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Ce travail de thèse concerne les écoulements de fluides à seuil de contrainte autour d‘un obstacle cylindrique en milieu confiné avec une configuration d‘écoulement de Poiseuille.Expérimentalement, un banc d‘essai permettant d‘obtenir un écoulement en continu dans un circuit fermé a été mis en place. Les régimes d‘écoulement rampant, recirculant et instationnaire périodique ont été étudiés. De nouveaux résultats ont été obtenus avec un fluide newtonien et des solutions de Carbopol, polymère permettant de réaliser des fluides à seuil modèles utilisés en recherche et développement et dans l‘industrie. Une caméra rapide et un éclairage plan laser a servi pour l‘établissement d‘images qui ont ensuite été traitées par PIV. Les champs de vitesses cinématiques, les morphologies d‘écoulement et les paramètres critiques de transitions de régimes ont été déterminés.Numériquement, un modèle viscoplastique basé sur la loi de Herschel-Bulkley régularisée a été utilisé. Des résultats comme les morphologies d‘écoulement, la localisation des zones rigides, les champs de vitesses ont été obtenus. Ceci a permis de comparer les différences entre les effets liés à la nature des gels de Carbopol et la modélisation viscoplastiques. Une étude spécifique sur le glissement à l‘interface fluide-structure a également été réalisée avec l‘utilisation d‘un modèle de lubrification élasto-hydrodynamique. / The flow of yield stress fluids around a circular cylinder in a confined geometry has been investigated with a Poiseuille flow configuration.Experimentally, a test set-up was built which provides a continuous flow in a closed loop. We studied creeping, recirculating and vortex shedding flow regimes. New results has been realised with a Newtonian fluid and Carbopol solutions, models for yield stress behaviour in laboratory experiments and in industry. A high speed camera and a laser sheet have been used to perform images which are treated by PIV. Kinematic fields, flow morphologies and critical transition parameters have been determined.Numerically, a viscoplastic model based on the regularised Herschel-Bulkley law has been used. Results as flow morphologies, rigid areas and local flow parameters fields have been performed. That allowed us to compare the intrinsic effects of Carbopol solutions and the viscoplastic numerical model. A specific study on the wall slip has also been considered with an elasto-hydrodynamic lubrication model.

Cette étude vise à analyser la coque qui est en contact avec un matériau qui la confine, et qu’elle subite une pression latérale externe. Les conditions de contact entre les deux corps, frottant ou pas, la rigidité du confinement ainsi que les conditions de chargement, la pression qui peut être directement appliquée à la coque comme elle peut être induite par le matériau de confinement qui par retrait ou retreint ou convergence radiale induit des contraintes, ceux sont là les paramètres qui nous paraissent essentiels à jauger pour la problématique du flambage avec contact d’une coque sous pression externe. Une campagne expérimentale où plusieurs configurations de confinement sont considérées. La nature du milieu extérieur associé au confinement et donc sa rigidité, le type de confinement, discret ou locale au bien total (surface entière de la coque), sont évalués. Une instrumentation adéquate, couplant des mesures ponctuelles et de champ nous a permis de correctement mettre en exergue la phénoménologie. Les simulations numériques par éléments finis à l’aide du code de calcul Abaqus/Standard 6.12-3 intègrent les différentes non linéarité mise en musique dans ce problème, les grands déplacements et rotations du fait du flambage, la non linéarité matériau. Ces travaux montrent que même pour un confinement externe avec une très faible rigidité de membrane, comme pour le sable ou le polystyrène expansé, un gain important de capacité portante est observé, le flambage est retardé. L’augmentation est substantielle dans le cas d’un confinement total, non négligeable et consistante dans le cas d’un confinement local. Nous avons aussi constaté que la charge de flambage et le mode associé dépendent de la configuration de contact, notamment de la rigidité à la flexion du confinement. / Motivated by practical engineering applications, thin-walled cylindrical shells are widely used as structural elements. Because of their low flexural strength, these structures are very sensitive to buckling when exposed to external pressur. Conventional stiffening which makes it possible to improve the bearing capacity is to add stiffening rings connected by axial stiffeners or axial stiffeners. In these configurations the stiffening elements are an integral part of the structure with a continuity of material. One can ask the question of the effect of contiguous but non-continuous adjacent external structures ensuring total or local surface external contact. These are real configurations, such as those of buried pipelines, pipelines, or the case of insulated structures. This study aims to analyze these cases where the shell is in contact with a material which confines it, and that it undergoes an external lateral pressure. The contact conditions between the two bodies, whether rubbing or not, the stiffness of the confinement as well as the loading conditions, the pressure which can be directly applied to the shell as it may be induced by the confinement material which by withdrawal or shrinkage or Radial convergence induces stresses, these are the parameters that we consider essential for gauging the problem of buckling with contact of an external pressure shell. To answer these questions, we conducted an experimental campaign where several configurations of confinement are considered. The nature of the external environment associated with the confinement and therefore its rigidity, the type of confinement, discrete local or the total property (entire surface of the shell), are evaluated. Appropriate instrumentation, coupling point and field measurements, has allowed us to correctly highlight the phenomenology. Numerical modeling is also carried out using finite element method by Abaqus/Standard 6.12-3 code. Numerical simulations integrate the different nonlinearities in this problem, large displacements and rotations due to buckling, nonlinearity material, in some cases the buckling is plastic, but also the nonlinearity induced by an evolutionary contact. The modeling is carried out in 2D and 3D mesh, and in the latter case either by means of shell elements or by massive elements, the first aim being to corroborate the experimental observations more or less precisely. This work shows that even for external confinement with very low membrane rigidity, as for sand or expanded polystyrene, a significant gain in bearing capacity is observed, the buckling is delayed. The increase is substantial in the case of a total confinement which is not negligible and consistent in the case of local confinement. We have also found that the buckling load and the associated mode depend on the contact configuration, in particular the flexural rigidity of the confinement.

En passant de l’état massif à la nanoparticule les matériaux métalliques voient certaines de leurs caractéristiques modifiées de manière notable comme par exemple les propriétés optiques avec l’apparition d’une résonance dans le spectre optique, la Résonance Plasmon de Surface Localisée (RPSL) responsable du changement de couleur des nanoparticules métalliques. Les propriétés vibrationnelles et thermiques de nanoparticules métalliques ont été étudiées à l’aide d’une technique de Spectroscopie Femtoseconde. Nous avons montré qu’il était possible d’exciter et de détecter optiquement des fréquences de vibrations mécaniques dans le domaine térahertz pour des nanoparticules de platine composées de moins de cent atomes. D’autre part l’augmentation des effets dus aux interfaces a été mis en évidence sur les propriétés thermiques de nanoparticules d’or et d’argent. La résistance thermique à l’interface, résistance de Kapitza, voit son rôle augmenter lors du transfert thermique à l’échelle nanométrique. Une corrélation entre les valeurs mesurées et les impédances acoustiques des matériaux composants les interfaces a été mise en évidence. Nous avons aussi montré qu’elle augmente quand la température diminue de 300K à 70K. Les propriétés optiques de nanoparticules non sphériques ont été étudiées à l’aide de la Spectroscopie à Modulation Spatiale. Cette technique a permis de repérer puis de caractériser des nano-bâtonnets d’or individuels. Nous avons montré que la largeur spectrale de la RPSL est fortement dépendante de la géométrie des nanoparticules (diamètre et longueur). Cette double dépendance n’est pas prédite par les modèles classiques ou quantique existants / The size reduction of metals, from bulk to nanoparticles, induces significant modifications of their properties. For instance, the optical properties evolve and a new resonance, the localized surface plasmon resonance, appears in the optical spectrum and is responsible for the change of colors of metallic nanoparticles. This work is focused on studies of metals’ properties at the nanometric scale. In the first part, the vibrational and thermal properties are studied with a femtosecond spectroscopy technique. It is shown that it is possible to excite and detect optically vibrational frequencies in the terahertz domain by studying platinum nanoparticles formed by less than 100 atoms. The study of the thermal properties of the metallic nanoparticles (gold and silver) has shown that the boundary effect increases. This thermal boundary resistance, known as the Kapitza resistance, plays a dominant role in the heat transfer at the nanometric scale. A correlation between the experimental values of the thermal boundary resistance and the acoustic impedances of the boundary’s materials has been found. We have also shown that the Kapitza resistance is a decreasing function of the temperature in the 70-300K range. In the second part, the effect of the size reduction on the optical properties of non-spherical nanoparticles is observed. The Spatial Modulation Spectroscopy technique is used in order to locate and study individual gold nanorods. It is shown that the two geometrical parameters (the length and the diameter) of the nanorods influence the spectral linewidth of the localized surface plasmon resonance. This effect is not predicted by existing classical or quantum models

Ce travail de thèse a pour but l’étude des douleurs de dos qui surviennent chez l’astronaute présentant davantage de hernies discales par rapport à une population contrôle. Nos recherches visent à comprendre la physiopathologie de ce phénomène et à étudier les conséquences cliniques de ce déconditionnement vertébral qui participe également aux troubles posturaux. Cet axe de recherche est recommandé par les différentes agences spatiales internationales. Pour cela nous avons eu l’opportunité d’analyser les données dans deux modèles d’études des effets de la microgravité : l’immersion sèche (n=11) et l’alitement tête déclive (n=9) et un état analogue, le confinement (n=4). Seuls les principaux résultats de l’immersion sèche, méthode d’étude nouvelle de notre paradigme, sont rapportés dans ce résumé. Celle-ci a permis grâce à l’imagerie et la spectroscopie par résonnance magnétique nucléaire de la colonne vertébrale, d’analyser en 3 dimensions le disque intervertébral et d’objectiver l’augmentation du contenu en eau (+17%) du volume de ce disque (+9,5%). Les variations du tonus des muscles paravertébraux et des membres inférieurs ont été mesurées avec la très récente et non-invasive technologie MyotonPRO. Une diminution du tonus musculaire (-7,3%) a été retrouvée, associée à une atrophie musculaire (-10,6%) ainsi qu’une perte de force démontrée sur les membres inférieurs. Ces résultats, attestant un déconditionnement musculaire, sont cohérents avec le déconditionnement postural immédiatement après immersion sèche. Nous avons également étudié les paramètres d’occlusion dentaire, qui font partie des entrées posturales et peuvent affecter la bonne stabilité du corps. Finalement deux éléments interviennent dans l’explication des dysfonctions vertébrales : l’augmentation de la taille de la colonne liée à celle du volume des disques intervertébraux. On note également une atrophie des muscles paravertébraux, qui joue un rôle majeur dans la posture. Nous avons par ailleurs montré le rôle de l’occlusion dentaire dans le déconditionnement vertébral et postural. En conclusion : le tonus musculaire, la bonne mobilité vertébrale et l’équilibre de l’occlusion dentaire sont des éléments à préserver pendant et après un séjour en impesanteur, afin d’éviter les effets délétères du déconditionnement. / This work focuses on the study of back pain experienced by astronauts, who present with a greater incidence of herniated discs compared to a control population. Our research aims at understanding the physiopathology of this phenomenon and to study the clinical consequences of vertebral deconditioning which also contributes to postural disorders. This line of research has been recommended by the various international space agencies. For this reason, we had the opportunity to analyze data in two models simulating the effects of microgravity: dry immersion (n = 11) and head-down bed rest (n = 9), and a similar state, confinement (n = 4). Only the main results of dry immersion, a new method of studying our paradigm, are reported in this summary. Using magnetic resonance imaging and spectroscopy of the vertebral column, it was possible to analyze the intervertebral disc in 3 dimensions and to objectify the increase in water content (+ 17%) and the increase in intervertebral disc volume (+ 9.5%). Variations in paravertebral and lower limb muscle tone were measured with the very recent, and non-invasive, MyotonPRO technology. A decrease in muscle tone (-7.3%) was found to be associated with muscular atrophy (-10.6%) as well as a loss of strength in the lower limbs. These results, attesting to muscle deconditioning, are consistent with postural impairment immediately after dry immersion. We also studied variations in dental occlusion, which is involved with the maintenance of posture and could affect balance. In summary, two elements are involved in the explanation of vertebral dysfunction: the increase in spine height, related to increased intervertebral discs volume and paravertebral muscles atrophy, which plays a major role in posture. However, we also showed a role of dental occlusion in vertebral and postural deconditioning. In conclusion: muscle tone, good vertebral mobility, and dental occlusion are elements to be preserve during and after an exposure to weightlessness to avoid the deleterious effects of deconditioning.

Une étude expérimentale sur la structure et la dynamique d'un complexe hydraté de fragments d'ADN (150 pb) et des phases lamellaires de lipides non-cationiques est présentée. Par la variation de d'hydratation, il est possible de contrôler le confinement imposé par cette matrice hôte sur les nucléotides insérés dans les couches aqueuses. L’organisation supramoléculaire du complexe est suivie par diffraction des rayons-X et des techniques de microscopie optique et électronique. Un riche polymorphisme de mésophases est observé en fonction du confinement. Dans le régime plus hydraté, les fragments se distribuent selon une orientation nématique. Dans la mesure où la quantité de l'eau diminue, le confinement des bicouches sur les nucléotides monte et des corrélations trans-membranaires donnent origine à des phases hautement organisées, avec de symétries rectangulaires et hexagonales (2D) d'ADN dans la phase lipidique. L'incorporation totale des nucléotides par la phase lamellaire est observée uniquement lorsque des grandes quantités d'ADN y sont présentes. Ce fait souligne une importance majeur des interactions de volume exclu. Une analyse du paramètre de Caillé montre que l'insertion des fragments diminue les fluctuations des membranes. À partir des ces observations, il est suggéré que la modification des interactions stériques entre des lamelles, associée à des effets interfaciaux ADN-membranes, est un mécanisme important dans le comportement de phases. Les propriétés dynamiques sont étudiés avec la technique de retour de fluorescence après photo-blanchiment (FRAP). Un modèle développé récemment pour l'analyse de diffusion anisotrope est testé avec succès, démontrant une corrélation proche entre structure et dynamique. / An experimental study on the structural and dynamical properties of a hydrated DNA-non-cationic complex is presented. By varying the water amount, it is possible to control the confinement imposed by this host matrix over the organization of the nucleotides inserted within the water layers. The supramolecular assembly is investigated by X-rays diffraction and techniques involving both optical and electron microscopy. A rich polymorphism of mesophases is observed in function of confinement. In the more hydrated regime, the fragments are distributed according to nematic orientation in-between lamellae. As the water amount decreases, the confinement of bilayers over the particles increases and transmembrane correlations appear, giving raise to highly-ordered phases, with 2D-rectangular and -hexagonal symmetries of DNA embodied in the lamellar phase. The full incorporation of nucleotides by the lamellar phase is observed only in the presence of large amounts of DNA. This finding points to major importance of excluded volume interactions. An analysis of the Caillé parameter shows that the insertion of DNA reduces the fluctuations of membranes. From these observations, it is suggested that changes in the interactions between bilayers, together with the appearance of interfacial effects between DNA and membranes, are a mechanism relevant for the phase behavior of these systems. The dynamical properties of nucleotides are investigated through the fluorescence recovery after photobleach (FRAP). A model recently developed for analyses of anisotropic diffusion is sucessfully tested, demonstrating a close relationship between structure and dynamics. / Um estudo experimental sobre aspectos estruturais e dinâmicos de um complexo hidratado de fragmentos de DNA (150 pb) e fases lamelares de lipídios não-catiônicos é apresentado. Variando-se a hidratação, é possível controlar o confinamento imposto por essa matriz hospedeira sobre os nucleotídeos inseridos na camada aquosa. O arranjo supramolecular do complexo é investigado por difração de raios X e técnicas de microscopia óptica e eletrônica. Um rico polimorfismo de mesofases é observado em função do confinamento. No regime mais hidratado, os fragmentos se distribuem segundo uma orientação nemática entre as membranas. À medida que a quantidade de água diminui, o confinamento das bicamadas sobre os nucleotídeos aumenta e correlações transmembranares aparecem, dando origem a fases altamente organizadas, com simetrias retangulares e hexagonais 2D de DNA entre as lamelas. A incorporação completa de nucleotídeos é observada apenas quando grandes quantidades de DNA estão presentes. Esse fato aponta para importância maior de interações de volume excluído. Uma análise do parâmetro de Caillé mostra que as flutuações das membranas diminuem com a inserção de DNA. A partir dessas observações, é sugerido que a alteração das interações entre membranas, aliada à aparição de efeitos interfaciais entre DNA e membranas, é um mecanismo relevante no comportamento de fase. As propriedades dinâmicas dos nucleotídeos são investigadas através da técnica de FRAP (fluorescence recovery after photobleaching). Um modelo recentemente desenvolvido para análise de difusão anisotrópica é testado com sucesso, demonstrando estreita correlação entre estrutura e dinâmica.

The primary reinforcement used for construction of structural concrete members has a yield strength of 60 ksi. This reinforcement grade was incorporated into construction over 50 years ago and remains the standard. Recent advances in material technology have led to the development of commercially available reinforcing steel with yield strengths of 100 ksi. While greater yield strengths can be utilized in design, it is essential that the bars can be properly anchored and spliced to fully develop their strength. Although design expressions are available for this purpose, they were established considering 60 ksi reinforcement. Therefore, the objective of this research program is to evaluate the development of high-strength reinforcing steel and establish a design expression for the development and splicing of this steel. Two phases of experimental tests were conducted. Phase I was performed by Glucksman (2018) and investigated the influence of splice length and transverse reinforcement on bond strength over four series of beam tests. This study (Phase II) was conducted following Phase I and consisted of reinforced concrete slab and beam testing over three series. An investigation was conducted on reinforcement development with a focus on the effect of splice length, concrete compressive strength, stress-strain relationships of the steel (ASTM A615 vs. ASTM A1035), and transverse reinforcement. Based on the results, the influences of test variables were identified, and a new confinement model was developed that estimates the transverse reinforcement contribution to bond strength. Finally, a design expression is provided for calculating the development and splice lengths of high-strength reinforcement.

La limite théorique de rendement des cellules photovoltaïques simple-jonction est de l’ordre de 33% d’après le modèle de Shockley-Queisser, ce qui reste éloigné de la limite de Carnot, prédisant une limite maximale de conversion énergie solaire → électricité de 93%. L’écart important entre ces deux limites découle des pertes intrinsèques, essentiellement liées à la conversion inefficace du spectre solaire et à la disparité entre les angles solides d’absorption et d’émission. Pour surmonter ces pertes et se rapprocher de la limite de Carnot, trois stratégies sont envisagées dans cette thèse : les cellules multi-jonction àconcentration, la combinaison de la concentration et de la restriction angulaire et les systèmes hybrides PV/CSP. Chacune de ces stratégies est limitée par des mécanismes qui dégradent leur performance.L’objectif de cette thèse est donc de comprendre dans quelle mesure les différents mécanismes limitants sont susceptibles d’affecter les performances des différentes stratégies étudiées, et d’optimiser l’architecture des cellules dans le but d’accroitre leur efficacité de conversion. Dans ce but, un modèle détaillé de cellule solaire tenant compte des principaux mécanismes limitant a été développé. Un outil d’optimisation par algorithme génétique a également été mis au point, afin d’explorer l’espace des différents paramètres étudiés pour identifier les conditions d’opération optimales. Nous démontrons l’importance majeure que revêt l’adaptation des propriétés optoélectroniques des matériaux utilisés aux conditions opératoires, que ce soit dans le cas des cellules solaires à concentration endurant des pertes résistives significatives, ou encore dans le cas de cellules solaires fonctionnant à des niveaux de températures très supérieurs à l’ambiante. Enfin, nous avons déterminé l’effet des principaux facteurs limitant que constituent les pertes résistives et les recombinaisons non-radiatives sur les cellules solairessimultanément soumises au flux solaire concentré et à la restriction angulaire du rayonnement émis. / The maximum efficiency limit attainable with a single-junction PV cell is ~ 33% according to the detailed balance formalism (also known as Shockley-Queisser model), which remains far from the Carnot limit, predicting a solar to electricity efficiency upper value of 93%. The large gap between both limits is due to intrinsic loss mechanisms, including the inefficient conversion of the solar spectrum and the large discrepancy between the solid angles of absorption and emission. To overcome these losses and get closer to the Carnot limit, three different strategies are considered in this thesis: concentrated multi-junction solarcells, the combination of solar concentration and angular confinement, and hybrid PV/CSP systems. Each strategy is inherently limited by several loss mechanisms that degrade their performances. The objective of this thesis is, hence, to better understand the extent to which these strategies are likely to be penalized by these losses, and to tailor the cell properties toward maximizing their efficiencies. To address these questions, a detailed-balance model of PV cell accounting for the main loss mechanisms was developed. A genetic-algorithm optimization tool was also implemented, aiming at exploring the parameter space and identifying the optimal operation conditions. We demonstrate the uttermost importance of tailoring the electronic properties of the materials used with both multi-junction solar cells undergoing significant series resistance losses, and PV cells operating at temperature levels exceeding ambient temperature. We also investigate the extent to which series resistances losses and non-radiative recombination are likely to affect the ability of PV cells simultaneously submitted to concentrated sunlight and angular restriction of the light emitted by band-to-band recombination.

Broadband Dielectric Spectroscopy (BDS) in combination with a nanostructured electrode arrangement – which circumvents the conventional need to evaporate metal electrodes onto soft matter – is used to study the molecular dynamics of several glass forming materials confined in nanometric (> 5 nm) layers. Other complementary experimental tools employed in this work include spectroscopic vis-Ellipsometry (SE), AC-chip calorimetry (ACC), X-ray reflectrometry (XRR), Differential Scanning Calorimetry (DSC) and Atomic Force Microscopy (AFM). The latter is used to characterize the topography of the samples and to determine their thicknesses. Under the conditions of annealing samples (Tg + 50K) in high oil-free vacuum (10E-6 mbars) for at least 12 h and carrying out measurements in inert (dry nitrogen or argon) atmosphere, it is found for all studied thin layers that the structural relaxation, and hence the dynamic glass transition – in its mean relaxation times – remains within a margin ±3 K from the respective bulk behaviour. It is revealed, inter alia, that the one-dimensional confinement of thin films introduces restrictions on other (slower) molecular relaxation processes which manifest, depending on the specific system under investigation, as (i) an interruption of the end-to-end (normal mode) fluctuation of the chains, or (ii) a slowing down of the delta-relaxation when the system is cooled towards glass-formation. Furthermore, (iii) evidence is provided to show that the dimensionality of confinement plays a significant role in determining the resulting dynamics. A molecular understanding of these findings is given, and the discussion presented with respect to the on-going international debate about dynamics in confinement.:1. Introduction 2. The glass transition and chain dynamics 2.1 The phenomenology of the glass transition 2.2 Theories of the glass transition 2.2.1 Free volume theories 2.2.2 Cooperative concepts 2.2.3 Mode-coupling theory 2.3 Dynamics of polymer chains in melt 2.4 The dynamic glass transition in confinement 2.4.1 Experiments: state-of-the-art 2.4.2 Theoretical attempts at explaining dynamics in confinement 3. Sample preparation and experimental techniques 3.1 Thin-film preparation by spin-coating 3.1.1 Films on glass slides 3.1.2 Films on silicon wafers 3.1.3 Reproducibility of sample preparation 3.1.4 Stability of thin film samples 3.1.5 Film thickness determination 3.1.6 Sample annealing experiments 3.2 Use of nanostructured electrodes – a novel approach 3.3 Poly(cis-1,4-isoprene) (PI) in porous media 3.4 Experimental techniques 3.4.1 Broadband Dielectric Spectroscopy (BDS) 3.4.1.1 Polarization 3.4.1.2 Dielectric relaxation 3.4.1.3 Debye relaxation 3.4.1.4 Non-Debye relaxation 3.4.1.5 Dielectric data in the time domain 3.4.1.6 Conductivity contribution 3.4.1.7 The distribution of relaxation times 3.4.1.8 BDS – summary 3.4.2 Spectroscopic Ellipsometry (SE) 3.4.3 AC-chip calorimetry (ACC) 4. Results and Discussion 4.1 Effect of sample geometry on measured dynamics 4.1.1 Introduction 4.1.2 Experimental details 4.1.3 Results and discussion 4.1.4 Summary 4.2 Dynamics of polystyrene in a wide range of molecular weights 4.2.1 Introduction 4.2.2 Experimental details 4.2.3 Results and discussion 4.2.4 Summary 4.3 Molecular dynamics of itraconazole confined in thin supported layers 4.3.1 Introduction 4.3.2 Experimental details 4.3.3 Results and discussion 4.3.4 Summary 4.4 Segmental and chain dynamics in nanometric layers of poly(cis-1,4-isoprene) 4.4.1 Introduction 4.4.2 Experimental details and data analysis 4.4.2.1 Sample preparation 4.4.2.2 Data analysis 4.4.3 Results and discussion 4.4.3.1 1- versus 2-D confinement of poly(cis-1,4-isoprene) 4.4.4 Summary 5 Conclusions 5.1 Dynamics in confinement – a wider perspective

Die fortschreitenden Entwicklungen in der Mikro- und Nanotechnologie erfordern eine solide Unterstützung durch Simulationen. Numerische Bauelementesimulationen waren und sind dabei unerlässliche Werkzeuge, die jedoch zunehmend an ihre Grenzen kommen. So basieren sie auf Parametern, die für beliebige Atomanordnungen nicht verfügbar sind, und scheitern für stark verkleinerte Strukturen infolge zunehmender Relevanz von Quanteneffekten. Diese Arbeit behandelt den Transport in Siliziumnanodrähten sowie durch NiSi2-Si-Grenzflächen. Dichtefunktionaltheorie wird dabei verwendet, um die stabile Atomanordnung und alle für den elektronischen Transport relevanten quantenmechanischen Effekte zu beschreiben. Bei der Untersuchung der Nanodrähte liegt das Hauptaugenmerk auf der radialen Abhängigkeit der elektronischen Struktur sowie deren Änderung bei Variation des Durchmessers. Dabei zeigt sich, dass der Kern der Nanodrähte für den Ladungstransport bestimmend ist. Weiterhin kann ein Durchmesser von ungefähr 5 nm identifiziert werden, oberhalb dessen die Zustandsdichte im Nanodraht große Ähnlichkeiten mit jener des Silizium-Volumenkristalls aufweist und der Draht somit zunehmend mit Näherungen für den perfekt periodischen Kristall beschrieben werden kann. Der Fokus bei der Untersuchung der NiSi2-Si-Grenzflächen liegt auf der Symmetrie von Elektron- und Lochströmen im Tunnelregime, welche für die Entwicklung von rekonfigurierbaren Feldeffekttransistoren besondere Relevanz hat. Verschiedene NiSi2-Si-Grenzflächen und Verzerrungszustände werden dabei systematisch untersucht. Je nach Grenzfläche ist die Symmetrie dabei sehr unterschiedlich und zeigt auch ein sehr unterschiedliches Verhalten bei externer Verzerrung. Weiterhin werden grundlegende physikalische Größen mit Bezug zu NiSi2-Si-Grenzflächen betrachtet. So wird beispielsweise die Stabilität anhand von Grenzflächen-Energien ermittelt. Am stabilsten sind {111}-Grenzflächen, was deren bevorzugtes Auftreten in Experimenten erklärt. Weitere wichtige Größen, deren Verzerrungsabhängigkeit untersucht wird, sind die Schottky-Barrierenhöhe, die effektive Masse der Ladungsträger sowie die Austrittsarbeiten von NiSi2- und Si-Oberflächen. Ein Beitrag zur Modellentwicklung numerischer Bauelementesimulationen wird durch einen Vergleich zwischen den Ergebnissen von Dichtefunktionaltheorie-basierten Transportrechnungen und denen eines vereinfachten Models basierend auf der Wentzel-Kramers-Brillouin-Näherung geliefert. Diese Näherung ist Teil vieler numerischer Bauelementesimulatoren und erlaubt die Berechnung des Tunnelstroms basierend auf grundlegenden physikalischen Größen. Der Vergleich ermöglicht eine Evaluierung des vereinfachten Models, welches anschließend genutzt wird, um den Einfluss der grundlegenden physikalischen Größen auf den Tunneltransport zu untersuchen.:Index of Abbreviations 1. Introduction 2. Silicon Based Devices and Silicon Nanowires 2.1. Introduction 2.2. The Reconfigurable Field-effect Transistor 2.2.1. Design and Functionality 2.2.2. Fabrication 2.3. Overview Over Silicon Nanowires 2.3.1. Geometric Structure 2.3.2. Fabrication Techniques 2.3.3. Electronic Properties 3. Simulation Tools 3.1. Introduction 3.2. Electronic Structure Calculations 3.2.1. Introduction and Basis Functions 3.2.2. Density Functional Theory 3.2.3. Description of Exchange and Correlation Effects 3.2.4. Practical Aspects of Density Functional Theory 3.3. Electron Transport 3.3.1. Introduction 3.3.2. Scattering Theory 3.3.3. Wentzel-Kramers-Brillouin Approximation for a Triangular Barrier 3.3.4. Non-equilibrium Green’s Function Formalism A. Radially Resolved Electronic Structure and Charge Carrier Transport in Silicon Nanowires A.1. Introduction A.2. Model System A.3. Results and Discussion A.4. Summary and Conclusions A.5. Appendix A: Computational Details A.6. Appendix B: Supplementary Material A.6.1. Comparison of the Band Gap Between Relaxed and Unrelaxed SiNWs A.6.2. Band Structures for Some of the Calculated SiNWs A.6.3. Radially Resolved Density of States for Some of the Calculated SiNWs B. Electron Transport Through NiSi2-Si Contacts and Their Role in Reconfigurable Field-effect Transistors B.1. Introduction B.2. Model for Reconfigurable Field-effect Transistors B.2.1. Atomistic Quantum Transport Model to Describe Transport Across the Contact Interface B.2.2. Simplified Compact Model to Calculate the Device Characteristics B.3. Results and Discussion B.3.1. Characteristics of a Reconfigurable Field-effect Transistor B.3.2. Variation of the Crystal Orientations and Influence of the Schottky Barrier B.3.3. Comparison to Fabricated Reconfigurable Field-effect Transistors B.4. Summary and Conclusions B.5. Appendix: Supplementary Material B.5.1. Band Structure and Density of States of the Contact Metal B.5.2. Relaxation Procedure B.5.3. Total Transmission Through Multiple Barriers C. Formation and Crystallographic Orientation of NiSi2-Si Interfaces C.1. Introduction C.2. Fabrication and characterization methods C.3. Model System and Simulation Details C.4. Results and discussion C.4.1. Atomic structure of the interface C.4.2. Discussion of ways to modify the interface orientation C.5. Summary C.6. Appendix: Supplementary Material D. NiSi2-Si Interfaces Under Strain: From Bulk and Interface Properties to Tunneling Transport D.1. Introduction D.2. Model System and Simulation Approach D.3. Computational Details D.3.1. Electronic Structure Calculations (Geometry Relaxations) D.3.2. Electronic Structure Calculations (Electronic Structure) D.3.3. Device Calculations D.4. Tunneling Transport From First-principles Calculations D.4.1. Evaluation of the Current D.4.2. Isotropic Strain D.4.3. Anisotropic Strain D.5. Transport Related Properties and Effective Modeling Schemes D.5.1. Schottky Barrier Height D.5.2. Simplified Transport Model D.5.3. Models for the Schottky Barrier Height D.6. Summary and Conclusions D.7. Appendix: Supplementary Material D.7.1. Schottky Barriers of the {110} Interface Under Anisotropic Strain D.7.2. Silicon Band Structure, Electric Field, and Number of Transmission Channels D.7.3. k∥-resolved Material Properties D.7.4. Evaluation of the Work Functions and Electron Affinities D.7.5. Verification of the Work Function Calculation 4. Discussion 5. Ongoing Work and Possible Extensions 6. Summary Bibliography List of Figures List of Tables Acknowledgements Selbstständigkeitserklärung Curriculum Vitae Scientific Contributions / The ongoing developments in micro- and nanotechnologies require a profound support from simulations. Numerical device simulations were and still are essential tools to support the device development. However, they gradually reach their limits as they rely on parameters, which are not always available, and neglect quantum effects for small structures. This work addresses the transport in silicon nanowires and through NiSi2-Si interfaces. By using density functional theory, the atomic structure is considered, and all electron transport related quantum effects are taken into account. Silicon nanowires are investigated with special attention to their radially resolved electronic structure and the corresponding modifications when the silicon diameter is reduced. The charge transport occurs mostly in the nanowire core. A diameter of around 5 nm can be identified, above which the nanowire core exhibits a similar density of states as bulk silicon. Thus, bulk approximations become increasingly valid above this diameter. NiSi2-Si interfaces are studied with focus on the symmetry between electron and hole currents in the tunneling regime. The symmetry is especially relevant for the development of reconfigurable field-effect transistors. Different NiSi2-Si interfaces and strain states are studied systematically. The symmetry is found to be different between the interfaces. Changes of the symmetry upon external strain are also very interface dependent. Furthermore, fundamental physical properties related to NiSi2-Si interfaces are evaluated. The stability of the different interfaces is compared in terms of interface energies. {111} interfaces are most stable, which explains their preferred occurrence in experiments. Other properties, whose strain dependence is studied, include the Schottky barrier height, the effective mass of the carriers, and work functions. A contribution to the development of numerical device simulators will be given by comparing the results from density functional theory based transport calculations and a model based on the Wentzel-Kramers-Brillouin approximation. This approximation, which is often employed in numerical device simulators, offers a relation between interface properties and the tunneling transport. The comparison allows an evaluation of the simplified model, which is then used to investigate the relation between the fundamental physical properties and the tunneling transport.:Index of Abbreviations 1. Introduction 2. Silicon Based Devices and Silicon Nanowires 2.1. Introduction 2.2. The Reconfigurable Field-effect Transistor 2.2.1. Design and Functionality 2.2.2. Fabrication 2.3. Overview Over Silicon Nanowires 2.3.1. Geometric Structure 2.3.2. Fabrication Techniques 2.3.3. Electronic Properties 3. Simulation Tools 3.1. Introduction 3.2. Electronic Structure Calculations 3.2.1. Introduction and Basis Functions 3.2.2. Density Functional Theory 3.2.3. Description of Exchange and Correlation Effects 3.2.4. Practical Aspects of Density Functional Theory 3.3. Electron Transport 3.3.1. Introduction 3.3.2. Scattering Theory 3.3.3. Wentzel-Kramers-Brillouin Approximation for a Triangular Barrier 3.3.4. Non-equilibrium Green’s Function Formalism A. Radially Resolved Electronic Structure and Charge Carrier Transport in Silicon Nanowires A.1. Introduction A.2. Model System A.3. Results and Discussion A.4. Summary and Conclusions A.5. Appendix A: Computational Details A.6. Appendix B: Supplementary Material A.6.1. Comparison of the Band Gap Between Relaxed and Unrelaxed SiNWs A.6.2. Band Structures for Some of the Calculated SiNWs A.6.3. Radially Resolved Density of States for Some of the Calculated SiNWs B. Electron Transport Through NiSi2-Si Contacts and Their Role in Reconfigurable Field-effect Transistors B.1. Introduction B.2. Model for Reconfigurable Field-effect Transistors B.2.1. Atomistic Quantum Transport Model to Describe Transport Across the Contact Interface B.2.2. Simplified Compact Model to Calculate the Device Characteristics B.3. Results and Discussion B.3.1. Characteristics of a Reconfigurable Field-effect Transistor B.3.2. Variation of the Crystal Orientations and Influence of the Schottky Barrier B.3.3. Comparison to Fabricated Reconfigurable Field-effect Transistors B.4. Summary and Conclusions B.5. Appendix: Supplementary Material B.5.1. Band Structure and Density of States of the Contact Metal B.5.2. Relaxation Procedure B.5.3. Total Transmission Through Multiple Barriers C. Formation and Crystallographic Orientation of NiSi2-Si Interfaces C.1. Introduction C.2. Fabrication and characterization methods C.3. Model System and Simulation Details C.4. Results and discussion C.4.1. Atomic structure of the interface C.4.2. Discussion of ways to modify the interface orientation C.5. Summary C.6. Appendix: Supplementary Material D. NiSi2-Si Interfaces Under Strain: From Bulk and Interface Properties to Tunneling Transport D.1. Introduction D.2. Model System and Simulation Approach D.3. Computational Details D.3.1. Electronic Structure Calculations (Geometry Relaxations) D.3.2. Electronic Structure Calculations (Electronic Structure) D.3.3. Device Calculations D.4. Tunneling Transport From First-principles Calculations D.4.1. Evaluation of the Current D.4.2. Isotropic Strain D.4.3. Anisotropic Strain D.5. Transport Related Properties and Effective Modeling Schemes D.5.1. Schottky Barrier Height D.5.2. Simplified Transport Model D.5.3. Models for the Schottky Barrier Height D.6. Summary and Conclusions D.7. Appendix: Supplementary Material D.7.1. Schottky Barriers of the {110} Interface Under Anisotropic Strain D.7.2. Silicon Band Structure, Electric Field, and Number of Transmission Channels D.7.3. k∥-resolved Material Properties D.7.4. Evaluation of the Work Functions and Electron Affinities D.7.5. Verification of the Work Function Calculation 4. Discussion 5. Ongoing Work and Possible Extensions 6. Summary Bibliography List of Figures List of Tables Acknowledgements Selbstständigkeitserklärung Curriculum Vitae Scientific Contributions