The work presented in this thesis deals with experimental and theoretical studies related to alumina thin films. Alumina, Al2O3, is a polymorphic material utilized in a variety of applications, e.g., in the form of thin films. However, controlling thin film growth of this material, in particular at low substrate temperatures, is not straightforward. The aim of this work is to increase the understanding of the basic mechanisms governing alumina growth and to investigate novel ways of synthesizing alumina coatings. The thesis can be divided into two main parts, where the first part deals with fundamental studies of mechanisms affecting alumina growth and the second part with more application-oriented studies of high power impulse magnetron sputter (HiPIMS) deposition of the material. In the first part, it was shown that the thermodynamically stable α phase, which normally is synthesized at substrate temperatures of around 1000 °C, can be grown using reactive sputtering at a substrate temperature of merely 500 °C by controlling the nucleation surface. This was done by predepositing a Cr2O3 nucleation layer. Moreover, it was found that an additional requirement for the formation of the α phase is that the depositions are carried out at low enough total pressure and high enough oxygen partial pressure. Based on these observations, it was concluded that energetic bombardment, plausibly originating from energetic oxygen, is necessary for the formation of α-alumina (in addition to the effect of the chromia nucleation layer). Moreover, the effects of residual water on the growth of crystalline films were investigated by varying the partial pressure of water in the ultra high vacuum (UHV) chamber. Films deposited onto chromia nucleation layers exhibited a columnar structure and consisted of crystalline α-alumina if deposited under UHV conditions. However, as water to a partial pressure of 1*10-5 Torr was introduced, the columnar α-alumina growth was disrupted. Instead, a microstructure consisting of small, equiaxed grains was formed, and the γ-alumina content was found to increase with increasing film thickness. To gain a better understanding of the atomistic processes occurring on the surface, density functional theory based computational studies of adsorption and diffusion of Al, O, AlO, and O2 on different α-alumina (0001) surfaces were also performed. The results give possible reasons for the difficulties in growing the α phase at low temperatures through the identification of several metastable adsorption sites and also show how adsorbed hydrogen might inhibit further growth of α-alumina crystallites. In addition, it was shown that the Al surface diffusion activation energies are unexpectedly low, suggesting that limited surface diffusivity is not the main obstacle for low-temperature α-alumina growth. Instead, it is suggested to be more important to find ways of reducing the amount of impurities, especially hydrogen, in the process and to facilitate α-alumina nucleation when designing new processes for low-temperature deposition of α-alumina. In the second part of the thesis, reactive HiPIMS deposition of alumina was studied. In HiPIMS, a high-density plasma is created by applying very high power to the sputtering magnetron at a low duty cycle. It was found, both from experiments and modeling, that the use of HiPIMS drastically influences the characteristics of the reactive sputtering process, causing reduced target poisoning and thereby reduced or eliminated hysteresis effects and relatively high deposition rates of stoichiometric alumina films. This is not only of importance for alumina growth, but for reactive sputter deposition in general, where hysteresis effects and loss of deposition rate pose a substantial problem. Moreover, it was found that the energetic and ionized deposition flux in the HiPIMS discharge can be used to lower the deposition temperature of α-alumina. Coatings predominantly consisting of the α phase were grown at temperatures as low as 650 °C directly onto cemented carbide substrates without the use of nucleation layers. Such coatings were also deposited onto cutting inserts and were tested in a steel turning application. The coatings were found to increase the crater wear resistance compared to a benchmark TiAlN coating, and the process consequently shows great potential for further development towards industrial applications.

Mit verschiedenen experimentellen Methoden werden die strukturabhängigen Eigenschaften amorpher Zr-Al-Ni-Cu- und Ta-Si-N- Multikomponentenschichten untersucht. Aus Messungen der mechanischen Spannungen in amorphen Zr-Al-Ni-Cu-Schichten werden mit hoher Empfindlichkeit relative Volumenänderungen bestimmt, die bei Schichtwachstum, Relaxation und Kristallisation auftreten. Das Meßverfahren ermöglicht Untersuchungen der Spannungsrelaxation und Viskosität in der Nähe des Glasübergangs. Irreversible Spannungsrelaxationen unterhalb von Tg können mit der "Freie Volumen-Theorie" gedeutet werden. Als Ursache für eine schnelle Abnahme von Druckspannungen im Bereich des Glasübergangs wird dagegen ein Fließprozeß vorgeschlagen. Unmittelbar während der Kristallisation werden nur geringe Spannungsänderungen festgestellt. Aus Messungen der isothermen Spannungsrelaxation werden Viskositäten der amorphen Schichten bestimmt. Aus den Spannungsmessungen ergeben sich neue Erkenntnisse über das Relaxations- und Kristallisationsverhalten von Multikomponentengläsern. Es werden grundlegende Fragestellungen zu Entmischungs- und Kristallisationsvorgängen in amorphen Ta-Si-N-Schichten untersucht, die auch für technologische Anwendungen der Schichten als Diffusionsbarrieren relevant sind. ASAXS-, TEM- und XRD- Messungen ergeben, daß in amorphen Ta40Si14N46-Schichten bei Temperaturen zwischen 1073 K und 1273 K komplexe Prozesse, wie eine Phasenseparation und eine nachfolgende Nanokristallisation ablaufen. Diese Prozesse führen zu einer Bildung von Strukturen mit charakteristischen Ausdehnungen und wirken sich auf die mechanischen Spannungen aus. Durch die vorliegenden Ergebnisse wird gezeigt, daß die Stabilität der Diffusionsbarrieren bereits unterhalb der Kristallisationstemperatur durch die Entmischung und Nanokristallisation begrenzt ist.

In the present work Mg films prepared by RF magnetron sputtering were studied. Variable energy positron annihilation spectroscopy (VEPAS) was employed for investigation of defects in the Mg films. VEPAS characterization was combined with scanning electron microscopy and X-ray diffraction in order to determine grain size, phase composition and texture. The effect of different deposition rate and deposition temperature, annealing, various substrates and film thickness on the structure and amount of defects present in the Mg films was examined. Defect studies by VEPAS showed that positrons in studied Mg films are trapped at misfit dislocations and at vacancy-like defects in grain boundaries and their density can be reduced by the deposition at elevated temperature. 1

Grâce à ses excellentes propriétés physiques et chimiques (stable thermiquement, bon conducteur électrique et de chaleur, ductile, très dur mécaniquement, bonne inertie chimique), le matériau tantale et son nitrure TaNx sont utilisés comme revêtement de surface des outils, résistance électrique, barrière de diffusion au cuivre, croissance de nanotubes par un procédé chimique catalytique en phase vapeur. C’est ce matériau et son nitrure que nous avons étudiés lors de cette thèse.Aujourd’hui les exigences des industriels nécessitent que la pulvérisation cathodique magnétron (PCM) puisse être appliquée aux pièces de formes complexes. La principale limitation de cette méthode de dépôt est que la plupart des particules pulvérisées sont neutres. Pour contrôler l’énergie et la trajectoire des particules pulvérisées, des nouveaux procédés IPVD (Ionized Physical Vapor Deposition) ont été développés pour ioniser les atomes pulvérisés. Le procédé RF-IPVD (Radio-Frequency Ionized Physical Vapor Deposition) permet, grâce à une boucle placée entre la cible et le substrat et polarisée en RF, de créer un second plasma permettant d’ioniser la vapeur pulvérisée. Un autre procédé a été développé : nommé HIPIMS (High Power Impulse Magnetron Sputtering), ce procédé utilise une alimentation fournissant des impulsions de courte durée et de forte puissance au lieu d’une alimentation DC. Les particules pulvérisées peuvent être ionisées dans le plasma magnétron qui est très dense lors des impulsions. Nous avons réalisé des couches minces de Ta par PCM, RF-IPVD et HIPIMS, et des couches minces de TaNx par PCM et HIPIMS. Les différentes propriétés des décharges et des couches minces sont étudiées et comparées dans ce mémoire. / Thanks to their excellent physical and chimical characteristics such as good stability with temperature, good conductor of heat and electricity, ductility, hardness, chemical inertness and good corrosion resistance, tantalum and its nitride are used in a wide variety of applications such as wear and corrosion-resistant materials, thin film transistors, diffusion barrier for copper and for carbon nanotube grown by CCVD process (catalytically chemical vapor deposition). For some recent industrial demand, it is necessary to deposit on substrates with complex shape. The main disadvantage of the conventional magnetron sputtering (CMS) is that most of the sputtered particles are neutral. To controle the energy and the path of sputtered particles, new magnetron sputtering techniques have been developed for ionizing a significant fraction of sputtered material. A new sputtering process called RF-IPVD consists in ionizing the sputtered vapor by adding second plasma by a RF coil between the target and the substrate. Another method called HIPIMS (High Power Impulsed Magnetron Sputtering), uses high power impulse instead of DC power. During the impulse, the sputtered Ta atoms are ionized in the dense plasma. We have deposited Ta thin films by CMS, RF-IPVD and HIPIMS and TaNx thin films by CMS and HIPIMS. The objective of this thesis is to compare the properties of discharges and thin films deposited by these different techniques.

In dieser Dissertation wurde die Beziehung zwischen den strukturellen, optischen und Ladungstransporteigenschaften von dotierten ZnO- und Zn1-xMgxO-Schichten eingehend untersucht. Das Ziel war es, die oben genannten Zusammenhänge weiter aufzuklären, wodurch sich anschließend Ansätze für eine zielgerichtete Verbesserung der Schichteigenschaften ableiten lassen. Zunächst konzentriert sich die Arbeit auf das Wachstum der ZnO-Schichten, um wichtige strukturelle Parameter, wie zum Beispiel Korngrößen und Defektdichten, mittels Röntgendiffraktometrie und Transmissionselektronenmikroskopie zu bestimmen. Diese strukturellen Parameter wurden dann als Modellparameter für die theoretische Modellierung des Transports der freien Ladungsträger verwendet. Temperaturabhängige Hall-, Leitfähigkeits- und Seebeck-Koeffizient-Messungen zeigten, dass der elektrische Transport hauptsächlich durch die Streuung der Ladungsträger an ionisierten Störstellen und Korngrenzen limitiert wird. Im Rahmen dieser Arbeit wurde die theoretische Beschreibung der Streuung an Korngrenzen auf entartet dotierte Halbleiter erweitert. Diese Ergebnisse wurden dann genutzt, um ein qualitatives Modell zu formulieren, welches den Zusammenhang zwischen dem Magnetron-Sputter-Abscheidungsprozess und den strukturellen und elektrischen Eigenschaften der Schichten herstellt. Gemäß diesem Modell sind die Schichteigenschaften bei niedrigen Abscheidungstemperaturen hauptsächlich durch die Bildung akzeptoratiger Sauerstoffzwischengitterdefekte bestimmt, die einen Teil der extrinsischen Dotanden kompensieren. Diese Defekte werden durch ein Bombardement der wachsenden Schicht mit hochenergetischen negativen Sauerstoffionen verursacht. Bei höheren Abscheidungstemperaturen dominiert die Bildung von sekundären Phasen oder Defektkomplexen, in denen der Dotant elektrisch inaktiv ist. / In this thesis, the relation between the structural, optical, and charge carrier transport properties of magnetron sputtered doped ZnO and Zn1-xMgxO films has been investigated in detail. The objective was to clarify the above mentioned relations, which allows to derive solutions for a deliberate improvement of the layer properties. The work first focusses on the growth of the ZnO layers to determine important structural properties like grain sizes and defect densities via X-ray diffraction and transmission electron microscopy investigations. These structural properties were then used as model parameters for the theoretical modelling of the charge carrier transport. The temperature dependent Hall, conductivity and Seebeck coefficient measurements show that the transport is mainly limited by grain boundary scattering and ionized impurity scattering. The theoretical description of the grain boundary scattering has been extended in this work to also include degenerate semiconductors. Based on the results on the structural and electronic properties, in a next step a qualitative model was developed which explains the correlation between the magnetron sputtering deposition process and the structural and electronic properties of the films. According to this model, the properties of the films are mainly influenced by the formation of electrically active acceptor-like oxygen interstitial defects at low deposition temperatures, which lead to a partial compensation of the extrinsic donors. These defects are caused by a bombardment of the growing film by high-energetic negative oxygen ions. At higher deposition temperatures, the formation of secondary phases or defect complexes, in which the dopant is electrically inactive, prevails.

Ce travail porte sur la synthèse de couches minces de nanoparticules de silicium (np-Si) encapsulées dans une matrice diélectrique en vue d’une application en tant que couche active pour les cellules solaires de 3ème génération. La technique utilisée pour la synthèse des np-Si est la pyrolyse laser. Cette technique nous a permis d’obtenir des np-Si cristallines d’environ 5 nm de diamètre avec une distribution en taille étroite. Par ailleurs, l’utilisation de gaz précurseurs spécifiques (PH₃, B₂H₆) dans le mélange réactionnel a rendu possible le dopage (type n ou p) des np-Si. Le dopage effectif des np-Si a pu être mis en évidence par des mesures de résonance paramagnétique électronique (RPE). Des films de np-Si seules ont pu être déposés in-situ via la création d’un jet supersonique de gaz contenant les particules de silicium. Les caractérisations optoélectroniques de ces couches ont montré un effet de confinement quantique fort au sein de films, garantissant ainsi un élargissement important du gap du silicium de 1.12 eV (pour le silicium massif) à environ 2 eV (pour les np-Si) ; prérequis indispensable pour réaliser une cellule tandem tout silicium. Des mesures de résistivité sur ces films ont permis de confirmer l’activité des dopants au sein des np-Si. Pour les np-Si dopées au phosphore une diminution de la résistivité de plus de 5 ordres de grandeurs par rapport au np-Si intrinsèques a été observée. Le couplage entre la pyrolyse laser et la pulvérisation magnétron via notre dispositif original de synthèse s’est révélé parfaitement adapté à l’élaboration de couches minces nanocomposites np-Si/SiO₂. Un comportement de type diode a pu être mis en évidence sur une jonction constituée par la superposition d’une couche nanocomposites (type n) sur un substrat de silicium massif (type p). Au-delà de la simple application au photovoltaïque, le procédé couplé, largement éprouvé et optimisé au cours de ce travail de thèse, pourrait permettre la réalisation d’une multitude de couches nanocomposites différentes, puisque la nature chimique des particules et de la matrice peuvent être choisies indépendamment. / This work focuses on the synthesis of thin films composed of silicon nanoparticles (np- Si) embedded in a dielectric matrix for application as an active layer for the third generation solar cells. The technique used for the synthesis of np-Si is the laser pyrolysis. This technique allowed us to obtain 5 nm cristalline np -Si with a narrow size distribution. Furthermore, the use of specific precursor gases (PH₃, B₂H₆) in the reaction mixture enables doping (n or p -type) of np -Si. Effective np -Si doping has been demonstrated by measurements of electron paramagnetic resonance (EPR). Films made of np-Si only, have been deposited in situ by creating a supersonic jet of gas containing the silicon particles. Optoelectronic characterization of these layers showed a strong quantum confinement effect in films, thus ensuring a significant widening of the gap of 1.12 eV silicon (for bulk silicon) to about 2 eV (np -Si); which is an essential prerequisite to achieve a silicon tandem cell. Resistivity measurements on these films have confirmed the dopants activity in the np -Si. For np -Si doped with phosphorus, a significant decrease of the resistivity of more than five orders of magnitude compared to the intrinsic np -Si was observed. Coupling between laser pyrolysis and magnetron sputtering through our original synthesis device proved to be perfectly suited for the elaboration of nanocomposite thin films np-Si/SiO₂. A diode-type behavior has been highlighted on a junction formed by the superposition of a nanocomposite layer (n-type) on a bulk silicon substrate (p-type ). Beyond the simple application to photovoltaics , the coupled process, widely used and optimized during this work could allow the production of a multitude of different nanostructured layers , since the chemical nature of the particles and the matrix can be chosen independently.

Les dispositifs électrochromes sont des dispositifs qui permettent de moduler la réflexion ou la transmission de la lumière. Ils recouvrent une grande variété d’applications dans le domaine du visible (vitrages intelligents) et dans le domaine de l’infrarouge (protection thermique des satellites et discrétion optique infrarouge). Les travaux présentés dans ce manuscrit répondent essentiellement à une problématique visant à élaborer un dispositif électrochrome tout solide à émissivité infrarouge variable par un procédé unique de pulvérisation cathodique magnétron. Une nouvelle architecture d’empilement avec une électrode de travail monocouche bi fonctionnelle a été choisie pour réunir les propriétés apportées classiquement par deux couches ou plus sur le haut des empilements électrochromes. Cette nouvelle architecture a nécessité la mise en place d’un procédé de dépôt original de pulvérisation cathodique réactive hydratée. Ce procédé a permis d’obtenir une électrode monocouche à base de trioxyde de tungstène réunissant les propriétés optiques et électroniques souhaitées. Il a également permis de déposer les autres couches de l’empilement, la contre-électrode à base de trioxyde de tungstène et les électrolytes solides conducteurs protoniques à base d’oxyde de tantale ou de zirconium. L’étude de l’ajout d’une couche d’encapsulation à base de dioxyde de cérium a également été menée. Cette architecture a permis d’obtenir un empilement électrochrome tout solide fonctionnel. Ce dispositif complet ainsi élaboré présente de bonnes propriétés optiques dans l’infrarouge en terme de modulation d’émissivité dans les bandes spectrales d’intérêt, à savoir 13 % en bande II et 31 % en bande III. / Electrochromic materials are devices for modulating the reflection or transmission of light. They cover a wide variety of applications in the visible range (smart windows) and the infrared range (thermal protection for satellites and optical infrared discretion). The works presented in this manuscript were essentially responding to the problem of developping an all solid electrochromic device with a variable infrared emissivity by a single process of magnetron sputtering. A new stacking architecture with a working bi functional monolayer electrode was chosen to bring the properties conventionally made by two or more layers on top of electrochromic device. This new architecture has required the establishment of an original deposit process of hydrated reactive sputtering. This process yielded a monolayer electrode based on tungsten trioxide combining the desired optical and electronic properties. It allowed to deposit other layers of the stack, the counter electrode based on tungsten trioxide and the proton conductive solid electrolyte based on tantalum or zirconium oxide. The study of the addition of an encapsulation layer based on cerium dioxide was also conducted. This architecture has resulted in a functional all-solid electrochromic stack. The complete device thus prepared exhibits good optical properties in the infrared emissivity in terms of modulation and in particular in the spectral bands of interest, namely 13 % in MW and 31 % in LW.

Le développement de photocatalyseurs en couches minces supportées constitue un intérêt majeur autorisant une séparation efficace des produits de réaction, en dépit d’une réduction de leur surface spécifique par rapport à des nanopoudres du même matériau. La synthèse de revêtements de TiO2 par pulvérisation cathodique magnétron en condition réactive fait l’objet de recherches intensives. Cette technique permet de contrôler, à travers les paramètres d’élaboration, la structure et les propriétés physicochimiques et photocatalytiques des revêtements.Afin de s’affranchir de la contamination du catalyseur par le sodium du verre lors de traitements en température ou lors de recuits de couches déposées à l’ambiante, une barrière de diffusion en SiNx est intercalée et son épaisseur est fixée pour la suite de l’étude. Différentes couches de TiO2 ont été élaborées à haute pression dans un réacteur doté d’un système de contrôle en boucle fermée basé sur la spectroscopie d’émission optique. L’effet de la cristallisation in situ à différentes températures sur les différentes propriétés des revêtements TiO2 a été étudié et les propriétés de ces derniers ont été comparées à celles des échantillons synthétisés sur des substrats froids et recuits ex situ aux mêmes températures.Enfin, des premiers travaux portant sur l’influence de l’introduction de l’argent en différentes teneurs sur l’efficacité photocatalytique sous lumière visible des couches de TiO2 cristallisées in situ et ex situ sont présentés. / The development of supported photocatalysts thin films is of major interest allowing an efficient separation of the reaction products, in spite of their specific area reduction compared to nanometric scale powders. The synthesis of TiO2 coatings by reactive magnetron sputtering is the subject of intensive researches. This technique allows, trough the control of the deposition parameters, to manage the structure and the physicochemical and photocatalytic properties of the coatings. In order to hinder the sodium contamination of the catalyst from the glass substrate, either during in situ or ex situ heating of the coating, a SiNx diffusion barrier is intercalated with a fixed thickness. Different layers of TiO2 were prepared at high pressure in a reactor equipped with a closed-loop control system based on optical emission spectroscopy. The influence of the in situ crystallization at different temperatures on the properties of the TiO2 coatings was studied. These properties were compared with those of samples synthesized ex situ and at the same temperatures. Finally, first studies on the influence of silver enrichment at different contents on photocatalytic activity under visible light of TiO2 layers crystallized in situ and ex situ, are presented.

<p>Mechanical property and thermal stability of Zr-Si-N films of varying silicon contents deposited on Al₂O₃ (0001) substrates are characterized. All films provided for characterization were deposited by reactive DC magnetron sputter deposition technique from elemental Zr and Si targets in a N₂/Ar plasma at 800 ^oC. The hardness and microstructures of the as deposited films and post-annealed films up to 1100 ^oC are evaluated by means of nanoindentation, X-ray diffractometry and transmission electron microscopy. The Zr-Si-N films with 9.4 at.% Si exhibit hardness as high as 34 GPa and a strong (002) texture within which vertically elongated ZrN crystallites are embedded in a Si₃N₄ matrix. The hardness of these two dimensional nanocomposite films remains stable up to 1000 ^oC annealing temperatures which is in contrast to ZrN films where hardness degradation occurs already above 800 ^oC. The enhanced thermal stability is attributed to the presence of Si₃N₄ grain boundaries which act as efficient barriers to hinder the oxygen diffusion. X-ray amorphous or nanocrystalline structures are observed in Zr-Si-N films with silicon contents > 13.4 at.%. After the annealing treatments, crystalline phases such as ZrSi₂, ZrO₂ and Zr₂O are formed above 1000 ^oC in the Si-containing films while only zirconia crystallites are observed at 800 ^oC in pure ZrN films because oxygen acts as artifacts in the vacuum furnace. The structural, compositional and hardness comparison of as-deposited and annealed films reveal that the addition of silicon enhances the thermal stability compared to pure ZrN films and the hardness degradation stems from the formation of oxides at elevated temperatures.</p>

Mechanical property and thermal stability of Zr-Si-N films of varying silicon contents deposited on Al2O3 (0001) substrates are characterized. All films provided for characterization were deposited by reactive DC magnetron sputter deposition technique from elemental Zr and Si targets in a N2/Ar plasma at 800 oC. The hardness and microstructures of the as deposited films and post-annealed films up to 1100 oC are evaluated by means of nanoindentation, X-ray diffractometry and transmission electron microscopy. The Zr-Si-N films with 9.4 at.% Si exhibit hardness as high as 34 GPa and a strong (002) texture within which vertically elongated ZrN crystallites are embedded in a Si3N4 matrix. The hardness of these two dimensional nanocomposite films remains stable up to 1000 oC annealing temperatures which is in contrast to ZrN films where hardness degradation occurs already above 800 oC. The enhanced thermal stability is attributed to the presence of Si3N4 grain boundaries which act as efficient barriers to hinder the oxygen diffusion. X-ray amorphous or nanocrystalline structures are observed in Zr-Si-N films with silicon contents &gt; 13.4 at.%. After the annealing treatments, crystalline phases such as ZrSi2, ZrO2 and Zr2O are formed above 1000 oC in the Si-containing films while only zirconia crystallites are observed at 800 oC in pure ZrN films because oxygen acts as artifacts in the vacuum furnace. The structural, compositional and hardness comparison of as-deposited and annealed films reveal that the addition of silicon enhances the thermal stability compared to pure ZrN films and the hardness degradation stems from the formation of oxides at elevated temperatures.