. From the point of view of partially blocking resonant ionization, De corresponds to changing the work function of aluminum from 4.3 eV to an ‘effective’ value of 3.3 eV at E =4 keV down to zero at E #18 keV. 0 0 This means that one cannot exclude the possible population of low-binding-energy states at high impact velocities. This consideration means that the probability for the formation of states yielding the secondary peaks should be somewhat dissimilar from that of states giving the main peaks I and II since, although the primary excitation mechanism would be the same — i.e., involving the promotion of the two electrons in the 4fs molecular orbital (see below and [32–35] for details), the production of the higher-lying states would become more probable as the ion velocity increases. On the basis of this discussion it appears appropriate to consider that the 2p4nln∞l∞ states given in Table 1 are among the possible assignments for the secondary peaks. One could, following Xu et al. [19], assign a number of the secondary peaks to Ne+11 states with a 2s22p3nln∞l∞ configurations. Thus peak b (the strongest of the high-energy peaks) could arise from the autoionization decay Ne+ [2p3(4S)3s2(4S)]Ne++[2p4(3P)]. The energy of this transition has been observed at 22.45 eV in 4 keV Ne++–He gas-phase collisions [38]. In terms of a molecular orbital description, used for this type of collisions [32–35], the formation of excited states with a 2s22p3 core is only possible for incident ions (which carry a 2p vacancy). Indeed, in a neutral neon collision, the initial quasi-molecular state has a 3dp44fs2 configuration [19,27], while in the Ne+ case there exist two possibilities corresponding to the 3dp44fs1 and 3dp34fs2 states. Formation of 2s22p3 core states is only possible in the latter case; it may be favored at high energies and grazing angles, where scattering of the projectiles through a sequence of two hard collisions is more probable, allowing survival of the Ne+ formed in the first collision. Peaks c and peak f could thus be assigned [19] to Ne+[2p3(4S)3s3p] and Ne+[2p3(2P)3s2] or [2p3(2D)3s3p], respectively. Alternatively, one could assign most of the peaks to states with a 2s vacancy: the Ne+(2s2p5nl ) and Ne(2s2p6nl ) configurations indicated in Table 1. In the molecular orbital picture, 2s vacancies are produced by rotational 3ps– 3pp coupling near the united atom limit, which requires fairly small distances of approach. These configurations were not expected in earlier studies where the projectile energy used was too low for 2s excitation. On the other hand, evidence that 2s electrons are in fact excited comes from an earlier study [26 ] that detected vacuum ultraviolet radiation from the decay of, in particular, 2s2p6(3P) Ne+1 and 2s2p5(3P) Ne++ states. For the present measurements, considering the rather different energy dependence of the intensities of different excited states, we cannot rule out 2s excitation. Therefore we propose that peaks a–h might have a contribution from neon states with a 2s vacancy even though, as stated before, we cannot rule out contributions from 2s22p3 and 2p4 core states. 3.2. Dependence of peak intensities on surface topography The excitation of neon autoionization states that decay outside the solid requires an incident angle large enough to achieve the critical distance of approach needed for excitation, but small enough to ensure a high reflection coefficient. These conditions are more easily achieved in collisions with rough surfaces at low incident angles, where the projectiles can collide with the steps or defects and then leave the surface faster than in the case of flat surfaces. A discussion of this aspect for ideally flat surfaces may be found in a study combining trajectory simulations with a quasimolecular excitation model [27,39]. The effect of smoothing out or roughening the surface in the spectra is shown in Fig. 4, for 20 keV Ne+ at 2° incidence at different stages of the surface preparation. Stage 1 corresponds to the surface that is rough because it was prepared with too few cycles of grazing ion sputtering and annealing. In stage 2 the number of cycles at 1.5° incidence was increased, resulting in a smoother surface. Stage 3 corresponds to a rougher situation obtained by increasing to 4° the incident angle used in sputtering, recovering approximately the O. Grizzi et al. / Surface Science 469 (2000) 71–79 77 Fig. 4. Electron energy spectra for the rough surface at different incident angles. Note that at 0.5° incidence there is already an appreciable Auger peak from ejected Al 2p−1. situation of stage 1. Stage 4 is the one that produces the smoothest surface, with many sputtering– annealing cycles (more than one week) at 1.5°. Finally, stage 5 gives again the rough surface situation after several cycles at 3–4° incidence. The condition of stage 5 is the one used to obtain the spectra shown in Figs. 1–3. We stress that, in all of these cases, the spectra were obtained with surfaces free of contamination (as seen with Auger electron spectroscopy). The main effect of surface condition observed in the spectra is that the peaks decrease in intensity and broaden in smoother surfaces. Another evidence of surface roughness is the presence of the Al 2p Auger peak at low incident angles, arising from ejected Al(2p−1), since this excitation requires rather close collisions (closer than needed to excite autoionizing Ne11) that cannot occur on smooth surfaces at low incidence angles. This is illustrated in the electron spectra of Fig. 5a, taken with 20 keV Ne+ at several incident angles (corresponding to stage 5), which shows the Al 2p Auger peak even at an angle of incidence of 0.5°. One can also see that, while the intensity of the Al 2p peak keeps increasing with incident angle (up to 10–15°), the neon autoionization peaks appear in a narrower region of incidence angles, with a maximum around 2°. This maximum Fig. 5. Electron energy spectra for rough (a) and smooth (b) surfaces at different incident angles. Note that, for the rough surface at 0.5° incidence, there is already an appreciable Auger peak from ejected Al 2p−1, while for the smooth surface the Al 2p Auger peak is very weak at 2° incidence. shifts to higher incident angles for decreasing projectile energy. In Fig. 5b, corresponding to electron spectra measured as a function of the incident angle for the smoothest case (stage 4), the Auger peak from ejected Al 2p−1 is absent at 2° incidence, indicating that violent collisions are essentially suppressed for smooth surfaces. The trends observed at high energies are reproduced at lower projectile energies. Fig. 6 shows three spectra measured at 5 keV, the bottom one corresponds to the roughest surface and the top one to the smoothest. Similarly to the 20 keV case, the autoionizing peaks broaden and become weaker for smoother surfaces. The broadening of the peaks for the smoother surfaces can be ascribed to the fact that, in excitation collisions, scattering occurs in a narrower angular range, which also corresponds to smaller exit angles with respect to 78 O. Grizzi et al. / Surface Science 469 (2000) 71–79 Fig. 6. Electron energy spectra for 5 keV Ne+–Al (111) collisions at different stages of surface preparation (see text). The upper spectra correspond to smoother surfaces. the surface. As shown by some recent simulations [24] of the characteristics of autoionization peak shapes produced near surfaces, decay for exit angles closer to the surface leads to broader peaks. This is due to the broadening and shift of the atomic levels produced by the atom–surface interaction, which leads to higher electron energies and thus to a broadening of the spectral features. An example of this effect comes from observations of autoionization states produced close to the surface during neutralization of Ne++ projectiles, which yields broad peaks shifted to high energies [40,41]. In the case of a rough surface scattering occurs in a broader angular range and a larger fraction of excited atoms decay further from the surface leading to narrower peaks. The decrease in intensity for flat surfaces is consistent with the larger distances of closest approach reached at grazing incidence (particularly at low energies) and the fact that the autoionizing states may be depopulated more easily by their close interaction with the surface. 4. Conclusions We have presented a study of the production of neon autoionizing states on an Al(111) surface in an extended projected energy range from 3 to 50 keV, on surfaces with different degrees of roughness. We find that the energy dependence of the production of a series of low-intensity peaks is quite different from that of the two main peaks due to decay of 2p43s2 states, usually observed at lower projectile energies. The secondary peaks appear at higher energies and become very important at tens of keV. Of the three possible parent core configurations for the secondary peaks, the 2s22p4 core states can be ruled out at the lower projectile energies because their outer electrons would lie above the Fermi level and would therefore not survive decay into the solid by resonance ionization. On the other hand, high projectile velocities allow a larger population of these states because of the kinematic shifts of energy levels, an effect that would also result in a different energy dependence for production of these states. The other two possibilities, i.e., configurations with a 2s vacancy 2s2p5nl, 2s2p6nl and configurations 2s22p3nln∞l∞, could both, in principle, account for many of the secondary peaks. Nevertheless, existing data [26 ] on photon emission in this energy range clearly show that states with a 2s vacancy, 2s2p5(1P,3P)nl and 2s2p6nl are indeed excited at high energies. A study of the effect of surface roughness shows that a rougher surface favors production of the autoionizing states in grazing scattering. It was also found that, for flatter surfaces, the autoionization peaks become broader and less intense. 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