Extrinsic Defects in Amorphous Oxides: Hydrogen, Carbon, and Nitrogen Impurities in Alumina

We present a procedure for addressing extrinsic defects in amorphous oxides, in which the most stable defect configurations are identified through ab initio molecular dynamics in various charge states and studied through hybrid functional calculations. The protocol is further complemented with an electron counting scheme based on maximally localized Wannier functions, which allows one to identify the nominal charge state and the composition of the defect core unit. Here, we apply this approach to the study of hydrogen, carbon and nitrogen impurities in amorphous alumina (alpha-Al2O3), a highly relevant material for technological applications. Hydrogen is found to be amphoteric with a thermodynamic +1/-1 charge transition level lying at similar to 4.6 eV above the valence band maximum, in qualitative agreement with results obtained with crystalline models, but at a substantially different energy level. Hydroxyl groups are further shown to lead to the same defect states as observed for hydrogen. Application of our procedure to carbon and nitrogen impurities leads to structural configurations that are found to depend on the total charge set in the simulation cell. Through the adopted electron counting rule, we assess that carbon and nitrogen impurities are only found in neutral and in singly positive charge states, respectively. This indicates that neither carbon nor nitrogen give charge transition levels in the band gap, in strong contrast with results achieved for crystalline models. In addition, the defect core units are shown to incorporate a varying number of oxygen atoms, by which their formation energy depends on the oxygen chemical potential mu O. In oxygen-poor conditions, both the carbon and the nitrogen impurities favor bonding to Al atoms, while they tend to form single or double bonds with oxygen atoms as mu(0) increases. Based on the band alignment of alpha-Al2O3 with three technologically relevant semiconductors (GaAs, GaN and alpha-Fe2O3), we discuss the possible role of point defects in degrading the performance of electronic devices and in favoring hole transport across the oxide in water-splitting setups.

Alignment of energy levels in amorphous oxides and at semiconductor-water interfaces

Zhendong Guo

We conduct a detailed investigation of defects in two representative amorphous oxides: amorphous Al2O3 (am-Al2O3) and TiO2 (am-TiO2), by combining ab initio molecular dynamics (MD) simulations and hybrid functional calculations. Our results indicate that oxygen vacancies and interstitials occur neither in am-Al2O3 nor in am-TiO2 due to structural rearrangements which assimilate the defect structure, and that the injection of extra holes can lead to the formation of O-O peroxy linkages. In am-Al2O3, hydrogen is found to be amphoteric. Based on localized Wannier functions, we identify the nominal charge state and the composition of the defect core units related to C and N impurities in am-Al2O3, which are found to depend on the total charge set in the simulation cell. Through the adopted electron counting rule, we assess that carbon and nitrogen impurities are only found in neutral and in singly positive charge states, respectively, indicating that none of them gives charge transition levels in am-Al2O3. In addition, those defect core units are shown to incorporate a varying number of oxygen atoms, by which their formation energy is dependent on the oxygen chemical potential. In addition, we propose an exchange mechanism for hole transport in am-TiO2 that relies on the simultaneous breaking and forming of O-O peroxy linkages that share one O atom. Through the use of nudged-elastic-band calculations, a hopping path as long as 1.2 nm with barriers of 0.3-0.5 eV is demonstrated, suggesting that hole diffusion through O-O peroxy linkages is viable in am-TiO2. In this work, we also determine the band alignment between various semiconductors and liquid water by combining MD simulations of atomistic interface models, electronic-structure calculations at the hybrid-functional and GW levels, and a computational standard hydrogen electrode (SHE). Our study comprises GaAs, GaP, GaN, CdS, ZnO, SnO2, rutile and anatase TiO2. For each semiconductor, we generate atomistic interface models with liquid water at the pH corresponding to the point of zero charge. The MD simulations are started from initial configurations, in which the water molecules are either molecularly (m) or dissociatively (d) adsorbed on the semiconductor surface. The calculated band offsets are found to be strongly influenced by the adsorption mode at the semiconductor-water interface, leading to differences larger than 1 eV between m and d models of the same semiconductor. We then assess the accuracy of various ab initio electronic-structure schemes in determining the band alignment. In the last part, we try to evaluate photocatalysts for water-splitting by considering the surface coverage and the energy alignment. We determine surface concentrations of water molecules, protons, and hydroxyl ions adsorbed at the semiconductor-water interfaces mentioned above as a function of pH. This is achieved through the calculation of the acidity constants at the surface sites, which are derived from ab initio MD simulations and a grand-canonical formulation of adsorbates. It is finally shown how the potential of a semiconductor material as photocatalysts for water splitting can be inferred by combining the nature of the surface coverage and the alignment of the band edges to the relevant redox levels.

EPFL2019

Electronic and Structural Properties of the Ge/GeO2 Interface through Hybrid Functionals

Jan Felix Binder

The performance of silicon based microelectronic circuits reaches the end of the roadmap. New material systems are required for further improvements in speed and power consumption. Germanium is a possible candidate to substitute silicon for microelectronic devices. Its hole mobility is the highest of all semiconductor materials. Together with its lower band gap it could be an ideal material for energy-saving devices. This thesis is dedicated to first principles studies of the Ge/GeO2 interface through hybrid density functional theory. The substoichiometric region of the interface is of special interest. A wide substoichiometric region is supported by total energy calculations of a set of crystalline model systems. An unexpected structure organization was found through molecular dynamics simulations of substoichiometric GeO. We found that a majority of germanium and oxygen atoms are threefold coordinated, forming valence alternation pairs (VAPs). A detailed energetic analysis located the VAPs in the low-oxygen region of the interface. VAPs show interesting properties : They are prone to charge trapping. The electron trapping level might explain the bad performance of n-type doped devices. Furthermore, VAPs might be at the origin of the difficulties of H passivation at the Ge/GeO2 interface. Since threefold Ge atoms are negatively charged and threefold O atoms are positively charged, VAPs give rise to dipoles. These dipoles may reduce the interface dipole created by the electronegativity difference in the Ge-3O bond. With this mechanism, we can explain the wide range of experimental valence band offsets (VBOs) with the occurrence of different density levels of VAPs at the Ge/GeO2 interface. This suggestion is further confirmed by the determination of the VBO and Ge 3d core-level shift for an atomistic model structure of the Ge/GeO2 interface. Both values are systematically lower than typical experimental values for the Ge/GeO2 interface. Taking the extra dipole into account, our calculated VBOs and XPS shifts are in excellent agreement with experimental values. These results confirm that the structural properties of the Ge/GeO2 interface deviate significantly from its Si counterpart.

EPFL2012

Hybrid-functional calculations with plane-wave basis sets: Effect of singularity correction on total energies, energy eigenvalues, and defect energy levels

Audrius Alkauskas, Peter Broqvist, Alfredo Pasquarello

When described through a plane-wave basis set, the inclusion of exact nonlocal exchange in hybrid functionals gives rise to a singularity, which slows down the convergence with the density of sampled k points in reciprocal space. In this work, we investigate to what extent the treatment of the singularity through the use of an auxiliary function is effective for k-point samplings of limited density, in comparison to analogous calculations performed with semilocal density functionals. Our analysis applies, for instance, to calculations in which the Brillouin zone is sampled at the sole Gamma point, as often occurs in the study of surfaces, interfaces, and defects or in molecular-dynamics simulations. In the adopted formulation, the treatment of the singularity results in the addition of a correction term to the total energy. The energy eigenvalue spectrum is affected by a downwards shift in the energy eigenvalues of the occupied states, while those of the unoccupied states remain unaffected. Analogous corrections also speed up the convergence of screened exchange interactions despite the absence of a proper singularity. Focusing first on neutral systems, both finite and extended, we show that the account of the singularity corrections bears convergence properties which are quantitatively similar to those observed with semilocal density functionals. We emphasize that this is not the case for uncorrected energies, particularly for elongated simulation cells for which qualitatively different trends are found. We then consider differences between total energies of systems differing by their charge state. For systems involving localized electron states, such as ionization potentials and electron affinities of molecular systems or charge transition levels of point defects, the proper account of the singularity correction yields convergence properties which are similar to those of neutral systems. In the case of extended systems, such energy differences provide an alternative way to determine the band edges, but are found to converge more slowly with simulation cells than in corresponding semilocal functionals because of the exchange self-interaction associated to the extra charge.

2009