Towards quantitative understanding of formation and stability of Ge hut islands on Si(001)

We analyze Ge hut island formation on Si(001), using first-principles calculations of energies, stresses, and their strain dependence of Ge/Si(105) and Ge/Si(001) surfaces combined with continuum modeling. We give a quantitative assessment on strain stabilization of Ge(105) facets, estimate the critical size for hut nucleation or formation, and evaluate the magnitude of surface stress discontinuity at the island's edge and its effect on island stability.     

Growth dynamics studied by RHEED during Si/Ge epitaxy from gaseous hydrides

Si and Ge epitaxial growth from disilane and germane in a gas-source molecular beam epitaxy (GSMBE) system is followed in situ by reflection high-energy electron diffraction (RHEED) intensity oscillations. During Ge homoepitaxy, the growth rate on a Ge(100) substrate is found to be limited by surface hydrogen desorption below 350°C and by hydride adsorption above this temperature. Ge heteroepitaxy on Si results in incomplete layer growth leaving exposed Si at the surface during the initial stages of growth. Therefore, a gradual change in the observed Si surface concentration is seen as growth proceeds. Si heteroepitaxy on Ge follows the Volmer-Weber growth mode and proceeds via island formation. This, combined with Ge surface segregation, results in a slow decrease of the Ge surface population at the growth front. During heteroepitaxial growth, hydride reaction rates differ on Si and Ge surfaces, and therefore a changing concentration of the surface species is manifest as a gradual change in the observed oscillation frequency. This effect, observed during the early stages of growth, shows strong temperature dependence, consistent with previous observations on SiGe alloys. Following several layers of growth, however, the surfaces become rough. The influence of this roughness on the oscillation frequency is also discussed.     

Energetics of Si(001) surfaces exposed to electric fields and charge injection

We perform density-functional calculations on the influence of external electric fields and electrons or holes injected into surface states on the relative stability of c(4x2) and p(2x2) reconstructed Si(001) surfaces. It is shown that an electric field parallel to the [001] direction or the insertion of electrons into surface states favors the formation of p(2x2) periodicities. Our results explain recent experimental studies reporting changes of surface reconstruction of Si and Ge(001) surfaces induced by the scanning tunneling microscope and the occurrence of p(2x2) reconstructions on (001) surfaces of n-doped Si.     

Morphological and compositional evolution of the ge/si(001) surface during exposure to a si flux

By using scanning tunneling microscopy we found that the surface reconstruction of Ge/Si(001) epilayers evolves from (M x N) to (2 x N), and eventually to (2 x 1), during exposure to a Si flux. This sequence appears to be just the inverse of that observed during the growth of Ge or SiGe alloys on Si(001). However, molecular dynamics simulations supported by ab initio calculations allow us to interpret this morphological evolution in terms of Si migration through the epilayer and complex Si-Ge intermixing below the top Ge layer.     

Minute SiGe quantum dots on Si(001) by a kinetic 3D island mode

We investigated the initial growth stages of Si(x)Ge(1-x)/Si(001) by real time stress measurements and in situ scanning tunneling microscopy at deposition temperatures, where intermixing effects are still minute (< or =900 K). Whereas Ge/Si(001) is a well known Stranski-Krastanow system, the growth of SiGe alloy films switches to a 3D island mode at Si content above 20%. The obtained islands are small (a few nanometers), are uniform in shape, and exhibit a narrow size distribution, making them promising candidates for future quantum dot devices.     

X射线衍射研究表面活化剂对异质外延薄层Ge结构的影响

利用原位的反射式高能电子衍射和非原位的X射线衍射技术，研究了活化剂Sb对于Ge在Si上外延过程的影响．当没有活化剂、Ge层厚度为6nm时，外延Ge层形成岛状，应力完全释放．当有Sb时、Ge在Si上的生长是二维的，并且应力释放是缓慢的，即使Ge外延层厚为6nm，仍有42%的应变没有弛豫． 关键词：     

Alignment of Ge nanoislands on Si(111) by Ga-induced substrate self-patterning

A novel mechanism is described which enables the selective formation of three-dimensional Ge islands. Submonolayer adsorption of Ga on Si(111) at high temperature leads to a self-organized two-dimensional pattern formation by separation of the 7 x 7 substrate and Ga/Si(111)-(square root[3] x square root[3])-R30 degrees domains. The latter evolve at step edges and domain boundaries of the initial substrate reconstruction. Subsequent Ge deposition results in the growth of 3D islands which are aligned at the boundaries between bare and Ga-covered domains. This result is explained in terms of preferential nucleation conditions due to a modulation of the surface chemical potential.     

Self-assembled growth of nanostructural Ge islands on bromine-passivated Si(111) surfaces at room temperature

We have deposited relatively thick (∼60 nm) Ge layers on Br-passivated Si(111) substrates by thermal evaporation under high vacuum conditions at room temperature. Ge has grown in a layer-plus-island mode although it is different from the Stranski-Krastanov growth mode observed in epitaxial growth. Both the islands and the layer are nanocrystalline. This appears to be a consequence of reduction of surface free energy of the Si(111) substrate by Br-passivation. The size distribution of the Ge nanoislands has been determined. The Br-Si(111) substrates were prepared by a liquid treatment, which may not produce exactly reproducible surfaces. Nevertheless, some basic features of the nanostructural island growth are reasonably reproducible, while there are variations in the details of the island size distribution.     

Critical role of surface steps in the alloying of Ge on Si(001)

Using low-energy electron microscopy, we show that intermixing of Ge on Si(001) during growth is enhanced on stepped surfaces and is hindered on terraces where step flow does not occur. On large terraces we have identified a dramatic and unanticipated structural rearrangement that facilitates intermixing: Pairs of steps spontaneously form and migrate over the surface, leaving alloyed regions in their wake. The driving force for step formation is the entropy gain associated with the enhanced intermixing of Ge.     

Structural phase transition on Si(001) and Ge(001) surfaces

Among a variety of solid surfaces, Si(001) and Ge(001) have been most extensively studied. Although they seem to be rather simple systems, there have been many conflicting arguments about the atomic structure on these surfaces. We first present experimental evidence indicating that the buckled dimer is the basic building block and that the structural phase transition between the low-temperature c(4x2) structure and the high-temperature (2x1) structure is of the order-disorder type. We then review recent theoretical work on this phase transition. The real system is mapped onto a model Ising-spin system and the interaction parameters are derived from total-energy calculations for different arrangements of buckled dimers. The calculated critical temperature agrees reasonably well with the experimental one. It is pointed out that the nature of the phase transition is crucially affected by a small amount of defects on the real surfaces.     

Kinetic step bunching instability during surface growth

We study the step bunching kinetic instability in a growing crystal surface characterized by anisotropic diffusion. The instability is due to the interplay between the elastic interactions and the alternation of step parameters. This instability is predicted to occur on a vicinal semiconductor surface Si(001) or Ge(001) during epitaxial growth. The maximal growth rate of the step bunching increases like F4, where F is the deposition flux. Our results are complemented with numerical simulations which reveal a coarsening behavior in the long time evolution for the nonlinear step dynamics.     

Surface segregation of Ge at SiGe(001) by concerted exchange pathways

The segregation of Ge during growth on SiGe(001) surfaces was investigated by ab initio calculations. Four processes involving adatoms rather than ad-dimers were considered. The two most efficient channels proceed by the concerted exchange mechanism and involve a swap between an incorporated Ge and a Si adatom, or between Si and Ge in the first and the second surface layers, respectively. The calculated activation energies of approximately 1.5 eV explain well the high-temperature experimental data. Segregation mechanisms involving step edges are much less efficient.     

Arsenic flux dependence of island nucleation on InAs(001)

The initial stages of InAs(001) homoepitaxial growth are investigated using a combination of kinetic Monte Carlo simulations based on ab initio density functional theory and scanning tunneling microscopy. In the two dimensional island nucleation mode investigated, the island number density is found to decrease with increasing As. This behavior is explained by a suppression of the effective In-adatom density leading to a reduction in island nucleation. The relevant microscopic processes responsible for this reduction are identified.     

Investigation of anisotropic effects in vapor epitaxy of indium arsenide. I. Anistropy of growth rate and surface microrelief

Kinetic (growth rate), optical, and electron-microscopic (surface relief) studies were made of the process of formation of homoepitaxial films of InAs in a chloride gas-transport system. It was found that the (111)A and B surfaces of indium arsenide and their vicinals grew by the step-layer mechanism, whereas the (001) surfaces and those inclined from them grew by the normal growth mechanism. Two types of defect were observed on the growth surface of homoepitaxial InAs films: a) defects nucleated on the substrate; b) humps formed on the surface during the final stage of the process.Translated from Izvestiya Vysshikh Uchebnykh Zavedenii, Fizika, No. 9, pp. 71–75, September, 1980.     

Initial surface roughening in Ge/Si(001) heteroepitaxy driven by step-vacancy line interaction

The initial surface roughening during Ge epitaxy on Si(001) is shown to arise from an effective repulsion between S(A) surface steps and dimer vacancy lines (VLs). This step-VL interaction gradually inactivates a substantial fraction of adatom attachment sites at the growth front, causing a rapid increase in the rate of two-dimensional island nucleation. The mutual repulsion hinders the crossing of S(A) surface steps over VLs in the second layer, thus organizing the developing surface roughness into a periodic array of anisotropic 2D terraces. Isolated (105) facets forming at specific sites on this ordered template mediate the assembly of first 3D Ge islands.     

D(A) steps and 2D islands of double layer height in the SiGe(001) system

The surfaces of step graded, partially relaxed Si(1-x)Ge(x)/Si(001) buffers were studied by scanning tunneling microscopy. The surface slips along <110> forming the crosshatch pattern, consisting of bunches of D(A) steps of double layer height. The D(A) steps are present in regions of large surface gradients close to the slips, as well as in planar regions between the slips. These regions are also characterized by the appearance of 2D islands of double layer height. The observations can be explained by assuming the strain due to the misfit dislocations to be locally anisotropic. Anisotropic misfit strain and efficient strain relaxation by the ( 2x8) Ge reconstruction were identified as the main factors causing the unusual step structure.     

Nanowires and nanorings at the atomic level

The step-flow growth mode is used to fabricate Si and Ge nanowires with a width of 3.5 nm and a thickness of one atomic layer (0.3 nm) by self-assembly. Alternating deposition of Ge and Si results in the formation of a nanowire superlattice covering the whole surface. One atomic layer of Bi terminating the surface is used to distinguish between the elements Si and Ge. A difference in apparent height is measured in scanning tunneling microscopy images for Si and Ge. Also, different kinds of two-dimensional Si/Ge nanostructures like alternating Si and Ge nanorings having a width of 5-10 nm were grown.     

Molecular beam epitaxy and reconstructed surfaces

In the last years molecular beam epitaxy (MBE) has become a very important method to create new materials. Scattering and channeling of high-energy ions is a mass-dispersive, surface-sensitive crystallographic technique, particularly suited for the investigation of epitaxial systems. The combination of both techniques allows new insight into some of the fundamental processes at interfaces and surfaces. As an example we discuss the influence of substrate reconstruction on epitaxial growth. We show for the Si/Ge and Si/Si systems that the reordering of the reconstruction-induced displacements at the substrate surface, a necessary condition for epitaxial growth, is critically dependent on the type of reconstruction: Deposition of Ge or Si on Si(100)2×1 at room-temperature relieves the reconstruction, whereas Si(111)7×7 appears unaffected. This difference is discussed in terms of structural models for these surfaces. We shall also discuss the implications of these results with respect to MBE and, in particular, to Si homoepitaxial temperatures.     

Orientation dependence of strained-Ge surface energies near (001): role of dimer-vacancy lines and their interactions with steps

Recent experiments and calculations have highlighted the important role of surface-energy (gamma) anisotropy in governing island formation in the Ge/Si(001) system. To further elucidate the factors determining this anisotropy, we perform atomistic and continuum calculations of the orientation dependence of gamma for strained-Ge surfaces near (001), accounting for the presence of dimer-vacancy lines (DVLs). The net effect of DVLs is found to be a substantial reduction in the magnitude of the slope of gamma vs orientation angle, relative to the highly negative value derived for non-DVL, dimer-reconstructed, strained-Ge(001) surfaces. The present results thus point to an important role of DVLs in stabilizing the (001) surface orientation of a strained-Ge wetting layer.     

Probing the lateral composition profile of self-assembled islands

We apply a selective etching procedure to probe the lateral composition profile of self-assembled SiGe pyramids on a Si(001) substrate surface. We find that the pyramids consist of highly Si intermixed corners, whereas the edges, the apex, and the center of the pyramids remain Ge rich. Our results cannot be explained by existing growth models that minimize strain energy. We use a model that includes surface interdiffusion during island growth, underlining the paramount importance of surface processes during the formation of self-assembled quantum dot heterostructures in many different material systems.