Electron Emission Theory and Its Application: Fowler-Nordheim Equation and Beyond

Electron emission theory and its application: Fowler–Nordheim equation and beyond
Kevin L. Jensen
Citation: Journal of Vacuum Science & Technology B 21, 1528 (2003); doi: 10.1116/1.1573664
View online: http://dx.doi.org/10.1116/1.1573664
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Electron emission theory and its application: Fowler–Nordheim equation
and beyond
Kevin L. Jensena)
Institute for Research in Electronics and Applied Physics, University of Maryland,
College Park, Maryland 20742
共Received 15 December 2002; accepted 14 March 2003; published 31 July 2003兲
In this article, we examine the Fowler–Nordheim 共FN兲 equation for field emission using
pedagogical models to introduce and illuminate its origins, limitations, extensions, and application
to multidimensional structures. The analyses of modern electron sources generally invoke either the
FN equation or the Richardson–Laue–Dushman equation 共thermionic emission兲 to interpret
experimental data. These equations have ranges of validity that are increasingly challenged by
operating conditions. The present article shall therefore have several aims. An introduction to and
review of the FN equation shall be presented. Extensions to account for many body and other
effects, shall be motivated by accessible models, and a generalized thermal-field emission
methodology developed to account for low work function, high fields, photoexcitation, and other
conditions in which the incident electron energy is near the barrier maximum. An account of effects
such as resonance, which are not generally part of the standard emission lexicon, is given. Finally,
specialized topics using the aforementioned analyses shall be examined, e.g., multidimensionality,
the statistical nature of emission site variation, and so on. The analyses shall be predicated on simple
models in an effort to provide formulae of general utility such that computational requirements are
minimized. 关DOI: 10.1116/1.1573664兴
I. INTRODUCTION electric fields are often so large or the work functions so low
that the barrier maximum is not well above the Fermi level
For over 70 years, the ubiquitous and deservedly influen- 共e.g., low and negative electron affinity emitters兲; the surface
tial Fowler–Nordheim equation 共FNE兲1 has been used to ex- is in a state of flux due to adsorbates, ion bombardment,
plain and analyze field-emission and tunneling phenomena. and/or evolving nanoprotrusions; adsorbate migration and
It relates current density J to a local field F for a zero- other surface effects introduce noise; and other mechanisms
temperature electron distribution incident on a one- 共from resonant tunneling to photoexcitation to thermal emis-
dimensional triangular barrier whose height is well above the sion兲 supplement, complicate, or dominate the emission pro-
Fermi level. In its modern incarnation, modifications to ac- cess.
commodate image charge forces, simplifications to evaluate The FNE 共and its dubious metamorphosis into a current–
the requisite terms, and its relationship to the kindred equa- voltage relation based on an assumed proportionality be-
tion of thermionic emission 关the Richardson–Laue– tween current/current density and voltage/field兲 has long
Dushman 共RLD兲 equation兴 have been treated by Murphy and
been the darling of theory and simulation of flat panel
Good,2 Dyke and Dolan,3 Christov,4 Modinos,5 and others,
displays,9 emission-gated microwave amplifiers,10–13 and
extended to semiconductors by Stratton,6 and recently up-
propulsion/deorbit systems for satellites.14,15 More recently,
dated and refined by Forbes.7 The FNE, generally employed
photocathodes, used in free electron lasers,16 operate under
with remarkable success, has nevertheless been invoked even
conditions where both field and thermal emission concepts
when operational conditions violate one or 共usually兲 more of
are required to explain observed behavior,17–19 and which
the approximations upon which it is based: Semiconductor
may benefit from a generalized thermal-field current density
band bending effects change the supply function; tunneling
barriers may be so reduced or narrowed that the classical model.20 In general, the needs of these disparate technologies
image charge modification to the potential is compromised; require performance improvements in cathode technology of
the emitters run relatively hot; the geometry of a typical field such a nature that revisiting the physics of both the FN and
emitter is hardly one dimensional and results in potential RLD equations is efficacious apart from the pedagogical in-
barriers that are not linear for emission into a vacuum 共simi- terest here in doing so. In the present work, therefore, the
lar nonlinear potentials exist between semiconductor inter- treatment of the FNE will be updated and explored with an
faces or due to space charge, an interesting case incorporat- eye on its utilization in topical technologically interesting
ing all such effects being the thin-film solid-state electron applications. The methodology is extendable to high-
sources of Binh and co-workers8兲; oxides, coatings, and temperature/high-field conditions, circumstances where the
semiconducting layers exist or are purposely applied; the image charge contribution to the surface–vacuum barrier 共or
interface barrier in the case of transport between differing
a兲
Permanent address: Code 6841, ESTD, NRL, Washington, DC 20375; materials, as in wide band-gap emitters兲 is reduced or
electronic mail: kevin.jensen@nrl.navy.mil eliminated,21,22 or where the barrier height can be made low
1528 J. Vac. Sci. Technol. B 21„4…, JulÕAug 2003 1528
1529 Kevin L. Jensen: Electron emission theory and its application 1529
with a commensurate strong impact on the emission distri- is L 共nm兲. Here and later, V is a potential energy and F is a
bution as in secondary emission studies.23 force, related to voltages and electric fields via a multiplica-
Electron emission occurs when emissive materials are tive factor of electron charge q. The current density J is the
subjected to high temperatures T 共thermal emission兲, applied sum over the product of the charge of the electron, its veloc-
fields F 共field emission兲, or when photons provide sufficient ity, the probability of overcoming 共or tunneling through兲 the
energy to overcome the work function 共photoemission兲. For barrier, and the probability that its energy is E(k), or
thermal and photoemission, the extraction field is small by
field-emission standards, and a common approximation is
that all electrons with energy in excess of the barrier height
J⫽
q
2␲
冕 ⬁
0
បk
m
T 共 k 兲 f 共 k 兲 dk⫽
q
2␲ប
冕0
⬁
T 共 E 兲 f 共 E 兲 dE, 共1兲
are emitted, but that no tunneling current is present. For ther-
mionic emission, the energy of the transmitted electrons is where m is the electron mass and all other symbols have their
assumed to be Maxwell–Boltzmann distributed, leading to usual meaning. We note paranthetically that m is the mass of
the RLD equation. Conversely, field emission assumes that the electron in vacuum, an approximation adequate for met-
the thermal component is negligible and that the log of the als: In a semiconductor, the effective mass of the electron
transmission coefficient is approximately linear over the re- can be different and have significant consequences for the
gion in which tunneling is significant. Often, the emitted tunneling probability, a complication which shall be avoided
electron distribution does not vary greatly with temperature. here. Often, the second form in Eq. 共1兲 proves useful. Two
The current density is then well approximated by the FNE. limits are of concern. For barriers appreciably in excess of ␮
Electron sources, such as photoemission dispenser cathodes and sufficiently wide such that an electron cannot penetrate it
or semiconductors, field-emitter arrays under extraordinarily by quantum-mechanical tunneling, i.e., T RLD(E)⬇⌰(E
high fields, and electron emission from exotic materials, tend ⫺V max), where ⌰(x) is the heaviside step function, then
to compromise the behavior of the transmission coefficient f (E) may be Taylor expanded, and Eq. 共1兲 integrated to yield
used in the derivation of the RLD and Fowler–Nordheim ⬁
共 ⫺1 兲 n⫹1 ⫺n ␤␾
共FN兲 equations. The present inquiry and review keeps those
cases in mind.
J 共 T 兲 ⬇a RLD␤ ⫺2 兺
n⫽1 n
e , 共2兲
The present work will therefore provide a review and

overview the FN and RLD equations, provide a thermal-field where ␾ ⬅V max⫺␮, a RLD⫽mq/(2 ␲ 2 ប 3 ) and a RLD k B2 ⫽A R
emission equation, highlight the consequences of various ⫽120.1735 A/cm2 is the Richardson constant. For thermi-
physical effects on the emission barrier, and provide simple onic cathodes of technological interest, ␤␾ is such that the
models for dealing with tunneling and multidimensionality summation is well approximated by the first term, and the
without untoward numerical complexity. Because many of RLD equation results: Observe that it is exclusively depen-
these models were 共and are兲 developed or applied to the dent on barrier height, not shape, extent, or abruptness, so
analysis of data, they tend to be chosen for the rapidity and the derivation of the RLD equation is independent of
ease with which they can be used individually and in larger whether a rectangular, triangular, or image charge barrier is
simulation packages 共both existing and under development兲 used.
which in general require a large number of current–voltage When the barrier is sufficiently thin, tunneling is signifi-
(I – V) or current density–field (J – F) evaluations as copious cant, and J for a given បk is
parameters are wantonly varied. ប
j k共 x 兲 ⫽ 共 ␺ *⳵ ␺ ⫺ ␺ k⳵ x␺ *
k 兲, 共3兲
2mi k x k
II. FIELD AND THERMIONIC EMISSION:
STANDARD APPROACH where ␺ k (x) is the wave function. The coefficients of the
A. Simple model sinusoidal and exponential terms, of which ␺ k is composed
for regions where the potential is flat, are obtained by match-
A slightly nuanced approach to the FNE and RLD formu- ing ␺ k (x) and ⳵ x ␺ k (x) at the points where the potential
las is given to introduce both terminology and methodology. changes. In matrix form, a rectangular barrier results in
Electrons obey Fermi–Dirac statistics and, so, the probability
that an electron has an energy E is given by f FD(E)⫽1/兵 1
⫹exp关␤(␮⫺E)兴其, where ␤ is the inverse temperature 1/k B T,
␮ is the chemical potential 共alternately, Fermi potential or
冉 1
ik ⫺ik
1
冊冉冊冉
1
r共 k 兲
⫽
1
␬
1
⫺␬
冊冉 e ␬L
␬ e ␬L
e ⫺␬L
⫺ ␬ e ⫺␬L
冊 ⫺1
free energy per electron兲, and E⫽⌺ i (បk i ) 2 /2m. If x is the

direction perpendicular to the surface, then the distribution in
k x of electrons incident on the surface is f FD(E)
⫻ 冉 e ikL
ike ikL
e ⫺ikL
⫺ike ⫺ikL 冊冉冊
t共 k 兲
0
, 共4兲
with the transverse k components integrated out, where t and r are the coefficients of transmission and reflec-
that is, f (k x )⫽(2 ␲ ) ⫺2 兰 dk y dk z f FD(E)⫽ 关 m/( ␲ ␤ ប 2 ) 兴 ln兵1 tion for the wave function, and ␬ 2 ⫽ 关 2m(V max⫺E(k))兴/ប2
⫹exp关␤(␮⫺Ex)兴其. Henceforth, we forgo using the ‘‘x’’ sub- ⬅k2o⫺k2. The transmission coefficient T 关 E(k) 兴 is the ratio of
script and let f (k)⫽ f 关 E(k) 兴 denote the ‘‘supply function.’’ the transmitted current with the incident current, as evaluated
A barrier at the surface prevents the escape of the incident using Eq. 共3兲. In the case of the rectangular barrier, V(x)
electrons: The height is designated V max 共eV兲, and the width ⫽V max ⌰(L⫺x)⌰(x), for which T 关 E(k) 兴 ⫽ 兩 t(k) 兩 2 /k, but
JVST B - Microelectronics and Nanometer Structures
such a serendipitous relation is modified for more complex C. Triangular barrier revisited
potentials. Equation 共4兲 is readily solved, giving Equation 共7兲 vanishes at the barrier maximum, whereas
共2␬k兲 2 T(E) should not. A further difficulty is that Airy functions
T 共 E 共 k 兲兲 ⫽ . 共5兲 can diverge or vanish when the fields become small, making
共 2 ␬ k 兲 2
⫹k o sinh 共 ␬ L 兲
4 2
the usage of Airy functions directly a computational exercise.
When the barrier height is approximately twice the Fermi Elsewhere, it was shown that general potential tunneling
level and the combination ␬ L is large, then T(E) problems are numerically quite tractable and accurately solv-
⬇exp关⫺2␬L兴, anticipating the form commonly encountered able using a modified Airy function approach,24,25 in which
in literature, in that ⫺ln关T(E)兴 is proportional to twice the the basis states are ratios of Zi(c, ␻ ) functions which col-
integral of the momentum under the barrier. Equation 共5兲, lapse into plane waves 共or exponential growth/decay兲 when
however, contains a premonition of things to come: It mim- the field vanishes.
ics the hyperbolic tangent function, and its numerator is en- In the modified Airy function approach, Zi(c, ␻ )
ergy dependent. Expanding ␬ to first order about E⬇ ␮ in ⫽F(c, ␻ ) ␻ ⫺1/4 exp(2c␻3/2/3) and are related to linear com-
exp关⫺2␬L兴, Eq. 共1兲 in the ␤ ⫽⬁ and ␬ LⰇ1 limit may be binations of the Airy functions Ai(c 2 ␻ ) and Bi(c 2 ␻ ), where
integrated to give c⫽⫾1 or ⫾i and ␻ ⫽ 兩 k 2o ⫺k 2 兩 / f 2/3. Transmission through a
potential broken up into a series of linear segments is evalu-
J共 L 兲⫽
4q ␮
␲ ប共 ␮⫹␾ 兲 L
2 2
␾
冉冊冉
2
exp ⫺
2L
ប
冑2m ␾ . 冊共6兲
ated by matching the Zi’s and their first derivatives wherever
a change in slope or potential discontinuity occurs. For the
triangular barrier of Fowler and Nordheim, however, a sim-
If an effective field F is introduced such that L⬅ ␾ /F, then pler approach, based on an approximation to the Zi functions,
Eq. 共6兲 is provocatively close to the FNE 关Eq. 共8兲兴. It is is useful. The approximation is20
rashly 共and correctly兲 surmised that for general tunneling
barriers, J will be strikingly close to Eq. 共6兲 but for changes 1
Zi 共 c, ␻ 兲 ⬇ 关共 c⫹3 兲共 c 2 ⫹1 兲 ⫹2& 共 c⫺1 兲共 c 2 ⫺1 兲兴
in the dimensionless prefixes of (2m ␾ 3 ) 1/2/បF in the expo- 8 冑␲
nent and of q ␮ F 2 / 关 ␲ ប 2 ( ␮ ⫹ ␾ ) 2 兴 in the coefficient.
⫻
exp 冉
2
3
c ␻ 3/2 冊 ,
B. Fowler–Nordheim equation 共 ␻ 2 ⫹ p 2 兲 1/8
Consider now the triangular barrier V(x)⫽ ␮ ⫹⌽⫺Fx 369 2/3

⬅ប 2 ␬ (x) 2 /(2m) treated by Fowler and Nordheim in their p⫽ 3 ⌫ 共 2/3兲 4 ⫽0.516 97, 共9兲
512␲ 2
1928 paper.1 The wave function in a vacuum is a sum of Airy
functions ␺ k (x)⫽C 1 Ai(z)⫹C 2 Bi(z), where z⫽ f ⫺2/3(k 2o where k 2o ⫽2m 关 ␮ ⫹⌽ 兴 /ប 2 , f ⫽2mF/ប 2 , c⫽⫾1, ⫾i,
⫺ f x⫺k 2 ), and f ⬅(2mF)/ប 2 . Solving a matrix equation and where p is an average value such that
similar to Eq. 共4兲 using Airy functions, and keeping only the Zi(1,0) 2 ⫹Zi(⫺1,0) 2 ⬇Zi(i,0)Zi(⫺i,0)⬇Ai(0) 2 ⫹ Bi(0) 2 .
dominant terms gives24 Equation 共9兲, while best for ␻ Ⰷ1, is nevertheless adequate
for all ␻. The derivatives Zi ⬘ are obtained from the Wronsk-
T共 k 兲⫽
4k 共 k 2o ⫺k 2 兲 1/2
k 2o
冉
exp ⫺
4 2 2 3/2
共 k ⫺k 兲
3f o
, 冊共7兲
ian of the Airy functions, and approximated by Zi ⬘ (c, ␻ )
⫽c 3 ( ␻ 2 ⫹ p 2 ) 1/4Zi(c, ␻ ).
Define 共2/3兲 ␻ 3/2⬅ ␪ and ␩ ⫽ f 1/3( ␻ 2 ⫹ p 2 ) 1/4. From
where k 2o ⫺k 2 ⫽ ␬ (0) 2 . Equation 共7兲 corresponds to Eq. 共18兲 equating the wave function and its derivative at x⫽0 in the
of Fowler and Nordheim’s manuscript.1 The arguments of Zi representation,
the exponential terms are from the asymptotic expansion of 4␩k
冋册
the Airy functions, and equivalent to the 兰 ␬ (x)dx, or aver- T 共 E 兲 ⬇T ⌬ 共 E 兲 ⬅ ,
1
age momentum, form, suggested by Eq. 共5兲. As with Eq. 共5兲, 2 ␩ k⫹ 共 ␩ ⫹k 兲 e ⫺ 共 1⫺e ⫺2 ␪ 兲
2 2 2␪
Taylor expand the argument of the exponential about k F2 , 4
evaluate the remaining k-dependent terms in the coefficient 共10兲
at k⫽k F , and evaluate Eq. 共1兲 for ␤ ⇒⬁ to get where 兵 exp(2␪)⫺exp(⫺2␪)/4其 , which results from the use of
Eq. 共9兲, has been modified to 兵 exp(2␪)⫹(1⫺exp(⫺2␪))/4其 to
J共 F 兲⫽
q 冑␮ / ␾
4␲ ប共 ␮⫹␾ 兲
2
冉
F 2 exp ⫺
4
3បF
冑2m ␾ 3 冊 , 共8兲
enforce continuity at E⫽ ␮ ⫹⌽. Equation 共10兲 corrects Eq.
共7兲 at the barrier maximum. Figure 共1兲 demonstrates the per-
formance of Eq. 共10兲 compared to an exact evaluation for
where ␾ is generally identified with ⌽ 共the work function兲. generic metal parameters; also shown are the FN and RLD
Equation 共8兲 is equivalent to Eq. 共21兲 of Fowler and Nord- approximations. T ⌬ (E) remains a good approximation at
heim’s seminal 1928 paper.1 As surmised in the discussion lower work functions, whereas T FN and T RLD do not. A
following Eq. 共6兲, the prefixes change depending on the po- proper thermal-field emission J(F,T) therefore requires
tential profile. T ⌬ (E), as neither T FN nor T RLD adequately accounts for the
J. Vac. Sci. Technol. B, Vol. 21, No. 4, JulÕAug 2003
level, is then given by ␾ ⫽(1⫺y)⌽, where ⌽ is the work

function and y⫽(4QF) 1/2/⌽. A change of variables in
兰 ␬ (x)dx gives
␪共 E 兲⫽
2
ប
x
冑2mFL 3 G ⫺ ,
L 冉冊
G共 s 兲⫽ 冕
0
⬁ cos2 共 ␸ 兲 sin2 共 ␸ 兲
冑s⫹sin2 共 ␸ 兲
d␸, 共13兲
where x ⫾ (E) are the zeros of the integrand 关 V(x ⫾ )⫺E(k)

⫽0 兴 , and L(E)⬅x ⫹ (E)⫺x ⫺ (E). Taylor expanding Eq.
共13兲 about E⬇ ␮ gives rise to the approximation 2 ␪ (E)
⬇b FN /F⫹c FN( ␮ ⫺E)⬅⫺ln关TFN(E) 兴 , where b FN and c FN
FIG. 1. Comparison of Eq. 共10兲 to the exact evaluation of T(E) using the are defined by this relation, though they can be related to the
Airy function approach for generic parameters. Both the FN and RLD equa- elliptical integral functions ␯ (y) and t(y) 共Refs. 24 and 27兲
tions, also shown, are inapplicable at and near the barrier maximum, an
effect which is exacerbated at lower work functions.
via b FN⬇4(2m⌽ 3 ) 1/2␯ (y)/3ប, c FN⬇2(2m⌽) 1/2t(y)/បF.
Application of T FN(E) in Eq. 共1兲 gives the FNE. It is there-
fore shown that
behavior of T(E) near the barrier maximum for warm field
or cool thermal emission conditions for a triangular barrier.
J FN共 F,T 兲 ⫽a FNF 2 exp共 ⫺b FN /F 兲再 ␲ c FN / ␤
冎
sin共 ␲ c FN / ␤ 兲
,
Finally, note that T(E) and ⳵ E T(E) are continuous across the
barrier maximum: While T ⌬ (E) is continuous, ⳵ E T ⌬ (E) suf- J RLD共 F,T 兲 ⫽a RLD␤ ⫺2 exp关 ⫺ ␤␾ 兴 , 共14兲
⫺2
fers a small discontinuity traceable to the value of p embed- where a FN⫽a RLD(Fc FN) . The leading order thermal factor
ded in ␩ rather than to ␪, as ⳵ E ␪ ⫽0 at the apex: This last has been included in J FN , and ␮ c FN is assumed to be large
observation will affect approximations made for more gen- 共though for semiconductors, this need not be so兲. Equation
eral potentials. 共14兲 is the image-charge modified FN and Richardson equa-
tions, equivalent to Eqs. 共33兲 and 共56兲 of Murphy and Good,2
and are the most commonly used forms in literature.
D. Image charge modifications
Rectangular and triangular potentials contain ‘‘abrupt’’
transitions. When the transitions are smooth 共i.e., no discon- III. GENERALIZED THERMAL-FIELD
tinuous changes in V(x) or ⳵ x V(x)), then the wave function EMISSION EQUATION
can be written for E⬎V max as ␺ k (x)⫽R(x)exp兵iS(x)其 for A. Transmission coefficient reconsidered
which j k (x)⫽R(x) 2 关 ប ⳵ x S(x)/2m 兴 , interpretable as the
Equation 共13兲 offers much more in the way of interpreta-
product of the density and the velocity. Schrödinger’s equa-
tion, however, than its trivial usage in Eq. 共14兲: G(s) func-
tion becomes
tions as the dimensionless potential profile factor alluded to
j 2k i in the treatment of the simple barriers, equal to 1/3 for a
4
⫺ ⳵ x j k ⫹⍀ 共 x 兲 ⫽ ␬ 2 , 共11兲 triangular barrier (x ⫺ ⫽0), and decreases as the barrier be-
R R2
comes progressively more humplike. Formulas analogous to
where the ‘‘quantum potential’’ ⍀(x)⫽⫺R ⫺1 ⳵ 2x R was intro- Eq. 共13兲 arise for other, e.g., quadratic, potentials. For field
duced by Bohm.26 For constant current ( ⳵ x j⫽0), and ␺ nor- emission, the methodology remains the same for calculating
malized such that j(x)⬅R 2 ⳵ x S⫽1, Eq. 共11兲 leads to the current density: Linearize ␪ (E) about a suitably chosen
expansion point which need not be ␮, and integrate the re-
S共 x 兲⫽ 冕冑␬ 共 x 兲 2 ⫺⍀ 共 x 兲 dx. 共12兲 sultant T(E) with f (E). The comment about the expansion
point, in addition to the features alluded to in Eqs. 共5兲 and
When ⍀(x) is negligible, as occurs when V(x) is sufficiently 共7兲, constitute the first observations required in developing a
smoothly and slowly varying, then S(x)⬇ 兰 ␬ (x)dx, as an- generalized thermal-field equation. There are three steps:
ticipated from previous discussion. The limits of integration First, generalize Eqs. 共5兲 and 共7兲; second, generalize Eq. 共13兲
are the zeros of ␬ (x), or, equivalently, V(x)⫺E. above the barrier height; and third, when ␪ (E) is Taylor
Consider the classical image charge potential given by expanded, choose the expansion point 共␮ in the FNE兲 to
V(x)⫽ ␮ ⫹⌽⫺Fx⫺Q/x, where Q⫽Q o (K s ⫺1)/(K s ⫹1), correspond, not to the Fermi level, but to the peak of the
Q o ⫽q 2 /(16␲ ␧ o )⫽0.359 991 1 eV nm, and K s is the dielec- emitted distribution T(E) f (E). Consider each of these in
tric constant of the material 共for metals, K s Ⰷ1, for semicon- turn.
ductors, K s ⬇0(10), and for triangular barriers, K s ⫽1). For a transmitted wave with E⬎V max , ␺ k (x) 兩 trans
When E⬍V max , then ␬ ⇒i ␬ and S(x) is equivalent to ␪ (x). ⫽t(k)R(x)exp关iS(x)兴. For incident plane waves, T(E(k))
␾, the difference between the barrier height and the Fermi ⫽ 兩 t(k) 兩 2 /k, and so
4kR 2
T 共 E⬎ ␮ ⫹ ␾ 兲 ⬇ . 共15兲
共 1⫹kR 兲 ⫹ 关 R ⳵ x R 兴 2
2 2
When ⍀(x)⬇0, R(x)⫽ 关 2m(V(x)⫺E)/ប 2 兴 ⫺1/4. Matching

␺ k (x) and ⳵ x ␺ k (x) at x⫽x ⫺ (0) allows one to conclude that,
asymptotically for the classical image charge potential,
T(E)⬇C(E) where
E3
再冋冉冊册冎
C 共 E 共 k 兲兲 ⬇ 2, 共16兲
1 បF x o 2
E 3⫹ ⫺1
2m 8 x⫺
and where x o is the zero of ⳵ x V(x) 关location of the barrier
maximum, or x o ⫽(Q/F) 1/2]. Comparison with numerical re-
sults indicates that Eq. 共16兲 remains a sufficient approxima-
tion for all energies. Regarding the second point, recall that
for the triangular barrier, ␪ (E) and ⳵ E ␪ (E)⫽0 at E⫽ ␮
⫹ ␾ , but for the image charge potential, while ␪ (E) vanishes
at the barrier maximum, ⳵ E ␪ (E) does not, and so continuity
of T(E) at ␮ ⫹ ␾ requires that ␪ (E) be extended for E⭓ ␮
⫹ ␾ . The simplest prescription works well, namely, the lin-
ear extension of ␪ (E) above the barrier, so that for E⭓E o :
␪ 共 E 兲 ⫽ ␪ o ⫹ 共 ⳵ E ␪ 共 E o 兲兲共 E⫺E o 兲 ,
␪ o ⫽3
冑3m
ប
G 共 1/3兲冉冊
Q3
F
1/4
, 共17兲
⳵ E ␪ 共 E o 兲 ⫽⫺
冑3m
9ប 冉冊冉
Q
F3
1/4
45⫺16
G 共 1/3兲冊
G ⬘ 共 1/3兲
,
FIG. 2. 共a兲 Comparison of T q (E) with exact, WKB, FN, and RLD ap-
proaches for the following parameters: ␳ ⫽64.63 #/nm3 , T⫽1200 K, ⌽
where G ⬘ (s)⫽ ⳵ s G(s), G(1/3)⫽0.223 531, G ⬘ (1/3)⫽ ⫽2.0 eV, K s Ⰷ1, F⫽1 eV/nm; 共b兲 Same as 共a兲 but for F⫽0.1 eV/nm.
⫺0.157 924, and E o ⫽ ␮ ⫹ ␾ ⫺(1/2)(FQ) 1/2, chosen such
that x ⫺ (E o )/L(E o )⫽1/3. E o represents a computationally
convenient choice to begin the linear extension of ␪ (E) and
avoids the barrier maximum, where ␪ (E) does not behave as
a polynomial in E. The analytic T(E) for the image charge
potential for all E is then
C共 E 兲
T 共 E 兲 ⬇T q 共 E 兲 ⫽ . 共18兲
1⫹exp兵 2 ␪ 共 E 兲其
Compared to exact results, Eqs. 共16兲, 共17兲, and 共18兲 perform
well, especially at the barrier maximum where T FN , T RLD ,
and even T WKB are lacking, as in Fig. 2, for low work func-
tion conditions at intermediate temperatures and fields.
Which approximation, T q (E) or T ⌬ (E), to use depends on
the triangularity of the tunneling barrier, and is therefore re-
lated to the value of K s . From Fig. 3, where the approxima-
tions are compared to exact results, it is seen that for K s
⬎2, T q (E) is superior, but for K s ⬇1, T ⌬ (E) is superior.
The FN and RLD approximations to T(E) are far more FIG. 3. Curves are labeled by the approximation used and the value of K s .
Comparison of T ⌬ (E) and T q (E) with exact 共Airy兲 results for increasing
amenable to usage than T q (E)—indeed, compared to exact
contributions of the image-charge potential as a function of K s for a ⌽
results, whether Eq. 共18兲 gives a closer correspondence to ⫽2 eV, ␳ ⫽62.27 #/nm3 , and F⫽1 eV/nm. 共a兲 K s ⫽1.1: The exact T(E) is
T(E) than T FN(E) does for field-emission conditions de- well approximated by T ⌬ (E) and poorly approximated by T q (E), commen-
pends on parameters. However, such sentiment detracts from surate with the highly triangular features of the potential; 共b兲 K s ⫽1.5:
the point of developing T q (E). An odd measure of the suc- Neither T ⌬ nor T q gives a full account, but T ⌬ may well be adequate in
thermionic emission as the emitted distribution is sharply peaked about the
cess of the FN and RLD equations is the extent to which they energy corresponding to the barrier maximum ␮ ⫹ ␾ 共this value of K s gen-
are reflexively invoked for parameters outside their domain erally does not occur兲; 共c兲 K s ⫽5: The exact T(E) is well approximated by
of validity. Further, they are lamentable methods to find the T q (E). T WKB(E) is adequate up to the barrier maximum.
FIG. 4. Range of validity of FN and RLD equations for metal-like param-

eters of ⌽⫽4.5 eV, ␮ ⫽5.851 eV. Lines 共1兲 and (2)⫽upper and lower
FIG. 6. Evolution of T(E) f (E) for various fields 共top number兲 and tempera-
limits of FN; Line (3)⫽upper limit of RLD. The lines a, b, and c are from
tures 共middle number兲. The ratio n⫽ ␤ /b is also shown 共bottom number兲. In
Murphy and Good 共Ref. 2兲.
the vicinity of n⫽1, field-like behavior 共emission peaked near Fermi level兲
transitions to thermal-like behavior 共emission peaked near barrier maxi-
mum兲.
energy at which T(E) f (E) is maximum for warm field emis-
sion or cool thermal emission, and as shall be seen, finding own兲. These limits are currently being challenged, as several
the location of that maximum is key to a proper thermal-field examples show: In a photoemission dispenser cathode, the
equation. The FNE is compromised if significant emission desired operational field and temperature are F⬇0.1 eV/nm
occurs near the barrier maximum ( ␤␾ ⭓ᐉ, where ᐉ is a and T⬇300– 900 K for a cathode with ⌽⫽2 eV; Molybde-
number of order unity, here taken as 3兲 or if the slope num Spindt-type tips have been pulsed up to 1 mA/tip
of ln关T(E)兴 approaches the magnitude of the exponential subject to Joule heating (T⬇1000– 1300 K,F
decay of the supply function (c FN⭓ ␤ /ᐉ). Near the ⬇10– 12 eV/nm), as in the experiments of Schwoebel
barrier maximum, ␪ (E)⬇ 关 ␲ L 2 /(8ប) 兴 (2mF/x ⫺ ) 1/2 et al.;29 Emission from wide band-gap materials, such as dia-
⫽ ␲ (m/2) (Q/F ) 关 ␮ ⫹ ␾ ⫺E 兴 . Thus, the RLD equation
1/2 3 1/4
mond, occurs under small fields, low electron affinities, or
becomes invalid when significant tunneling current is both.30
present, or 关 (ប/(2m) 1/2) ␤ F 3/4/( ␲ Q 1/4) 兴 ⭐1/ᐉ. These limits
are shown in Fig. 4 as well as alternate formulations obtained B. Hyperbolic-tangent approximation to T „ E …
by Murphy and Good.2
The limits for the typical operational regimes of various A generalized thermal-field emission computation may
cathode technologies are shown in Fig. 5, though most pho- yield J(F,T) by numerically integrating f (E) with Eq. 共18兲.
tocathodes operate near room temperature 共other cathode Here, we investigate what can be done analytically. For the
technologies exist but do not fit in this tidy partitioning, such analysis of the intermediate 共thermal-field兲 regime, and remi-
as in Refs. 21, 22, and 28, and contain complications of their niscent of the form used by Murphy and Good,2 consider the
hyperbolic-tangent approximation to Eq. 共18兲 where T q (E)
⬇T a (E) and
To
T a共 E 兲 ⫽ . 共19兲
1⫹exp关 b 共 E c ⫺E 兲兴
It may be thought that the factor of unity in the denominator
should be, like C(E), a function of energy, but while re-
placements suggested by T ⌬ (E) perform better than the stan-
dard T WKB(E)⫽exp(⫺2␪(E)) for E⬇ ␮ in some circum-
stances, that finding is not general, and so simplicity
commends the usage of Eq. 共19兲 as it stands. The three pa-
rameters E c , b, and T o are chosen to provide the best fit to
T(E) f (E), where T(E) is approximated by T q (E) or
T ⌬ (E). The behavior of T(E) f (E) for T(E) obtained by the
modified Airy function approach is shown in Fig. 6, and
shows the behavior of the current integrand for various fields
FIG. 5. Regimes of various cathodes compared to FN and RLD limits of Fig. and temperatures, such that J(F,T)⫽1 A/cm2 . The passage
4. Finite-element arrays refers to Spindt-type refractory metal field emitters
共field emission from semiconductors, e.g., silicon, are comparable兲. Photo-
from thermionic emission to field-emission behavior is well
cathodes generally operate in a lower-temperature range. Thermionic cath- characterized by the transition of n⫽ ␤ /b from 0 to ⬁ 共n
odes can operate at higher temperatures at the expense of lifetime. decreases as the peak moves to higher energy兲. ln关T(E)兴 is
equate approximations to the N integrals in the limit that

bE m is large 共a good approximation in practice兲 and n⫽1
are given by
n 关共 n⫹1 兲 n⫹1 兴 ⫺ ␳
N A⫽ e ,
n⫹1
N B⫽
n
2
冑 ␲
N 兵 erf关冑␭ 共 b ␾ ⫺x ␳ 兲兴 ⫺erf关冑␭x ␳ 兴其 ,
␭ g
共22兲
冉
N C ⫽ 1⫺
ne ␳ ⫺b ␾ ⫺bn ␾
n⫹1
e 冊
,
where erf(x) is the error function and arises from approxi-

mating the integrand in Eq. 共21兲 by a Gaussian function
N g exp关⫺␭(x⫺x␳)2兴. To leading order for n⫽1,
FIG. 7. Comparison of T a (E) with T q (E) for same conditions as in Fig. 6 at
J⫽1 A/cm2 showing the performance of the hyperbolic T(E) model of Eq. ln共 n 兲
共19兲. n n 共 1⫺n 兲 1⫺n e ⫺n ␳ ⇐N g ⇒ ,
共 n⫺1 兲 1/n e ␳ ⫹1
nonlinear so the evaluation of b, T o , and E c depends on

1
2
n 共 1⫺n 兲 ⇐␭⇒
共 n⫺1 兲共 n⫺1 兲
冋
2 ln共 n 兲 ln共 n 兲
⫺1 , 册共23兲
where in energy they are evaluated. Let E m denote the en-

ergy for which T(E) f (E) is maximum and let T ⬘
⫽ ⳵ E T(E). Then,
ln 冉冊
n
1⫺n
1
⇐x ␳ ⇒ ln共 n⫺1 兲 ,
n
where the right-hand side is for n⬎1 共field dominated兲, and
T o⫽ 冋
2 共 T ⬘ 兲 2 ⫺TT ⬙
共 T ⬘ 兲 2 ⫺TT ⬙
T, 册 the left-hand side is for n⬍1 共temperature dominated兲.
When n⫽1, then N⬇( ␳ ⫹2)e ⫺ ␳ , a result obtained under the
assumption that ␳ is large 共in general true兲. In contrast,
共 T ⬘ 兲 2 ⫺TT ⬙ N FN⫽e ⫺ ␳ 关 ␲ n/sin(␲/n)兴 and N RLD⫽e ⫺ ␤␾ , so named be-
b⫽2 , 共20兲
TT ⬘ cause their usage in Eq. 共21兲 gives Eq. 共14兲共ignoring T o ),
冉冊
and correspond to the n⫽⬁ and 0 limits of N A and N C ,
TT ⬘ TT ⬙ respectively 共recall ␤ ⫽bn and sin(x)⬇x for xⰆ1).
E c ⫽E m ⫺ ln 1⫺ ,
2 共 T ⬘ 兲 ⫺TT ⬙
2
共 T⬘兲2 The utility of Eqs. 共20兲–共23兲 are predicated on the param-
eter E m , which until now has only been given by using
where T and T ⬘ are evaluated at E⫽E m . E m may be found
T q (E) as an approximation to T(E) and invoking numerical
numerically using, e.g., a bisection search algorithm, but ap-
search algorithms. But if that is so, the motivation for con-
proximations are considered next. The performance of Eqs.
sidering T a (E) at all, aside from its pedagogical value, is
共19兲 and 共20兲 is shown in Fig. 7 for some of the lines in Fig.
undercut. We now investigate the estimation of the param-
6. Equation 共1兲 can then be written as
eters of Eq. 共20兲 by other means, and the performance of the
J 共 F,T 兲 ⫽a RLD 冉冊再冕冋
To
␤2
b␮⫹␳
⫺⬁ e x ⫹1
册冎
ln关 1⫹e n 共 x⫺ ␳ 兲兴
dx
thermal-field emission equation developed from them.
C. Estimation of hyperbolic-tangent T a „ E … parameters
using Fowler–Nordheim and Richardson–Laue–
⬅T o A R T 2 N 共 ⫺⬁,b ␮ ⫹ ␳ 兲 , 共21兲 Dushman terms
where the dimensionless parameters x⫽b(E c ⫺E), ␳ When field emission dominates, T a (E)⬇T FN(E), so that
⫽b(E c ⫺ ␮ ), and n⫽ ␤ /b have been introduced. It is worth b⫽c FN and E c ⬇ ␮ ⫹b FN /(Fc FN). When thermal emission
emphasizing that T o and T(E) are transmission coefficient dominates, T a (E) plateaus at the barrier maximum, so that
terms and not temperatures. In descriptions of J RLD , T o has E c ⬇ ␮ ⫹ ␾ . In between, the estimation of E m is a greater
been referred to as an ‘‘average’’ transmission coefficient:5 challenge. Let u(x)⫽ln兵1⫹exp关n(x⫺␳)兴其/关1⫹exp(x)兴 and
In contrast, here, it is dictated by the best-fit T a (E). define the location of the maximum of u(x) to be x m . It can
Let N be separated into three regions N⫽N(⫺⬁,⫺b ␾ be shown that
⫹ ␳ )⫹N(⫺b ␾ ⫹ ␳ , ␳ )⫹N( ␳ ,b ␮ ⫹ ␳ )⬅N C ⫹N B ⫹N A corre-
xm
sponding to thermionic (E⬎ ␮ ⫹ ␾ ), intermediate E m ⬇E c ⫺ ,
再
( ␮ ⫹ ␾ ⬎E⭓ ␮ ), and field-emission ( ␮ ⬎E) regimes, re- b
spectively. When N A is large, N C is vanishes, and vise versa.
The growth and decline of N B charts the transition from field
to thermionic emission. Figure 7 shows T(E) f (E) for field- x m⫽
⫺ln 冉 1 e ⫺n ␳
n
⫹
n
⫺1 冊兵 nⰆ1 其
共24兲
emissionlike to thermionic emissionlike parameters for T(E) n⫺e ⫺n
␳⫹ 兵 nⰇ1 其 .
calculated exactly as well as approximated by T a (E). Ad- n 共 1⫹e ⫺n 兲
FIG. 8. Evaluation of the position of the maximum of T q (E) f (E) evaluated FIG. 9. Evaluation 关of Eq. 共20兲兴 using E m calculated using numerical search
using numerical search algorithms and using Eq. 共24兲 and its subsequent algorithms 关compared to the same quantities calculated using the methodol-
discussion. ogy of Eq. 共24兲 and its subsequent discussion兴.
current in N as n increases, reflected in the migration of E m

Equation 共24兲 needs to be bootstrapped, as from Eq. 共20兲, E c
to lower energies. Because of the broad region shown, it is
depends on E m . Consequently, in Eq. 共24兲, E c ⬇ ␮
difficult to discern when the conventional approximations
⫹b FN /(Fc FN) for n⬎1 and E c ⬇ ␮ ⫹ ␾ for n⬍1. In practice,
become inadequate: N RLD is within 20% of N C for F
the nⰇ1 result is reasonable for all n⬎1. However, for n
⬍0.153 V/nm, and N FN is within 20% of N A for F
⬍1, the current integrand near the maximum for b⬇ ␤ is
⬎1.1 V/nm. The sum of the N’s is within 50% of the nu-
approximately T o exp兵⫺b(Ec⫺E)⫺␤(␮⫺E)其. For a maxi-
merical integration using T(E), whereas the error is less than
mum to occur, E c ⬇ ␮ and second-order terms must be taken
into account 共a consequence is that the magnitude of the
integrand at E m is dictated by T o —for other values of n, T o
is of order unity—a result of forcing T(E) to be approxi-
mated by Eq. 共19兲 and an indication that T o is not an average
transmission coefficient兲. Numerical evaluations show that
E m (n) has a kneelike structure that cannot be anticipated
from Eq. 共24兲 or iterative methods, the onset of which occurs
at n⬇n o , where n o ranges from 0.5 to 0.8 as the work func-
tion goes from high to low. An ad hoc approach is to set
E c ⬇ ␮ ⫹ ␾ for n⫽n o , and E c ⫽ ␮ for n⫽1, but for n o ⬍n
⬍1, to use a polynomial whose derivatives at the endpoints
are zero, i.e., E m (n o ⭐n⬍1)⫽ ␮ ⫹(3⫺2s)s 2 ␾ , where s
⫽(1⫺n)/(1⫺n o ). A demonstration of the approximation is
shown in Fig. 8, where Eq. 共24兲 is compared to the evalua-
tion of E m using T q (E) and a bisection search algorithm
共‘‘numerical’’兲 compared to the FN–RLD parameter-based
approximation described here 共‘‘analytic’’兲. The ␮ and ␮
⫹ ␾ lines are also shown in Fig. 8. The comparison is seen to
be good. A better indication, however, is the ability of Eq.
共24兲 to predict the values of b, T o , and E c using the FN–
RLD terms and an estimate of the knee parameter n o com-
pared to the numerical approach: From Fig. 9, the agreement
is seen to be reasonable, degrading, albeit not seriously, in
the vicinity of n⬇1. Equation 共20兲 therefore allows for the
estimation of Eq. 共21兲 without recourse to numerical integra-
tion, thereby completing the analytical development. A com-
parison of the numerical integration approach with N⫽N A
⫹N B ⫹N C , as well as N FN and N RLD given in Fig. 10共a兲, FIG. 10. Comparison of the integral component N 关of Eq. 共21兲兴 evaluated
which also shows good correspondence 关recall that N is sim- numerically 关using Eq. 共22兲兴 using the FN and RLD versions, as a function
ply proportional to J(F,T)]. Figure 10共b兲 shows the various of n⫽ ␤ /b, with b approximated by c FN . Because of the thermal term, the
value for N FN becomes negative for fields which are too small. The range of
components of N as a function of n⫽ ␤ /b, with b approxi-
the y axis obscures significant differences in the values of N FN and N RLD
mated by c FN . The odd dip in N C is traceable to the increas- compared to N. 共b兲 Same as 共a兲, but showing the various N components of
ing dominance of tunneling current versus thermally emitted Eq. 共22兲.
5% for F⭐0.3 V/nm and F⭓0.78 V/nm (n⭐0.6 and n strongly in the origins of the work function,36 and its appli-
⭓1.5, respectively兲 using T a (E). Consequently, several cation in recent literature, while computationally intensive,
methods, from purely analytic to mixed analytic/numerical, has achieved considerable success.37 The treatment here will
are available to obtain J(F,T), all of which are well suited to spare the complexity in favor of simpler models which are
simulation algorithms endeavoring to model structures. adequate for the task of identifying minimal changes in the
Comparable findings have been obtained for parameters image-charge potential that account for the quantum effects
characteristic of a field-emitter array, barium dispenser, and in such a manner as to be useful for the multidimensional
LaB6 photocathode parameters. models which follow.
Equations 共21兲, 共22兲, and 共24兲 constitute the sought-after The barrier an electron experiences at the surface of a
analytic thermal-field emission equation, a formulation metal is the sum of three contributions: Many-body effects in
which is valid in the temperature–field regime where neither the guise of the exchange-correlation potential, a dipole po-
the RLD nor the FNE is reliable, but asymptotically ap- tential due to electrons penetrating into a vacuum, and ion
proaches them as n⇒0 and ⬁, respectively. The methodol- core effects due to the metal atoms, or
ogy developed herein has application to interface transport, ⳵
field emitters under hot conditions, thermionic emitters oper- V o ⫽⫺ 关 ␳ ␧ xc 共 ␳ 兲兴 ⫺⌬ ␾ ⫹␧ ion , 共25兲
⳵␳
ated at reduced temperatures, wide band-gap emitters, or
photoemitters for regimes where the FN or Richardson ap- respectively, where ␳ (x) is the electron density as a function
proaches can be inaccurate or misleading and, in particular, of position, and ␧ xc is the sum of the exchange and correla-
appears to be well suited to quadratic and more complicated tion energies, ⌬␾ is the dipole, and further discussion of ␧ ion
barriers.8,31 Rather than deal with nonlinear potentials in gen- is deferred to the literature.24 Just as the density and kinetic
eral, here, two cases shall be dealt with in particular. In the energy per electron of the electron gas can be thought of as
first case, many-body modifications to the image-charge po- averages over the distribution function, as in
冕
tential are incorporated. In the second case, resonant effects
2 ⬁ k F3
can substantially impact the magnitude of the emitted current ␳⫽ f FD共 E 共 k 兲兲 d k⫽
3
,
in a manner which transcends an augmentation of the T(E) 共 2␲ 兲3 0 3␲2
冕
approximations.
2 ⬁ 共 បk 兲 2 3
␧ ke ⫽ f FD共 E 共 k 兲兲 d 3 k⫽ ␮ ␳ , 共26兲
␲
共 2 兲3 0 2m 5
D. Analytical image charge potential
Charge redistributes in materials, primarily by building up so can the exchange energy 共i.e., the reduced probability of
at the surface, to shield out externally applied fields. For finding same-spin electrons near each other兲 be written as an
metals, the process is remarkably efficient due to the high average over the Coulomb term ␯ (k F ): 38,39
number of conduction band electrons: For a hypothetical
case of ␮ ⫽6 eV ( ␳ ⬇6.67⫻1022 #/cm3 ) and T⫽0 K, a slab
of electrons 10 Å deep and 0.83% of the background electron
␧ ex⫽
2
共 2␲ 兲3
冕 ⬁
0
3
␯ q 共 k F 兲 f FD共 E 兲 d 3 k⫽ Q
4 冉冊
3␳
␲
1/3
,
density ␳ ⫽k F3 /(3 ␲ 2 ) at the surface would be enough to

shield out an applied field of 5 eV/nm 共by comparison, even ␯ q共 k F 兲 ⫽ 冕 2Q
q2
␪ 共 k F ⫺ 兩 k⫹q兩兲 d 3 q 共27兲
for a highly doped semiconductor (1019 #/cm3 ), that same
slab would be a factor of 55⫻ greater than the background The correlation energy represents everything else that is hard
density, a discrepancy related to band bending effects which to evaluate 共i.e., higher-order Feynman diagrams兲,38 and is
extend far into the semiconductor32,33—but outside the often unceremoniously dispensed with by a ruse due to
present scope兲. The electron redistribution at the surface oc- Wigner in which
curs over short length scales and is sufficient to keep the
surface at an equipotential everywhere in the presence of a
charged external object to a very good approximation. Clas-
␧ corr⫽⫺
2Q
冉0.876
a o r⫹7.811
, 冊共28兲
sically, such a redistribution is accounted for assuming that though other forms exist.40 The parameter r is a 共dimension-
an equal-in-magnitude but opposite-in-sign charge exists be- less兲 length parameter associated with the density by ␳
low the surface at the same distance as the charged object, ⫽3/关 4 ␲ (ra o ) 3 兴 , where a o is the Bohr radius 共0.0529 nm兲.
i.e., an electron, is outside the surface. The force felt due to For metals, r ranges from 1 to 5, so that the first term in Eq.
that image charge is then ⫺q 2 / 关 4 ␲ ␧ o (2x) 2 兴 ⫽⫺Q/x 2 , im- 共25兲 is on the order of several eV.
plying that the work required to remove the electron to in- The dipole term ⌬␾ generally requires a solution of Pois-
finity is Q/x. Such is the origin of the classical image-charge son’s equation and the enforcement of global charge neutral-
potential. Quantum mechanically, the story is a bit different. ity to make a calculation of its magnitude.41 In keeping with
The potential an electron experiences when interacting the spirit of simple models herein, a more intuitive approach
with a large number of other electrons is a complex many- suffices. The electron density is calculated from a knowledge
body problem that fortunately can be well described by the of the wave function for a given momentum k and the dis-
density-functional theory and recast as contributions to the tribution in k, which is none other than the supply function
one-electron potential energy.34,35 It is a problem that figures f (k), or
where ␭ and x i are determined by fits to Eq. 共31兲共by global

charge neutrality, x i is interpreted as the origin of the back-
ground positive charge兲, but are approximately ␭⫽5/8 and
x i ⬇x o ⫺5/(2k F ). Equation 共32兲 allows for a trivial estima-
tion of the dipole term via solving Poisson’s equation, giving
⌬ ␾ ⬇q 2
␳o
冉冊冕
1
␧ o 4␭ 2 k F2
1
0
ln共 u 兲
1⫹u
du⫽⫺
64␲
225
Qk F . 共33兲
The crudeness of the approximation guarantees that Eq. 共33兲

is qualitative at best—in fact, it overestimates the dipole con-
tribution by comparison to a numerical integration over the
actual density—but it suggests 共as anticipated兲 that the mag-
nitude of ⌬␾ depends on the extent to which the electrons
FIG. 11. Behavior 关of Eq. 共31兲兴 for various values of the chemical potential. penetrate the barrier. Equation 共31兲 constitutes a better model
Higher-energy electrons have a greater penetration into the barrier, but they of the density, from which
冋
account for less of the particle density, so the relative position of the density
does not shift much. 2Q
⌬␾⬇ 共 4⫺ ␲ k F x o 兲 k F x o
xo
␳共 x 兲⫽
1
冕 ⬁
f 共 k 兲兩 ␺ k 共 x 兲兩 2 dk. 共29兲
⫺ 共 1⫺ 共 k F x o 兲 2 兲 ln 冉 1⫹k F x o
1⫺k F x o 冊册 ,
2␲
冉冊
0
84k F x o 17
Consider, therefore, ␺ k (x) for the rectangular barrier de- k Fx i⬇ 4 ln 共 k x 兲 2 , 共34兲
168⫺36共 k F x o 兲 ⫺5 共 k F x o 兲
2
25 F o
scribed in Eq. 共4兲, and E⬍V max for which
though for sufficiently low barriers or sufficiently high fields,
1 ⫺i 共 2 ␸ 共 k 兲 ⫹kx 兲
␺ k共 x 兲 ⫽ 关e ikx
⫹r 共 k 兲 e 兴, numerical methods to solving Poisson’s equation are to be
& preferred.41
It is clear, then, that the exchange-correlation potential
共 ␬ 2 ⫹k 2 兲 sinh共 ␬ L 兲 and the dipole component 共and, though not dealt with here,
r共 k 兲⫽ , 共30兲
冑共 ␬ 2 ⫹k 2 兲 2 sinh2 共 ␬ L 兲 ⫹ 共 2 ␬ k 兲 2 the impact of the ionic core potential兲 are modified depend-
冉冊
ing on barrier height and electron density, as well as the
2 ␬ k cosh共 ␬ L 兲 spatial variation of the density near the surface. Under an
2 ␸ 共 k 兲 ⫽arctan ⫹␲,
共 k 2 ⫺ ␬ 2 兲 sinh共 ␬ L 兲 applied field, both of those quantities vary due to Schottky
where the complex r(k) of Eq. 共4兲 has been separated into lowering of the barrier 共the origin of the y factor in ␾ for the
magnitude and phase in Eq. 共30兲. For a sufficiently large and image-charge potential兲, and the increasing ability of elec-
wide barrier ( ␬ LⰇ1), the magnitude of the reflection term trons to penetrate the barrier. The barrier height is therefore a
r(k) approaches unity and the phase 2 ␸ (k) approaches field- 共as well as temperature兲 dependent quantity. The
⫺x o ⬅1/k o ⫽ប/(2mV max)1/2 共not to be confused with the x o simple aforementioned models are not sufficient to extract
denoting the location of the barrier maximum in the image- the dependence, but numerical simulation suggests that as
charge potential兲. Finally, in the limit of T⫽0 K, Eq. 共29兲 is the field increases, the effective barrier height increases as
readily solved and gives Fx o . 44 From the manner in which the density shifts as a
function of barrier height, shown in the factor of ␨ in Eq.
␳共 x 兲⇒
k F3
3␲2 冋 1⫹3
cos共 ␨ 兲
␨2
⫺3
sin共 ␨ 兲
␨3
, 册共31兲
共31兲, likewise suggests that the origin of the image-charge
potential is not 0, but rather x o . For the image-charge bar-
rier, these effects can be collectively incorporated into an
where ␨ ⫽2k F (x⫺x o ). Representative cases of ␳ (x) are
analytical image-charge model, for which the barrier is given
shown in Fig. 11, and exhibit behavior that persists in more
by
comprehensive approaches.42 The waves are known as Frie-
del oscillations. Precisely the same equation results for the 8
triangular barrier of sufficiently large height and small field. V analytic共 x⬎0 兲 ⫽ ␮ 共 T 兲 ⫹⌽ o 共 T 兲 ⫹ Qk F3 x 2i ⫺F 共 x⫺x o 兲
3␲
To a good approximation, then, the effect of barrier on den-
sity is to simply shift the origin of the density by an amount Q
⫺ , 共35兲
dependent upon the barrier’s height 共but not its shape兲. Also, x⫹x o
to a reasonable approximation, ␳ (x) resembles a hyperbolic-
tangent function,43 so that where ⌽ o is adjusted such that at F⫽0, the experimental
work function is obtained. A comparison with the classical
␳o image charge as well as a self-consistent iterative numerical
␳ e共 x 兲 ⬇ 兵 1⫺tanh关 ␭k F 共 x⫺x i 兲兴其 , 共32兲
2 method described in Ref. 41 is shown in Fig. 12. In evaluat-
FIG. 13. Schematic of the barrier width and height parameters used in the
analysis of resonant contributions to tunneling 关which appear in Eq. 共37兲兴.
FIG. 12. Comparison of the analytical image charge potential to a numerical
冉冊冉冊冉冊
evaluation of the barrier using a simultaneous solution of Poisson’s equation
and Schrödinger’s equation 共as discussed in Ref. 41 for Cesium and Molyb- 1 1 1 1
1
denum兲. Also shown is the classic image charge potential, which is seen to ⫽
⫺ik r共 k 兲 ␬o ⫺␬o
冉冊
underestimate the barrier height in a manner that is more pronounced at high ik
fields.
␬1 1
⫺
2R 共 k 兲 2R 共 k 兲
⫻
R共 k 兲 R共 k 兲
ing the transmission coefficient for Eq. 共35兲, it is clear that 2␬o 2 ␬ 0␬ 1
冉冊
the conventional image-charge methodology can be used if
an effective work function is defined such that sin共 k ␯ ⌬ 兲
cos共 k ␯ ⌬ 兲 ⫺
⫻ k␯
k ␯ sin共 k ␯ ⌬ 兲 cos共 k ␯ ⌬ 兲
8
⌽ 共 F,T 兲 ⫽⌽ o 共 T 兲 ⫹
3␲
Qk F3 x 2i ⫹2Fx o , 共36兲
⫻ 冉 1
␬2 ⫺␬2
1
冊
where x i and x o are themselves field-dependent quantities
共albeit ones which do not vary greatly—for a crude approxi-
mation, it is enough to approximate x o using the classical
image charge potential, and for better accuracy, to iteratively
refine that estimate兲. In the coordinate system x ⬘ ⫽x⫹x o ,
the form of Eq. 共35兲 is the same as the classical image charge
⫻
冉 ⫺i
U共 k 兲
2
⫺
2i
U共 k 兲
1
冊冉 t共 k 兲
0 冊, 共37兲
where k ␯2 ⫽k 2 ⫹ ␦ ␯ ⫺ ␯ ⫹ f L, ␯ ⫽2mV o /ប 2 , ␦␯
potential if Eq. 共36兲 is used. ⫽2m⌬V/ប , and f ⫽2mF/ប . The ␬-terms are indexed by
2 2
region so that ␬ 20 ⫽ ␯ ⫺k 2 , ␬ 21 ⫽ ␬ 20 ⫺ f L, and ␬ 22 ⫽ ␬ 21 ⫺ f ⌬;

further, k 2␯ ⫽ ␦ ␯ ⫺ ␬ 21 , as suggested by the schematic in Fig.
13. The U(k) and R(k) functions represent the asymptotic
limits of the ratios of the Zi functions encountered in Eq. 共9兲
E. Resonant effects constructed according to the dictates of the modified Airy
On silicon field-emitter arrays, oxides can develop on the function approach and are
surface which may, in principle, through the creation of
charged centers in the oxide, affect the emission, as argued
by Shaw et al.45,46 Analogously, enhanced electron transport
U 共 k 兲 ⫽exp ⫺ 冋册4 ␬ 32
3f
; R 共 k 兲 ⫽ 冑␬ 1 ␬ 0 exp 冋 2
共 ␬ 3 ⫺ ␬ 30 兲 .
3f 1 册
共38兲
through diamond materials has been shown to be compatible
with Poole–Frenkel transport mechanism47 which implies The matrix containing the sine and cosine terms in Eq. 共37兲
that resonant effects may exist in the interface barrier. Here, governs the resonance. Constructing T(k) out of the solution
a concise treatment of a simple model of the mechanism and for t(k), much in the same way as done for Eqs. 共4兲 and 共5兲,
its impact is given, greater detail being found elsewhere.25,48 gives a mildly untidy result which can be repackaged as
If the triangular barrier considered by Fowler and Nor- ␬2 G ⌬共 k 兲
dhiem contained a square depression of depth ⌬V and width T共 k 兲⫽ U共 k 兲兩 t共 k 兲兩 2⬇ 2 T 共 k 兲, 共39兲
k ␥ 共 k⫺k res兲 2 ⫹␧ 2 FN
⌬, then the wave function coefficients for the reflected and
transmitted waves are solvable from a matrix equation analo- where T FN(k) is given by Eq. 共7兲 and the terms G ⌬ (k), ␥,
gous to Eq. 共4兲 and are given by k res , and ␧ are defined by Eq. 共39兲关the ‘‘⌬’’ on G ⌬ (k) is to
IV. MODELS OF MULTIDIMENSIONALITY
The conversion of Fowler–Nordheim current density to

emitter current estimates requires, by calculation or infer-
ence, the effective emission area and the local field at the
emission site. Much theory and numerical techniques have
been applied to needles, whiskers, or Spindt-type field emit-
ters: The subsequent terminology reflects these common in-
stances, but should not be taken to preclude other structures.
The most common assumption is that the local field is pro-
portional to an anode, or gate, voltage, and that the emission
area is comparable to scanning electron microscopies of
emitters or extrapolated from I – V data on an FN plot
FIG. 14. Comparison of the ratio of the resonant T(E) 关of Eq. 共39兲兴 with the
关 ln(I/V2) as a function of 1/V], though even such a procedure
triangular barrier T(E) of FN 关in Eq. 共7兲兴 for the following parameters: ␮
⫽0.452 34 eV, ⌽⫽(3.0363⫺ ␮ ) eV, F⫽0.2 eV/nm, ⌬⫽32.205 nm, L is more involved than generally appreciated.7 Numerical
⫽1.7780 nm, m⫽0.2 m o 共effective electron mass兲, K s ⫽5.7 共diamondlike兲, simulations, in a sense the last word, generally apply Eq.
and ⌬V⫽7.7954 eV. 共14兲 to model the emission process and infer the local field
from electrostatic 共e.g., finite-element, boundary element兲
approaches,9,49–55 as a proper account of the full three-
dimensional tunneling process through the emitting surface
distinguish this function from the similar nomenclature used
is formidable.56
in Eq. 共13兲兴 based on the fact that T(k), when plotted, has
In keeping with the theme of simple models, here a few
the appearance of a Lorentzian superimposed upon the
analytically tractable cases are considered which connote the
T FN(k) function. The resonance, or Lorentzian, terms are
flavor of the more extensive treatments and make apparent
more amenable to numerical, rather than analytical, evalua-
the transition from J – F to I – V. The problem can be sepa-
tion. The importance of Eq. 共39兲 is two fold. First, Lorentz-
rated into two parts: The determination of the apex field and
ians with small ␧’s approximate Dirac-Delta functions in in-
the variation of that field over the surface. Though in fact
tegrals, so a considerable increase in current density at the
intertwined, they can be treated as distinct. Apex fields (F tip)
resonant momentum is expected—the value of k res depends
give rise to field enhancement factors, and surface variation
on the width and depth of the well. T(k res) can approach
factors 关 ␨ ( ␪ )⫽F( ␪ )/F tip兴 , once an apex field is specified,
unity: for k res⬍k F , J(F) can increase significantly. Second,
gives effective emitting areas through an integration of the
G ⌬ (k) is given by
J(F) over surface elements. The characteristic field and
冋册
16␯ ␬ 2 ␬ 31 ␬ 20 k 2␯ 4 emitting area are therefore the apex field F tip and
G ⌬共 k 兲 ⫽ exp 共 ␬ 3 ⫺ ␬ 32 兲 . 共40兲
共 ␬ 22 ⫹ ␬ 2␯ 兲共 ␬ 21 ⫹k ␯2 兲 3f 1
The behavior of T(E)/T FN(E) is shown in Fig. 14 for dia- b area共 F tip兲 ⬅
1
J 共 F tip兲
冕
⍀
J 共 F 兲 d⍀, 共42兲
mondlike parameters. The argument of the exponential in Eq.
共40兲 behaves approximately as 2 ␬ 3 ⌬, where ␬ 3 corresponds
to the midpoint of the well, or ␬ 23 ⫽ ␬ 20 ⫺ f 关 L⫹(⌬/2) 兴 ; there- where ⍀ represents the surface, and d⍀ is the differential
fore G ⌬ (k) acts like a Wentzel–Kramers–Brillouin 共WKB兲- surface area. As Forbes has shown, b area so defined underes-
type factor accounting for the part of the barrier excised by timates the actual area over which emission is significant,
the well. Consequently, J(F) is composed of two parts. The and so a distinction is made by Forbes et al., between the
first is J FN(F) augmented by a coefficient G ⌬ (k F ). The sec- notional area 关given in Eq. 共42兲兴, and the characteristic area,
ond will resemble the integrand of Eq. 共1兲 integrated with a which is a factor of exp共1兲 larger.27
Dirac-Delta function at the resonant momentum, or A. Anode fields
kF For a flat anode at voltage V a separated by a distance D

J 共 F 兲 ⬇G ⌬ 共 k F 兲 J FN共 F 兲 ⫹ G 共 k 兲共 ␮ from an emitter surface of radius a, different estimates of F tip
4 ␲ 2 ␥ ␧ ⌬ res
and ␨共␪兲, where ␪ is a polar angle characterizing the spherical
⫺E 共 k res兲兲 exp ⫺ 再冋 b FN
F
1⫹
3 共 ␮ ⫺E 共 k res兲兲
2⌽ 册冎 . 共41兲
surface, result as a consequence of assuming that the sphere
is either embedded in a plane 共hemisphere兲 or is free floating.
It is an elementary problem in electrostatics to show that the
The nm2-scale dimensions of the Coulomb potential may field at the surface for the bump on plane with boundary
therefore not be enough to offset the many orders of magni- conditions V(a, ␪ )⫽0 and V(D⫹a,0)⫽V a is given by
tude increase in J(F) due to both the resonant and nonreso- F( ␪ )⫽3F o cos(␪), where F o ⫽(V a /D) 兵 (D⫹a) 2 / 关 D 2
nant terms, and a nontrivial impact on overall current from a ⫹3a(D⫹a) 兴其 , which shows a strong ␪ dependence. In con-
given area, e.g., from adjacent sites in diamond or sites in the trast, for free-floating sphere, the field at the surface is to
oxide on a silicon emitter, may be expected. leading order in 关 1⫺cos(␪)兴:
F共 ␪ 兲⫽
D 冋
V a 4D 2 ⫹4Da⫹2a 2 2a 共 D⫹a 兲共 D⫹2a 兲
2a 共 2D⫹a 兲
⫺
共 2D⫹a 兲 3 V L 共 ␳ ,z 兲 ⫽
q␭
2␲␧o
冕 ⫺L
L dz ⬘
冑␳ 2 ⫹ 共 z⫺z ⬘ 兲 2
⫻ 关 1⫺cos共 ␪ 兲兴 , 册共43兲 ⫽
q␭
ln 冋
u 共 ␳ ,z 兲 ⫹L
2 ␲ ␧ o u 共 ␳ ,z 兲 ⫺L
, 册共45兲
which is weakly dependent on ␪ and approaches V a /a for

(a/D)Ⰶ1. Modern conical emitters lie between these ex- where the functions u and ␷ are related by u( ␳ ,z)⫾ ␷ ( ␳ ,z)
tremes, which serves to warn that surfaces even far from the ⫽ 关 ␳ 2 ⫹(L⫾z) 2 兴 1/2, q is the electron charge, and ␭ is the
emission site do matter. charge per unit length of the line charge 共recall that V L is
One class of geometrical surfaces which model conical measured in eV兲 determined from boundary conditions. The
emitters with a fair degree of correspondence are the prolate- equipotential lines are given by u⫽constant. The surface is
spheroidal models57– 61 in which the emitter is approximated characterized by V L 关 u( ␳ ,z( ␳ )) 兴 ⫽0, for which z( ␳ )⬇z o
by either a hyperboloid or ellipsoid of revolution. An advan- ⫺( ␳ 2 /2a) near the apex. The apex field is then given by
tage is that F tip and ␨共␪兲 are immediately discernable, allow- F tip⫽⫺ ⳵ z V(0,z⫽z o ).
ing for an estimation of b area and tip current (I tip). A disad- An ellipsoid embedded in a plane and subject to a back-
vantage is that the anode distance D and apex radius a s 共as ground field is, analogous to the hemisphere model, given by
well as cone angle ␤ c for hyperbolas兲 are not independent, V( ␳ ,z)⫽V L ( ␳ ,z)⫹F o z such that V(0,z o )⫽0 and V(0,z o
whereas experimentally, they most certainly are, and that the ⫹D)⫽V a . The combination of boundary conditions and
introduction of a gate involves some trickery.62 Nevertheless, definition of apex radius a leads to the conclusion
the generally rapid falloff of field with polar angle ␪ 共or
cylindrical radius ␳兲 allows for Eq. 共43兲 to be well approxi- 1
z o ⫽ 共 a⫹ 冑4L 2 ⫹a 2 兲 , 共46兲
mated by analytical formulas. For example, when J(F) 2
⬇J FN(F) then to leading order, the area factors for hemi-
spherical, ellipsoidal, and hyperbolic emitters are24 for which the apex field becomes
⫹4F tip兲 ⫺1
冋册
冦
o
共 b FN hemisphere Lz o
F tip⫽F o 1⫺ , 共47兲
o
共 b FN ⫹F tip兲 ⫺1 ellipsoid 共 z o ⫺L 兲 Q 0 共 L/z o 兲
2 2
b area共 F tip兲 ⫽2 ␲ a s2 F tip
cos2 ␤ c
hyperbola, where Q 0 (x)⫽(1/2)ln关(1⫹x)/(1⫺x)兴 is a Legendre polyno-
o
b FN ⫹F tip sin2 ␤ c mial of the second kind. While there are analogies between
共44兲 the line charge and the hemisphere, the L⫽0 limit of Eqs.
o
where b FN ⫽(2m⌽ 3 ) 1/2兵 ␯ (y o )⫹3t(y o ) 其 /(3ប), and y o 共45兲 and 共47兲 do not reproduce the hemispherical results, as
⫽(4QF tip) /⌽. Notice the trend that the greater
1/2
the curva- the equipotential lines are not spherical but are blunted for
ture, the smaller the area factor, in keeping with expectation. z⬎0 共e.g., the field enhancement is a factor of 2 for Eq. 共47兲
Two observations are important. First, the area factor is field for L⫽0, but a factor of 3 for a hemisphere兲. In the opposite
dependent, scaling approximately linearly with F tip . Second, limit of (L/a)Ⰷ1,
␨共␪兲 is determined by the apex geometry of the emitter: That
is, the insertion of a gate 共or other structures兲 primarily af-
fects F tip , but Eq. 共44兲 remains a reasonable estimate of b area
F tip⬇
V anode
D⫹L 冋
1⫹
2L
a ln共 4L/a 兲
. 册共48兲
once F tip is known. F tip is generally on the order of 10% of
o
b FN , so the three terms in Eq. 共44兲 are close in value. When the anode is nearby, a line charge plus its image re-
flected in the anode plane provides better correspondence.
The potential is
冋冉冊冉冊
B. Ellipsoidal model for apex field
L L
In keeping with the emphasis on elementary models V 共 ␳ ,z 兲 ⫽2V o Q 0 ⫺Q 0
u 共 ␳ ,z 兲 u 共 ␳ ,2D⫹L⫺z 兲
冉冊冉冊册
herein, a different approach shall be given rather than the
orthogonal coordinate system primarily used in literature. L L
⫹Q 0 ⫺Q 0 , 共49兲
The generalization of a point charge is a line of charge, the zo 2D⫹L⫺z o
equipotentials for which are ellipsoids. Three length scales
characterize the analysis: L is the separation from the origin where V o is such that at V(0,D⫹z o )⫽V anode 关for conve-
to one end of the line charge 共the line is 2L in length兲; D is nience, the anode is assumed to be planar, but this need not
the minimum separation between the V⫽0 equipotential be the case: Eq. 共49兲 can treat a curved anode, but then D is
modeling the emitter and the V⫽V a anode plane; and finally, smaller than the tip-to-anode separation, and corresponds to
a is the radius of curvature at the apex of the equipotential the distance between the tip and the flat equipotential line
for V⫽0 that approximates the emitter. The potential in cy- between the anode and tip兴. The apex field and its asymptotic
lindrical coordinates for a line charge is form are then
F tip⫽2V o 冉共
L
2D⫹z o兲
2
⫺L 2⫹
L
共 o 兲 ⫺L 2
z 2 冊
⇒2 冉 1
⫹
L
冊
V anode
a 4D ln共 4L/a 兲
2 , 共50兲
where z o⬘ ⫽2D⫺z o . The ratio of Eq. 共50兲 to Eq. 共48兲 is ap-

proximately (D⫹L)/L, indicating that the free-floating el-
lipsoid can have a substantially higher field.
The introduction of a gate, as in a Spindt-type field-
emitter array, changes the relationship between the dominant
voltage 共i.e., the influence of the gate potential on F tip is far
greater than the anode兲 and the apex field. Nevertheless, the
machinery of the diode models can be retained for the esti-
mation of area factors and total emitted current if a suitable FIG. 15. Long-term data taken for a ZrC-coated molybdenum array subject
approximation to the apex field may be found. It has been to a pressure spike and its subsequent performance for the 50 000 tip field-
emission array labeled ‘‘1089F’’ 关and characterized in Ref. 74兴. Gate voltage
shown elsewhere11,62 that Eq. 共50兲, combined with a suitable was held at approximately 90 V, gate radius was 450 nm, Temperature was
model of the gate structure, leads to the approximation 300 K, and cone angle was 15°. FN I(V)⫽A FNV 2g exp(⫺BFN /V g ) found to
冉冊
be A FN⬇422 ␮ A/V2 and B FN⬇697 V.
␲ Vg
再冎
F tip⬇ ⫺tan2 ␤ c ;
ln共 ka g /a s 兲 as 1 1
L 共 a; ␮ , ␴ 兲 ⫽ exp ⫺ 关共 ln共 a/ ␮ 兲兲 2 兴 ,
k⬇
1
54
86⫹
ag
as 冉
cot共 ␤ c 兲 ,冊共51兲
冑2 ␲␴ a 2␴2
where the log–normal distribution has been used for conve-
nience, in which ␮ represents the mean emission site radius
where a s and a g are the apex and gate radii, respectively, ␤ c 具 a s 典 , and ␴ is the spread factor. ⌺ a ⭓1 by virtue of I tip( ␮ ) in
is the cone angle of the hyperbolic emitter, and V g is the gate the denominator—the array is characterized by the average
potential for a class of Spindt-type emitters characteristic of radius, not the minimum. The product of the statistical fac-
rf devices. As with the diode models, the apex radius has the tors varies, to leading order, linearly with voltage, so that for
greatest impact on F tip . an array, I array(V)⬇A V 4 exp(⫺B/V), which indicates that the
general procedure of inferring emission area, work function,
or field enhancement from array current has some difficulties
C. Current fluctuations from an array of emitters in interpretation.67
We now turn to a particular application of the statistical
The current from a single emitter is approximated by the hyperbolic model suggested by emission noise. A number of
product of the b area(F tip) and the apex current density fluctuating events with differing time scales gives rise to the
J(F tip). The usual approximation F⬇ ␤ g V relating apex field ‘‘flicker noise’’ in the current observed under constant volt-
to voltage is seen to be reasonable from the geometric mod- age conditions. Causes include: The adsorption and desorp-
els, but I tip varies approximately as AV 3 exp(⫺B/V). An ar- tion of contaminants 共even at a high vacuum兲; sputter dam-
ray of emitters will contain a distribution of emission site age due to ion impact;14 thermal-field forming effects;68
radii: The distribution has been modeled by both grain boundaries and the interplay with contaminants;69
log–normal63– 65 and Rayleigh distribution,61 which are simi- nanoprotrusions oscillating between metastable states or
lar in appearance. Separately, adsorbates will collect on an sputtered off;70,71 and the oscillation of sites characterized by
emitter surface, causing a variation in work function. A high geometrical field enhancement, low work function, or
model of these effects for an array then takes the form25,66 some combination of the two.72 While many of these pro-
I array共 V g 兲 ⫽N tips⌺ a 共 V g , ␮ , ␴ 兲 ⌺ ␾ 共 V g ,⌬ 兲 b area共 F tip兲 J 共 F tip兲 , cesses are rapid, the diffusion phenomena, in particular, have
numerous time scales of sufficient length that fluctuations in
共52兲 current occur in the seconds-to-hours regime. Here, we focus
where all quantities are evaluated for the mean radius 具 a s 典 . on the intersection of that case with the emission models.
The adsorbate statistical factor is Experimental data from the evaluation of the performance
of Mo and ZrC/Mo cathodes in oxygen environments 共devel-
⌺ ␾ 共 P 兲 ⫽ 关 P o ⫹ P exp共 ⫺ ␣ ␾ ⌬⌽ 兲兴 / 共 P o ⫹ P 兲 , 共53兲 oped by SRI, coated by LRI, and characterized at JPL in a
program to develop field-emitter arrays for satellites in low
where P is the vacuum pressure, ␣ ␾ ⫽⫺ ⳵ ␾ ln关Itip(⌽) 兴 , and
Earth orbit environments兲 are shown in Fig. 15. The data
the values ⌬⌽⬇0.5 eV and P o ⫽0.01 ␮ Torr are reasonably
have been analyzed64 and the fluctuations found to be com-
generic. The ⌺ a statistical factor is
patible with the diffusion models suggested by Kleint.73 The
⌺ a共 V g , ␮ , ␴ 兲 ⫽
1
I tip共 ␮ 兲
冕
0
⬁
L 共 a; ␮ , ␴ 兲 I tip共 a 兲 da,
pressure spike is correlated with a degradation in perfor-
mance, in keeping with the expectation that sputter damage
principally affects the dominant emitters, commensurate with
共54兲
the statistical modeling. Application of a statistical gated hy-
perbolic emitter model suggested that at the voltages at

which the array was operated, a small percentage of emitters
dominated the current. Consequently, fluctuations in those
emitters should dominate the noise spectrum.
The emission will be strongly skewed in Eq. 共54兲 to
smaller emission sites because apex fields are inversely pro-
portional to the apex radius, an effect exacerbated at lower
fields because of the rapid decline in I tip . For parameters
which describe an array that produces between 10–200
mA/cm2 at a gate potential of approximately 60 V 共such
parameters mimic arrays for low-voltage operation in oxygen
partial pressures as required by the space-based
applications,74 but generally have larger geometries and
greater tip-to-tip spacing than those designed for rf applica- FIG. 16. Single tip hyperbolic model showing fluctuations in tip current for
tions兲, 21% of the emitters are predicted to be responsible for a small site changing by ⌬⌽. Assumed parameters: ⌽⫽4.4 eV, ⌬⌽
⫽0.5 eV, ␮ ⫽5.8692 eV, a s ⫽4 nm, a g ⫽500 nm, ␤ c ⫽15°, T⫽300 K
96% of the current at 60 V, whereas 43% contribute at a gate 共model parameters for array data shown in Fig. 15兲. At a gate potential of
voltage of 90 V. Conversely, if the sharpest 0.12% of the 86.81 V, F⫽7.522 eV/nm, I tip⫽10 ␮ A, and b area⫽12.36 nm2 . The size of
emitters at 60 V are sputter damaged, a change in current of the fluctuating site was assumed to be 0.5027 nm2 (radius⫽4 Å).
⫺13% results, whereas at 90 V, the current changes by only
⫺3.5%.
When the tips are not damaged, but contain a site in sponsible. The fluctuations in Fig. 16 are smaller than the
which the work function changes, as occurs for diffusion single tip estimates given herein, but of such a magnitude
related phenomena, a change in tip current can be estimated that it is clearly inferred that the fluctuations originate with a
under the assumption that one kind of center contributes to small number of tips which dominate the current, a finding
the current and the other kind does not. Let I(⌽) denote the commensurate with the statistical analysis and reflective of
initial 共tip兲 current prior to the change in work function due experimental expectation. When field emitters of analogous
to diffusion of admolecules, and I(⌽⫺⌬⌽) the current after. geometry are conditioned to ensure that a greater proportion
On the apex of the emitter, the emission area changes with of individual tips contribute and are driven harder for higher
field. On a given emitter tip, if a change in work function current levels, as required by next generation power tube
from ⌽ to ⌽⫺⌬⌽ occurs over an area ␲ r 2o , then crudely amplifiers12,13 the fluctuations apparent in Fig. 16 are greatly
⌬I
⬇
␲ r 2o
冉冊
⌬J
I tip b area共 ⌽,F tip兲 J
, 共55兲
reduced75 again commensurate with the expectation based on
Eq. 共55兲.
where variation in b area is ignored, and to leading order,
冋冉
V. CONCLUSION
J 共 ⌽⫺⌬⌽ 兲 ⫺J 共 ⌽ 兲 3b FN 1
⫽exp ⫹ The present article has endeavored to provide an introduc-
J共 ⌽ 兲 2F⌽ ⌽
tion to the FN and RLD equations for electron emission us-
⫹
8␣c
3
冑冊册
2m
⌽3
⌬⌽ ⫺1, 共56兲
ing simple models of transport and emission. Based on those
models, extensions to the FN and RLD equations are sug-
gested: A representative, but not exhaustive, sampling of
where the first 共dominant兲 term in the exponential was found modifications 共ranging from image-charge modifications,
by Kleint, ␣ ⫽1/137.036 is the fine structure constant, and c thermal and many-body effects, etc.兲 which affect the FNE
is the speed of light. ⌬⌽ can be several tenths of an eV, and its performance were then developed to show how the
indicating that ⌬J/J can be substantial. FNE should be modified and augmented. A one-dimensional
The field dependence of b area indicates that fluctuations emission barrier incorporating these effects, introduced as
due to diffusion and other flicker noise sources are larger as the analytical image-charge model, was given. The T(E)
F decreases. If J FN from Eq. 共14兲 is used to model current analysis upon which the FNE is based was then updated and
density and the hyperbolic term from Eq. 共44兲 is used to examples showed how the analysis should be modified when
model the area factor, then for a single mean radius tip op- emission is concentrated near the barrier maximum. Such a
erating at 1 ␮A (V g ⬇89 V) the apex field is 0.587 eV/Å and region generally falls between the FN and RLD equations,
b area⫽2106 Å 2 . A site r o ⫽2.56 Å would cause a fluctuation but is one which is increasingly being probed by modern
in current of 10% for ⌬⌽⫽0.5 eV. For the same tip produc- electron sources, e.g., photoemission, high-field and warm
ing 1 nA, (V g ⫽57 V, F tip⫽0.378 eV/Å, b area⫽1319 Å 2 ), emission conditions, and so on. In the spirit of the FNE,
the same site would cause a fluctuation in tip current of 42%. analytic models of multidimensionality were introduced to
The effect is seen in Fig. 16. The magnitude of the fluctua- show how field enhancement factors and area factors natu-
tions in the array current can be expected to be larger at rally emerge from the FN analysis. The multidimensional
lower current levels, as a smaller subset of emitters is re- methodology was applied to the case of emission noise from
an array, as an understanding and modeling of that case con-

24
K. L. Jensen, Vacuum Microelectronics, edited by W. Zhu 共Wiley, New
York, 2001兲, Chap. 3.
cisely utilizes many of the models considered in the present 25
K. L. Jensen, Ultramicroscopy 95, 29 共2003兲.
article. 26
D. Bohm and B. J. Hiley, Nuovo Cimento 52, 246 共1979兲; see also D.
Bohm, B. J. Hiley, Phys. Rev. Lett. 55, 2511 共1985兲. The ‘‘constant cur-
rent’’ condition discussed herein is obtainable from their Eq. 共2兲.
ACKNOWLEDGMENTS 27
R. G. Forbes and K. L. Jensen, Ultramicroscopy 89, 17 共2001兲.
28
Many colleagues have had considerable impact in the de- Y. Modukuru, M. Cahay, H. Kolinsky, and P. Mumford, J. Appl. Phys. 87,
3386 共2000兲.
velopment and application of models and ideas contained 29
P. R. Schowebel, R. T. Olsen, J. A. Panitz, and A. D. Brodie, J. Vac. Sci.
herein over many years. In particular, the author would like Technol. B 18, 2579 共2000兲.
to thank P. O’Shea, D. Feldman, and T. Antonsen 共UMD兲; J. 30
J. Robertson, J. Vac. Sci. Technol. B 17, 659 共1999兲.
Yater, J. Shaw, A. Shih, and R. Parker 共NRL兲; C. Marrese,
31
R. G. Forbes and K. L. Jensen, Ultramicroscopy 89, 17 共2001兲.
32
A. Chbihi, M. Dupont, J. Gardès, Z. Jaber, and M. Querrou, Nucl. In-
M. Kodis, and J. Polk 共JPL兲; M. Cahay 共U. Cincinnati兲; C. strum. Methods Phys. Res. A 404, 437 共1998兲.
Brau and C. Boulware 共Vanderbilt U.兲; D. Whaley 33
K. L. Jensen, Y. Y. Lau, and D. McGregor, Solid-State Electron. 45, 831
共Northrop兲; C. Spindt and I. Brodie 共SRI兲; P. Schwoebel 共U. 共2001兲.
New Mexico兲; W. Mackie and F. Charbonnier 共Linfield兲; D.
34
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E. Zaidman 共FMT兲. The author would like to thank the Or- gamon, Oxford, 1996兲.
37
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40
See Eq. 共40兲 of K. L. Jensen Vacuum Microelectronics, edited by W. Zhu
in Electronics and Applied Physics 共IREAP兲 for hosting a
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sabbatical while this review was undertaken. 41
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42
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W. P. Dyke and W. W. Dolan, Advances in Electronics and Electron For a more extended discussion of the temperature and field variation of
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S. G. Christov, Phys. Status Solidi 17, 11 共1966兲. W. Zhu 共Wiley, New York, 2001兲, Chap. 3.
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47
8
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50
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69
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