L'équipe micro-capteurs de l'IM2NP développe des capteursde gaz dont le principe de détection est basé sur la mesure de la variationde la conductance en présence de gaz. Le matériau utilisé comme élémentsensible est l'oxyde de tungstène (WO3) en couches minces. L'objet de cettethèse est donc d'étudier la surface de WO3 dans sa reconstruction c(2x2),obtenue par clivage selon la direction [001]. Cette étude a été également suivied'une étude des lacunes par des calculs ab initio basés sur la DFT, dans lesdeux approximations LDA et GGA. Ensuite, l'dsorption de molécules de gazsimples (O3, COx, NOx) sur des surfaces plus ou moins riches en oxygènea été effectuée. Pour simuler ces systèmes, nous avons fait le choix du codeSIESTA basé sur la DFT et qui présente l'avantage de pouvoir travailler. / The team of micro sensors at IM2NP mainly focuses onthe development of gas sensors based on measurement in conductancevariation in presence of gas. The material used as sensitive element istungsten oxide (WO3) thin film. The objective of present thesis is to studythe surface properties of WO3 in its reconstruction c(2x2), obtained bycleavage along the [001] direction. This study is also followed by a gapanalysis using ab initio calculations based on DFT in both LDA andGGA approximations. Then, the adsorption of molecules of simple gases((O3, COx NOx) for these surfaces (more or less rich in oxygen), is performed.To simulate these systems, we have chosen the SIESTA code based onDFT which is used for the larger number of atoms as compared to other codes.

A study of defects in semiconductors is vital as defects tend to influence device operation by modifying their electrical and optoelectronic properties. This influence can at times be desirable in the case of fast switching devices and sometimes undesirable as they may reduce the efficiency of optoelectronic devices. ZnO is a wide bandgap material with a potential for fabricating UV light emitting diodes, lasers and white lighting devices only after the realization of reproducible p-type material. The realization of p-type material is greatly affected by doping asymmetry. The self-compensation behaviour by its native defects has hindered the success in obtaining the p-type material. Hence there is need to understand the electronic properties, formation and annealing-out of these defects for controlled material doping. Space charge spectroscopic techniques are powerful tools for studying the electronic properties of electrically active defects in semiconductors since they can reveal information about the defect “signatures”. In this study, novel Schottky contacts with low leakage currents of the order of 10-11 A at 2.0 V, barrier heights of 0.60 – 0.80 eV and low series resistance, fabricated on hydrogen peroxide treated melt-grown single crystal ZnO samples, were demonstrated. Investigations on the dependence of the Schottky contact parameters on fabrication techniques and different metals were performed. Resistive evaporation proved to produce contacts with lower series resistance, higher barrier heights and low reverse currents compared to the electron-beam deposition technique. Deep level transient spectroscopy (DLTS) and Laplace-DLTS have been employed to study the electronic properties of electrically active deep level defects in ZnO. Results revealed the presence of three prominent deep level defects (E1, E2 and E3) in the as-received ZnO samples. Electron-beam deposited contacts indicated the presence of the E1, E2 and E3 and the introduction of new deep level defects. These induced deep levels have been attributed to stray electrons and ionized particles, present in the deposition system during contact fabrication. Exposure of ZnO to high temperatures induces deep level defects. Annealing samples in the 300°C – 600°C temperature range in Ar + O2 induces the E4 deep level with a very high capture cross-section. This deep level transforms at every annealing temperature. Its instability at room temperature has been demonstrated by a change in the peak temperature position with time. This deep level was broad, indicating that it consists of two or more closely spaced energy levels. Laplace-DLTS was successfully employed to resolve the closely spaced energy levels. Annealing samples at 700°C in Ar and O2 anneals-out E4 and induces the Ex deep level defect with an activation enthalpy of approximately 160 – 180 meV. Vacuum annealing performed in the 400°C – 700°C temperature range did not induce any deep level defects. Since the radiation hardness of ZnO is crucial in space applications, 1.6 MeV proton irradiation was performed. DLTS revealed the introduction of the E4 deep level with an activation enthalpy of approximately 530 meV, which proved to be stable at room temperature and atmospheric pressure since its properties didn’t change over a period of 12 months. / Thesis (PhD)--University of Pretoria, 2013. / Physics / unrestricted

[pt] O controle de parâmetros físicos e químicos das nanopartículas, tais quais, forma, composição e tamanho, além da interação entre metal e suporte, são fatores determinantes no desenvolvimento de um nanocatalisador com uma boa performance. Desse modo, nanopartículas de ouro foram incorporadas em nanofios de céria e utilizados como nanocatalisador para a oxidação seletiva do tioanisol. Sendo a sua morfologia 1D, com grande área superficial específica, diâmetros finos, alta concentração de vacância de oxigênio e pequenas NPs de Au uniformemente distribuídas na superfície do CeO2, além de espécies oxidadas de ouro, temos em nosso material características que o torna favorável a reação de oxidação. Os nanofios de CeO2-Au demonstraram uma melhora na performance da oxidação seletiva do tioanisol quando comparados aos nanofios de céria puros, e ao material comercial com e sem a deposição de NPs de Au. Os nanofios de céria obtiveram uma seletividade de 100 porcento para o metil fenil sulfóxido, e uma conversão de 53 porcento em 2 h de reação. O impacto da temperatura também foi observado, demonstrando que esse é, também, um fator importante na análise da atividade de um catalisador. / [en] The control over physical and chemical parameters of nanoparticles, such as shape, composition and size as well as the interactions between metal and support, are important factors in the development of a nanocatalyst with high activity. In this context, gold nanoparticles were incorporated the surface of ceria nanowire for application as nanocatalysts towards the selective oxidation of thioanisole. Considerin their one-dimensional morphology, high specific surface area, thin diameters, significant concentration of oxygen vacancies, and small Au NPs uniformly deposited at the CeO2 nanowires surface, our material displayed characteristics that makes them favorable for oxidations reactions. The CeO2-Au nanowires showed improved catalytic performances in the selective oxidation of thioanisol relative to pure CeO2 nanowires and commercial CeO2 with and without Au NPs deposited. CeO2-Au nanowires catalyzed the desired product with 100 percent of selectivity and 53 percent of conversion. The impact of temperature, such as the solvent, were also observed revealing that these factors also influences in the activity of these nanocatalyst.

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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