In dieser Dissertation werden ab initio Theorien zur Beschreibung der Zustände von perfekten halbleitenden und nichtleitenden Kristallen, unter Berücksichtigung elektronischer Korrelationen, abgeleitet und angewandt. Als Ausgangsbasis dient hierzu die Hartree-Fock Approximation in Verbindung mit Wannier-Orbitalen. Darauf aufbauend studiere ich zunächst in Teil I der Abhandlung den Grundzustand der wasserstoffbrückengebundenen Fluorwasserstoff und Chlorwasserstoff zick-zack Ketten und analysiere die langreichweitigen Korrelationsbeiträge. Dabei mache ich die Basissatzextrapolationstechniken, die für kleine Moleküle entwickelt wurden, zur Berechnung von hochgenauen Bindungsenergien von Kristallen nutzbar. In Teil II der Arbeit leite ich zunächst eine quantenfeldtheoretische ab initio Beschreibung von Elektroneneinfangzuständen und Lochzuständen in Kristallen her. Grundlage hierbei ist das etablierte algebraische diagrammatische Konstruktionsschema (ADC) zur Approximation der Selbstenergie für die Bestimmung der Vielteilchen-Green's-Funktion mittels der Dyson-Gleichung. Die volle Translationssymmetrie des Problems wird hierbei beachtet und die Lokalität elektronischer Korrelationen ausgenutzt. Das resultierende Schema wird Kristallorbital-ADC (CO-ADC) genannt. Ich berechne damit die Quasiteilchenbandstruktur einer Fluorwasserstoffkette und eines Lithiumfluoridkristalls. In beiden Fällen erhalte ich eine sehr gute Übereinstimmung zwischen meinen Resultaten und den Ergebnissen aus anderen Methoden. / In this dissertation, theories for the ab initio description of the states of perfect semiconducting and insulating crystals are derived and applied. Electron correlations are treated thoroughly based on the Hartree-Fock approximation formulated in terms of Wannier orbitals. In part I of the treatise, I study the ground state of hydrogen-bonded hydrogen fluoride and hydrogen chloride zig-zag chains. I analyse the long-range contributions of electron correlations. Thereby, I employ basis set extrapolation techniques, which have originally been developed for small molecules, to also obtain highly accurate binding energies of crystals. In part II of the thesis, I devise an ab initio description of the electron attachment and electron removal states of crystals using methods of quantum field theory. I harness the well-established algebraic diagrammatic construction scheme (ADC) to approximate the self-energy, used in conjunction with the Dyson equation, to determine the many-particle Green's function for crystals. Thereby, the translational symmetry of the problem and the locality of electron correlations are fully exploited. The resulting scheme is termed crystal orbital ADC (CO-ADC). It is applied to obtain the quasiparticle band structure of a hydrogen fluoride chain and a lithium fluoride crystal. In both cases, a very good agreement of my results to those determined with other methods is observed.

In this thesis, several development steps for the incremental method are presented. At first, the extension of the incremental scheme to other quantities than the energy is advanced in terms of molecular dipole moments. In this context, a revised error correction as well as the template localization for the treatment of aromatic systems are introduced. As a second enhancement, a new implementation of the template localization ensures a higher stability of this algorithm step and, thus, of the incremental scheme. Finally, pair natural orbitals (PNOs) are utilized in the incremental method with the aim of an increased efficiency. The PNO approach is re-assessed in context of the incremental expansion leading to both small incremental and PNO local errors for reaction, intermolecular interaction and cluster binding energies. The higher efficiency due to the twofold reduction of the computational efforts by the PNO and the incremental approaches is demonstrated for molecular clusters. Additionally, the complete basis set (CBS) limit is targetted by using the efficient MP2-based focal-point approach to the incremental scheme (with and without PNOs). Finally, based on these improvements of the performance, the PNO-based incremental scheme is applied to support a computational study regarding the modelling of the reaction mechanism for the base-catalyzed twin polymerization.

In dieser Dissertation werden ab initio Theorien zur Beschreibung der Zustände von perfekten halbleitenden und nichtleitenden Kristallen, unter Berücksichtigung elektronischer Korrelationen, abgeleitet und angewandt. Als Ausgangsbasis dient hierzu die Hartree-Fock Approximation in Verbindung mit Wannier-Orbitalen. Darauf aufbauend studiere ich zunächst in Teil I der Abhandlung den Grundzustand der wasserstoffbrückengebundenen Fluorwasserstoff und Chlorwasserstoff zick-zack Ketten und analysiere die langreichweitigen Korrelationsbeiträge. Dabei mache ich die Basissatzextrapolationstechniken, die für kleine Moleküle entwickelt wurden, zur Berechnung von hochgenauen Bindungsenergien von Kristallen nutzbar. In Teil II der Arbeit leite ich zunächst eine quantenfeldtheoretische ab initio Beschreibung von Elektroneneinfangzuständen und Lochzuständen in Kristallen her. Grundlage hierbei ist das etablierte algebraische diagrammatische Konstruktionsschema (ADC) zur Approximation der Selbstenergie für die Bestimmung der Vielteilchen-Green's-Funktion mittels der Dyson-Gleichung. Die volle Translationssymmetrie des Problems wird hierbei beachtet und die Lokalität elektronischer Korrelationen ausgenutzt. Das resultierende Schema wird Kristallorbital-ADC (CO-ADC) genannt. Ich berechne damit die Quasiteilchenbandstruktur einer Fluorwasserstoffkette und eines Lithiumfluoridkristalls. In beiden Fällen erhalte ich eine sehr gute Übereinstimmung zwischen meinen Resultaten und den Ergebnissen aus anderen Methoden. / In this dissertation, theories for the ab initio description of the states of perfect semiconducting and insulating crystals are derived and applied. Electron correlations are treated thoroughly based on the Hartree-Fock approximation formulated in terms of Wannier orbitals. In part I of the treatise, I study the ground state of hydrogen-bonded hydrogen fluoride and hydrogen chloride zig-zag chains. I analyse the long-range contributions of electron correlations. Thereby, I employ basis set extrapolation techniques, which have originally been developed for small molecules, to also obtain highly accurate binding energies of crystals. In part II of the thesis, I devise an ab initio description of the electron attachment and electron removal states of crystals using methods of quantum field theory. I harness the well-established algebraic diagrammatic construction scheme (ADC) to approximate the self-energy, used in conjunction with the Dyson equation, to determine the many-particle Green's function for crystals. Thereby, the translational symmetry of the problem and the locality of electron correlations are fully exploited. The resulting scheme is termed crystal orbital ADC (CO-ADC). It is applied to obtain the quasiparticle band structure of a hydrogen fluoride chain and a lithium fluoride crystal. In both cases, a very good agreement of my results to those determined with other methods is observed.

Diese Arbeit beschäftigt sich mit der „First-Principles“ atomskaligen Modellierung der HfO2-basierten high-k-Gate-Isolatorschichten der Metalloxid-Halbleiter-Feldeffekttransistoren. Die theoretischen Untersuchungen basieren auf Dichtefunktionaltheorie und Nichtgleichgewicht-Greensche-Funktion-Formalismen. Eine der wichtigsten Eigenschaften eines Gate-Isolators ist der Wert seiner Bandlücke. Die Bandlücke eines gemischten Festkörpers aus SiO2 und ZrO2 oder HfO2 wird auf der Grundlage der „Generalized Quasi-Chemical“ Approximation in Kombination mit dem „Cluster Expansion“ Ansatz berechnet. Zu diesem Zweck wurde Dichtefunktionaltheorie für die Berechnung der Eigenschaften verschiedener Konfigurationen möglicher Elementarzellen durchgeführt. Es wurde ein fast linearer Verlauf für die Bandlücke eines aus SiO2 und HfO2 gemischten Festkörpers berechnet. Im Vergleich zu dem üblichen SiO2 Gate-Isolator, haben die high-k-Gate-Isolatoren eine höhere Defektdichte, die hauptsächlich aus Sauerstoffleerstellen bestehen. Dies führt zu mehreren Problemen, wie zum Beispiel höherer Leckstrom, Schwellenspannungsverschiebung und Degradation des Gateoxids. Daher wurde eine umfassende Untersuchung der verschiedenen Eigenschaften von Sauerstofffehlstellen in HfO2 durchgeführt, indem wichtige Parameter wie zum Beispiel die Formationsenergien und die Lage der Defektniveaus in der Bandlücke berechnet wurden. Es wurde durch die theoretischen Berechnungen gezeigt, dass die schädlichen Auswirkungen von Sauerstofffehlstellen durch die Einführung von Lanthan-Atomen in dem HfO2 Kristallgitter teilweise zu verringern sind. Energetisch gesehen bevorzugen die Lanthan-Atome die Hf-Gitterplätze in der Nachbarschaft einer Sauerstofffehlstelle und führen dadurch zu der Passivierung durch Sauerstoffleerstelle induzierten Defektniveaus. Die high-k-Isolatorschicht in den heutigen Transistoren besteht aus drei Schichten: einem Metallgate, einer HfO2-Schicht als Haupt-Gate-Isolator und einer sehr dünnen SiO2 Übergangsschicht zwischen Gateoxid und Si. Die Einführung eines Metallgates führt zu einigen Problemen bei der Einstellung einer geeigneten Schwellenspannung in den Transistoren. Theoretische Berechnungen in einer komplexen Modellstruktur von der Si/SiO2/HfO2-Grenzfläche zeigen, dass die dotierten Lanthan-Atome energetisch die SiO2/HfO2-Grenzfläche bevorzugen, was wiederum ein Dipolmoment an der Grenzfläche erzeugt. Dieses Dipolmoment kann verwendet werden, um die richtige Schwellenspannung wieder einzustellen. Schließlich wird in den experimentellen Messungen festgestelltes progressives Degradationsverhalten von high-k-Gate-Isolatoren mit einem theoretischen Modell erklärt. Dieses Modell basiert auf ab-initio-Berechnungen und zeigt, wie die Erzeugung geladener Sauerstoffleerstellen und deren Migration unter der angelegten Gatespannung zu einer progressiven Erhöhung des Leckstroms und folglich zu einer Degradation der Isolatorschicht führt.:List of Figures 7 List of Tables 9 List of Symbols 10 List of Abbreviations 11 Chapter 1: Introduction 12 Chapter 2: Theory of Atomic-Scale First-Principles Calculations 15 2.1 Theoretical methods 15 2.2 Density functional theory 17 2.3 Non-equilibrium Green’s function formalism 23 Chapter 3: Calculations for Bulk High-k Materials 27 3.1 Bulk high-k materials 27 3.2 Crystalline insulators 27 3.3 Solid solutions 29 3.3.1 Cluster expansion approach 30 3.3.2 Band gap and bowing parameter 33 3.3.3 Calculation of internal stress 40 3.4 Leakage current 41 Chapter 4: Defects in Bulk High-k Materials 43 4.1 Defects in high-k gate dielectrics 43 4.2 Oxygen vacancies in monoclinic HfO2 44 4.2.1 Neutral oxygen vacancies 44 4.2.2 Charged oxygen vacancies 46 4.3 Hybrid functional 50 4.4 Double oxygen vacancies 56 4.5 Interaction of oxygen vacancies with La-doping 61 4.5.1 La doping in m-HfO2 61 4.5.2 Complex LaHfVO defects 64 Chapter 5: Interface Properties of High-k Gate Stack 72 5.1 high-k gate-stack 72 5.1.1 Atomic-scale model structure for a high-k gate-stack 72 5.1.2 Electronic structure 74 5.1.3 Leakage current 76 5.2 Band offset 80 5.3 Threshold voltage engineering with La doping 84 Chapter 6: Degradation of the High-k Gate Stack 90 6.1 Reliability issues in high-k gate-stack 90 6.2 Calculations and experimental methods 91 6.3 Leakage current 92 6.4 Defect generation 100 6.5 Explaining progressive SILC in high-k dielectrics 102 Chapter 7: Conclusions 104 Bibliography 106 Selbständigkeitserklärung 119 Danksagung 120 Lebenslauf 121 Veröffentlichungen 122 / This thesis deals with the first-principles atomic-scale modeling of the HfO2-based high-k gate-insulator layer of the metal-oxide-semiconductor field-effect transistors. The theoretical investigations are based on density functional theory and non-equilibrium Green's function formalisms. One of the important properties of the gate insulator is the value of its band gap. The band gap of amorphous solid mixtures of SiO2 and ZrO2 or HfO2 is calculated based on generalized quasi-chemical approximation combined with a cluster expansion approach, by performing density functional calculations on different configurations of possible unit cells. An almost linear variation of the band gap is obtained for solid mixtures of SiO2 and HfO2. One drawback of the high-k gate-insulator, comparing to the standard SiO2, is high density of defects, particularly oxygen vacancies, which leads to several problems such as enhancement of the leakage current, threshold voltage instability, and degradation of the gate-oxide. A comprehensive investigation of different properties of oxygen vacancies in HfO2 is conducted by the calculation of formation energies and induced trap levels. It is shown based on theoretical calculations that the harmful effects of oxygen vacancies can be partially healed by introducing lanthanum atoms into the defected HfO2 crystal. Lanthanum atoms energetically prefer to occupy Hf lattice sites close to the oxygen vacancies and passivate the induced defect levels. The state-of-the-art high-k gate-stacks consist of a metal-gate on a HfO2 layer, as the main part of the gate insulator, and a very thin SiO2 intermediate layer between high-k material and Si. The introduction of a metal-gate raises some problem in the adjustment of an appropriate threshold voltage. Theoretical calculations in a complex model structure of the Si/SiO2/HfO2 interface reveals that the lanthanum atoms energetically prefer to stay at the SiO2/HfO2 interface, which in turn results in a dipole moment. This dipole moment can be employed to adjust the threshold voltage in high-k/metal-gate stacks. Finally, a theoretical model, which can quiet well explain the experimental measurements, is introduced for the progressive degradation of the high-k gate-insulators. This model is based on ab-initio calculations and shows how the generation of charged vacancies and their migration under the applied gate voltage leads to the progressive enhancement of the leakage current and consequently to the degradation of the insulator layer.:List of Figures 7 List of Tables 9 List of Symbols 10 List of Abbreviations 11 Chapter 1: Introduction 12 Chapter 2: Theory of Atomic-Scale First-Principles Calculations 15 2.1 Theoretical methods 15 2.2 Density functional theory 17 2.3 Non-equilibrium Green’s function formalism 23 Chapter 3: Calculations for Bulk High-k Materials 27 3.1 Bulk high-k materials 27 3.2 Crystalline insulators 27 3.3 Solid solutions 29 3.3.1 Cluster expansion approach 30 3.3.2 Band gap and bowing parameter 33 3.3.3 Calculation of internal stress 40 3.4 Leakage current 41 Chapter 4: Defects in Bulk High-k Materials 43 4.1 Defects in high-k gate dielectrics 43 4.2 Oxygen vacancies in monoclinic HfO2 44 4.2.1 Neutral oxygen vacancies 44 4.2.2 Charged oxygen vacancies 46 4.3 Hybrid functional 50 4.4 Double oxygen vacancies 56 4.5 Interaction of oxygen vacancies with La-doping 61 4.5.1 La doping in m-HfO2 61 4.5.2 Complex LaHfVO defects 64 Chapter 5: Interface Properties of High-k Gate Stack 72 5.1 high-k gate-stack 72 5.1.1 Atomic-scale model structure for a high-k gate-stack 72 5.1.2 Electronic structure 74 5.1.3 Leakage current 76 5.2 Band offset 80 5.3 Threshold voltage engineering with La doping 84 Chapter 6: Degradation of the High-k Gate Stack 90 6.1 Reliability issues in high-k gate-stack 90 6.2 Calculations and experimental methods 91 6.3 Leakage current 92 6.4 Defect generation 100 6.5 Explaining progressive SILC in high-k dielectrics 102 Chapter 7: Conclusions 104 Bibliography 106 Selbständigkeitserklärung 119 Danksagung 120 Lebenslauf 121 Veröffentlichungen 122

The question posed in this work is how one would model and predict the rotational spectrum of open-shell open-shell van der Waals complexes. There are two secondary questions that arise: the nature of radical-radical interactions in such systems and the modelling of the large amplitude motion of the constituent molecules. Four different systems were studied in this work, each providing part of the answer to the main question. Starting with the large amplitude motion, there are two theoretical approaches that may be adopted: to either model the whole complex as a semi-rigid molecule, or to perform quantum dynamical calculations. We recorded and analysed the rotational spectrum (using Fourier transform microwave spectroscopy) of the molecule of tertiary butyl acetate (TBAc) which exhibits a high degree of internal rotation; and of the weakly-bound complex between a neon atom and a nitrogen dioxide molecule (Ne-NO2). We used the semi-rigid approach for TBAc and the quantum dynamical approach for Ne-NO2. We also explored the compatibility of these two approaches. Moreover, we were able to predict and analyse the fine and hyperfine structure of the Ne-NO2 spectrum using spherical tensor operator algebra and the results of our dynamics calculations. To explore the nature of the interactions in an radical-radical van der Waals complex we calculated the PESs of the possible states that the complex may be formed in, when an oxygen and a nitrogen monoxide molecule meet on a plane using a number of high level ab initio methods. Finally, our conclusions were tested and applied when we performed the angular quantum dynamics to predict the rotational spectrum of the complex between an oxygen and a nitrogen dioxide molecule, and account for the effect of nuclear spin statistics in that system.

Silicon nanowires (SiNWs) and the copper chalcogenides, namely copper sulfide (Cu2S) and selenide Cu2Se, have diverse applications in renewable energy technology. For example, SiNWs which have direct band gaps unlike bulk Si, have the potential to radically reduce the cost of Si based photovoltaic cells. However, they degrade quickly under ambient conditions. Various surface passivations have therefore been investigated for enhancing their stability but it is not yet well understood how they affect the electronic structure of SiNWs at a fundamental level. Here, we will explore, from first-principles simulation, how fluorine, methyl and hydrogen surface passivations alter the electronic structures of [111] and [110] SiNWs via strain and quantum confinement. We also show how electronic charge states in [111] and [110] SiNWs can be effectively modelled by simple quantum wells. In addition, we address the issue of why [111] SiNWs are less influenced by their surface passivation than [110] SiNWs. Like SiNWs, Cu2S and Cu2Se also make excellent photovoltaic cells. However, they are most well known for their exceptional thermoelectric performance. This is by virtue of their even more unique solid-liquid hybrid nature which combines the low thermal conductivity and good electrical characteristics required for a high thermoelectric efficiency. We use first-principles molecular dynamics simulations to show that Cu diffusion rates in Cu2S and Cu2Se can be as high as 10-5cm2s-1. We also relate their phonon power spectra to their low thermal conductivities. Furthermore, we evaluate the thermoelectric properties of Cu2S and Cu2Se using a combination of Boltzmann transport theory and first-principles electronic structure calculations. Our results show that both Cu2S and Cu2Se are capable of maintaining high Seebeck coefficients in excess of 200μVK-1 for hole concentrations as high as 3x1020cm-3.

Ce travail porte sur la synthèse et la caractérisation de nouveaux matériaux d'électrodes positives pour batteries au lithium. Nos recherches se sont principalement orientées vers les matériaux de type phosphates de métaux de transition, et notamment vers la famille des tavorites de composition (Li,H)FePO4(OH), qui présente une structure tridimensionnelle comportant plusieurs types de tunnels propices à l'insertion d'ions lithium. La structure du matériau LiFePO4(OH) a ainsi été parfaitement résolue, de même que celle du matériau FePO4.H2O, qui est un nouveau phosphate de fer (III) découvert au cours de ces travaux. Ces deux matériaux, ainsi que ceux obtenus par traitement thermique de la phase FePO4.H2O, ont été caractérisés à l'aide de différentes techniques d'analyse physico-chimiques. Leur comportement électrochimique vis-à-vis de l'intercalation / désintercalation du lithium a été étudié, ainsi que les mécanismes redox et structuraux associés mis en jeu.

Depuis la mise en évidence des potentialités du phosphate LiFePO4 comme électrode positive de batteries lithium-ion, un très fort regain d'intérêt pour les phosphates de fer est actuellement observé. Dans cette optique de recherche de nouveaux matériaux, notre intérêt s'est porté sur la phase Na3Fe3(PO4)4 et sur des monophosphates de fer et de manganèse de type alluaudite LiXNa1-XMnFe2(PO4)3. Leurs structures, respectivement en couche et en chaines, en font de bons candidats pour des applications en tant que matériau d'électrode pour des batteries au lithium ou au sodium. Notre étude porte donc, d'une part, sur la synthèse et la caractérisation structurale de ces phases, et d'autre part sur leurs propriétés physiques et électrochimiques.

Ce travail est une contribution ab initio à la caractérisation d'halogénures diatomiques de métaux de transition. Nous avons choisi de caractériser la structure électronique des chlorures de métaux de transition du groupe Vb (NbCl et TaCl) et du fluorure de nickel car une série de spectres les concernant ont été enregistrés mais aucune donnée théorique fiable n'était disponible dans la littérature. Pour étudier ces molécules, nous avons appliqué une procédure de calcul à deux étapes qui permet de tenir compte des effets de corrélation électronique et des effets relativistes. Dans la première étape, nous avons réalisé des calculs CASSCF/ICMRCI+Q de grande taille qui tiennent compte de l'énergie de corrélation et introduisent des effets relativistes scalaires. Dans la deuxième étape, le couplage spin-orbite est traité par la "state interacting method" implémentée dans le logiciel MOLPRO. Nous avons développé des stratégies de calcul basées sur ces méthodes de calcul et adaptées aux différentes molécules ciblées. Ainsi, pour les molécules NbCl et TaCl, nous avons utilisé des pseudopotentiels relativistes scalaires et spin-orbite, tandis que pour la molécule NiF, nous avons réalisé des calculs tous électrons. Nous avons d'abord testé la stratégie de calcul sur les cations Nb+ et Ta+. Ensuite, nous avons calculé pour la première fois les structures électroniques relativiste scalaire et spin-orbite des molécules NbCl (de 0 à 17000 cm-1) et TaCl (de 0 à 23000 cm-1). A l'aide de ces données théoriques, nous avons interprété les spectres expérimentaux en collaboration avec Bernath et al. Nous avons proposé plusieurs attributions de transitions électroniques en accord avec l'expérience mais nos résultats théoriques ne nous ont pas permis de les attribuer toutes. Néanmoins, nous avons mis en évidence une série d'autres transitions électroniques probables qui pourraient, à l'avenir, servir à l'interprétation de nouveaux spectres mieux résolus. Outre son intérêt expérimental, cette étude a permis de comparer les structures électroniques des molécules isovalencielles VCl, NbCl et TaCl, mettant en évidence des différences importantes. L'élaboration d'une nouvelle stratégie de calcul pour décrire les systèmes contenant l'atome de nickel représentait un véritable défi en raison de la complexité des effets de corrélation électronique. Notre stratégie de calcul a consisté à introduire ces effets en veillant à réduire au maximum la taille des calculs qui devenait considérable. Nous l'avons testée sur l'atome Ni et appliquée ensuite au calcul des structures électroniques relativiste scalaire et spin-orbite de la molécule NiF entre 0 à 2500 cm-1. Nous avons obtenus des résultats qui corroborent l'expérience.

<p>In the present work, the structural, electronic properties, thermodynamic stability and adatom surface movements of oxygen and sulfur adsorption on the Fe surface were studied based on the ab initio method.</p><p>Firstly, the oxygen adsorbed on the iron (100) surface is investigated at the three adsorption sites top, bridge and hollow sites, respectively. Adsorption energy, work function and surface geometries were calculated, the hollow site was found to be the most stable adsorption site, Which is in agreement with the experiments. In addition, the difference charge density of the different adsorption systems was calculated to analyze the interaction and bonding properties between Fe and O. It can be found out that the charge redistribution was related to the geometry relaxation.</p><p>Secondly, the sulfur coverage is considered from a quarter of one monolayer (1ML) to a full monolayer. Our calculated results indicate that the most likely site for S adsorption is the hollow site on Fe (100). We find that the work function and its change Df increased with S coverage, in very good agreement with experiments. Due to a recent discussion regarding the influence of charge transfer on Df, we show that the increase in Df can be explained by the increasing surface dipole moment as a function of S coverage. In addition, the Fe-S bonding was analyzed. Finally, the thermodynamic stabilities of the different structures were evaluated as a function the sulfur chemical potential.</p><p>Finally, a two dimensional (2D) gas model was proposed to simulate the surface active elements, oxygen and sulfur atoms, movement on the Fe (100) surface. The average velocity of oxygen and sulfur atoms was found out to be related to the vibration frequencies and energy barrier in the final expression developed. The calculated results were based on the density function and thermodynamics & statistical physics theories. In addition, this 2D gas model can be used to simulate and give an atomic view of the complex interfacial phenomena in the steelmaking refining process.</p>