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ABSTRACT
Typical characteristics of BaTiO3 thin films, such as hysterisis behavior, spontaneous polarization below the
Curie temperature, faster switching speed etc., are particularly of much attention for high capacitance integrated
elements, dynamic random access memories (DRAMs), phase conjugation, holographic optical data storage, two-beam
coupling and optical computing. Several techniques have been employed for the fabrication process of s uch ferroelectric
thin films. Among other methods, Sol-Gel and MOD prove to be a powerful and inexpensive means to deposit thin
films. The main advantages of these deposition techniques are good homogeneity, ability to precisely control the
stoichiometry of the film, lower temperature processing, and the ability to produce high-purity materials for electronics
and optics without much investment in equipment. We report the structural characterization of BaTiO3 films deposited
on single crystal Si (100) and MgO (100) substrates by sol-gel process. The films were prepared by the sol-gel process
and annealed at different temperatures. In this method the sol-gel polymerization is initiated by adding water to a
solution of alkoxide in methanol. The chemical conditions are generally chosen in such a way that nearly complete
hydrolysis occurs. A series of experiments ranging from X-ray photoelectron spectroscopy (XPS), X-ray diffraction
(XRD), were conducted on the spin-coated films and their correspondingly annealed films at different temperatures.
Keywords: BaTiO3, thin films, sol-gel, optical materials, ferroelectric films, deposition methods.
INTRODUCTION
Thin film materials have generated considerable interest for integrated optics among the international R&D
community, and it is a major challenge to fabricate low-loss and low-cost thin film for optical devices. Enormous
increase in the interests towards thin film materials is due to the requirement of high dielectric constant materials for
bypass capacitors in VLSI technology and materials for random access memories. Because of the broad range of physical
properties like hysterisis behavior, faster switching speed, spontaneous polarization below the Curie temperature, which
are of great technological value, such materials continue to draw great attention from the applications as well as academic
points of view.1-3 Other applications include second harmonic generation; gain devices, high-speed modulators etc. It is
noteworthy that thin film devices offer physical characteristics superior to those fabricated in bulk. Large refractive index
variations between the film and the substrate results in waveguides with high confinements, which are prominently useful
for low voltage fast electro-optic switching.4 Also, thin film geometry offers less difficulty in making large effective
index changes along the length of the waveguide, and the guide can be used as photonic band gap geometries or Bragg
reflectors.5
Among others, barium titanate is considered as an attractive advanced material, and BaTiO3 thin films have
received great interest in application of thin-film capacitors, sensors (detectors and transducers),6 non-volatile memory
devices, electro-optic devices etc. BaTiO3 is a potential thin film integrated optic host, which exhibits high electro-optic
effect. Considerable research has focused on single crystal and ceramic BaTiO3; however, thin films have also found
many applications.7-9 Various techniques are generally employed for the fabrication of such thin films viz. hydrothermal
method, electro-chemical reduction, molecular beam epitaxy, sputtering, metalorganic deposition, chemical vapor
deposition, sol-gel process etc.10-17 Among these, the sol-gel process have undoubtedly several advantages like easy to
use, better homogeneity of the crystal composition, and above all, low processing cost as compared to the other
methods.17-23 These processes require precursors to be in liquid form, which can be deposited onto substrates by spray
Sol-Gel Optics VI, Edward J. A. Pope, Helmut K. Schmidt, Bruce S. Dunn, Shuichi Shibata, Editors, Proceedings of SPIE Vol. 4804 9
(2002) © 2002 SPIE · 0277-786X/02/$15.00
Investigators have put efforts to achieve oriented epitaxial thin films of BaTiO3 because they appear to have far
superior physical properties compared to non-oriented polycrystalline solids. BaTiO3 films have been grown on oxide
single crystal substrates such as MgO, SrTiO3 and LaAlO3.16,19,20 But it is rather challenging to fabricate such films on Si
substrates because the oxide substrates are incompatible with the current semiconductor technology.17,20 In addition,
oxide substrates are far more expensive than silicon wafers. Moreover, reverse interdiffusion between the film and the
substrates tends to inhibit the growth of oriented BaTiO3 thin films on silicon substrates, not in oxide substrates. Lattice
parameter of oxide substrates (i.e. MgO = 4.2A) match better to the lattice parameters of tetragonal BaTiO3 (4.0A). In the
case of MgO, SrTiO3, etc., refractive indices are much lowers than that of BaTiO3 facilitating waveguiding in the BaTiO3
films. Because MgO does not exhibit a linear electro-optic effect, the interpretation of electro-optic measurements on the
films is straightforward.13,14,19 In general, crystallinity and orientation of barium titanate thin films greatly depend on the
preparation method, preparation conditions, and substrate materials.
The composition and structural analysis of BaTiO3 thin films grown on Si (100) and MgO (100) substrates by
the sol-gel process will be presented. Rutherford Backscattering Spectroscopy (RBS) spectrum allows us to know the
composition and the thickness, the X-Ray Diffraction (XRD) patterns help us to follow changes in the structure during
the heat treatment, and using the Scanning Electron Microscopy (SEM) we can study the morphology of our fi lms. Those
analyses allow finding and knowing the good composition and right structure of our films, in order to obtain the best
optical and electrical properties. The optical and electrical properties study of such films is beyond the scope of this
paper, and will be presented in a future communication. In general, this study of a perovskite oxide might be a suitable
material to investigate the crystallization of thin films prepared by chemical methods and, may contribute to a better
understanding of the crystallization of thin films of prepared by the sol-gel process.
EXPERIMENTAL PROCEDURE
Barium acetate [(CH3CO2)2Ba] and titanium isopropoxide [[OCH4T(CH3)2Ti]4] were used as precursors for the
preparation of the powder and BaTiO3 thin films. The flow chart for preparation of sol-gel (Ba-Ti alkoxide) and BaTiO3
thin films solution is indicated in Fig. 1. At first, the barium precursor is obtained as follows: 0.01 mol of barium acetate
(Ba [CH3COO]2: purity > 99%) was added to 14g. of acid acetic (18% concentration), the solution was stirred and
refluxed (30 min) until a very clear solution was obtained. In second, a molar equivalent (0.01mol) of titanium
isopropoxide (as titanium precursor) was added to the solution drop by drop with constant stirring.24-27 The final solution
was hydrolyzed at room temperature by adding 30 ml water17,18,21 and 0.5 ml acetyl acetone as a chelating agent (to
obtain a clear and stable sol), with stirring for 5h, and then a yellowish transparent sol solution was obtained. Barium
titanate precursor solution was stable for about 4 weeks following preparation, after BaTi2O5, Bax-1Tix-1O3, BaCO3, and
TiO2 (trace) were observed to precipitate.27 XRD analysis was used to identify the nature of precipitate.
The final sol-gel was taken to obtain BaTiO3 power and the BaTiO3 thin films. The solution was calcined at
750°C for 2 hours, in order to obtain the BaTiO3 powder. In the case of the thin films, the solution was used to coat the Si
(100) and MgO (100) substrates by spin casting at 3000 rpm for 30 sec. Different spin-coated samples (with different
layers) were then heated from room temperature to 500 °C. Once the temperature is reached, the samples were heated for
10 minutes at that temperature, and then cooled at the same rate as those that were heated. This was the stage called
pyrolysis where the formation of BaTiO3 takes place in amorphous nature. The processes from coating to pyrolysis were
repeated three and six times to obtain films with three and six deposited layers, respectively. Finally, the annealing of all
the samples with different layers was performed together at different temperatures, viz. 600 and 700 °C; the samples
were held at these temperatures for different time from 30 min. through one hour for the crystallization.
Ba (OR) +
Acid Acetic
Ti (OR`)
H2 O +
acetyl acetone
Ba-Ti
alkoxide
Spin-Coating
Deposition
Deposition
Multilayer
Pyrolysis
Annealing
BaTiO3 film
The RBS spectrum for a 6-layer BaTiO3 film on Si (100) substrate, annealed at 600 °C, is shown in Fig. 2. The
simulation (solid Line) yields a thickness of 665 nm, which implies a thickness of approximately 110 nm per layer. The
off-stoichiometric film was Ba/Ti ≈ 0.9. The Ba/Ti ratio obtained by RBS was the same as this given by the XPS
analysis,23 within the experimental uncertainty. The carbon remaining on the surface is sometimes due to the CO2 excess
in the atmosphere, which cannot be eliminated during the synthesis of BaTiO 3, or due to the BaCO 3 contaminations.28
Figure 3a shows the XRD pattern for the BaTiO3 powder obtained after calcining th e solution at 750°C during 2
hrs. Whereas figure 3b, shows the XRD pattern for a commercial BaTiO3 powder from Alfa Aesar. Both samples show
similar perovskite structure of tetragonal phase and intensity peaks, indicating the right crystallization of the BaTiO3
powder. Those peaks were compared with the ASTM reference (#05-0626) for the tetragonal BaTiO3. The increase in the
FWHM, as in figure 3a, is mainly caused by the decrease of the grain size of powder. In general, the lattice and the
dielectric constants seem to be influenced by the grain size. Sometimes, as the annealing temperature is increased peaks
in the XRD patterns became more sharp and intense, indicating better crystallinity and an increase in grain size.
Si
Ti
450
400
350
110
a ) B a T iO 3
F a b r ic a t e d
s
300
250
t
200
200
211
111
n
150
100
220
210
u
100
50 202
o
450
c
400
350
110
300 b ) B a T iO 3
c o m m e r c ia l
250
200
111
200
211
100
150
220
210
202
100
50
0
15 20 25 30 35 40 45 50 55 60 65 70 75
a n g le 2 θ
Figure 3. XRD patterns a) for a power fabricated at 750°C during 2hrs, and
b) for a commercial powder from Alfa Aesar.
As mentioned before, the annealing temperatures for heat treatment were typically chosen to be 600 °C and 700
°C. However, some results were also obtained with other temperatures, viz., 500, 650, and 750 °C, not incorporated in
this communication, but which were similar to those presented in figures 4 and 5, but with a slightly change in the
FWHM of the peaks. Those figures show the XRD patterns for three-layers film of BaTiO3 deposited on Si (100) and
MgO (100) substrates at two different annealing temperatures. In the case of figures 4a, and 4b show the XRD patterns
for three-layers deposited on Si (100) substrates annealed at 600°C and 700°C, respectively.
110
30
c o u n t s
100
111
200
220
211
20
210
10
0
250 o
b) B T O / S i 3 - l a y e r s 7 0C0
200
110
150
100
111
200
211
220
100
210
50
0
15 20 25 30 35 40 45 50 55 60 65 70
a n g le 2 θ
Figure 4. XRD patterns a) for three-layer BaTiO3 film deposited on Si substrate at 600 °C, and
b) for six-layer BaTiO3 film deposited on Si substrate at 700 °C.
Figures 5a, and 5b show the XRD patterns for three-layers film deposited on MgO (100) substrates annealed at
600°C and 700°C, respectively. From those figures 4 and 5, we can observe that the heights (i.e. the intensities) of the
peaks increase with the increase in the temperature, which emphasizes the fact that the degree of crystallization increases
with the increase in temperature. The BaTiO3/Si, and BaTiO3/MgO peaks found are almost similar to those reported in
the literature (i.e. Kim et al, and Kaiser et al).13,14,17,19,20 In general, these figures, 4 and 5, could indicate that the highly
orientated crystallization of BaTiO3 would be taking place in the perovskite structure of tetragonal phase (which has been
confirmed bye comparing with the standard results for BaTiO3), which of high importance in various ferroelectric and
optoelectronic applications. However, there is a certain random orientation in both cases, for BaTiO3/MgO and
BaTiO3/Si. In addition, it does not exist any significant (110) or (101) preferred orientations, which is similar to the
previously reported results obtained for BaTiO3 films deposited on Si (100) by sputtering or other techniques.14,17,20
140 o
a) B T O / M g O 3 -l a y e r s 6 0 0C
M gO
120
100
001
80
101
111
c o u n t s
60
40
20
1500
111
o
1250 b) B T O / M g O 6 -l a y e r s 7 0 0C
M gO
1000
750
001
500
101
250
0
15 20 25 30 35 40 45 50 55 60 65 70
a n g le 2 θ
Figure 5. XRD patterns a) for three-layer BaTiO3 film deposited on MgO substrate at 600 °C, and
b) for six-layer BaTiO3 film deposited on MgO substrate at 700 °C.
Looking at the MgO figures (Fig. 4), it is clear that there are two peaks appearing around the MgO primary
peak. Those peaks correspond to the Cu K-alpha reflection, and the Cu K-beta reflection, which usually are only seen for
single crystal substrates of high quality, when the substrate is normal to the beam. This K-beta peak may disappear if the
So far as the SEM results are concerned, we typically present these corresponding to only one temperature viz.
600 °C. Figures 6 and 7 show the cross-sectional morphologies of the BaTiO3 films grown on MgO (100) and Si (100)
substrates respectively. Figures 6a and 6b illustrate the cross-sectional views of single-layer and three-layers of the film
respectively. Similarly, figure 7a and 7b show the cross-sections of single- and three-layer films. From figs. 5a and 6a it
is observed that, in both the cases (for two different substrates: MgO, Si), the distribution of grains on the surface is in
such a way that it appears to be randomly oriented, which makes one to believe that the grains are with random
orientations. It can be said that the films are composed of crystallites forming a dense structure extending on the entire
film. It is rather interesting to observe the granular crystalline grain structure of the films and not columnar structure,
which is the characteristics of the films deposited by the physical vapor deposition (PVD) method where the formation of
the columnar structure of the film takes place by slow surface diffusion and the shadow effect.29
a) b)
Figure 6. SEM micrograph of a) cross-section view of single-layer of BaTiO3 on MgO substrate and
b) cross-section view of three-layer of BaTiO3 on MgO substrate.
a) b)
In MOD method and Sol-Gel process the shadow effect is not present because, during the thermal treatment (i.e.
pyrolysis and annealing), the inorganic phase is found almost throughout the film preventing thereby to produce the
shadow effect. If the temperature is kept higher than the crystallization temperature, the amorphous material tends to
As stated earlier, the film grain size is an important factor to be considered. The grain size was also determined
by the SEM technique and by the Scherrer’s equation30 using the XRD patterns, which reveals that the size of the grain,
in the present experiment, is around 0.2 micron, and this is certainly a small value. In order to improve the dielectric
behavior and the optical properties of the film, the grain size should be a little higher; the authors are presently working
on this matter, and some better results are also expected.
CONCLUSIONS
Following the sol-gel process, stoichiometric thin films of BaTiO3 have been prepared around the temperatures
600 and 700°C. Crystallization of BaTiO3 in the tetragonal phase with certain preferential orientation is obtained while
depositing the film on MgO substrate as compared to Si substrate. Tetragonal phase of BaTiO3 finds versatile
applications in the area of integrated optics technology. SEM micrographs reveal that the films are composed of
crystallites with a dense structure and with randomly oriented distribution of grains. We can notice the greatly
dependence of the crystalline structure and orientation of barium titanate thin films on the preparation method,
preparation conditions, and substrate materials. This study of structure and composition of barium titanate thin films
could lead to a better understanding of the observed changes in the electrical and optical properties, in order to improve
the design of optoelectronic devices such as waveguides, dynamic random access memories (DRAMs), and optical
storage systems. Optical and electrical properties will be given in future communications.
ACKNOWLEGEMENTS
The authors wish to express their thanks to Prof. E.J. Knystautas, J. Frenette for their help in XRD
measurements, Prof. P. Clem of SANDIA Laboratories (USA), and Prof. R. W. Schwartz of Clemson University (USA)
for their advices and contributions. One of the authors (D.H.C.) is grateful to CONACyT (México) for providing the
fellowship. Also, the authors are indebted to NSERC (individual, Canadian Institute for Photonic Innovation) and FCAR
(team, center) for providing the grants for research.
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