Nucleation,Glide Velocity and Blocking of Misfit Dislocations in SiGe/Si

Relaxation of strained layer systems is still not well understood. It is time dependent and changes considerably for samples with different growth history. This has to be discussed in terms of nucleation, glide velocity and blocking of misfit dislocations. We have investigated these phenomena at samples with SiGe layer thicknesses ranging from 60 nm up to 120 nm grown by molecular beam epitaxy (MBE) or chemical vapor deposition (CVD) by means of X-ray topography. The samples were annealed at temperatures between 500° and 600° C. Nucleation of misfit dislocations is heterogeneous and the rate is obviously dependent on layer strain and thickness. A quantified nucleation rate was not yet accessible, mainly due to the preferential formation of dislocation bundles. The propagation velocities of misfit dislocation segments were measured during annealing by means of synchrotron radiation plane wave topography (reflection geometry). The values agree well with theory and there is no evidence that they depend on growth regime. It is shown that the interaction of propagating misfit dislocations with crossing ones may lead to blocking or cross slip in different glide systems. These results are corroborated by investigations with atomic force and transmission electron microscopy.     

Phase diagram of growth mode for the SiGe/Si heterostructure system with misfit dislocations

The strain, surface and interface energies of the SiGe/Si (SiGe grown on Si) heterostructure system with and without misfit dislocations were calculated for the Frank–van der Merwe (FM), Stranski–Krastanov (SK) and Volmer–Weber (VW) growth modes essentially based on the three kinds of fundamental and simple structures. The free energies for each growth mode were derived from these energies, and it was determined as a function of the composition and layer thickness of SiGe on Si. By comparison of the free energies, the phase diagrams of the FM, SK and VW growth modes for the SiGe/Si system were determined. The (1 1 1) and (1 0 0) reconstructed surfaces were selected for this calculation. From the phase diagrams, it was found for the growth of SiGe on Si that the layer-by-layer growth such as the FM mode was easy to be obtained when the Ge composition is small, and the island growth on a wetting layer such as the SK mode was easy to be obtained when the Ge composition is large. The VW mode is energetically stable in the Ge-rich compositional range, but it is difficult for the VW mode to appear in the actual growth of SiGe on Si because the VW region is right above the SK region. The regions of the SK and VW modes for the (1 1 1) heterostructure are larger than those for the (1 0 0) one because the strain energy of the (1 1 1) face is larger than that of the (1 0 0) face. The regions of the SK and VW modes for the heterostructure with misfit dislocations are narrower than those for the one without misfit dislocations because the strain energy is much released by misfit dislocations. The phase diagrams roughly explain the behavior of the FM and SK growth modes of SiGe on Si.     

Defect Structure of Strained Heteroepitaxial In(1—x)Al(x)P Layers Deposited by MOVPE on (001) GaAs Substrates

Weak-beam, large angle convergent beam electron diffraction and high resolution transmission electron microscope experiments have revealed, that after strain relaxation due to plastic deformation dislocation networks can be observed in In_(1—x)Al_(x)P heteroepitaxial layers grown on (001) GaAs substrates under compressive stress. The 60° slip dislocations are mostly dissociated into partials of Shockley type whereas in the particular case of layers grown under tension twins are predominantly formed by successive nucleation and slip of 90° Shockley partials on adjacent {111} glide planes lying inclined to the (001) surface. When a few 90° Shockley partials pile up during extension of twins, then planar incoherent twin boundaries with {112} coincidence planes have been formed during strain relaxation. Due to the space group symmetry ((InAl)P belongs to the space group F4-3m) there is a striking asymmetry in defect formation, i.e. defect nucleation and slip on the planes (111) and (1-1-1) slip of the [1-10] zone are preferred to nucleation and slip on the {111} planes of the [110] zone. Apparently, the occupacy of the atomic sites in the dislocation core with either group-III or group-V atoms is responsible for this behaviour. The nature of the defects implies that their spontaneous nucleation should have taken place at the growing surface. Under tensile strain the 90° Shockley partial is nucleated first and the 30° one trails. Under compressive strain this sequence is reversed. It is evident, for dissociated dislocations lying at the interface always the 30° partial, i.e. the partial with less mobility or with higher friction force, is detained near or directly in the interface. Thus, in layers grown under tension the stacking fault associated with the dissociated 60° dislocation lies inside the GaAs substrate. For layers grown under compression it is located inside the ternary layer.     

Growth of InGaAs/GaAs on Offcut Substrates by MOVPE: Influence on Macrosteps and Dislocations Formation

A study of the relationship between the macrosteps caused by the substrate misorientation and dislocation nucleation in MOVPE-grown InGaAs/GaAs is presented. The macrosteps could favour strain relaxation and the decrease of the critical thickness, also by generation of misfit dislocations in the 1/2〈110〉{011} glide system, as they can provide sites for stress accumulation above the average value far from the macrosteps. This adds up to the enhanced homogeneous dislocation nucleation associated with the offcut angle. The use of offcut substrates thus produces both compositional inhomogeneities and an increase of the overall dislocation density.     

失配性质对面心立方外延晶体失配位错结构及其形核机制的影响

运用三维分子动力学方法模拟了外延铝薄膜晶体中失配位错的形成过程.结果显示:失配度为fx=4;时,位错是通过薄膜表层原子的相对滑移来形核,形成一个伯格斯矢量为1/2[10 1]的刃型位错,该位错形成后会迅速向界面滑移,并稳定在离界面1～2个原子层上不动,同时在薄膜表面留下一个台阶.而失配度为fx=-4;时,位错形核是通过挤出一个四面体构型的原子团开始,形成一个伯格斯矢量为1/2[110]的刃型位错,该位错只能平行于界面滑移,位错稳定后离界面的距离比正失配度时的距离和热力学临界厚度都要大.     

Misfit Strain Relaxation by Dislocations in InAs Islands and Layers Epitaxially Grown on (001)GaAs Substrates by MOVPE

The misfit dislocation configurations in InAs islands as well as in more or less continuous layers grown on (001) oriented GaAs substrates were studied by weak-beam and high-resolution electron microscopy. The islands are confined by {101} and {111} facets where the aspect ratio (height/lateral extension) can be affected by the growth conditions. It is possible to grow well-defined islands as well as relatively continuous layers by MOVPE under As-stabilized conditions. At constant deposition parameters the growth is characterized by islands of different sizes (but with constant aspect ratio) in various strain states depending on their dislocation content. Coherently strained islands without any dislocation can be observed for heights up to 23 ML InAs, or otherwise, up to a maximal island extension of about 12 nm (for the particular aspect ratio ≈︂0.585). With further increase of island height and lateral extension, the introduction of dislocations becomes favourable. Independent of the island size, the layer thickness and the dislocation density, a residual elastic strain of about ε^r = —0.8% remains after relaxation. This means, about 88% of the total misfit strain of ε = —6.686 × 10^—2 were compensated by Lomer dislocations. These sessile Lomer dislocations lie in the island interior only, where single 60° dislocations were observed exclusively in their near-edge regions. With increasing island size and/or layer thickness some close-spaced 60° dislocations occur additionally within the interfacial region. The Lomer dislocations that are always located 4 monolayers (ML) above the InAs/GaAs interfacial plane result from the well-known fusion of two 60° slip dislocations. These 60° dislocations have been nucleated 7 … 8 ML above the interface at surface steps on the {111} facets confining the islands. Based on our experimental observations a new mechanism is proposed that explains the origin of these 60° dislocations. Their further fusion to sessile Lomer dislocations that compensate the misfit strain most efficiently occurs in the way as commonly accepted.     

Reduction of the defect density in GaN films using ultra-thin AlN buffer layers on 6H-SiC

A low dislocation density of 10^7–8 cm⁻² in GaN thin films on 6H-SiC(0001) substrates grown by metalorganic chemical vapor deposition was achieved. By considering possible origins of dislocations in the GaN/AlN/Sic structure, two major dislocation reduction routes are proposed; ultra-thin AlN buffer layers and smooth AlN surfaces in an atomic scale. Experimentally, the effects of the surface roughness and structural perfection of the AlN buffer layer on GaN film quality were extensively investigated as a function of AlN film thickness. The reduced dislocation density was realized by using ultra-thin AlN buffer layers having a thickness of 1.5 nm, which is below the critical value for misfit dislocation generation. The smoother surface morphology and enhanced structural quality of ultra-thin AlN buffer layers were found to be the main parameters in reducing the defect density in the GaN film.     

Edge misfit dislocations in the GeSi/Si(001) pair: Conditions and specific features of high-quantity generation

Dislocation structure of Ge_xSi_1?x films (x=0.4?0.8) grown by molecular-beam epitaxy on Si(001) substrates was studied by means of transmission electron microscopy. It was found that the density of edge MDs formed at the early stage of plastic strain relaxation in the films could exceed the density of 60° MDs. In our previous publications, a predominant mechanism underlying the early formation of edge misfit dislocations (MD) in Ge_xSi_1?x/Si films with x>0.4 was identified; this mechanism involves the following processes. A 60° glissile MD provokes nucleation of a complementary 60° MD gliding on a mirror-like tilted plane (111). A new edge MD forms as a result of interaction of the two complementary 60° MDs, and the length of the newly formed edge MD can then be increased following the motion of the “arms” of the complementary 60° MDs. Based on this scenario of the edge MD generation process, we have calculated the critical thickness of insertion of an edge MD into GeSi layers of different compositions using the force balance model. The obtained values were found to be more than twice lower than the similar values for 60° MDs. This result suggests that a promising strategy towards obtaining dislocation arrays dominated by 90° dislocations in MBE-grown Ge_xSi_1?x/Si films can be implemented through preliminary growth on the substrate of a thin, slightly relaxed buffer layer with 60° MDs present in this layer. The dislocated buffer layer, acting as a source of threading dislocations, promotes the strain relaxation in the main growing film through nucleation of edge MDs in the film/buffer interface. It was shown that in the presence of threading dislocations penetrating from the relaxed buffer into the film nucleation of edge MDs in the stressed film can be initiated even if the film thickness remains small in comparison with the critical thickness for insertion of 60° MDs. Examples of such unusual MD generation processes are found in the literature.     

Dislocations and dislocation reduction in space grown GaSb

The behaviour of dislocations in GaSb crystals grown in space both from a stoichiometric melt (floating zone method, FZ) and a Bi solution (floating solution zone, FSZ) respectively, is studied. Predominantly straight 60° dislocations with Burgers vectors of the type b = a/2 <110> in (111) glide planes are identified. In the 20 mm long FZ single crystal the linear growing out of the dislocations is observed which reduces the dislocation density in the centre of the crystal to values below 300 cm^–2. The Bi incorporation in the FSZ crystal results in a misfit between seed and grown crystal and in a network of misfit dislocations at the interface. Thermocapillary convection during growth as well as the surface tension may be the reasons for the presence of curved dislocations and the higher dislocation density within a 1 – 2 mm border region at the edges of both of the crystals. (© 2009 WILEY‐VCH Verlag GmbH & Co. KGaA, Weinheim)     

Surface and interfacial structure of epitaxial SrTiO3 thin films on (0 0 1) Si grown by molecular beam epitaxy

Effects of relaxation of interfacial misfit strain and non-stoichiometry on surface morphology and surface and interfacial structures of epitaxial SrTiO₃ (STO) thin films on (0 0 1) Si during initial growth by molecular beam epitaxy (MBE) were investigated. In situ reflection high-energy electron diffraction (RHEED) in combination with X-ray diffraction (XRD), atomic force microscopy (AFM), X-ray photoelectron spectrometry (XPS) and transmission electron microscopy (TEM) techniques were employed. Relaxation of the interfacial misfit strain between STO and Si as measured by in situ RHEED indicates initial growth is not pseudomorphic, and the interfacial misfit strain is relaxed during and immediately after the first monolayer (ML) deposition. The interfacial strain up to 15 ML results from thermal mismatch strain rather than lattice mismatch strain. Stoichiometry of STO affects not only surface morphology but interfacial structure. We have identified a nanoscale Sr₄Ti₃O₁₀ second phase at the STO/Si interface in a Sr-rich film.     

Microstructure and strain relaxation of orthorhombic TmMnO3 epitaxial thin films

Orthorhombic TmMnO₃ (o-TMO) thin films have been epitaxially stabilized on (110) SrTiO₃ substrates by pulsed laser deposition (PLD) technique. The microstructure and strain relaxation mechanism of o-TMO thin films are analyzed using transmission electron microscopy. It is shown that major defects in the films are misfit dislocations with Burgers vectors of type a_p〈010〉 and a_p〈110〉, whereas a_p〈110〉 dislocations tend to dissociate into partial dislocations with Burgers vectors of type 1/2a_p〈110〉. Strain in o-TMO films is relaxed by misfit dislocations as well as surface fluctuations, which is different from most of the previous studies of the perovskite thin films.     

In situ observation of formation of misfit dislocations in pseudomorphic monolayer overgrowth of metals and non-metals

Epitaxial overgrowth in cases of deposit and substrate combinations of PbSe/PbS, Au/Pd and Pd/Au were observed in situ in an electron microscope. It was found that the growth proceeds with the very characteristic features of monolayer overgrowth as implied by the theory of Frank and Van der Merwe; no indication of nucleation was observed and the formation of misfit dislocations was noticed over the whole area of films at certain critical thicknesses of the overgrowths. Points were noted which distinguish the monolayer overgrowth from the case where misfit dislocations are introduced in nucleated islands, to which Matthews has counted the growth processes in these combinations. The importance of climb motion as well as slip motion was stressed as the mechanism of introduction of misfit dislocations. Some results of electron diffraction and electron microscopy of films prepared in separate evaporation units were also quoted. These were to examine the relation between misfit dislocation density and mean lattice parameter and the effect of degree of vacuum on the growth mode and to indicate that the same growth mode takes place for some other combinations of IV–VI compounds, SnTe/PbSe, PbTe/PbS and PbTe/PbSe.     

Specific features of formation and propagation of 60° and 90° misfit dislocations in GexSi1−x/Si films with x>0.4

The dislocation structure at the initial stage of relaxation of Ge_xSi_1−x films (x∼0.4–0.8) grown on Si (0 0 1) substrates tilted at 6° to the nearest (1 1 1) plane is studied. The use of Si substrates tilted away from the exact (0 0 1) orientation for epitaxial growth of Ge_xSi_1−x films (x≥0.4) allowed finding the basic mechanism of formation of edge dislocations that eliminate the mismatch stresses. Though the edge dislocations are defined as sessile dislocations, they are formed in accordance with the slipping mechanism proposed previously by Kvam et al. (1990). It is highly probable that a 60° misfit dislocation (MD) propagating by the slipping mechanism provokes the nucleation of a complementary 60° MD slipping in a mirror-like tilted plane (1 1 1). The reaction between these dislocations leads to the formation of an edge MD that ensures more effective reconciliation of the discrepancy. Comparative estimation of the slip velocities of the primary and induced 60° MDs and also of the resultant 90° MD is fulfilled. The slip velocity of the induced 60° MD is appreciably greater than the velocity of the primary 60° MD. Therefore, the induced MD “catches up” with the second front of the primary MD, thus forming a 90° MD propagating to both sides due to slipping of the 60° MDs forming it. The propagation velocity of the 90° MD is also greater than the slip velocity of a single 60° MD. For these reasons, 90° MDs under certain conditions that favor their formation and propagation can become the main defects responsible for plastic relaxation of GeSi films close to Ge in terms of their composition.     

The effects of annealing on non-polar (1 1 2¯ 0) a-plane GaN films

Non-polar a-plane (1 1 2¯ 0) GaN films were grown on r-plane sapphire by metal–organic vapor phase epitaxy and were subsequently annealed for 90 min at 1070 °C. Most dislocations were partial dislocations, which terminated basal plane stacking faults. Prior to annealing, these dislocations were randomly distributed. After annealing, these dislocations moved into arrays oriented along the [0 0 0 1] direction and aligned perpendicular to the film–substrate interface throughout their length, although the total dislocation density remained unchanged. These changes were accompanied by broadening of the symmetric X-ray diffraction 1 1 2¯ 0 ω-scan widths. The mechanism of movement was identified as dislocation glide, occurring due to highly anisotropic stresses (confirmed by X-ray diffraction lattice parameter measurements) and evidenced by macroscopic slip bands observed on the sample surface. There was also an increase in the density of unintentionally n-type doped electrically conductive inclined features present at the film–substrate interface (as observed in cross-section using scanning capacitance microscopy), suggesting out-diffusion of impurities from the substrate along with prismatic stacking faults. These data suggest that annealing processes performed close to film growth temperatures can affect both the microstructure and the electrical properties of non-polar GaN films.     

Strain relaxation in InGaAs/GaAs quantum wells grown on GaAs (111)A substrates

We have grown In_0.2Ga_0.8As strained quantum wells (SQWs) on GaAs (111)A just and off-angled substrates by molecular beam epitaxy (MBE). The photoluminescence (PL) peak energy of SQWs grown on (111)A related substrates shows a large redshift as compared with the calculated values. The red-shift observed in SQWs grown on a (111)A 5° off toward [001] substrate can be explained by the presence of a built-in electric field E = 154 kV/cm due to piezoelectric effect. The larger red-shift observed in samples grown on the other substrates is partially due to strain relaxation. A strain relaxation mechanism that consists of coherently grown islands when InGaAs growth begins and the generation of misfit dislocations when these islands coalesce, gives a qualitative explanation of the observed results.     

Controllable cubic and hexagonal GaN growth on GaAs(0 0 1) substrates by molecular beam epitaxy

Two kinds of GaN samples were grown on GaAs(0 0 1) substrates. One is grown on nitridized GaAs surface, the other is grown on nitridized AlAs buffer GaAs substrate. X-ray diffraction and photoluminescence measurements find that the GaN sample directly grown on GaAs substrate is pure cubic phase and those grown on AlAs buffer is pure hexagonal phase. The present study shows that the phase of GaN samples grown on GaAs substrates can be controlled using different buffer layers.     

两步法溅射中缓冲层厚度对Ge薄膜质量的影响

采用低温缓冲层技术制备Ge薄膜,利用AFM和Raman光谱研究缓冲层厚度对低温Ge缓冲层残余应变弛豫的影响.实验结果显示:随着缓冲层厚度的增加,残余应变弛豫度增大.在30 nm厚的低温Ge缓冲层上生长800nm厚的Ge外延层.Ge薄膜具有良好的结晶性,表面粗糙度RMS为2.06 nm.     

Impact of amorphous Ge thin layer at the amorphous Si/Al interface on Al-induced crystallization

We investigated the impact of an amorphous Ge (a-Ge) thin layer inserted at the amorphous Si (a-Si)/Al interface on Al-induced crystallization. In situ observation of the growth process clarified that the nucleation rate is drastically reduced by insertion of a-Ge, which led to increase in the average size of crystal grains. This was interpreted as resulting from decrease in the driving force of crystallization, mainly due to the larger solubility of Ge in Al than that of Si in Al. The obtained films were SiGe alloys with lateral distribution of Ge content, and its origin is discussed based on the two-step nucleation process.     

On the nature of growth hillocks on sodium chlorate crystals

Optical examination of as-grown {100} surfaces of sodium chlorate crystals grown from aqueous solution revealed the presence of elliptical growth hillocks. The hillocks were present on both enantiomorphous forms and originated from dislocations, inclusions, and microcrystals attached to the growing surface. The value of the surface entropy factor equal to 4.55 at 313 K suggests that crystals grow via/or with the participation of dislocation mechanism, and the hillocks are dislocation growth centers. Compound mechanism controlled growth of some crystals because edge nucleation and dislocation centers operated simultaneously on the same surfaces.     

Electron microscopy analysis of dislocation behavior in HVPE-AlGaN layer grown on a stripe-patterned (0 0 0 1) sapphire substrate

Microstructures were investigated by transmission electron microscopy (TEM) and scanning electron microscopy (SEM) in order to clarify the dislocation behavior in AlGaN layers HVPE-grown on a stripe-patterned sapphire (0 0 0 1) substrate. SEM observation revealed very clearly the growth process: if AlGaN starting to grow from the side-wall of patterned substrate develops, a poly-crystalline region is formed up to the top surface of thin film. When the growth from the upper side (terrace) of patterned substrate is predominant, AlGaN becomes a single-crystalline layer with a flat surface. Threading dislocations (TDs) generated from the interface to the terrace propagate upwards, inclining to the wing regions. They are scarcely merged with one another. The AlGaN layer on the patterned substrate with a wider groove has a smaller density of dislocation to be about 1×10⁹ cm⁻². There are four types of dislocations: (1) TDs inclining toward 〈1 1¯ 0 0〉 normal to their Burgers vector B; (2) TDs inclining toward 〈2 1¯ 1¯ 0〉 on their slip-plane; (3) TDs inclining largely or horizontal dislocations (HDs) along 〈2 1¯ 1¯ 0〉 and (4) roundly curved HDs lying on (0 0 0 1) plane. Some TDs change the direction of inclination, suggesting that internal stress changed intricately during the growth.