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J. Cui, Q. He, X. M. Jiang, Y. L. Fan, X. J. Yang et al.
Citation: Appl. Phys. Lett. 83, 2907 (2003); doi: 10.1063/1.1616992
View online: http://dx.doi.org/10.1063/1.1616992
View Table of Contents: http://apl.aip.org/resource/1/APPLAB/v83/i14
Published by the American Institute of Physics.
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6 OCTOBER 2003
Q. He and X. M. Jiang
BSRF, Institute of High Energy Physics, Beijing 100039, China
0003-6951/2003/83(14)/2907/3/$20.00
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Cui et al.
the surface becomes rather smooth with rms surface roughness of 0.39 nm as show in Fig. 1f.
As mentioned earlier, the ring shaped structures have
been obtained by partially capping InAs QD grown on both
GaAs and InP substrates. In order to explain the QD to QR
transformation, two different models have been suggested.
One is based on kinetic consideration,1,4,5 namely on the difference in surface diffusion rate of indium and gallium atoms. According to this model, mobile indium atoms diffuse
from the dot outwards, leaving a void at the original dot
location. The indium atoms diffuse into the surrounding
GaAs crystal and form an immobile InGaAs QRs. The other
model is based on thermodynamic consideration.2,3 The surface free energy change due to the thin layer overgrowth
creates an outward pointing force. Similar to a dewetting
process this force brings about the InAs QD material redistribution resulting in a ring shaped structure. In an InAs/
GaAs system, both mechanisms are needed to explain the
shape transformation from QD to QR. While in an InAs/InP
system, only the latter mechanism is effective in QD to QR
shape transformation.2
However, from the fact that self-organized Ge QD formation and growth is mainly governed by strain energy relief, and the growth transition from two-dimensional to
three-dimensional, namely islanding growth, is the initial
mechanism for strain energy relief. We believe that the QD
to QR shape transformation process is also mainly dominated by the strain energy relief. The thin Si cap layer covering the islands as a continuous blanket will have a larger
strain energy. At a relative high temperature many atomic
processes such as Ge surface diffusion and Ge surface segregation are activated to bring about a large amount of mass
transportation and minimize the total strain energy, resulting
in the QD to QR shape transformation.
Now let us discuss the detailed scenario of QD to QR
transformation from the strain energy relief viewpoint. Prior
to Si cap layer deposition, the QDs are partially strained as
verified previously by x-ray diffraction.11 The strain in dots
is partially relaxed by the deformation of the Si substrate
with nearly pure Ge composition and the highest degree of
strain relaxation near the QD top. The lattice constant decreases from top to bottom along the surface of QDs. At the
top region of QDs the lattice constant is close to that in bulk
Ge. The Si adatoms on the top region of QD will feel a
higher surface chemical potential, which rises from variation
in lattice mismatch with respect to the underlying Ge QD.
The gradient in the surface chemical potential or lattice mismatch will drive the Si adatoms on the top region of QD to
diffuse to its side surface. With more Si atoms accumulating
at side surface, the Ge atoms previously located on the top
region of QD will migrate to side surface by surface diffusion to alloy with Si atoms, resulting in a decrease in the
height and a increase in the base diameter of QD as shown in
Figs. 1b and 2. This process in which Ge atoms diffuse to
side surface to alloy with Si atoms could be also thought to
be driven by strain energy relief, because the lattice at side
surface matches SiGe alloy with varied Ge composition.
With more Si atoms deposited, more Ge atoms in the top
region of previous island will diffuse away to the side surface. Meanwhile, Ge atoms in the center region of QD will
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Cui et al.
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