Colloidal semiconductor nanocrystals (NCs) have attracted a great deal of interest as bright and stable chromophores for a variety of applications. Their superior physicochemical properties depend on characteristics of the inorganic core, as well as on the chemical nature and structure of the stabilizing organic ligand shell. To evaluate the promising material, a thorough knowledge of structure-property relationships is still demanded. The present work addresses this challenge to three water-soluble NC systems, namely thiol-capped CdTe, thiol-capped CdHgTe, and DNA-functionalized CdTe NCs with special emphasis on the investigation of structure, modification, and influence of the ligand shell. Remarkably, CdTe NCs show bright emission in the visible spectral region and can be synthesized in high quality directly in water. It was shown that the aqueous synthesis also facilitates the preparation of strongly near-infrared (NIR) emitting CdHgTe NCs. The current work presents a detailed study on parameters, by which the emission can be tuned, such as the growth time, the initial Cd : Hg ratio, and the choice of ligand. These insights contribute to the knowledge, which is essential for the design of highly emissive and long-term stable NIR emitting NCs. Further variations of the NC/ligand system include the modification of the ligand shell of CdTe NCs with oligonucleotides based on the strong attachment of DNA molecules to the NC. The successful functionalization of NCs with single-stranded DNA molecules is very promising for the precise and programmable assembly of NCs using DNA origami structures as templates. For both, functionality and optical properties, the surface chemistry of the NCs plays a substantial role and was subject to an extensive investigation. As there is no generally applicable technique to determine the amount of stabilizers and the structure of the ligand shell, the presented study is based on a combination of various methods particularly tailored to the analysis of water-soluble CdTe NCs capped by short-chain thiols. CdTe NCs served as a model system for the described analysis of the ligand shell, since they are thoroughly studied regarding synthesis and features of the core. Aiming for the quantification of thiols, a straightforward colorimetric assay, the Ellman\'s test, is for the first time introduced for the analysis of NCs. Accompanied by elemental analysis an approximate number of thiols per NC becomes accessible. Moreover, theoretical calculations were performed to estimate the amount of ligand that would cover the NC in a monolayer of covalently bound molecules. In contrast to these results, the experimental values point to a larger amount of thiols immobilized on the NC. Attempts to remove the ligand indicate the presence of Cd in the ligand shell and thermogravimetric studies show that the ligands are not loosely assembled in the ligand shell. The outstanding conclusion of these findings involves the presence of Cd-thiol complexes in the ligand shell. Further results unambiguously show that the amount of Cd-thiol complexes present in the NC solution strongly influences the concentration-dependent emission yield of the NCs. Additional studies dedicated to the considerable influence of the ligand shell highlight a strong effect of pH, NC concentration, type and purity of the solvent, and the number of precipitation steps on the emission of water-soluble semiconductor NCs. These substantial investigations emphasize the need to carefully control the conditions applied for handling, optical measurements, and application of NCs. In order to gain a deeper insight into the complex structure of the native ligand shell, techniques deliberately chosen for the in situ analysis were applied for thioglycolic acid-capped CdTe NCs. Information from dynamic light scattering (DLS) regarding the stability and the shell thickness are consistent with previous results showing a large ligand network on the NC surface and a decreasing stability of the NCs upon dilution. Importantly, nuclear magnetic resonance (NMR) spectroscopy allows for the distinction of bound and free ligands directly in solution and proves the presence of these species for the NCs studied. In particular, the results indicate that the ligands are not strongly bound to the NC core and that both, free and bound ligand species, consist of modified thiol molecules, such as Cd-thiol complexes. These findings support previous assumptions and allow to establish a distinct picture of the ligand shell of water-soluble semiconductor NCs. Further insights were obtained from small-angle X-ray scattering (SAXS), which facilitates the identification and the determination of the composition of NC core as well as ligand shell. Element-specific SAXS yields the final proof of the presence of Cd in the ligand shell. The model developed for the optimal fitting of the experimental scattering curves additionally confirms the findings from the other methods. In conclusion, the present work contributes to the challenging goal of a comprehensive knowledge of interactions between the NC core and the ligands. The fundamental development of a structural model of water-soluble CdTe NCs including information on stoichiometries is accomplished by the combination of the techniques presented and emphasizes the challenge to assign a clear border between the ligand shell and the Cd-thiol complexes in solution. Altogether, CdTe NCs capped by thioglycolic acid are best described by a crystalline core surrounded by a water-swollen Cd-thiolate shell that considerably affects the optical properties of the system. Notably, the results of the versatile study provide the opportunity to control the overall properties and to evaluate water-soluble semiconductor NCs for particular applications in photonics and optoelectronics.

Im Fokus dieser Dissertation stehen anorganisch-organische Hybridaggregate aus Kadmiumselenid-Nanokristallen und funktionalisierten Porphyrinmolekülen in Lösung. Mit Hilfe von statischen und zeitaufgelösten Methoden der optischen Spektroskopie wird nachgewiesen, daß die Bildung der Aggregate durch spontane Adsorption der funktionalisierten Moleküle an der Nanokristalloberfläche erfolgt. Dabei ist von einem dynamischen Gleichgewicht zwischen den Porphyrinmolekülen und den ursprünglichen Nanokristall-Liganden (TOPO) auszugehen. In der Photophysik der Hybridaggregate lassen sich ein resonanter Energietransfer nach Förster, der vom Nanokristall zum Porphyrinmolekül gerichtet ist, sowie eine Elektronen-Austauschwechselwirkung zwischen beiden Komponenten nach Dexter nachweisen. Mit Hilfe einer Erweiterung des Stern-Volmer-Ansatzes zur Beschreibung der Fluoreszenzlöschung für bimolekulare Reaktionen können die jeweiligen Anteile für eine Serie von Nanokristallen unterschiedlicher Größe und zweierlei Beschaffenheit grob quantifiziert werden. Ferner wird der Einfluß diffundierender Ladungen auf die Quantenausbeute von Halbleiternanokristallen anhand von zeitkorrelierter Einzelphotonenerfassung untersucht. Mit Hilfe einer Detektionsmethode, die die Zeitreihe der Ankunftszeiten einzelner Photonen erhält (tt-TCSPC), ist es möglich, den in eine Polymermatrix eingebetteten Halbleiternanokristallen charakteristische Fluktuationen der Fluoreszenzlebensdauer mit individueller Zeitkonstante zuzuordnen. / This Thesis is devoted to the formation and the photophysics of inorganic/organic hybride nanoaggregates designed from CdSe semiconductor nanocrystals and pyridyl-functionalized porphyrin molecules in solution at ambient conditions. The formation of the aggregates is revealed to be based on a spontaneous adsorption of the functionalized porphyrin molecules on the nanocrystal surfaces, with a dynamic equilibrium sustained due to the competition with TOPO, ie. the original surface ligand. The evidence for the existence of the self-assembled aggregates is furnished by the proof of a directed Förster resonant energy transfer from the nanocrystal to the porphyrin molecules at low compound concentrations. By means of steady-state and time-resolved optical spectroscopy, the resonant energy transfer (RET) is valued to be accompanied by at least one more secondary quenching mechanism. Motivated by the aptitude of the nanocrystals to host more than one molecule at once, the detection and quantification of this process is done by an extension of the conventional Stern-Volmer kinetics valid for bimolecular reactions. With that, the secondary interaction process aside from RET is explained in terms of a Dexter-type energy transfer that, on ist part, can be put down to a generation of charge-induced shallow trap states within the semiconductor nanocrystal. This model is in qualitative accordance with the known phenomena of fluorescence intermittency and spectral diffusion. The role of a fluctuating environment to affect the fluorescence quantum yield of the nanocrystals is confirmed by time-tagged time-correlated single-photon counting (tt-TCSPC) on single nanocrystals in a polymer matrix. The measurements show that the fluorescence lifetime of the nanocrystals is characterized by individual characteristic fluctuations possibly induced by temporal and spatial inhomogeneities in the distribution of the dielectric constants.

Colloidal semiconductor nanocrystals (NCs) have attracted a great deal of interest as bright and stable chromophores for a variety of applications. Their superior physicochemical properties depend on characteristics of the inorganic core, as well as on the chemical nature and structure of the stabilizing organic ligand shell. To evaluate the promising material, a thorough knowledge of structure-property relationships is still demanded. The present work addresses this challenge to three water-soluble NC systems, namely thiol-capped CdTe, thiol-capped CdHgTe, and DNA-functionalized CdTe NCs with special emphasis on the investigation of structure, modification, and influence of the ligand shell. Remarkably, CdTe NCs show bright emission in the visible spectral region and can be synthesized in high quality directly in water. It was shown that the aqueous synthesis also facilitates the preparation of strongly near-infrared (NIR) emitting CdHgTe NCs. The current work presents a detailed study on parameters, by which the emission can be tuned, such as the growth time, the initial Cd : Hg ratio, and the choice of ligand. These insights contribute to the knowledge, which is essential for the design of highly emissive and long-term stable NIR emitting NCs. Further variations of the NC/ligand system include the modification of the ligand shell of CdTe NCs with oligonucleotides based on the strong attachment of DNA molecules to the NC. The successful functionalization of NCs with single-stranded DNA molecules is very promising for the precise and programmable assembly of NCs using DNA origami structures as templates. For both, functionality and optical properties, the surface chemistry of the NCs plays a substantial role and was subject to an extensive investigation. As there is no generally applicable technique to determine the amount of stabilizers and the structure of the ligand shell, the presented study is based on a combination of various methods particularly tailored to the analysis of water-soluble CdTe NCs capped by short-chain thiols. CdTe NCs served as a model system for the described analysis of the ligand shell, since they are thoroughly studied regarding synthesis and features of the core. Aiming for the quantification of thiols, a straightforward colorimetric assay, the Ellman\'s test, is for the first time introduced for the analysis of NCs. Accompanied by elemental analysis an approximate number of thiols per NC becomes accessible. Moreover, theoretical calculations were performed to estimate the amount of ligand that would cover the NC in a monolayer of covalently bound molecules. In contrast to these results, the experimental values point to a larger amount of thiols immobilized on the NC. Attempts to remove the ligand indicate the presence of Cd in the ligand shell and thermogravimetric studies show that the ligands are not loosely assembled in the ligand shell. The outstanding conclusion of these findings involves the presence of Cd-thiol complexes in the ligand shell. Further results unambiguously show that the amount of Cd-thiol complexes present in the NC solution strongly influences the concentration-dependent emission yield of the NCs. Additional studies dedicated to the considerable influence of the ligand shell highlight a strong effect of pH, NC concentration, type and purity of the solvent, and the number of precipitation steps on the emission of water-soluble semiconductor NCs. These substantial investigations emphasize the need to carefully control the conditions applied for handling, optical measurements, and application of NCs. In order to gain a deeper insight into the complex structure of the native ligand shell, techniques deliberately chosen for the in situ analysis were applied for thioglycolic acid-capped CdTe NCs. Information from dynamic light scattering (DLS) regarding the stability and the shell thickness are consistent with previous results showing a large ligand network on the NC surface and a decreasing stability of the NCs upon dilution. Importantly, nuclear magnetic resonance (NMR) spectroscopy allows for the distinction of bound and free ligands directly in solution and proves the presence of these species for the NCs studied. In particular, the results indicate that the ligands are not strongly bound to the NC core and that both, free and bound ligand species, consist of modified thiol molecules, such as Cd-thiol complexes. These findings support previous assumptions and allow to establish a distinct picture of the ligand shell of water-soluble semiconductor NCs. Further insights were obtained from small-angle X-ray scattering (SAXS), which facilitates the identification and the determination of the composition of NC core as well as ligand shell. Element-specific SAXS yields the final proof of the presence of Cd in the ligand shell. The model developed for the optimal fitting of the experimental scattering curves additionally confirms the findings from the other methods. In conclusion, the present work contributes to the challenging goal of a comprehensive knowledge of interactions between the NC core and the ligands. The fundamental development of a structural model of water-soluble CdTe NCs including information on stoichiometries is accomplished by the combination of the techniques presented and emphasizes the challenge to assign a clear border between the ligand shell and the Cd-thiol complexes in solution. Altogether, CdTe NCs capped by thioglycolic acid are best described by a crystalline core surrounded by a water-swollen Cd-thiolate shell that considerably affects the optical properties of the system. Notably, the results of the versatile study provide the opportunity to control the overall properties and to evaluate water-soluble semiconductor NCs for particular applications in photonics and optoelectronics.

Nanokristalle werden beispielsweise für eine Anwendung in Solarzellen, Lichtemittern und nichtflüchtigen Datenspeichern diskutiert. Damit diese Anwendungen funktionieren können, ist eine genaue Kontrolle der Kristallitgröße sowie der Flächendichte und Lage der Kristallite in der Matrix wichtig. Zudem sollte die Matrix amorph sein, da amorphe Matrixmaterialien die Nanokristall-Oberfläche besser passivieren und beständiger gegen Leckströme sind. In dieser Arbeit werden Ge-Nanokristalle in die Hoch-Epsilon-Dielektrika ZrO2 und TaZrOx eingebettet. Im System Ge/ZrO2 kristallisieren die Ge-Cluster und die ZrO2-Matrix bei der gleichen Temperatur. Aufgrund der kristallinen Matrix weicht die Form der Ge-Nanokristalle von einer Kugel ab, worunter unter anderem die Größenkontrolle leidet. Die Beimischung von Ta2O5 stabilisiert die amorphe Phase des ZrO2 und verhindert dadurch die gemeinsame Kristallisation. Dadurch wird es im System Ge/TaZrOx möglich, kugelförmige Ge-Nanokristalle im Größenbereich von 3 nm bis 6 nm positionskontrolliert in eine amorphe Matrix einzubetten. Für die Untersuchung einer möglichen Anwendung des Materialsystems wurden Speicherzellen eines nichtflüchtigen Datenspeichers auf Basis von Ge-Nanokristallen hergestellt. Dabei zeigte sich, dass das System Ge/TaZrOx überdurchschnittlich viele Ladungen speichert und daher für diese Anwendung vielversprechend ist. Zudem stabilisiert die Beimischung von Ta2O5 eine extrem seltene orthorhombische Modifikation des ZrO2. Für ferroelektrische Datenspeicher könnte diese Phase eine aussichtsreiche Alternative zum HfO2 sein.

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.

The exceptional properties of nanocrystals (NCs) are strongly influenced by many different characteristics, such as their size and shape, but also by characteristics on the atomic scale, such as their crystal structure, their surface structure, as well as by potential microstructure defects. While the size and shape of NCs are frequently determined in a statistical manner, atomic-scale characteristics are usually quantified only for a small number of individual NCs and thus with limited statistical relevance. Within this work, a characterization workflow was established that is capable of determining relevant NC characteristics simultaneously in a sufficiently detailed and statistically relevant manner. The workflow is based on transmission electron microscopy, networked by a correlative multiscale approach that combines atomic-scale information on NCs obtained from high-resolution imaging with statistical information on NCs obtained from low-resolution imaging, assisted by a semi-automatic segmentation routine. The approach is complemented by other characterization techniques, such as X-ray diffraction, UV-vis spectroscopy, dynamic light scattering, or alternating gradient magnetometry. The general applicability of the developed workflow is illustrated on several examples, i.e., on the classification of Au NCs with different structures, on the statistical determination of the facet configurations of Au nanorods, on the study of the hierarchical structure of multi-core iron oxide nanoflowers and its influence on their magnetic properties, and on the evaluation of the interplay between size, morphology, microstructure defects, and optoelectronic properties of CdSe NCs.:List of abbreviations and symbols 1 Introduction 1.1 Types of nanocrystals 1.2 Characterization of nanocrystals 1.3 Motivation and outline of this thesis 2 Materials and methods 2.1 Nanocrystal synthesis 2.1.1 Au nanocrystals 2.1.2 Au nanorods 2.1.3 Multi-core iron oxide nanoparticles 2.1.4 CdSe nanocrystals 2.2 Nanocrystal characterization 2.2.1 Transmission electron microscopy 2.2.2 X-ray diffraction 2.2.3 UV-vis spectroscopy 2.2.3.1 Au nanocrystals 2.2.3.2 Au nanorods 2.2.3.3 CdSe nanocrystals 2.2.4 Dynamic light scattering 2.2.5 Alternating gradient magnetometry 2.3 Methodical development 2.3.1 Correlative multiscale approach – Statistical information beyond size and shape 2.3.2 Semi-automatic segmentation routine 3 Classification of Au nanocrystals with comparable size but different morphology and defect structure 3.1 Introduction 3.1.1 Morphologies and structures of Au nanocrystals 3.1.2 Localized surface plasmon resonance of Au nanocrystals 3.1.3 Motivation and outline 3.2 Results 3.2.1 Microstructural characteristics of the Au nanocrystals 3.2.2 Insufficiency of two-dimensional size and shape for an unambiguous classification of the Au nanocrystals 3.2.3 Statistical classification of the Au nanocrystals 3.2.4 Advantage of a multidimensional characterization of the Au nanocrystals 3.2.5 Estimation of the density of planar defects in the Au nanoplates 3.3 Discussion 3.4 Conclusions 4 Statistical determination of the facet configurations of Au nanorods 4.1 Introduction 4.1.1 Growth mechanism and facet formation of Au nanorods 4.1.2 Localized surface plasmon resonance of Au nanorods 4.1.3 Catalytic activity of Au nanorods 4.1.4 Motivation and outline 4.2 Results 4.2.1 Statistical determination of the size and shape of the Au nanorods 4.2.2 Microstructural characteristics and facet configurations of the Au nanorods 4.2.3 Statistical determination of the facet configurations of the Au nanorods 4.3 Discussion 4.4 Conclusions 5 Influence of the hierarchical architecture of multi-core iron oxide nanoflowers on their magnetic properties 5.1 Introduction 5.1.1 Phase composition and phase distribution in iron oxide nanoparticles 5.1.2 Magnetic properties of iron oxide nanoparticles 5.1.3 Mono-core vs. multi-core iron oxide nanoparticles 5.1.4 Motivation and outline 5.2 Results 5.2.1 Phase composition, vacancy ordering, and antiphase boundaries 5.2.2 Arrangement and coherence of individual cores within the iron oxide nanoflowers 5.2.3 Statistical determination of particle, core, and shell size 5.2.4 Influence of the coherence of the cores on the magnetic properties 5.3 Discussion 5.4 Conclusions 6 Interplay between size, morphology, microstructure defects, and optoelectronic properties of CdSe nanocrystals 6.1 Introduction 6.1.1 Polymorphism in CdSe nanocrystals 6.1.2 Optoelectronic properties of CdSe nanocrystals 6.1.3 Nucleation, growth, and coarsening of CdSe nanocrystals 6.1.4 Motivation and outline 6.2 Results 6.2.1 Influence of the synthesis temperature on the optoelectronic properties of the CdSe nanocrystals 6.2.2 Microstructural characteristics of the CdSe nanocrystals 6.2.3 Statistical determination of size, shape, and amount of oriented attachment of the CdSe nanocrystals 6.3 Discussion 6.4 Conclusions 7 Summary and outlook References Publications

Im Folgenden werden Transferprozesse in Nanohybridsystemen theoretisch untersucht. Diese Hybridsysteme sind vielversprechende Kandidaten für neue optoelektronische Anwendungen und erfahren daher ein erhebliches Forschungsinteresse. Jedoch beschränken sich Arbeiten darüber hauptsächlich auf experimentelle Untersuchungen und kaum auf die dazugehörige theoretische Beschreibung. Bei den theoretischen Betrachtungen treten entscheidende Limitierungen auf. Es werden entweder Details auf der atomaren Ebene vernachlässigt oder Systemgrößen betrachtet, die wesentlich kleiner als im Experiment sind. Diese Thesis zeigt, wie die bestehenden Theorien verbessert werden können und erweitert die bisherigen Untersuchungen durch die Betrachtung von vier neuen hoch relevanten Nanohybridsystemen. Das erste System ist eine Nanostruktur, die aus einem Au-Kern und einer CdS-Schale besteht. Beim zweiten System wurde eine ZnO/Para-Sexiphenyl Nanogrenzfläche untersucht. Die zwei anderen Systeme beinhalten jeweils einen CdSe-Nanokristall, der entweder mit einem Pheophorbide-a-Molekül oder mit einem röhrenförmigen Farbstoffaggregat wechselwirkt. In allen Systemen ist der Anregungsenergie-Transfer ein entscheidender Transfermechanismus und steht im Fokus dieser Arbeit. Die betrachteten Hybridsysteme bestehen aus zehntausenden Atomen und machen daher eine individuelle Berechnung der einzelnen Subsysteme sowie deren gegenseitiger Wechselwirkung notwendig. Die Halbleiter-Nanostrukturen werden mit der Tight-Binding-Methode und der Methode der Konfigurationswechselwirkung beschrieben. Für das molekulare System wird die Dichtefunktionaltheorie verwendet. Die dazugehörigen Rechnungen wurden von T. Plehn ausgeführt. Das metallische Nanoteilchen wird durch quantisierte Plasmon-Moden beschrieben. Die verwendeten Theorien ermöglichen eine Berechnung von Anregungsenergietransfer in Nanohybridsystemen von bisher nicht gekannter Systemgröße und Detailgrad. / In the following, transfer phenomena in nanohybrid systems are investigated theoretically. Such hybrid systems are promising candidates for novel optoelectronic devices and have attracted considerable interest. Despite a vast amount of experimental studies, only a small number of theoretical investigations exist so far. Furthermore, most of the theoretical work shows substantial limitations by either neglecting the atomistic details of the structure or drastically reducing the system size far below the typical device extension. The present thesis shows how existing theories can be improved. This thesis also expands previous theoretical investigations by developing models for four new and highly relevant nanohybrid systems. The first system is a spherical nanostructure consisting of an Au core and a CdS shell. By contrast, the second system resembles a finite nanointerface built up by a ZnO nanocrystal and a para-sexiphenyl aggregate. For the last two systems, a CdSe nanocrystal couples either to a pheophorbide-a molecule or to a tubular dye aggregate. In all of these systems, excitation energy transfer is an essential transfer mechanism and is, therefore, in the focus of this work. The considered hybrid systems consist of tens of thousands of atoms and, consequently, require an individual modeling of the constituents and their mutual coupling. For each material class, suitable methods are applied. The modeling of semiconductor nanocrystals is done by the tight-binding method, combined with a configuration interaction scheme. For the simulation of the molecular systems, the density functional theory is applied. T. Plehn performed the corresponding calculations. For the metal nanoparticle, a model based on quantized plasmon modes is utilized. As a consequence of these theories, excitation energy transfer calculations in hybrid systems are possible with unprecedented system size and complexity.

Ein grundlegender Trend der modernen Mikro- und Optoelektronik ist die sinkende Größe der aktiven Elemente der Bauteile. Mit typischen Dimensionen im Bereich 1-10 nm werden Effekte des sogenannten quantenmechanischen Confinements bemerkbar, die die elektronischen und phononischen Eigenschaften der Materialien stark beeinflussen. Der aktuelle Entwicklungsstand von Nanotechnologie macht es möglich, Halbleiternanokristalle mit verschiedenen Strukturparametern wie Größe, Form und chemischer Zusammensetzung herzustellen, welche neue fundamentaleтhysikalische Eigenschaften zeigen. Gleichzeitig ist die Herausforderung, die Zusammenhänge von Struktur der Nanokristalle mit deren optischen, elektronischen und phononischen Eigenschaften zu erkunden, weiterhin relevant. Der Grund dafür besteht darin, dass klassische optische Methoden zur Untersuchung von makroskopischen Materialien und dünnen Schichten – Raman-, Infrarot- und Photolumineszenz-Spektroskopie, bei Anwendung auf Nanostrukturen nicht einzelne, sondern gleich eine Vielzahl von Nanoobjekten mit unterschiedlichen Größen, Formen, Zusammensetzungen etc. messen. Als Resultat davon sind die gemessenen Werte nicht sehr aussagekräftig, da effektiv über eine große Anzahl von Nanokristallen gemittelt wird, während der Beitrag von einzelnen Nanokristallen unter dem Detektionslimit liegen. Aus diesem Grund wurden die Methoden der plasmonverstärkten optischen Spektroskopie, inklusive oberflächenverstärkter Ramanstreuung (SERS, Surface Enhanced Raman Spectroscopy), Photolumineszenz (SEPL, Surface Enhanced Photoluminescence) und Infrarotabsorption (SEIRA, Surface Enhanced IR Absorption) in den letzten Jahren mit dem Ziel, das erreichbare Signal einzelner Halbleiternanostrukturen zu verbessern, stark vorangetrieben. Diese Methoden basieren auf der lokalen Verstärkung des elektromagnetischen Feldes nahe metallischer Nanostrukturen durch das Anregen lokalisierter Oberflächenplasmonenresonanz (LSPR, Localized Surface Plasmon Resonance) mittels Licht im sichtbaren oder infraroten Spektralbereich. Diese oberflächenverstärkten Methoden erlauben das Untersuchen des Phononenspektrum aus SERS-, SEPL- und SEIRA-Daten mit einer Sensitivität weit über der von konventionellen Methoden. Daher wurden in dieser Arbeit SERS- und SEPL-Experimente an CdSe/CdS Nanoplättchen, die auf Gold Nanoscheiben abgeschieden wurden, durchgeführt. Resonantes und nichtresonantes SERS sowie der Einfluss von Energietransfer und Purcell-Effekt in SEPL-Experimenten werden hier gezeigt. Mittels numerischer Simulation wurde die Struktur der Mikro- und Nanoantennen optimiert, um die Übereinstimmung ihrer LSPR- und der Phononenenergien der Halbleiternanokristall-Monolagen in SEIRA-Experimenten zu erreichen. Damit wurden die phononischen Eigenschaften dieser Halbleiternanokristall-Monolagen untersucht, was vorher mit konventioneller IR-Spektroskopie nicht möglich war. Ebenso wurde gezeigt, dass die Plasmonen der Nanoantennen effektiv mit darunterliegenden Materialien, z.B. SiO2, gekoppelt werden können. Die Eindringtiefe dieser Kopplung wurde durch Messung an Nanoantennen auf verschieden dicken SiO2-Lagen bestimmt und die Plasmon-Phonon-Wechselwirkung, die zur Renormalisierung von Phononen- und Plasmonenspektren führt, gefunden. Teile der Arbeit sind in J. Chem. Phys., 153, 16, 2020, Beilstein J. Nanotechnol., 9, 2646–2656, 2018, J. Phys. Chem. C, 121, 10, 5779–5786, 2017, und Beilstein J. Nanotechnol. 7, 1519–1526, 2016 veröffentlicht. Es ist zu beachten, dass die Grenze des Auflösungsvermögens für Optik auch für die oberflächenverstärkte Spektroskopie gilt. Um diese Grenze zu umgehen wurde spitzenverstärkte Ramanspektroskopie (TERS, Tip Enhanced Raman Spectroscopy) verwendet. TERS kombiniert die hohe räumliche Auflösung von AFM (Rasterkraftmikroskopie, Atomic Force Microscopy) mit den analytischen Fähigkeiten der Ramanspektroskopie. Eine Möglichkeit, das lokale elektromagnetische Feld und damit auch das gemessene TERS-Signal zu verstärken, besteht darin, plasmonische Substrate zu verwenden, wobei das zu untersuchende Objekt zwischen diesem Substrat und der Spitze des TERS-Spektrometers platziert wird, da dort die Verstärkung des elektromagnetischen Feldes am größten ist (sogenanntes gap-mode TERS). Daher haben wir in dieser Arbeit den Einfluss eines solchen plasmonischen Substrates auf die TERS-Messungen von phononischen Eigenschaften extrem dünner Lagen (Submonolage) von Nanokristallen untersucht. Vorteile verschiedener TERS-Methoden werden demonstriert: konventionelles TERS, gap-mode TERS und resonantes gap-mode TERS. TERS-Mapping wurde auf den gleichen Nanoscheiben mit CdSe-Nanokristallen durchgeführt und der Unterschied dieser Mappings für zwei verschiedene, für die Ramanspektroskopie genutzte Wellenlängen mit elektrodynamischer Modellierung erklärt. Mit gap-mode TERS war es möglich, einzelne CdSe/CdS Nanoplättchen sichtbar zu machen und ihre Phononenmoden zu erforschen. Teile dieser Arbeit sind in Nanoscale Adv., 2, 11, 5441–5449, 2020 veröffentlicht. Eine weitere neue und intensiv vorangetriebene Methode zur Nanoanalyse ist die nano-FTIR (Fourier Transformed Infrared Spectroscopy, Fouriertransformierte Infrarotspektroskopie) genannte Kombination von IR-Spektroskopie mit Rasterkraftmikrokopie. Im Gegensatz zu TERS, bei dem Licht von einer einzelnen, schmalen Laserlinie inelastisch gestreut wird, verwendet nano-FTIR eine breitbandige Infrarotquelle. Daher wird in nano-FTIR das gesuchte Nahfeld-Signal durch Demodulation des Detektorsignals extrahiert. Durch nano-FTIR-Spektroskopie wurde in dieser Arbeit der Oxidgehalt x in SiOx-Nanodrähten auf der Nanometerskala bestimmt. Weiterhin wurden Plasmon-Phonon-Wechselwirkungen einer einzelnen Nanoantenne auf Si/SiO2 Substrat ebenfalls auf der Nanometerskala untersucht. Teile dieser Arbeit sind in Appl. Surf. Sci., 152583, 2022 veröffentlicht. Zuletzt demonstriert diese Arbeit auch die Kombination von polarisiertem TERS und nano-FTIR für die Untersuchung von hexagonalen AlN-Nanoclustern. Es wird gezeigt, dass die polarisierten TERS-Experimente sensitiv sind für Oberflächenplasmonenmoden mit unterschiedlichen Symmetrien, wie sie charakteristisch für AlN-Nanocluster sind. Der Einfluss der Polarisierung auf die TERS-Mappings eines einzelnen AlN-Clusters und Nanodrahts wird experimentell gezeigt und erklärt. Weiterhin konnte festgestellt werden, dass die nano-FTIR-Spektren, ähnlich den TERS-Daten, eine Sensitivität für Oberflächenmoden zeigen und neue Informationen über die Winkelverteilung dieser AlN-Oberflächenphononen im Nanokristall auf der Nanometerskala liefern.:Table of Contents 1. Elementary excitations in hybrid semiconductor/metal nanostructures 10 1.1. Phonons and excitons in semiconductor nanocrystals: Raman, IR and PL spectroscopies 11 1.2. Raman scattering 15 1.3. Plasmons in metal nanoclusters 17 1.4. Photoluminescence 20 1.5. Surface-enhanced Raman spectroscopy (SERS), IR absorption (SEIRA), and Photoluminescence (SEPL) in hybrid semiconductor/metal nanostructures: Principles and enhancement mechanisms 22 1.6. Tip-enhanced Raman spectroscopy (TERS) and Photoluminescence (TEPL) of semiconductor nanostructures 24 1.7. From conventional Fourier transform infrared (FTIR) to nano-FTIR spectroscopy 26 1.8. Summary 27 2. Experimental Methods 28 2.1. Fabrication of metal nanostructures 28 2.1.1. Metal evaporation 28 2.1.2. Fabrication of TERS cantilevers 28 2.1.3. Photo- and Nanolithography of metal micro-and nanostructures 28 2.2. Fabrication of semiconductor nanocrystals by Langmuir-Blodgett technology and their TEM characterization 32 2.3. Fabrication and TEM characterization of CdSe/CdS nanoplatelets 35 2.4. Fabrication of SiOx lines by local anodic oxidation 36 2.5. Molecule beam epitaxy (MBE) of AlN nanoclucters on Si(111) 37 2.6. Microscopy and spectroscopy characterization methods of semiconductor and metal nanostructures at micro- and nanoscale 38 2.6.1. Micro- and nano-Raman, and Photoluminescence spectroscopies 38 2.6.2. Fourier transform infrared (FTIR) spectroscopy 39 2.6.3. Atomic Force Microscopy (AFM) 41 2.6.4. NeaSNOM platform for Nano-FTIR spectroscopy 43 2.7. Summary 45 3. Surface- enhanced Raman, PL and IR spectroscopies of hybrid semiconductor/metal nanostructures 46 3.1. SERS and SEPL of CdSe/CdS nanoplatelets on Au nanodisks 46 3.2. IR spectroscopy of hybrid semiconductor/metal nanostructures 52 3.2.1. Plasmon modes in gold nanoantennas on Si/SiO2 52 3.2.1.1. Plasmon modes in micro- and nanoantennas of various morphologies 57 3.2.1.2. Activation of even modes of localized surface plasmon in antennas 61 3.2.2. SEIRA of optical phonons in CdS, CdSe, PbS nanocrystals on Au micro- and nanoantennas 64 3.3. Summary 67 4. Nanoscopy of hybrid semiconductor/metal nanostructures 69 4.1. TERS of CdSe NCs on different plasmonic substrates 69 4.2. Gap-mode TERS imaging of CdSe NCs for different excitation energies 76 4.3. Gap-mode TERS imaging of CdSe/CdS nanoplatelets 79 4.4. Nano-FTIR Spectroscopy of SiOx nanowires 81 4.5. Plasmon-phonon nanoscale interaction in an Au nanoantenna on a thin SiO2 layer 85 4.6. Summary 87 5. Comparative nanoscale analysis of surface optical modes in AlN nanostructures 89 5.1. TERS mapping of a single AlN hexagonal nanocluster 89 5.2. Hyperspectral Nano-FTIR imaging of a single AlN hexagonal nanocluster 91 5.3. Polarized TERS mapping and Hyperspectral Nano-FTIR imaging of a single AlN nanowire 95 5.4. Summary 98 6. Summary 99 7. Appendix 101 8. Acknowledgements 104 9. Lebenslauf 105 10. Publications 106 11. Erklärung 108 12. Bibliography 109 13. List of Figures 125

The aim of this work is to create a process which allows the tailored growth of Ge nanocrystals for use in photovoltic applications. The multilayer systems used here provide a reliable method to control the Ge nanocrystal size after phase separation. In this thesis, the deposition of GeOx/SiO2 and Ge:SiOx~ 2/SiO2 multilayers via reactive dc magnetron sputtering and the self-ordered Ge nanocrystal formation within the GeOx and Ge:SiOx~ 2 sublayers during subsequent annealing is investigated. Mostly the focus of this work is on the determination of the proper deposition conditions for tuning the composition of the systems investigated. For the GeOx/SiO2 multilayers this involves changing the GeOx composition between elemental Ge (x = 0) and GeO2 (x = 2), whereas for the Ge:SiOx~ 2/SiO2 multilayers this involves changing the stoichiometry of the Ge:SiOx~ 2 sublayers in the vicinity of stochiometric silica (x = 2). The deposition conditions are controlled by the variation of the deposition rate, the deposition temperature and the oxygen partial pressure. A convenient process window has been found which allows the sequential deposition of GeOx/SiO2 or Ge:SiOx ~2/SiO2 without changing the oxygen partial pressure during deposition. For stoichiometry determination Rutherford back-scattering spectrometry has been applied extensively. The phase separation in the spatially confined GeOx and Ge:SiOx ~2 sublayers was investigated by X-ray absorption spectroscopy at the Ge K-edge. The Ge sub-oxides content of the as-deposited multilayers diminishes with increasing annealing temperature, showing complete phase separation at approximately 450° C for both systems (using inert N2 at ambient pressure). With the use of chemical reducing H2 in the annealing atmosphere, the temperature regime where the GeOx phase separation occurs is lowered by approximately 100 °C. At temperatures above 400° C the sublayer composition, and thus the density of the Ge nanocrystals, can be altered by making use of the reduction of GeO2 by H2. The Ge nanocrystal formation after subsequent annealing was investigated with X-ray scattering, Raman spectroscopy and electron microscopy. By these methods the existence of 2 - 5 nm Ge nanocrystals at annealing temperatures of 550 (GeOx) - 700° C (Ge:SiOx ~2) has been confirmed which is within the multilayer stability range. The technique used allows the production of extended multilayer stacks (50 periods ~ 300 nm) with very smooth interfaces (roughness ~ 0.5 nm). Thus it was possible to produce Ge nanocrystal layers with ultra-thin SiO2 separation layers (thickness ~ 1 nm) which offers interesting possibilities for charge transport via direct tunneling.

The aim of this work is to create a process which allows the tailored growth of Ge nanocrystals for use in photovoltic applications. The multilayer systems used here provide a reliable method to control the Ge nanocrystal size after phase separation. In this thesis, the deposition of GeOx/SiO2 and Ge:SiOx~ 2/SiO2 multilayers via reactive dc magnetron sputtering and the self-ordered Ge nanocrystal formation within the GeOx and Ge:SiOx~ 2 sublayers during subsequent annealing is investigated. Mostly the focus of this work is on the determination of the proper deposition conditions for tuning the composition of the systems investigated. For the GeOx/SiO2 multilayers this involves changing the GeOx composition between elemental Ge (x = 0) and GeO2 (x = 2), whereas for the Ge:SiOx~ 2/SiO2 multilayers this involves changing the stoichiometry of the Ge:SiOx~ 2 sublayers in the vicinity of stochiometric silica (x = 2). The deposition conditions are controlled by the variation of the deposition rate, the deposition temperature and the oxygen partial pressure. A convenient process window has been found which allows the sequential deposition of GeOx/SiO2 or Ge:SiOx ~2/SiO2 without changing the oxygen partial pressure during deposition. For stoichiometry determination Rutherford back-scattering spectrometry has been applied extensively. The phase separation in the spatially confined GeOx and Ge:SiOx ~2 sublayers was investigated by X-ray absorption spectroscopy at the Ge K-edge. The Ge sub-oxides content of the as-deposited multilayers diminishes with increasing annealing temperature, showing complete phase separation at approximately 450° C for both systems (using inert N2 at ambient pressure). With the use of chemical reducing H2 in the annealing atmosphere, the temperature regime where the GeOx phase separation occurs is lowered by approximately 100 °C. At temperatures above 400° C the sublayer composition, and thus the density of the Ge nanocrystals, can be altered by making use of the reduction of GeO2 by H2. The Ge nanocrystal formation after subsequent annealing was investigated with X-ray scattering, Raman spectroscopy and electron microscopy. By these methods the existence of 2 - 5 nm Ge nanocrystals at annealing temperatures of 550 (GeOx) - 700° C (Ge:SiOx ~2) has been confirmed which is within the multilayer stability range. The technique used allows the production of extended multilayer stacks (50 periods ~ 300 nm) with very smooth interfaces (roughness ~ 0.5 nm). Thus it was possible to produce Ge nanocrystal layers with ultra-thin SiO2 separation layers (thickness ~ 1 nm) which offers interesting possibilities for charge transport via direct tunneling.:Contents 1 Introduction and motivation 1 2 Basic aspects 6 2.1 Microstructure of sub-stoichiometric oxides (SiOx, GeOx) 6 2.2 Phase transformations 9 2.3 Quantum confinement effect in nanocrystals 12 2.4 Applications of nanostructures in 3rd generation photovoltaics 17 3 Experimental setup 21 3.1 The magnetron deposition chamber 21 3.2 (Reactive) dc sputtering 22 3.3 Annealing processing 26 3.4 X-ray facilities 26 4 Analytical methods 30 4.1 Rutherford backscattering spectrometry (RBS) 30 4.2 Raman scattering 33 4.3 (Grazing incidence) X-ray diffraction (GIXRD) 35 4.4 X-ray reflectivity (XRR) 39 4.5 X-ray absorption near edge structure (XANES) 41 4.6 Transmission electron microscopy (TEM) 42 5 Properties of reactive dc magnetron sputtered Si-Ge-O (multi)layers 44 5.1 Deposition rate and film stoichiometry investigations 44 5.2 Stoichiometry dependent properties of GeOx/SiO2 multilayers 47 5.3 Lateral intercluster distance of the Ge nanocrystals in multilayers 51 6 Confined Ge nanocrystal growth in GeOx/SiO2 multilayers 54 6.1 Phase separation in GeOx single layers and GeOx/SiO2 multilayers 54 6.2 Crystallization in GeOx single layers and GeOx/SiO2 multilayers 58 6.3 Multilayer stability and smallest possible Ge nanocrystal size 60 6.4 Stacked Ge NC films with ultra thin SiO2 separation layers 66 7 Confined Ge nanocrystal growth in Ge:SiOx/SiO2 multilayers 71 7.1 Phase separation in Ge:SiOx/SiO2 multilayers 72 7.2 Crystallisation in Ge:SiOx/SiO2 multilayers 76 8 Summary and conclusions 79 List of Figures 83 List of Tables 85 Bibliography 86