The theme of this work is the preparation and characterization of multilayer barrier coatings to polymer and metal substrates based on SiOx and organic molecules. It deals with the determination of their properties in terms of oxygen permeability and corrosion protection. The starting materials for the preparation of these layers are hexamethyldisiloxane, octafluorocyclobutane and 4,12-dichloro[2.2]paracyclophane. These layers have been prepared with regard to their use as barrier coatings for use in archeology, with the focus on corrosion protection of coated items and other specific requirements museums. For these samples was realized characteristic of both in terms of their physical properties – the ability to resist permeation of oxygen and in terms of their chemical composition. The fourier transformation infrared spectroscopy (FTIR), scanning elektron microscopy (SEM), oxygen transmission rate (OTR), contac angle measurement and corrosion testing were used for the above-mentioned characterisations.

京都大学 / 0048 / 新制・課程博士 / 博士(工学) / 甲第20707号 / 工博第4404号 / 新制||工||1684(附属図書館) / 京都大学大学院工学研究科物質エネルギー化学専攻 / (主査)教授 安部 武志, 教授 阿部 竜, 教授 作花 哲夫 / 学位規則第4条第1項該当 / Doctor of Philosophy (Engineering) / Kyoto University / DGAM

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In Silizium-Nanokristall-Speichern werden im Gate-Oxid eines Feldeffekttransistors eingebettete Silizium Nanokristalle genutzt, um Elektronen lokal zu speichern. Die gespeicherte Ladung bestimmt dann den Zustand der Speicherzelle. Ein wichtiger Aspekt in der Technologie dieser Speicher ist die Erzeugung der Nanokristalle mit einerwohldefinierten Größenverteilung und einem bestimmten Konzentrationsprofil im Gate-Oxid. In der vorliegenden Arbeit wurde dazu ein sehr flexibler Ansatz untersucht: die thermische Ausheilung von SiO2/SiOx (x < 2) Stapelschichten. Es wurde ein Sputterverfahren entwickelt, das die Abscheidung von SiO2 und SiOx Schichten beliebiger Zusammensetzung erlaubt. Die Bildung der Nanokristalle wurde in Abhängigkeit vom Ausheilregime und der SiOx Zusammensetzung charakterisiert, wobei unter anderem Methoden wie Photolumineszenz, Infrarot-Absorption, spektroskopische Ellipsometrie und Elektronenmikroskopie eingesetzt wurden. Anhand von MOS-Kondensatoren wurden die elektrischen Eigenschaften derart hergestellter Speicherzellen untersucht. Die Funktionalität der durch Sputterverfahren hergestellten Nanokristall-Speicher wurde erfolgreich nachgewiesen. / In silicon nanocrystal memories, electronic charge is discretely stored in isolated silicon nanocrystals embedded in the gate oxide of a field effect transistor. The stored charge determines the state of the memory cell. One important aspect in the technology of silicon nanocrystal memories is the formation of nanocrystals near the SiO2-Si interface, since both, the size distribution and the depth profile of the area density of nanocrystals must be controlled. This work has focussed on the formation of gate oxide stacks with embedded nanocrystals using a very flexible approach: the thermal annealing of SiO2/SiOx (x < 2) stacks. A sputter deposition method allowing to deposit SiO2 and SiOx films of arbitrary composition has been developed and optimized. The formation of Si NC during thermal annealing of SiOX has been investigated experimentally as a function of SiOx composition and annealing regime using techniques such as photoluminescence, infrared absorption, spectral ellipsometry, and electron microscopy. To proof the concept, silicon nanocrystal memory capacitors have been prepared and characterized. The functionality of silicon nanocrystal memory devices based on sputtered gate oxide stacks has been successfully demonstrated.

In Silizium-Nanokristall-Speichern werden im Gate-Oxid eines Feldeffekttransistors eingebettete Silizium Nanokristalle genutzt, um Elektronen lokal zu speichern. Die gespeicherte Ladung bestimmt dann den Zustand der Speicherzelle. Ein wichtiger Aspekt in der Technologie dieser Speicher ist die Erzeugung der Nanokristalle mit einerwohldefinierten Größenverteilung und einem bestimmten Konzentrationsprofil im Gate-Oxid. In der vorliegenden Arbeit wurde dazu ein sehr flexibler Ansatz untersucht: die thermische Ausheilung von SiO2/SiOx (x < 2) Stapelschichten. Es wurde ein Sputterverfahren entwickelt, das die Abscheidung von SiO2 und SiOx Schichten beliebiger Zusammensetzung erlaubt. Die Bildung der Nanokristalle wurde in Abhängigkeit vom Ausheilregime und der SiOx Zusammensetzung charakterisiert, wobei unter anderem Methoden wie Photolumineszenz, Infrarot-Absorption, spektroskopische Ellipsometrie und Elektronenmikroskopie eingesetzt wurden. Anhand von MOS-Kondensatoren wurden die elektrischen Eigenschaften derart hergestellter Speicherzellen untersucht. Die Funktionalität der durch Sputterverfahren hergestellten Nanokristall-Speicher wurde erfolgreich nachgewiesen. / In silicon nanocrystal memories, electronic charge is discretely stored in isolated silicon nanocrystals embedded in the gate oxide of a field effect transistor. The stored charge determines the state of the memory cell. One important aspect in the technology of silicon nanocrystal memories is the formation of nanocrystals near the SiO2-Si interface, since both, the size distribution and the depth profile of the area density of nanocrystals must be controlled. This work has focussed on the formation of gate oxide stacks with embedded nanocrystals using a very flexible approach: the thermal annealing of SiO2/SiOx (x < 2) stacks. A sputter deposition method allowing to deposit SiO2 and SiOx films of arbitrary composition has been developed and optimized. The formation of Si NC during thermal annealing of SiOX has been investigated experimentally as a function of SiOx composition and annealing regime using techniques such as photoluminescence, infrared absorption, spectral ellipsometry, and electron microscopy. To proof the concept, silicon nanocrystal memory capacitors have been prepared and characterized. The functionality of silicon nanocrystal memory devices based on sputtered gate oxide stacks has been successfully demonstrated.

L'objectif de cette étude est d'analyser l'évolution des propriétés calorimétriques et diélectriques d'un élastomère silicone lorsque des nanoparticules de silice (SiOx) y sont incorporées. L'obtention de ces nanocomposites a été réalisée par malaxage mécanique.<br />Les effets de la quantité (de 1 à 10% en poids) des nanoparticules de silice (15 nm de diamètre) sur les températures de transition vitreuse, de cristallisation et de fusion ont été analysés par calorimétrie différentielle à balayage (DSC) de –160°C à 20°C.<br />Ces analyses ont montré que les nanoparticules sont sans effet sur la température de transition vitreuse (–127,5°C). En revanche, la température de cristallisation se décale vers des températures d'autant plus basses que l'ajout de nanoparticules dans la matrice augmente.<br />Les analyses en spectroscopie diélectrique ont été réalisées sur la bande de fréquence [1mHz – 1MHz] et dans la plage de température [–150°C; 160°C]. A basse température les résultats obtenus par DSC ont été confirmés. Les études dans les hautes températures ont permis d'identifier une relaxation de type Maxwell-Wagner-Sillars (MWS) plus importante pour les nanocomposites. Une importante diminution de<br />la conductivité est observée avec l'augmentation de la quantité de nanoparticules incorporée. Ce résultat montre l'intérêt de l'ajout de nanoparticules dans des élastomères silicones pour le renforcement de l'isolation électrique.

Polymeric materials have provided pathways to products that could not be manufactured otherwise. A new technology which merges the benefits of ceramics into these polymer products has created materials ideally suited to many different industries, like food packaging. Nano Scale Surface Systems, Inc. (NS3), a company which coats polymers with ceramic oxides like SiO2 through a process known as plasma enhanced chemical vapor deposition (PECVD), was interested in the feasibility of an in line measurement system for monitoring the deposited films on various polymer products. This project examined two different coated polymer products, polyethylene terephthalate (PET) beverage containers and biaxially oriented PET food packaging, commonly known as plastic wrap in an effort to determine the feasibility of an ellipsometry based measurement system for NS3’s purpose. Due to its extensive use in the semiconductor industry for monitoring films deposited on silicon, a measurement systems known as ellipsometry, adept at monitoring the thickness and refractive index of thin films deposited on various substrates, appeared to be an ideal system for the measurement of ceramic oxides deposited on various polymer substrates. This project set out to determine the feasibility of using an ellipsometry based measurement system to monitor ceramic films, specifically silicon oxides (SiOX), deposited on polymer products. A preliminary experiment determined linearly polarized light could induce a discernible change in polarized light traversing a coated beverage container relative to an uncoated container. However, the experiment lacked repeatability due to the measurement apparatus’ cheap setup, prompting the construction of a null (conventional) ellipsometer for further research. The curved surface of the beverage containers under study unnecessarily complicated the feasibility study so further research examined PECVD SiOX on biaxially oriented PET instead. Characterization of the PECVD SiOX-PET material was divided into three experiments, with the first two analyzing the SiOX film and PET substrate separately while the third analyzed them together. To assist with the characterization experiments, NS3 provided samples, both SiOX coated and uncoated, of various deposition thicknesses on silicon and biaxially oriented PET substrates. Null ellipsometry was used in conjunction with spectroscopic reflectometry to characterize the refractive index and thickness of the deposited films. The combined measurement systems found the refractive index of the deposited SiOX films to be between 1.461 and 1.465. The measured thicknesses resulting from the two measurement systems coincided well and were usually 10-20 nm thicker than the predicted thicknesses by the deposition processing parameters. Abeles’ method and monochromatic goniometry were attempted; however, the results had to be discarded due to irrecoverable errors discovered in the reflectance measurement. X-ray photoelectron spectroscopy (XPS) data provided by NS3 showed the deposited SiOX films to be homogeneous with stoichiometries between 2.15 and 2.23. Characterization of the uncoated biaxially oriented PET required numerous measurement systems. From spectroscopic transmission, trirefringent anisotropy was discovered, intertwined with thickness variations in the PET foil. Goniometry measurements displayed distinct interference curves resulting from rear interface reflections interfering with front interface reflections from the PET sample. Subsequent goniometric models produced multiple solutions due to an unknown optical phenomenon, probably scattering, which degraded the reflection measurements. However, a combined measurement technique utilizing goniometry and differential scanning calorimetry (DSC) determined the refractive indices of the polymer to be NX = 1.677, NY = 1.632 and NZ = 1.495 with a thickness of 11.343 μm and a volume fraction crystallinity of 35-41%. Utilizing the measured refractive indices, ellipsometric models produced only an adequate fit of the measured data due to the presence of depolarization caused by non-uniform PET thickness and scattering resulting from embedded microscopic crystallites. The majority of the error in the ellipsometric data was observed in the Δ measurement. XPS measurements of SiOX deposited on polypropylene (PP) provided by NS3 showed a heterogeneous interphase layer between the deposited oxide and the polymer substrate where the composition of the layer was continually changing. A similar region, which violates the homogenous assumption the ellipsometric model relied on, was anticipated for the SiOX-PET samples under investigation. The use of an effective medium approximation (EMA) to represent the interphase region was attempted, but failed to provide a decent model fit of the measured data. Depolarization and high optical anisotropy caused by the polymer substrate in combination with a heterogeneous interphase region and the effects of the deposited SiOX layer all interacted to prevent ellipsometric modelling of the null ellipsometry measurements conducted. Goniometry measurements were conducted on the thickest deposited SiOX film (approximately 100 nm) which allowed for the refractive index of the film to be approximated through Abeles’ method (n = 1.46); however the validity of this approximation was questionable given the presence of interference fringes resulting from interference between reflections at both the front and rear interfaces of the material. From the experiments conducted, it was concluded that null ellipsometry with conventional ellipsometric models could not adequately measure a SiOX film’s refractive index or thickness when deposited on biaxially oriented PET. The reasons for the failure were interactions between multiple sources of error which led to both measurement errors and inaccurate model assumptions. Use of generalized ellipsometry, possibly with spectroscopic ellipsometry, may overcome the failures of conventional ellipsometry when studying this complex optical material.

GaAs-based nanowires are attractive building blocks for the development of future (opto)electronic devices owing to their excellent intrinsic material properties, such as the direct band gap and high electron mobility. A pre-requisite for the implementation of novel functionalities on a single Si chip is the monolithic integration of the nanowires on the well-established Si complementary-metal-oxide-semiconductor (CMOS) platform with precise control of the nanowire growth process. The self-catalyzed (Ga-assisted) growth of GaAs nanowires on Si(111) substrates using molecular beam epitaxy has offered the possibility to obtain vertical nanowires with predominant zinc blende structure, while potential contamination by external catalysts like Au is eliminated. Although the growth mechanism is fairly well understood, control of the nucleation stage, the nanowire number density and the crystal structure has been proven rather challenging. Moreover, conventional growth processes are typically performed at relatively high substrate temperatures in the range of 560-630 °C, which limit their application to the industrial Si platform. This thesis provides two original methods in order to tackle the aforementioned challenges in the conventional growth processes. In the first part of this thesis, a simple surface modification procedure (SMP) for the in situ preparation of native-SiOx/Si(111) substrates has been developed. Using a pre-growth treatment of the substrates with Ga droplets and two annealing cycles, the SMP enables highly synchronized nucleation of all nanowires on their substrate and thus, the growth of exceptionally uniform GaAs nanowire ensembles with sub-Poissonian length distributions. Moreover, the nanowire number density can be tuned within three orders of magnitude and independent of the nanowire dimensions without prior ex situ patterning of the substrate. This work delivers a fundamental understanding of the nucleation kinetics of Ga droplets on native-SiOx and their interaction with SiOx, and confirms theoretical predictions about the so-called nucleation antibunching, the temporal anti-correlation of consecutive nucleation events. In the second part of this thesis, an alternative method called droplet-confined alternate-pulsed epitaxy (DCAPE) for the self-catalyzed growth of GaAs nanowires and GaAs/AlxGa1-xAs axial nanowire heterostructures has been developed. DCAPE enables nanowire growth at unconventional, low temperatures in the range of 450-550 °C and is compatible with the standard Si-CMOS platform. The novel growth approach allows one to precisely control the crystal structure of the nanowires and, thus, to produce defect-free pure zinc blende GaAs-based nanowires. The strength of DCAPE is further highlighted by the controlled growth of GaAs/AlxGa1-xAs axial quantum well nanowires with abrupt interfaces and tunable thickness and Al-content of the AlxGa1-xAs sections. The GaAs/AlxGa1-xAs axial nanowire heterostructures are interesting for applications as single photon emitters with tunable emission wavelength, when they are overgrown with thick lattice-mismatched InxAl1-xAs layers in a core-shell fashion. All results presented in this thesis contribute to paving the way for a successful monolithic integration of highly uniform GaAs-based nanowires with controlled number density, dimensions and crystal structure on the mature Si platform. / GaAs-basierte Nanodrähte sind attraktive Bausteine für die Entwicklung von zukünftigen (opto)elektronischen Bauelementen dank ihrer exzellenten intrinsischen Materialeigenschaften wie zum Beispiel die direkte Bandlücke und die hohe Elektronenbeweglichkeit. Eine Voraussetzung für die Realisierung neuer Funktionalitäten auf einem einzelnen Si Chip ist die monolithische Integration der Nanodrähte auf der etablierten Si-Metall-Oxid-Halbleiter-Plattform (CMOS) mit präziser Kontrolle des Wachstumsprozesses der Nanodrähte. Das selbstkatalytische (Ga-unterstützte) Wachstum von GaAs Nanodrähten auf Si(111)-Substrat mittels Molekularstrahlepitaxie bietet die Möglichkeit vertikale Nanodrähte mit vorwiegend Zinkblende-Struktur herzustellen, während die potentielle Verunreinigung der Nanodrähte und des Substrats durch externe Katalysatoren wie Au vermieden wird. Obwohl der Wachstumsmechanismus gut verstanden ist, erweist sich die Kontrolle der Nukleationsphase, Anzahldichte und Kristallstruktur der Nanodrähte als sehr schwierig. Darüber hinaus sind relativ hohe Temperaturen im Bereich von 560-630 °C in konventionellen Wachstumsprozessen notwendig, die deren Anwendung auf der industriellen Si Plattform begrenzen. Die vorliegende Arbeit liefert zwei originelle Methoden um die bestehenden Herausforderungen in konventionellen Wachstumsprozessen zu bewältigen. Im ersten Teil dieser Arbeit wurde eine einfache Prozedur, bezeichnet als surface modification procedure (SMP), für die in situ Vorbehandlung von nativem-SiOx/Si(111)-Substrat entwickelt. Die Substratvorbehandlung mit Ga-Tröpfchen und zwei Hochtemperaturschritten vor dem Wachstumsprozess ermöglicht eine synchronisierte Nukleation aller Nanodrähte auf ihrem Substrat und folglich das Wachstum von sehr gleichförmigen GaAs Nanodraht-Ensembles mit einer sub-Poisson Verteilung der Nanodrahtlängen. Des Weiteren kann die Anzahldichte der Nanodrähte unabhängig von deren Abmessungen und ohne ex situ Vorstrukturierung des Substrats über drei Größenordnungen eingestellt werden. Diese Arbeit liefert außerdem ein grundlegendes Verständnis zur Nukleationskinetik von Ga-Tröpfchen auf nativem-SiOx und deren Wechselwirkung mit SiOx und bestätigt theoretische Voraussagen zum sogenannten Nukleations-Antibunching, dem Auftreten einer zeitlichen Anti-Korrelation aufeinanderfolgender Nukleationsereignisse. Im zweiten Teil dieser Arbeit wurde eine alternative Methode, bezeichnet als droplet-confined alternate-pulsed epitaxy (DCAPE), für das selbstkatalytische Wachstum von GaAs Nanodrähten und GaAs/AlxGa1-xAs axialen Nanodraht-Heterostrukturen entwickelt. DCAPE ermöglicht das Nanodrahtwachstum bei unkonventionell geringeren Temperaturen im Bereich von 450-550 °C und ist vollständig kompatibel mit der Standard-Si-CMOS-Plattform. Der neue Wachstumsansatz erlaubt eine präzise Kontrolle der Kristallstruktur der Nanodrähte und folglich das Wachstum von defektfreien Nanodrähten mit phasenreiner Zinkblende-Struktur. Die Stärke der DCAPE Methode wird des Weiteren durch das kontrollierte Wachstum von GaAs/AlxGa1-xAs axialen Quantentopf-Nanodrähten mit abrupten Grenzflächen und einstellbarer Dicke und Al-Anteil der AlxGa1-xAs-Segmente aufgezeigt. Die GaAs/AlxGa1-xAs axialen Nanodraht-Heterostrukturen sind interessant für den Einsatz als Einzelphotonen-Emitter mit einstellbarer Emissionswellenlänge, wenn diese mit gitterfehlangepassten InxAl1-xAs-Schichten in einer Kern-Hülle-Konfiguration überwachsen werden. Alle Ergebnisse dieser Arbeit tragen dazu bei, den Weg für eine erfolgreiche monolithische Integration von sehr gleichförmigen GaAs-basierten Nanodrähten mit kontrollierbarer Anzahldichte, Abmessungen und Kristallstruktur auf der industriell etablierten Si-Plattform zu ebnen.