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We demonstrate the existence of intrinsic gap states in bare and capped semiconductor nanocrystals within multiband effective mass theory. These states originate from Shockley-like surface states which, in small nanocrystals, extend over the entire crystal volume, facilitating their observation in absorption as well as in photoluminescence. The conditions under which such intrinsic states might be observed are discussed in light of the theory developed and analysis of the band parameters of direct gap semiconductors.
Sercel et al. (1999) studied this question.