THE 0 R Y 0 F SPA C E - C H A R G E - LIM IT ED EM ISS ION IN GAS D I 0 DES 2581

approach which is the basis of the present theory.

Under these circumstances it is felt that the treatment
previously described
1
is more applicable. This earlier
analysis shows that the final drift velocity is propor-
tional to the square root of the electric field strength
and this also results in an experimentally verified J vs
V! relation.
The theoretical relation showing the variation of
anode current, at constant anode voltage, with gas
pressure is shown in Fig. 4. The argon curve shows that
the anode current at a given anode voltage varies in-
versely with pressure from 40 to 700 Torr. In neon-
filled diodes the theory indicates the current varies as
p-a where 0.5 <a < 1.0. Our attempts to experimentally
distinguish the correct J vs p-a(0.5 ~ a ~ 1.0) for the
different gases were not successful. Scatter in the ex-
perimental data did not permit a unique determination
of the proper functional relation.
ACKNOWLEDGMENTS
The author thanks Dr. H. J. Bowlden for his sug-
gestions, and R. Moyer for his help in obtaining the
computer data.
JOUR:"fAL OF APPLIED PHYSICS VOLUME 34. NUMBER 9 SEPTEMBER 1963
Electric Tunnel Effect between Dissimilar Electrodes Separated
by a Thin Insulating Film
JOHN G. SIMMONS
Burroughs Corporation, Burroughs Laboratories, Paoli, Pennsylvania
(Received 4 March 1963; in final form 15 April 1963)
The theory of the electric tunnel effect has been extended to asymmetric junctions-i.e., junctions having
electrodes of different materials. It is found that the J-V characteristic is polarity-dependent. At lower
voltages, the greater current flows when the electrode of lower work function is positively biased, in agree-
ment with observations on junctions having one aluminum electrode. At higher voltages, there is a change
in direction of rectification; i.e., greater current flows when the electrode of lower work function is negatively
biased. This effect has also been experimentally observed.
I. INTRODUCTION
W
HEN two electrodes are separated by a suffi-
ciently thin insulating film, current can flow
between the two electrodes by means of the electric
tunnel effect.
1
Sommerfeld and Bethe
2
were the first to
make a theoretical study of this phenomenon for very
low and high voltages; later, Holm
3
extended the theory
to include intermediate voltages. These authors re-
stricted their studies to similar electrodes, wherein the
current-voltage characteristic of the junction is inde-
pendent of the polarity of the voltage applied to the
electrodes. In recent years, there have been many con-
tributors to the theory, including Bardeen,4 Harrison,5
Stratton,6 and the author.
7
This paper extends the theory to include the more
general case of electrodes having dissimilar work func-
tions, using the generalized formula developed by the
author.
7
In this case, it is found that the current-
voltage characteristic of the junction is dependent upon
the polarity of the voltage applied to the electrodes.
1 J. C. Fisher and 1. Giaever, J. App!. Phys. 32, 172 (1961).
2 A. Sommerfeld and H. Rethe, Handly/uh der Physik, edited by
H. Geiger and K. Schell (Julius Springer-Verlag, Rerlin. 1933),
Vo!' 24/2, p. 450.
3 R. Holm, ]. App!. Phys. 32, 569 (1961).
4 J. Bardeen, Phys. Rev. Letters 6,57 (1961).
5 W. Harrison, Phys. Rev. 123,85 (1961).
6 R. Stratton, J. Phys. Chern. Solids 23, 1177 (1962).
7 J. G. Simmons, J. App!. Phys. 34, 1793 (1963).
II. NOTATION
m = mass of electron
e = charge of electron
h = Planck's constant
s = thickness of insulating film
sl,s2=limits of barrier at Fermi level (classical turning
points)
t!.s =S2-S1
J 1 = current density of current flowing from electrode
1 to electrode 2
J 2 = current density of current flowing from electrode
2 to electrode 1
V = voltage across film
Vi = image potential
71
= Fermi level
1/;1 = work function of electrode 1
1/;2 = work function of electrode 2
<PI = barrier height at the interface of electrode 1 and
the insulator
<P2 = <Pl+t!.<p= barrier height at the interface of elec-
trode 2 and the insulator
t!.cp = <P2- <PI =1/;2-1/;1
EO = permittivity of free space
K = dielectric constant
fT = tunnel resistivity (Q-cm2)
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2582 JOHN G. SIMMONS
INSULATOR
CONlJCTION
BAND
'" '"
cf>
=::.,,-(::
."
ELECTRODE 1 INSULATOR ELECTRODE 2
(0)
(b)
FIG. 1. Energy diagram of potential barrier between
(a) similar electrodes, and (b) dissimilar electrodes.
III. CONVENTION
For convenience, the following convention is adopted:
any electrical characteristic (Iv V, (TV V, etc.) is de-
scribed as the forward characteristic when the electrode
of lower work function is positively biased, and as the
reverse characteristic when the electrode of lower work
function is negatively biased.
In all of the figures, the reverse direction is depicted by
full curves and the forward direction by chain-dotted
curves. In cases where it is difficult to discern between
forward and reverse directions, the full curve only is
shown.
IV. POTENTIAL BARRIERS IN TUNNEL JUNCTIONS
When two electrodes are separated by an insulating
film, the current flow between the electrodes is impeded
by the potential barrier that exists in the insulator film.
If the electrodes are similar, the potential barrier is
symmetric. [See Fig. 1 (a).] Sommerfeld and Bethe,2
and Holm
a
carried out their analysis for this type of
junction. Simmons
8
has shown that if the electrodes are
dissimilar, an intrinsic field Fiexists within the insulator.
This field arises as a result of the contact potential
difference that exists between two electrodes of different
work function, and is given by
(1)
where e is the charge of the electron, and s is the thick-
ness of the insulating film. The effect of this field is to
produce an asymmetric potential barrier, the barrier
heights differing by if;2-1/II. Thus, if <,01 is the barrier
height at the interface of electrode 1 and the insulating
film, then the barrier height <,02 at the interface of elec-
trode 2 and the insulating film is given [Fig. 1 (b)] by
<,02= <,01+ (1/;2-1/;1) = (2)
It is this type of junction that is considered in this paper.
Electronic current can flow through the insulating
region between the two electrodes if: (1) the electrons
in the electrode have sufficient thermal energy to sur-
mount the potential barrier and flow in the conduction
band, (2) the barrier is thin enough to permit penetra-
tion by the electric tunnel effect.
The analysis is restricted to low temperatures, so
that any thermal contribution to current flow can be
neglected.
V. THE TUNNEL EQUATION
It has been shown
7
that the relationship eXlstmg
between the current density] and voltage in a tunnel
junction having similar electrodes is given by
] =]o{ ip exp( - A ipt)_ (ip+eV)
Xexp[ -A (ip+eV)!J), (3)
where ip is the mean value of the barrier height above
the Fermi level of the negatively biased electrode, V
is voltage across the film, and
and
] 0= [e/ (27rh)} [1/
A = [(
(4)
(5)
13= 1-[1/ f8
2
[<,O(x)- ip ]2dx, (6)
81
where m is the mass of the electron, and h is Planck's
constant.
Low Voltages: V'-""'O
For low voltages, (3) reduces to
]=hiplV exp(-Aipi),
where
.T L= {[(2m)!]/ (e/h)2.
(7)
In deriving (3), it was assumed that the density of
8 J. G. Simmons, Phys. Rev. Letters 10, 10 (1963).
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E LEe T RIC T l' NNE L E F FEe T BET WEE N DIS S I MIL ARE LEe T ROD E S 2583
states in momentum space in both electrodes is constant
and independent of energy; this premise, a consequence
of the Sommerfeld free electron theory, permits us to
extend the generalized theory to include the case of dis-
similar metal electrodes-in particular, to electrodes of
the monovalent or noble metals.
VI. TRAPEZOIDAL BARRIER
Initially, we neglect the image potential. Thus, the
potential barrier between the electrodes is trapezoidal
in shape;as shown in Fig. 1(b).
Low Voltages: V'"'-'O
At very low voltages [Fig. 1(b)],
ip= (IPI+1P2)/2.}
As=s.
Substituting (8) in (7) yields
J = (e
2
/ sh
2
)[m( IPI+ 1P2)]W
(8)
Xexp[ - (41rs/h)m
l
( IPI+ 1P2)1]. (9)
Equation (9) expresses J as a linear function of V; that
is, the junction resistance is Ohmic.
Intermediate Voltages: 0< V::; 9'/ e
Since the barrier is asymmetric, it is necessary to
study the current flow in either direction.
Consider first the current flowing from electrode 1 to
electrode 2-that is, in the reverse direction. The
voltage range under consideration is 0::; V::; 1P2/ e. From
Fig. 2(a), the mean barrier height ip is given by
ip= (IPI+1P2-eV)/2
As=s.
Substituting these values in (3) yields
J I = e/[41rh({3s)2]{ (IPI+ 1P2-e V)
Xexp[ - (41r{3s/h)mi(IPI+1P2-eV)i]
- (IPI+ 1P2+e V)
(10)
Xexp[ - (47r{3s/h)mi( IPI+ 1P2+e V)iJ}. (11)
It is now necessary to evaluate {3 in (11). It can be
shown, using (6), that
{3= 1- (eV)2/{96[!(IPI+ 1P2)+1/-E
x
-! eV]2} (12)
where Ex is the x-directed component of the elec-
tron kinetic energy, and 1/ is the Fermi level. The
maximum value of {3 occurs where eV= 1P2 and 1/=Ex,
and is given by
If we assume that then
{3=
For values of V < 1P2/ e, {3 rapidly approaches the value
FERMI LEVEL
(bl
FIG. 2. Energy diagram of barrier between dissimilar electrodes
at different (intermediate) potential, with (a) electrodes reverse-
biased, and (b) electrodes forward-biased.
unity. Thus, in (11), {3 can be chosen to be unity to
a reasonable approximation for all V in the range
0::; V::; 1P2/ e. Under these conditions, (11) reduces to
J
1
= (e/41rhs2){ (1P1+1P2-eV)
Xexp[ - (41rsm
1
/h) (IPI+ 1P2-eV)lJ
- (IPI+ 1P2+e V)
Xexp[ - (41rsm
i
/h) (IPI+ 1P2+eV)IJ}. (13)
Consider, now, the current J 2 flowing from electrode
2 to electrode 1-that is, in the forward direction. The
voltage range under consideration is 0::; V::; IPI/ e. For
this case, from Fig. 2(b), ip and As are given by
ip= (IPI+ 1P2-
eV
)/2}
As=s.
(14)
Here, ip and AS are identical with ip and As in (10);
thus,
(15)
The range of validity, 0::; V::; IPI/ e, for J 2 is, how-
ever, smaller than that for J I; i.e., 0::; V::; 1P2/ e, since,
by definition, 1P2 >IPI. This means, then, that the
current-voltage characteristic for a trapezoidal barrier
is independent of bias polarity for 0::; V::; IPI/ e.
At relatively low voltages, it can be shown-compare
a previous paper by Simmons
9
-that (13) reduces to
the form
J=6(V+yVS), (13a)
9 J. G. Simmons, J. App!. Phys. 34, 238 (1963).
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2584 J 0 II r.; G. S I 1\1 l\I 0 N S
where
0= GY ex
p
[
'Y= -
D= [4'1rs (2m) lJ/h.
An empirical relationship of the same form as (13a)
has been experimentally deduced by Knauss and Bres
low.
to
At very low voltages, (13a) reduces to
J=8V,
which is precisely the relationship expressed by (9).
High Voltages: V> rp/e
Consider, first, current flowing in the reverse direc-
tion. For this case, the voltage range is V e, and
i:p and As are given [Fig. 3(a)] by
q;= }
(16)
Substituting (16) in (3) yields
[ ( 2eV)
J
1
exp - 1+-

xex{ ]}. (17)
The value of /3 appearing in (17) is now determined.
From (6),
=23/24,
where x is chosen to be the distance, within the barrier,
measured from electrode 1. Thus, in this case, i3 is
constant. Substituting this value of i3 in (17) yields
l.le(eV
J 1
{ex{ ( - 23::)C;:1:J ]_( 1+
xexp[ (_ ]}. (18)
10 H. P. Knauss and R. A. Breslow, Proc. IRE 50, 1843 (1962).
+,
fERMI LE1IEI. +---1---4..
IV
"I
r .... .
I
I
I
I
_.'il-- _ J __ ___ I--t._FERMI LEVEL
(al
__ -I- FERMI LEVEl.
IV
FERIolI LEVEl.
(b)
FIG. 3. Energy diagram of barrier between dissimilar electrodes
at different (high) potential, with (a) electrodes reverse-biased,
and (b) electrodes forward-biased.
For the current flowing in the reverse direction, ip and
As are given [Fig. 3(b)] by
ip= }

(19)
and the voltage range is V e.
Substituting (19) in (3), and using {3= 23/24, gives
1.1e(e V
J
2
=------

{ [ (
23'1rmt)( )] ( 2eV)
X exp - --- - 1+-
6h
For very high voltages-i.e., where
second term in (18) and in (19) is negligible, and both
equations reduce to the familiar Fowler-Nordheim
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E L E C T RIC TUN N E L E F F E C T BET WEE N DIS S I MIL ARE L E C T ROD E S 2585
10
'"
:a:
10
4
u
I
II)
:IE
:J:

10
2
1&1
u
z
:!
(/)
i3
II:
-2
10
-10-
4
1(f
10
8
0 2
CP1 1 VOLT
Acp -1VO,LT
3 4
VOLTS
!5
FIG. 4. Theoretical u- V characteristics for the ideal barrier with
s=20, 30, and 40 X, and with ""1=1 V and 1l",,=1 V.
form; i.e.,
J = (BP/ <p) exp[ - (A<pi/F)],
where F= V /s is the field between the electrodes,
B= l.le
3
/41rh, and A= 231rm
i
/6he.
It is observed that when <Pl= <P2-i.e., .!l<p=0-(13),
(18), and (20) reduce to the equations for similar elec-
trodes,
7
as is to be expected.
Numerical Evaluations
The constants in (9), (13), (15), (18), and (20) have
been evaluated by the author
7
with sand <P conven-
iently expressed in units of angstroms and volts,
respectively.
Figure 4 illustrates tunnel resistivity (J' as a function
of V, for s= 20,30, and 40 A, and <PI = 1 V and .!l<p= 1 V,
using (13), (15), (18), and (20). It will be observed
that, initially, (J' is smaller in the forward direction,
which is precisely what is observed using junctions of
aluminum-aluminum oxide with various metal counter-
electrodes of higher work function than aluminum. 8,11
At higher voltages, the forward and reverse character-
istics cross over. This effect has recently been observed
experimen tally .12
The asymmetry of the function characteristics in-
creases with increasing s, and does not become apparent
until V ><Pl; it is also observed that the characteristics
intersect at approximately the same value of V for all s.
The dotted line on the curve s= 20 illustrates the (J'- V
characteristic for a symmetrical junction having
<P= <Pl+.!l<p/2= 1.5 V. As would be intuitively expected,
the characteristic is approximately equal to the mean
value of the forward and reverse characteristics.
In the subsequent sections, the true barrier is in-
vestigated-that is, the image potential is considered.
It is seen that the general features of the ideal barrier
are exhibited by the true barrier.
VII. IMAGE FORCE
The type of barrier previously discussed is idealized
in that the image force potential has been neglected.
The effect of the image potential is to round off the
corners of, and reduce the thickness of, the trapezoidal
barrier (Fig. 5), and, hence, to increase the flow of
current between the electrodes.
The image potential Vi can be readily derived using
mirror image methods,1a and is given by
(21)
To obtain the practical potential barrier, the image
potential Vi is superposed on the trapezoidal barrier.
The barrier height (above the Fermi level) of the
practical barrier, as a function of the distance x from
the surface of the electrode of lower work function, is,
therefore, given (Fig. 5) by
<p(x) = <Pl+.!l<pX/S+ Vi
= <Pl+.!l<pX/S- (e2/47rKEoS)
x[=+ f ( - ~ - ~ ) J .
2 ,,-1 [(ns)2-
x
2] ns
(22)
The image potential Vi given by (21) is awkward to
handle; a good approximation to (21) is given (Fig. 5
and Ref. 7) by
Vi= -1.15As2/x(s-x), (23)
where
(24)
11 R. M. Handy, Phys. Rev. 126, 1968 (1962).
12 J. L. Miles and P. H. Smith, Solid State Electronics Device
Conference, University of Michigan, June 1963, and S. R. Pol-
lack, UNIVAC Division, Sperry Rand Corporation (private
communication).
13 W. R. Smythe, Static and Dynamic Electricity (McGraw-Hill
Book Company, Inc., New York, 1950), Chap. IV.
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2586 JOHN G. SIMMONS
IlARRIEJI WIDTh (ANGSTROMS I
0 Q2s os.
iii
!:i
0
>. .22

KI
I!'
0

1il!"
40
!;:
-&-
KO
12
<l
'"
:I:
0:
60
'" Ii: K;
0::
..
co
80
Ki
12!!

KI

120
To
- TRUE 8ARRIER EQ.(22)
--APPROX. IlARRIER BI.(25)
FIG. 5. Normalized energy diagram of asymmetric
potential barrier, with t:J.<p=60/Ks.
When (23) is substituted into (22),
'P(x) = 'Pl+ (.l'Px/ s) - {1.15As
2
/[x(s-x)J}. (25)
It is apparent from the normalized energy diagram in
Fig. 5 that the height and width of the practical barrier
are critically dependent upon the dielectric constant of
the insulating film. To illustrate the use of this diagram,
an example is given. For a barrier of s = 15 A and K = 4,
the contour abcd of Fig. 5 represents a barrier of
'Pl=60/Ks=60/60= leV,
and
'P2= 120/ Ks= 120/60= 2eV.
The curve a'b'c'd' inside the trapezoidal barrier repre-
sents the practical barrier-i.e., the trapezoidal barrier
with the image forces included. It is apparent that the
greater the dielectric constant, the closer the practical
barrier follows the contour of the trapezoidal barrier.
For K = 00, the two barriers are identical.
VIII. TRANSMISSION THROUGH A
PRACTICAL BARRIER
When a potential is applied between the electrodes,
the resulting field in the insulating film distorts the
potential barrier from the zero potential shape given
by (25). Superposing the effect of the electric field in
(25) leads to
'P(x) = 'Pl+ (.l'P- e V) (x/ s)-1.15As2/ x(s- x), (26)
if the electrode of lower work function is negatively
biased, and to
'P(x) = 'P2- (.l'P+eV) (x/ s)-1.15As
2
/ xes-x), (27)
if the electrode of higher work function is negatively
biased.
Reverse Characteristic
With the electrode of lower work function negatively
biased, there is a net flow of electrons from this electrode
to the electrode of higher work function. Under these
conditions, ip is given-(26)-as
ip= 1/ .lSJ8' 'P(x)dx
8J
l/.lS/':' ['Pl+(.l'P-eV)(x/s)
-1.15As2/x(s-x)]dx. (28)
The limits S1 and S2 are given by the real roots of the
cubic equation
'Po+ (.l'P- e V) (x/ s) -1.15As2/ x(s- x) = O. (29)
However, to facilitate an analytic solution of (29), the
roots are written to a good approximation-compare
the similar approximation in Ref. 7-as
SI = {9.2AS/[3'Pl+
4
A- (eV -.l'P)]} 1
-1.2AS/ ('P2-e v)Jo<e v::::; .l'P, (30)
S2=S-1.2AS/ ('P2-eV)
SI = 1.2As/ 'PI }
S2= {9.2AS/[3'Pl+4A .l'P < eV::::; 'P2, (31)
-2(eV -.l'P)]}+SI
SI = 1.2As/ 'PI }
eV> 'P2. (32)
S2= ('P1-5.6X)[s/(eV -.l'P)]
Integrating (28) yields
Thus, the net current J 1 flowing from the electrode of
lower work function is
J 1 =J o{ ipl exp(- A ipli)
- (ipl+eV) exp[ -A (ipl+eV)i]}. (34)
Intermediate Voltages: 0< V::::; 'P2/e
For intermediate voltages, there are two volt-
age ranges to consider: a lower intermediate range
(0< and a higher intermediate range
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E LEe T RIC TUN N E L E F FEe T BET WEE N DIS S I MIL ARE LEe T ROD E S 2587
(t:.cp/ e< V::; CP2/ e). The lower intermediate range is ob-
tained by substituting the values for SI and S2 given by
(30) into (34). The higher intermediate range is obtained
by substituting the values of SI and S2 given by (31)
into (34).
It is necessary to comment here on the value of {3
appearing in the constants J
o
and A. [See (4), (5), and
(34).J It can be shown, using (6), that {3 >0.96 for all
values of V. Thus, it is assumed that {3 takes the value
unity for all V, to a good approximation. In this case,
J
o
and A in (34) are given by
A = [47rt:.s/hJ(2m)l J
o
=e/27rht:.s2. (35)
High Voltages: V>CP2/e
The high voltage range is defined as V >CP2/ e. The
current density equation is identical to (34), but, in
this case, SI and S2 are given by (32). For very high
voltages-i.e., where V>111/e-the second term in (34)
is negligible, compared to the first.
Forward Characteristic
With the electrode of higher work function negatively
biased, there is a net flow of electrons from this elec-
trode to the electrode of lower function. Under these
conditions, cp is given-see (27)-by
Cp=1/t:.SJ82 [CP2-(t:.cp+eV)(x/s)
8, -1.1SAs2j x(s-x)Jdx. (36)
The limits SI and S2 are given by the real roots of the
cubic equation
CP2- (t:.cp+eV) (x/S)-l.1SAS
2
/X(S-x) =0, (37)
but can be written to a good approximation as
SI = 1.2AS/ CP2 }
e V::; CPI, (38)
S2= s-9.2AS/[3cp2+4A - 2 (eV +t:.CP)]+SI
SI = 1.2AS/ CP2 }
S2= (cp2-S.6A)s/(eV+t:.cp)
eV> CPl. (39)
Integrating (36) yields
cp= CP2-[(SI+S2)/2s](eV+t:.cp)
- (1.15AS/ t:.s) In[s2(s-SI)/SI (S-S2)J= cp2. (40)
Therefore, the net current flowing from the electrode
of higher work function is
J 2= J o{ CP2 exp( - A cp2i)
- (CP2+eV) exp[-A (cp2+eV)iJ}. (41)
For this equation, J
o
and A are given by (35).
Intermediate Voltages: 0 < V::; cpJ/ e
The intermediate voltage range is obtained by sub-
stituting the values of SI and S2 given by (38) into (41).
IcP
10-
2
'-----:0,,-;;.5,-----;"LO;----,.;1.5,-----..2'O;;------.2 . . . - - - - - ; ~ ~ 1 5
VOLTS
FIG. 6. Theoretical (1'- V characteristics for various
values of s, and for 9'1 =2 eV, .:l9'= 1 eV, and K =8.
High Voltages: V>CP1/e
The current density equation for the high-voltage
range is identical to (41), but, in this case, SI and S2 are
given by (39). For very high voltages, V >112/ e; the
second term in (41) is negligible, compared to the first.
Low Voltages
Although (34) and (41) can be used to determine
current density at low voltages, it is convenient to
determine the J-V characteristic in the limit as V
approaches zero. In this range, current is a linear func-
tion of voltage; i.e., the junction resistance is Ohmic,
and, for the barrier shape, it makes no difference which
electrode is negatively biased. In the range as V
approaches zero, (7) is used; i.e.,
J=hcpiV exp(-Acpl).
Here, cp is determined by letting V equal zero in either
(33) or (40) ; in either case, cp is given by
cp= cpo- (SI+S2)t:.cp/2s
- (l.15AS/ t:.s) In[s2(s-sNsl(s-S2)J= cpL. (42)
The classical turning points SI and S2 are given by
setting V equal to zero in either (30) or (38); i.e.,
SI = 1.2AS/ CP2 }
S2= s- [9.2AS/ (3cp2+4A- 2t:.CP)]+SI_
(43)
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2588 JOHN G. SIMMONS
N
oq
en
:E
10
ov

-IV
FIG. 7. Theoretical (]"- V characteristics for various values
of I{JI and t;.1{J, with s=20 A and K=8.
Substituting (42) and (43) into (7) yields, therefore,
J L=J (44)
Since J L, and A are independent of V, (44) ex-
presses J as a linear function of V; i.e., at low voltages,
the junction resistance is ohmic.
Numerical Evaluations
The constants in (30)-(35) and (38)-(44) have been
evaluated by the author
7
with sand cP conveniently ex-
pressed in units of angstroms and volts, respectively.
The effects of V, s, CPI, I1cp, and K upon tunnel resistivity
0"( = V / J) have been computed using these equations,
and is now summarized.
Figure 6 illustrates the increase in !T- V asymmetry
with increasing barrier width for CPI = 2, I1cP= 1, and
K = 8. It is interesting to note that in all of the curves,
the asymmetry does not become apparent until V = CPI,
and also that the asymmetry reverses at the same volt-
age for all curves. The asymmetry at low and high
voltages is the same as for the trapezoidal barrier.
It is also observed that for any given voltage,
!T25/ !T25C"-:!T36/ !Tao, and so forth. This observation
allows us to extrapolate additional curves for values of
s not shown in Fig. 6. For example, if the curve corre-
sponding to s= 22.5 A is required, we divide equally the
space between the curves s= 20 and s= 25; the resulting
locus corresponds to the curve s= 22.5 A. An example
of this technique is illustrated for the case s= 35 A.
The curve s = 35 A represents the computed values for
s = 35 while the circles are the result of dividing up
equally the space between s= 30 and s= 40. It is ob-
served that the correlation is very good.
Figure 7 illustrates the manner in which the asym-
metry and !T are influenced by ';'1 and 11,;,. Increasing CPI
and I1cp causes an increase in the asymmetry of the
characteristics. The resistance also increases with in-
creasing CPI and I1cp, as is to be expected. It is possible to
generate additional curves from the existing curves in
Fig. 7 for other values of CPI and I1cp, in a manner similar
to that used for the additional s curves generated in
Fig. 6. An example of this procedure is illustrated in
Fig. 7, for the case of I1cp=2, I1cp=0.75. The curves
depict the computed values of !T, while the circles are
the result of dividing equal! y t he space bet ween 11 cP = t
and I1cp=l, at ';'1=2.
Figure 8 illustrates the forward and reverse !T- V
characteristic for varying K and CPI, with I1cP and s held
constant at 1 eV and 20 A, respectively. The asym-
metry of the characteristic is seen to increase with in-
creasing dielectric constant and barrier height.
For small values of V, all of the!T- V curves approach
a horizontal asymptote; that is, the functions exhibit
an Ohmic characteristic. [See also (44).J This Ohmic
behavior is well documented in the literature.1,8,Il,14
N
"
U
I
II)
'"
:r
g
"' u
z
;<.
"' in
"'
0:
FIG. 8. Theoretical (]"- V characteristics for various values
of K and I{JI, with t;.1{J=1 and s=20 A.
----
14 J. G. Simmons, G. J. Unterkofler, and W. W. Allen, App\.
Phys. Letters 2, 78 (1963).
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E LEe T RIC TUN N E L E F FEe T BET WEE N DIS S I MIL ARE LEe T ROD E S 2589
,d4
~
10
18
~
J)16
1014
J)I.
;;
'g, x
<f
,
'"
en
::II
'"
'"
x
9
~
.9 10
8
\oJ \oJ
V
U
""
Z
c<
..
Ii;
rJ
~ 10
6
en
en
\oJ
....
'"
'"
10
30 35 40 45 50
20 I> 35 40 45 50
5 (ANGSTROMS)
S (ANGSTROMS)
(al
(b)
10
'8
~
10'6
It!
30 3'5 40
S (ANGSTROMS)
45 50
30 35 40 45
S (ANGSTRIJIS)
50
(el (d)
FIG. 9. Theoretical low-voltage (T-S curves as a function of <p and tJ.". In parts (a), (b), (c), and (d), K =2,4,6, and 8, respectively;
curves (i), (ii), (iii), (iv), and (v) represent tJ.<p=0, 0.25, 0.5, 0.75, and 1 V, respectively.
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2590 JOHN G. SiMMONS
Fig. 9 illustrates the theoretical low-voltage (Ohmic)
resistance as a function of K, s, 'P, and tJ.'P, as calculated
from (44).
IX. DISCUSSION
The theoretical (I- V characteristic for asymmetric
junctions has been shown to be polarity-dependent, and
the direction of rectification to be dependent upon the
operating voltage range. At the lower voltages, typically
V:> 'Pl+ 'P2, the junction resistance is lower when the
electrode of lower function is positively biased. In this
range, and for V < 'Pl, the characteristic is only slightly
('" 10%) asymmetric, while for the ideal trapezoidal
barrier, it is symmetric. For V >'Pl, the asymmetry is
pronounced. These results are in general agreement with
low-temperature observations on junctions utilizing
aluminum and its surface oxide as one of the electrodes
and the insulating film, respectively. At higher voltages,
typically V ~ 'Pl+ 'P2, the direction of rectification is re-
versed. This effect has also been recently observed.
l2
It is not claimed that the intrinsic field existing between
dissimilar electrodes is the only mechanism contributing
to the asymmetric nature of the junctions. For example,
we have two distinctly different metal-insulator inter-
faces where, as is the usual current practice,1,g,lO,l1 the
thermally grown surface oxide of one of the electrodes
is used as the insulating film. Presumably, in this type
of junction, the surface states at the interfaces will differ
significantly, and could also contribute to electrical
asymmetry. This effect is a possible explanation of the
slight but consistent electrical asymmetry observed in
symmetrical AI-AbO a-AI devices at low temperature.
A second plausible explanation is that K varies through-
out the insulating film. This would result in an asym-
metric barrier in an otherwise symmetrical junction,
which would give rise, in turn, to asymmetric electrical
behavior. To account for the observed electrical asym-
metry in AI-AhOa-AI junctions, it would be necessary
that K have its greatest value at the upper surface of
the oxide film.
JOURNAL OF APPLIED PHYSICS VOLUME 34, NUMBER 9 SEPTEMBER 1963
Electron Reflection from Cesium-Coated Polycrystalline Metals at
Low Primary Energy*
R. J. ZOLLWEG
Westinghouse Research Laboratories, Beulah Road, Churchill Borough, Pittsburgh 35, Pennsylvania
(Received 4 February 1963; in final form 6 May 1963)
The reflection of low-energy electrons from polycrystalline metal surfaces partially coated with cesium
has been investigated by the retarding potential difference technique. The technique is described and results
for primary energies below 5 eV are given. Retarding potential measurements of the longitudinal component
of the reflected electron energy are consistent with elastic reflection and a cosine angular distribution at low
primary energy.
INTRODUCTIONl
T
HE collection of electrons of very low energy is
important to the efficient conversion of heat to
electrical energy in such devices as the thermionic
energy converter and the magnetohydrodynamic gen-
erator. Thermionic converter diodes usually use cesium
vapor to adjust the emitter and collector work func-
tions and to furnish the positive ions to reduce space
charge. MHD generators sometimes use gases "seeded"
with alkali metals such as cesium to increase the elec-
trical conductivity at lower gas temperature.
In order to adequately understand the operation of
these devices it is necessary to know quantitatively
what fraction of the electrons incident on a cesium
* This work was supported in part by the Aeronautical Systems
Division, Air Force Systems Command, USAF.
1 Preliminary results with an earlier experimental tube were
presented at the Symposium on Thermionic Power Conversion,
Colorado Springs, Colorado, May 1962. Advanced Energy Con-
version (Pergamon Press, Inc., New York, 1962), Vol. 2, p. 631.
coated surface are accepted and what fraction reflected
especially in the thermal energy range, below about
0.2 eV where little experimental data are available for
surfaces of any kind.
The current interest in energy conversion has also
led to increased interest in the physical properties of
cesium vapor. Since experimental tubes designed to
measure these properties often collect electrons on
cesium coated surfaces and the reflection of electrons
may be of the order of 50%, it is useful to have more
quantitative data to aid in interpretation of the ex-
perimental results.
Theoretical treatments
2
have concluded a low reflec-
tion coefficient tending to zero at low primary energies
for certain clean metal surfaces. While Fowler and
Farnsworth
3
have found evidence to support these
2 C. Herring and M. H. Nichols, Rev. Mod. Phys. 21, 185
(1949).
3 H. A. Fowler and H. E. Farnsworth, Phys. Rev. III 103
(1958). '
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