PL Spectra and Structure of Porous Si

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    Semicond. Sci. Technol. 11 (1996) 18151820. Printed in the UK

    Correlation of photoluminescence

    spectra and structure of porous

    silicon

    B Bessas, H Ezzaouia, H Elhouichet, M Oueslati andR Bennaceur

    Institut National de Recherche Scientifique et Technique, USI, Laboratoire dePhotovoltaque et des Materiaux Semiconducteurs, BP 95, 2050 Hammam-Lif,Tunisia Laboratoire de Spectroscopie Raman, Departement de Physique, Faculte desSciences de Tunis, 1006 Le Belvedere, Tunis, Tunisia Laboratoire de Physique de la Matiere Condensee, Department de Physique,Faculte des Sciences de Tunis, 1006 Le Belvedere, Tunis, Tunisia

    Received 23 April 1996, accepted for publication 5 August 1996

    Abstract. Porous silicon (PS) layers emitting red photoluminescence (PL) have

    been prepared by anodization of p-type (100) monocrystalline silicon substrate inaqueous HF solutions. PS layers oxidized in free air exhibit under UVphotoirradiation an intense yellow-orange PL, whilst as-prepared samples emit redPL. Our aim is to explain the PL behaviour and its origin in both unetched and HFetched as-prepared and oxidized PS layers according to calculated PL based onquantum confinement formalism and to infrared spectroscopy (IRS). It was foundthat the PL behaviour is associated with a quantum size effect and concentrationchange in quantum dots and wires. It was observed that HF etching of oxidized PSmay induce a preponderance of dots or wires in the PS structure, depending on theoxidation degree, and produce a PL blueshift or redshift respectively. By correlatingPL spectra of unetched and HF-etched oxidized PS, we found that highly oxidizedPS transforms into an SiO2 matrix in which photoluminescent nanocrystalline Siquantum dots are embedded.

    1. Introduction

    Recently, significant attention has been focused on porous

    silicon (PS) owing to its visible photoluminescence (PL)

    at room temperature [1]. The first visible PL in porous

    silicon was obtained by Pickering et al [2], but it was not

    until 1990 that Canham pointed out the importance of this

    surprising phenomenon [1].

    The mechanism of PL in PS remains unclear, and as

    yet there has been no universal agreement on its origin.

    PS is formed by electrochemical etching of single-crystal

    silicon in hydrofluoric acid (HF), and it was found to

    be composed of silicon nanocrystallites [3] covered by

    hydrides or polysilanes [4, 5], amorphous silicon and silicondioxide [6]. Thus, the disagreement about the origin of the

    PL may be due to the structure and the composition of

    PS, which are difficult to control and thus difficult to know

    with certainty. However, the quantum size effect in silicon

    nanocrystallites [1, 7] is the hypothesis most often used to

    explain such PL from an indirect-bandgap semiconductor.

    HF chemical etching has been widely used [1, 4, 8] to

    determine the effect of the different structures existing in

    PS on its emission properties. Indeed, concentrated HF

    attacks bulk 111 n-type Si at a rate of 18 A h1 [9]

    and easily removes amorphous hydrogenated silicon at a

    relatively high rate ( 100 A h1 for unannealed films and40 A h1 for partially annealed films [10]). Furthermore,silicon oxides are easily removed by HF etching.

    Several experiments using different oxidation meth-

    ods [8, 11] have been used to passivate the highly reactive

    PS surface and to determine the origin of the PL. Both HF

    etching and oxidation produce a structural change in PS,

    inducing a PL blueshift [11] or redshift [4], and this raised

    many controversies regarding the PL origins. In this paper

    we try to clear up these controversies. We report results

    concerning the effect of HF etching and natural oxidation

    assisted by UV photoirradiation on the PL behaviour and

    structure of PS. The PL behaviour is correlated with the

    PS structure, based on calculation of PL spectra and on

    infrared spectroscopy (IRS).

    2. Experiment

    The PS layers are obtained by anodization in aqueous

    HF solution of (100)-oriented, boron-doped p-type silicon

    substrates of resistivity 11.5 cm. The samples have

    a polished mirror-like surface. Screen-printed Al/Ag thick

    0268-1242/96/121815+06$19.50 c 1996 IOP Publishing Ltd 1815

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    B Bessas et al

    film or eutectic GaIn were used as the contact on the back

    side of the Si wafers to ensure uniform current distribution.

    In order to control the experimental conditions, and hence

    the porosity of the PS layers, we used the diagram given by

    Zhang et al [12] which depicts the critical current densities

    as a function of HF concentration. The PS samples were

    anodized in the dark in 3% HF solution (prepared from

    49% HF and deionized water) at a constant current density

    of 5 mA cm2 for a period of 20 min; the resultant porosity

    (the ratio of pore volume to the total volume in the anodizedSi region) of the PS layer, determined by the gravimetric

    method [13], is about 80%. As-prepared PS layers of 80%

    porosity present a yellow-gold colour. After anodization,

    the PS layers were rinsed with deionized water, dried

    under nitrogen flux and stored in a dry, quite dark box,

    in order to preserve their characteristics and to avoid PL

    degradation [14]. Oxidized PS layers were obtained by

    performing an experimental cycle consisting of exposing

    PS to UV irradiation (light from a 30 W deuterium lamp

    focused on 1 cm2) for 5 min a day and to normal aging in

    free air and ambient light.

    The PL spectra were monitored using a set-up

    consisting of the 514.5 nm line of the Ar ion laser,a series of lenses, a triple-grating spectrometer and a

    photomultiplier. As-prepared PS samples to be studied

    must be stored in an inert ambient (such as N2) prior to

    exposure to light, in order to avoid PL evolution in the

    presence of O2 [15]. In order to study the evolution of the

    terminal chemical bonds in the PS layer and their effects

    on the PL, IRS measurements were performed on a Perkin-

    Elmer spectrophotometer.

    3. Theoretical approach

    To calculate the PL lineshape, we assume that PS is formed

    by Si crystallites in the form of quantum dots and wires.Also, we assume that both dots and wires have a Gaussian

    distribution of diameter d centred around a mean d0. The

    Gaussian distribution is given as

    Gd =1

    2exp

    (d d0)

    2

    22

    (1)

    where is the root mean square value.

    We use the same calculations and assumptions as those

    made by John and Singh [16], but vary both dot and wire

    diameter and take a dependence of d1.39 for the energygap versus the crystallite diameter d [17] (deduced from the

    LCAO method) rather than a d2 dependence [16] (deduced

    from effective mass theory). The total PL emitted fromxw wires and xd dots (xw and xd being the concentration

    of wires and dots respectively in the PS layer) is It =Iw + Id, where Iw and Id represent the PL spectra ofwires and dots respectively. The PL energy is given by

    h = Eg Eb + E, where Eg is the bulk silicon gap,Eb the exciton binding energy and E the confinement

    energy of electrons in quantum dots or wires. Since Egranges from 1.14 to 1.17 eV, depending on the temperature

    and the exciton binding energy Eb 0.15 eV [16], one maytake EgEb = 1 eV. Thus the PL energy is h = E+1.

    By introducing a d1.39 dependence of the confinementenergy, E = cd/w/d1.39 where cw and cd are appropriatelydimensioned constants. The contributions of wires and dots

    to the PL lineshape are

    Iw = kwxwE3.16

    exp1

    2

    d0w

    w

    2 c0.72w

    d0wE0.72 1

    2(2)

    Id=

    kdxdE3.88

    exp1

    2

    d0d

    d

    2 c0.72dd0d

    E0.72 12

    (3)

    kw and kd being suitable normalization constants.

    4. Results and discussion

    4.1. Effect of HF etching on the PL and structure of

    as-prepared PS

    Figure 1 shows experimental and calculated PL spectra

    of unetched and HF-etched as-prepared PS at room

    temperature. The effect of HF etching on as-prepared

    PS is well illustrated: when an as-prepared PS layerundergoes etching in a 30% HF solution, for 60 min, its PL

    peak increases in intensity and blueshifts from 1.78 eV to

    1.94 eV. Calculated PL spectra were obtained by computing

    equations (2) and (3) with the optimized parameters shown

    in table 1. One can notice that there is a good agreement

    between theoretical and experimental curves. It seems

    that we have obtained better agreement than John and

    Singh [16], who used a d2 dependence of the energygap versus the crystallite diameter. On the other hand,

    for as-prepared PS, our calculation has given dot and wire

    concentrations of 70% and 30% respectively and a dot mean

    diameter slightly larger than that for wires (cf table 1).

    For as-prepared PS made by Cullis and Canham [3] theconcentration of dots and wires (calculation made by John

    and Singh [16]) is about 10% and 90% respectively. These

    Figure 1. Room-temperature photoluminescence spectraof as-prepared PS of 80% porosity: (a) unetched PS,(b) etched in a 30% HF solution. Broken curves aretheoretically calculated PL spectra.

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    Correlation of photoluminescence and structure of PS

    Table 1. Optimized fitting parameters giving the theoreticalcurves shown in figure 1.

    xd xw d0d d0w d w(%) (%) (nm) (nm) (nm) (nm)

    As-prepared 70 30 3.3 2.83 0.35 0.3As-prepared 85 15 2.96 2.5 0.305 0.26

    +60 min HF

    contradictory results are probably due to the difference in

    the substrate resistivity and the preparation conditions.

    Transmission electron microscopy (TEM) analysis

    [18, 19] shows that as-prepared PS of 80% porosity(obtained from p-type silicon) has a microporous structure

    with a pore size almost identical to crystallite size; the latter

    is about 3 nm and is in good agreement with our results(table 1). On the other hand, due to agressive anodization

    (i.e. high porosity), TEM analysis [18, 19] revealed many

    wire sections undulating in width [18] or detached [19],

    leading to the formation of interconnected dots or free dots

    respectively embedded in an amorphous phase. Thus, from

    a simple undulating wire may originate many dots having aslightly larger mean diameter than that of the original wire.

    Indeed, the dot mean diameter corresponds approximately

    to the maximum diameter of the original undulating wire,

    which is greater than the wire mean diameter. According

    to root mean square values (table 1), it is evident that some

    of the wires may have a larger diameter than some of the

    dots. Therefore, according to TEM analysis [18,19], the

    assumption that dots originate from many undulating wire

    sections could explain the preponderance of quantum dots

    in PS of 80% porosity (obtained from anodization of p-type

    silicon of 11.5 cm resistivity).

    HF etching has changed the concentration of dots and

    wires from 70% to 85% and from 30% to 15% respectively

    (cf table 1), probably by amplifying undulation in partiallyundulating wire sections. This may explain, in part, the

    observed PL blueshift, but the size reduction in both dots

    and wires may make a large contribution to this behaviour.

    Hence, by taking just the PL calculation into account, the

    PL blueshift depicted in figure 1 is due to an enlargement

    of pores by chemical dissolution, hence to quantum sized

    crystallites as described by Canham [1], and to a non-

    negligible change in the population of crystallites that

    luminesce (cf table 1). Although HF attacks bulk Si and

    removes all amorphous phases, as previously described,

    in PS it leaves a hydrogen-passivated Si skeleton. It is

    therefore important to quantitatively evaluate the variation

    of hydrogen content produced by HF etching in thePS layer, and to see whether it influences the emission

    properties of PS. Figure 2, curves (2-a) and (2-b), shows

    IR spectra of as-prepared and HF-etched PS, corresponding

    to the PL spectra of figure 1. It was found that in both

    cases the surface of the Si crystallites is surrounded by

    SiHx bonds, exhibiting different vibrational modes [20].

    It is important to note the existence of SiO bonds, even

    after 60 min of HF etching, proof that PS instantaneously

    becomes oxidized when it comes into contact with air. It

    should be noted that all SiO bonds originate from the PS

    structure, since IRS of the underlying Si substrate does not

    exhibit any SiO peak (figure 2 curve (2-c)).

    One can notice that SiHx bonds slightly decrease after

    HF etching, except for SiH bonds corresponding to the

    wagging mode at 661 cm1, and HF-etched PS has nogreater hydrogen content than as-prepared PS. This result

    is contrary to what has been reported elsewhere [4, 21].

    By correlating PL and IR spectra (figures 1 and 2), we

    can deduce that the SiHx bonds and their content have

    no influence on the observed PL blueshift. This is indisagreement with some authors [4, 21] who have argued

    that SiHx bonds may play a more important role than

    mere passivation. Just the variation in the intensity of

    the wagging mode is not sufficient to explain such a PL

    blueshift from 1.78 eV to 1.94 eV. The slight variation

    of hydrogen content in HF-etched PS may be explained

    by a new distribution of the SiHx bonds on smaller

    crystallites. According to PL calculation, HF etching

    has simply modified the size and the population of the

    crystallites that luminesce, leading to a PL blueshift.

    4.2. Effect of aging assisted by UV photoirradiation on

    the PL and structure of PS

    UV photoirradiation was performed to accelerate the

    oxidation mechanism and to replace unstable SiHx bonds

    by stable SiO bonds [22]. The UV photoirradiation

    treatment begins 10 min after PS preparation, the IR

    spectrum for which is shown in figure 2 curve (2-a).

    From the first moments of UV irradiation, in ambient

    air, we observe (qualitatively with the naked eye) a

    relatively important reduction in the PL intensity. The

    photodegradation can occur even on a time-scale of

    milliseconds [23]. This could be related to photoinduced

    structural changes such as hydrogen photodesorption from

    the Si crystallites. However, after rapid photodegradation in

    the initial stage of the photoirradiation, a photoenhancementeffect was observed. Thus, the photocreated Si dangling

    bonds are being made passive by photo-oxidation [24].

    Curve b in figure 3 shows that after 5 min of UV

    photoirradiation, the PL peak of as-prepared PS has

    blueshifted and increased in intensity. Curves c, d, e

    in figure 3 depict the variation of the PL spectrum of

    PS for different oxidation times. Under such oxidation

    conditions, the PL peak blueshifts day after day (figure 3),

    but its intensity seems to be dependent on the degree of

    oxidation. Indeed, one can notice that the PL intensity

    of PS oxidized over 15 days is lower than that oxidized

    over 5 days. It should be noted that this result is not

    specific to the oxidation conditions applied, since it hasbeen observed under other oxidation conditions [25]. In

    fact, degradation appears when PS becomes oxidized (the

    spectra are measured when the intensity stabilizes). The

    origin of this degradation is detailed elsewhere [26].

    Calculated PL spectra show that during oxidation the

    concentration of dots increases and that of wires decreases

    (cf table 2). This is accompanied by a reduction in the mean

    diameter of both dot and wire crystallites. It is well known

    that oxidation produces a thinning of the Si crystallites;

    this thinning occurs day after day and should be the main

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    Figure 2. Infrared absorbance spectra of: (2-a) freshly prepared PS layer of 80% porosity, (2-b) as-prepared PS of 80%porosity etched during 60 min in a 30% HF solution, (2-c) silicon substrate.

    Figure 3. Evolution of room-temperaturephotoluminescence of PS versus post-anodizationtreatment: (a) as-prepared PS, (b) as-prepared + 5 min UV,(c) oxidized over 3 days at room temperature + 5 minUV/day, (d) oxidized over 5 days at roomtemperature + 5 min UV/day, (e) oxidized over 15 days atroom temperature + 5 min UV/day. Broken curves aretheoretically calculated PL spectra.

    factor responsible for the PL blueshift. On the other hand,

    apart from the fact that thinning affects both dot and wire

    diameter, it would also transform, via oxide growth, manyundulating wire sections into oxide-covered interconnected

    dots and/or free dots embedded in the oxide. In assuming

    that the thinning rate, throughout oxide growth, is the same

    for dots and wires, the dot mean diameter should remain

    slightly greater than that of wire, in oxidized PS (cf table 2).

    The PS samples oxidized for 5 and 15 days have been

    submitted to 1 min of HF etching. A PL blueshift was

    observed for the 5-day oxidized PS and a redshift for the

    15-day oxidized PS (figure 4). The decrease of the PL

    intensity in HF-etched oxidized PS (figure 5) is due to SiO2

    Figure 4. Room-temperature photoluminescence spectraof oxidized PS, before (a and b) and after (c and d) 1 minetching in a 30% HF solution: (a) oxidized over 5 days atroom temperature + 5 min UV/day, (b) oxidized over 15days at room temperature + 5 min UV/day, (c) = (a) + 1 minof HF etching, (d) = (b) + 1 min of HF etching. Brokencurves are theoretically calculated PL spectra.

    dissolution and consequently to the removal of many of the

    Si crystallites embedded in the oxide. Also, an important

    degradation phenomenon has been observed in oxidized

    PS [26], before stabilization and measurement of the PLspectra. In both cases, the concentration of dots decreased

    and that of wires increased (see table 2).

    The decrease in the concentration of dots, obtained after

    HF etching of 5-day oxidized PS, is probably due to the

    fact that many dots have been trapped in the growing oxide

    and then removed. This may also contribute to the large

    downshift of the PL intensity (figure 4). Thus, the PL

    blueshift produced in 5-day oxidized PS, after such HF

    treatment, is due to the large reduction in diameter of both

    dots and wires (see table 2).

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    Correlation of photoluminescence and structure of PS

    Table 2. Optimized fitting parameters giving the theoretical curves shown in figures 3, 4 and 6.

    Oxidation time xd xw d0d d0w d wand treatment (%) (%) (nm) (nm) (nm) (nm)

    3 days 76.5 23.5 3.15 2.7 0.36 0.285 days 83 17 3.10 2.62 0.35 0.3115 days 91 9 2.75 2.39 0.3 0.1565 days + 1 min HF 69 31 2.74 2.26 0.25 0.2715 days + 1 min HF 0 100 2.2 0.4

    Figure 5. Infrared absorbance spectra of 15-day oxidized PS: (a) unetched, (b) etched for 1 min in a 30% HF solution.

    PL calculation (see table 2) shows that for 15-day

    oxidized PS, HF etching has removed all Si quantum

    dots leaving only 100% wires, evidently linked to the

    underlying Si substrate. At first sight this means that

    at this oxidation stage all dots are trapped in the oxide.Indeed, IRS shows that in 15-day oxidized PS (figure 5,

    curve (5-a)) all Si crystallites are surrounded by SiO

    bonds. Nevertheless, SiH bonds in Si3SiH having a

    bending mode at 624 cm1 [20] persist. The persistence ofthese bonds is not surprising, since it has been reported that

    considerable numbers of H atoms still remain in oxidized

    PS, even after thermal oxidation at high temperature [27].

    Figure 5, curve (5-b), shows IRS of 15-day oxidized PS

    after 1 min of HF etching. The presence of the bending

    mode at 624 cm1, before and after HF treatment, suggeststhat the corresponding SiH bonds could be related to the

    surface of the underlying Si substrate. The non-existence

    of any SiO peak or SiHx peak proves that all dots areremoved and that the existing luminescing wires linked

    to the underlying Si substrate are scarce. This confirms

    our calculation result, where only 9% of wire crystallites

    exist in 15-day oxidized PS (table 2). The number of wire

    crystallites is best conserved after HF etching. Regarding

    the PL behaviour of 15-day oxidized PS, after HF etching

    (figure 4), we are in the presence of two competing

    phenomena, a thinning effect (table 2) and a quasicomplete

    presence of quantum wires which would induce a blueshift

    and a redshift respectively. Indeed, the PL contributions of

    Figure 6. Theoretically calculated PL contributions of dots(dotted curves) and wires (broken lines) to the total (fullcurves) in 5-day (a) and 15-day (b) oxidized PS.

    dots and wires in the total PL spectrum, depicted in figure

    6, show that the disappearance of quantum dots induces a

    redshift, since the PL contribution of quantum dots is more

    energetic than that of wires (figure 6).

    The oxide dissolution mostly results in a large PL

    redshift [11], suggesting that the observed PL blueshift

    during oxidation does not result from a thinning effect of

    the Si crystallites. In fact, the result of oxide dissolution

    depends on the conditions of preparation of PS and on the

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    oxidation methods. For oxidized PS, John and Singh [16]

    have estimated the concentration of dots and wires to

    be 15% and 85% respectively (experimental data taken

    from Vial et al [28]); these values are reversed in our

    5-day oxidized PS (table 2). When quantum wires are

    preponderant, oxide dissolution may easily remove many

    of the trapped minority dots, inducing a redshift; this is the

    case in the experiments of Muller et al [11] and Vial et al

    [28].

    One may remark that 30% HF solution attacks oxidizedPS at a relatively high rate of about 3.5 A min1 (seetable 2). This rate is excessively high compared with that

    reported for monocrystalline silicon [9]. In fact, when Si

    quantum dots and wires are oxidized, an amorphous silicon

    phase is found at the interface between the Si crystallite core

    and the oxide [5, 29]. The dissolution rate of amorphous

    silicon is rather high [10], so it should make a large

    contribution to the rate of HF attack on oxidized PS, and

    hence on the important reduction in the diameter of dots

    and wires. As we have no data concerning the HF attack

    rate in PS, it appears that the amorphous phase existing

    at the SiO2/Si interface would be responsible for a such

    reduction in the diameter of dots and wires.Since the SiO2 growing layer is accompanied by an

    expansion of about 56% [30], and referring to table 2 and

    figure 5, we can affirm that highly oxidized PS transforms

    into an SiO2 matrix in which photoluminesent Si quantum

    dots are embedded.

    Techniques other than PS preparation [31] have been

    used to obtain a luminescing SiO2 matrix in which Si

    crystallites are implanted. A similarity in the emission

    properties has been pointed out: it has been shown that

    the PL energy depends on crystallite size, which in our

    case depends on SiO2 growth.

    Passivation and thinning of the Si crystallites are

    the main responsibilities of SiO2

    , although in other

    works [28, 32] the existence of possible luminescing centres

    at the SiO2/Si interface has been reported.

    5. Conclusion

    The effect of HF etching on the PL behaviour of as-

    prepared and oxidized PS has been studied. The change

    in the emission properties has been explained based on

    confinement in Si quantum dots and wires and on infrared

    spectroscopy. In as-prepared PS, HF etching produces a PL

    blueshift, due to a change in concentration and reduction

    in size of dot and wire Si crystallites. It was found

    that in as-prepared PS, HF etching does not produce anyincrease in hydrogen content, as has always been reported,

    but it simply modifies the size and the population of the

    crystallites that luminesce. In oxidized PS, it has been

    shown that oxidation induces a PL blueshift which becomes

    all the more important as SiO2 grows; HF etching may

    produce a PL blueshift or redshift depending on the degree

    of oxidation and consequently on the evolution of dot and

    wire concentration. Highly oxidized PS transforms into

    an SiO2 matrix in which luminescing Si quantum dots of

    reduced size are confined.

    Acknowledgment

    This work is supported by the Secretariat dEtat a la

    Recherche Scientifique et a la Technologie (PNM 92).

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