title: Substoichiometric Phases of Hafnium Oxide with Semiconducting Properties
Creators: name: Kaiser, Nico
Publisher: name: UNSPECIFIED
Year: 2023

description: Since the dawn of the information age, all developments that provided a significant improvement in information processing and data transmission have been considered as key technologies. The impact of ever new data processing innovations on the economy and almost all areas of our daily lives is unprecedented and a departure from this trend is unimaginable in the near future. Even though the end of Moore's Law has been predicted all too often, the steady exponential growth of computing capacity remains unaffected to this day, due to tremendous commercial pressure. While the minimum physical size of the transistor architecture is a serious constraint, the steady evolution of computing effectiveness is not limited in the predictable future. However, the focus of development will have to expand more strongly to other technological aspects of information processing. For example, the development of new computer paradigms which mark a departure from the digitally dominated van Neumann architecture will play an increasingly significant role. The category of so-called next-generation non-volatile memory technologies, based on various physical principles such as phase transformation, magnetic or ferroelectric properties or ion diffusion, could play a central role here. These memory technologies promise in part strongly pronounced multi-bit properties up to quasi-analog switching behavior. These attributes are of fundamental importance especially for new promising concepts of information processing like in-memory computing and neuromorphic processing. In addition, many next-generation non-volatile memory technologies already show advantages over conventional media such as Flash memory. For example, their application promises significantly reduced energy consumption and their write and especially read speeds are in some cases far superior to conventional technology and could therefore already contribute significant technological improvements to the existing memory hierarchy. However, these alternative concepts are currently still limited in terms of their statistical reliability, among other things. Even though phase change memory in the form of the 3D XPoint, for example, has already been commercialized, the developments have not yet been able to compete due to the enormous commercial pressure in Flash memory research. Nevertheless, the further development of alternative concepts for the next and beyond memory generations is essential and the in-depth research on next-generation non-volatile memory technologies is therefore a hot and extremely important scientific topic. This work focuses on hafnium oxide, a key material in next-generation non-volatile memory research. Hafnium oxide is very well known in the semiconductor industry, as it generated a lot of attention in the course of high-k research due to its excellent dielectric properties and established CMOS compatibility. However, since the growing interest in so-called memristive memory, research efforts have primarily focused on the value of hafnium oxide in the form of resistive random-access memory (RRAM) and, with the discovery of ferroelectricity in HfO₂, ferroelectric resistive random-access memory (FeRAM). RRAM is a next-generation non-volatile memory technology that features a simple metal-insulator-metal (MIM) structure, excellent scalability, and potential 3D integration. In particular, the aforementioned gradual to quasi-continuous switching behavior has been demonstrated on a variety of RRAM systems. A significant change of the switching properties is achievable, for example, by the choice of top and bottom electrodes, the introduction of doping elements, or by designated oxygen deficiency. In particular, the last point is based on the basic physical principle of the hafnium oxide-based RRAM mechanism, in which local oxygen ions are stimulated to diffuse by applying an electrical potential, and a so-called conducting filament is formed by the remaining vacancies, which electrically connects the two electrode sides. The process is characterized by the reversibility of the conducting filament which can be dissolved by a suitable I-V programming (e.g., reversal of the voltage direction). In the literature there are some predictions of sub-stoichiometric hafnium oxide phases, such as Hf₂O₃, HfO or Hf₆O, which could be considered as conducting filament phases, but there is a lack of conclusive experimental results. While there are studies that assign supposed structures in oxygen-deficient hafnium oxide thin films, these assignments are mostly based on references from various stoichiometric hafnium oxide high-temperature phases such as tetragonal t-HfO₂ (P4₂/nmc) or cubic c-HfO₂ (Fm-3m), or high-pressure phases such as orthorhombic o-HfO₂ (Pbca). Furthermore, the structural identification of such thin films proves to be difficult, as they are susceptible to arbitrary texturing and reflection broadening in X-ray diffraction. In addition, such thin films are usually synthesized as phase mixtures with monoclinic hafnium oxide. A further challenge in property determination is given by their usual arrangement in MIM configuration, which is determined by the quality of top and bottom electrodes and their interfaces to the active material. It is therefore a non-trivial task to draw conclusions on individual material properties such as electrical conductivity in such (e.g., oxygen-deficient) RRAM devices. To answer these open questions, this work is primarily devoted to material properties of oxygen-deficient hafnium oxide phases. Therefore, in the first comprehensive study of this work, Molecular-Beam Epitaxy (MBE) was used to synthesize hafnium oxide phases over a wide oxidation range from monoclinic to hexagonal hafnium oxide. The hafnium oxide films were deposited on c-cut sapphire to achieve effective phase selection and identification by epitaxial growth, taking into account the position of relative lattice planes. In addition, the choice of a substrate with a high band gap and optical transparency enabled the direct investigation of both optical and electrical properties by means of UV/Vis transmission spectroscopy and Hall effect measurements. With additional measurements via X-ray diffraction (XRD), X-ray reflectometry (XRR), X-ray photoelectron spectroscopy (XPS) and high-resolution transmission electron microscopy (HRTEM), the oxygen content-dependent changes in crystal as well as band structure could be correlated with electrical properties. Based on these results, a comprehensive band structure model over the entire oxidation range from insulating HfO₂ to metallic Hf was established, highlighting the discovered intermediate key structures of rhombohedral r-HfO₁.₇ and hexagonal hcp-HfO₀.₇. In the second topic of this work, the phase transition from stoichiometric monoclinic to oxygen-deficient rhombohedral hafnium oxide was complemented by DFT calculations in collaboration with the theory group of Prof. Valentí (Frankfurt am Main). A detailed comparison between experimental results and DFT calculations confirms previously assumed mechanisms for phase stabilization. In addition, the comparison shows a remarkable agreement between experimental and theoretical results on the crystal- and band stucture. The calculations allowed to predict the positions of oxygen ions in oxygen-deficient hafnium oxide as well as the associated space group. Also, the investigations provide information on the thermodynamic stability of the corresponding phases. Finally, the orbital-resolved hybridization of valence states influenced by oxygen vacancies is discussed. Another experimental study deals with the reproduction and investigation, of the aforementioned substoichiometric hafnium oxide phases in MIM configuration which is typical for RRAM devices. Special attention was given to the influence of surface oxidation effects. Here, it was found that the oxygen-deficient phases r-HfO₁.₇ and hcp-HfO₀.₇ exhibit high ohmic conductivity as expected, but stable bipolar switching behavior as a result of oxidation in air. Here, the mechanism of this behavior was discussed and the role of the r-HfO₁.₇ and hcp-HfO₀.₇ phases as novel electrode materials in hafnium oxide-based RRAM in particular. In collaboration with the electron microscopy group of Prof. Molina Luna, the studied phases, which have been characterized by rather macroscopic techniques so far, have been analyzed by wide-ranging TEM methodology. The strong oxygen deficiency in combination with the verified electrical conductivity of r-HfO₁.₇ and hcp-HfO₀.₇ shows the importance of the identification of these phases on the nanoscale. Such abilities are essential for the planned characterization of the "conducting-filament" mechanism. Here, the ability to distinguish m-HfO₂, r-HfO₁.₇, and hcp-HfO₀.₇ using high-resolution transmission electron microscopy (HRTEM), Automated Crystal Orientation and Phase Mapping (ACOM), and Electron Energy Loss Spectroscopy (EELS), is demonstrated and the necessity of combined measurements for reliable phase identification was discussed. Finally, a series of monoclinic to rhombohedral hafnium oxide was investigated in a cooperative study with FZ Jülich using scanning probe microscopy. Since recent studies in particular highlight the significance of the microstructure in stoichiometric hafnium oxide-based RRAM, the topological microstructure in the region of the phase transition to strongly oxygen deficient rhombohedral hafnium oxide was investigated. Special attention was given to the correlation of microstructure and conductivity. In particular, the influences of grain boundaries on electrical properties were discussed. In summary, this work provides comprehensive insights into the nature and properties of sub-stoichiometric hafnium oxide phases and their implications on the research of hafnium oxide-based RRAM technology. Taking into account a wide range of scientific perspectives, both, the validity of obtained results and the wide range of their application is demonstrated. Thus, this dissertation provides a detailed scientific base to the understanding of hafnium oxide-based electronics.