Microstructure/Process Relations in Sol-Gel-Prepared KnbO3 ...

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Microstructure/Process Relations in Sol-Gel-Prepared KNbO, Thin Films on (100) MgO Gar0 J. Derderian,**+ James D. Barrie,*.* Kenneth A. Aitchison,* Paul M. Adams,* and Martha L. Mecartney*.+ Mechanics and Materials Technology Center, The Aerospace Corporation, M2/248, Los Angeles, California 90009 Department of Materials Science and Engineering and Department of Mechanical and Aerospace Engineering, University of California, Irvine, California 92717 Epitaxial (110) orthorhombic KNbO, thin films were pre- pared using alkoxide solutions. Single-phase films were pro- duced with stoichiometric sols while slight variations in stoichiometry (52/48 Nb/K or 48/52 NWK) created residual second phases. Nucleation and growth of KNbO, as a func- tion of process conditions were monitored by observing the KNbO, rosettes produced from niobium-rich solutions. Methanolic solutions produced films with the highest rosette density and the highest amount of KNbO,. Hydroly- sis of the sol aided the crystallization of the KNb03 phase but also promoted the formation of second phases. Hydroly- sis at 0°C reduced second-phase formation. I. Introduction KNbO, thin film ferroelectrics have high electrooptic coeffi- cients and moderate dielectric constants which make them ideal for use as high-speed electrooptic devices, optical waveguides, and frequency doublers.'-3 However, device-quality thin films have proved to be difficult to synthesize.'" Sol-gel is a rela- tively simple technique that offers the advantage of a low-tem- perature, low-cost method to produce crystalline KNbO, thin films.' Oriented and epitaxial KNbO, films have been grown on single-crystal MgO and SrTiO, substrates via sol-gel meth- od~:',~ although limited success has been achieved on optimi- zation of these films. KNbO, is cubic at the crystallization temperature (typically 700-800°C for sol-gel-derived films). The ferroelectric Curie point occurs at 435°C when it converts to the tetragonal form. Below 225°C KNbO, is orthorhombic. Figure 1 shows how the pseudocubic and orthorhombic crystal structures are related. The crystallographic notation used in this paper will be for the orthorhombic unit cell and not the pseudocubic unit cell, which has been used by some researcher~.~,~ Synthesis of multicomponent crystalline oxides by the sol- gel process is often complicated by precipitation and phase separation resulting from different hydrolysis rates of the individual component metallo-organic (often alkoxide) species used as precursors. Previous research has shown that the forma- tion of a double alkoxide species prior to hydrolysis often alleviates this problem." The association of the metals through an oxygen bond unifies the rate of hydrolysis and allows for better mixing of the components. However, while the lithium S.4. Hiran-ontributing editor Manuscript No. 194268. Received August 31, 1993; approved November 17,1993. Supported by a Packard Foundation Fellowship for Science and Engineering and *The Aerospace Corporation. +University of California. tht Aerospace Sponsored Research program. Member, American Ceramic Society. niobium double ethoxide has been successfully synthesized and used to form LiNbO, films,"," the analogous potassium nio- bium double ethoxide has lower stability." Various schemes have been used to create a stable potassium niobium double alkoxide solution for sol-gel film deposition including forming a double ethoxide which was hydrolyzed with a methanoVwater s~lution,~ preparing a solution of niobium ethoxide and potas- sium hydroxide in methanol: forming a double methoxyetha- no1 solution,' and modifying the double ethoxide solution with 2-ethylhexanoic acid.8 A comparison of these results sug- gests that using methanolic solutions promotes the formation of single-phase films, an unexpected result since the double methoxide should dissociate more easily than the double etho~ide.'~.'' Little work to date has focused on the influence of solution chemistry on the development of microstructure in the films. This paper presents the results of microstructural changes due to varying process parameters such as stoichiometry, precursor chemistry, water of hydrolysis, hydrolysis temperature, aging of the solution, and aging of the sol. Both stoichiometric and slightly nonstoichiometric sols were used in order to study the effect of processing conditions on nucleation and crystal growth in KNbO, sol-gel-derived thin films. 11. Experimental Procedure All reactions and manipulations were carried out under dry nitrogen using standard Schlenk techniques. Methanol and eth- anol were dried by distillation over molecular sieves. Benzene was dried by distillation over calcium hydride. Potassium ethoxide (KOEt) and potassium methoxide (KOMe) were prepared from the metal. The potassium content was determined by hydrolysis followed by titration of KOH against O.IN HCl. Niobium ethoxide [NbfOEt),] (Alfa Prod- ucts, Danvers, MA) was distilled (142"C, 0.1 mmHg) prior to use. The distilled niobium ethoxide was diluted with ethanol to form a 1M stock solution. t [010]0 N [IlO], 11 [110], Fig. 1. unit cells. Relationship between pseudocubic and orthorhombic KNbO, 820

Transcript of Microstructure/Process Relations in Sol-Gel-Prepared KnbO3 ...

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Microstructure/Process Relations in Sol-Gel-Prepared KNbO, Thin Films on (100) MgO

Gar0 J. Derderian,**+ James D. Barrie,*.* Kenneth A. Aitchison,* Paul M. Adams,* and Martha L. Mecartney*.+

Mechanics and Materials Technology Center, The Aerospace Corporation, M2/248, Los Angeles, California 90009

Department of Materials Science and Engineering and Department of Mechanical and Aerospace Engineering, University of California, Irvine, California 92717

Epitaxial (110) orthorhombic KNbO, thin films were pre- pared using alkoxide solutions. Single-phase films were pro- duced with stoichiometric sols while slight variations in stoichiometry (52/48 Nb/K or 48/52 NWK) created residual second phases. Nucleation and growth of KNbO, as a func- tion of process conditions were monitored by observing the KNbO, rosettes produced from niobium-rich solutions. Methanolic solutions produced films with the highest rosette density and the highest amount of KNbO,. Hydroly- sis of the sol aided the crystallization of the KNb03 phase but also promoted the formation of second phases. Hydroly- sis at 0°C reduced second-phase formation.

I. Introduction

KNbO, thin film ferroelectrics have high electrooptic coeffi- cients and moderate dielectric constants which make them ideal for use as high-speed electrooptic devices, optical waveguides, and frequency doublers.'-3 However, device-quality thin films have proved to be difficult to synthesize.'" Sol-gel is a rela- tively simple technique that offers the advantage of a low-tem- perature, low-cost method to produce crystalline KNbO, thin films.' Oriented and epitaxial KNbO, films have been grown on single-crystal MgO and SrTiO, substrates via sol-gel meth- od~:',~ although limited success has been achieved on optimi- zation of these films.

KNbO, is cubic at the crystallization temperature (typically 700-800°C for sol-gel-derived films). The ferroelectric Curie point occurs at 435°C when it converts to the tetragonal form. Below 225°C KNbO, is orthorhombic. Figure 1 shows how the pseudocubic and orthorhombic crystal structures are related. The crystallographic notation used in this paper will be for the orthorhombic unit cell and not the pseudocubic unit cell, which has been used by some researcher~.~,~

Synthesis of multicomponent crystalline oxides by the sol- gel process is often complicated by precipitation and phase separation resulting from different hydrolysis rates of the individual component metallo-organic (often alkoxide) species used as precursors. Previous research has shown that the forma- tion of a double alkoxide species prior to hydrolysis often alleviates this problem." The association of the metals through an oxygen bond unifies the rate of hydrolysis and allows for better mixing of the components. However, while the lithium

S.4. Hiran-ontributing editor

Manuscript No. 194268. Received August 31, 1993; approved November 17,1993. Supported by a Packard Foundation Fellowship for Science and Engineering and

*The Aerospace Corporation. +University of California.

tht Aerospace Sponsored Research program. Member, American Ceramic Society.

niobium double ethoxide has been successfully synthesized and used to form LiNbO, films,"," the analogous potassium nio- bium double ethoxide has lower stability." Various schemes have been used to create a stable potassium niobium double alkoxide solution for sol-gel film deposition including forming a double ethoxide which was hydrolyzed with a methanoVwater s~ lu t ion ,~ preparing a solution of niobium ethoxide and potas- sium hydroxide in methanol: forming a double methoxyetha- no1 solution,' and modifying the double ethoxide solution with 2-ethylhexanoic acid.8 A comparison of these results sug- gests that using methanolic solutions promotes the formation of single-phase films, an unexpected result since the double methoxide should dissociate more easily than the double etho~ide. '~. ' '

Little work to date has focused on the influence of solution chemistry on the development of microstructure in the films. This paper presents the results of microstructural changes due to varying process parameters such as stoichiometry, precursor chemistry, water of hydrolysis, hydrolysis temperature, aging of the solution, and aging of the sol. Both stoichiometric and slightly nonstoichiometric sols were used in order to study the effect of processing conditions on nucleation and crystal growth in KNbO, sol-gel-derived thin films.

11. Experimental Procedure All reactions and manipulations were carried out under dry

nitrogen using standard Schlenk techniques. Methanol and eth- anol were dried by distillation over molecular sieves. Benzene was dried by distillation over calcium hydride.

Potassium ethoxide (KOEt) and potassium methoxide (KOMe) were prepared from the metal. The potassium content was determined by hydrolysis followed by titration of KOH against O.IN HCl. Niobium ethoxide [NbfOEt),] (Alfa Prod- ucts, Danvers, MA) was distilled (142"C, 0.1 mmHg) prior to use. The distilled niobium ethoxide was diluted with ethanol to form a 1M stock solution.

t [010]0 N [IlO],

11 [110],

Fig. 1. unit cells.

Relationship between pseudocubic and orthorhombic KNbO,

820

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Three multicomponent solutions were prepared to investigate the effect of the precursor chemistry on the resulting films. First, K(0Et) and Nb(OEt), were combined in ethanol to form a solution which was 0.9M in K. This solution was refluxed for 24 h to promote the formation of the double ethoxide, KNb(OEt),.s The solution was diluted with ethanol to form a solution which was 0.26M in K. This solution will be referred to as the “ethox- ide solution.” For the second solution, K(0Et) and Nb(OEt), were combined in ethanol. Ethanol was removed by evapora- tion, resulting in crystallization of the double ethoxide. This solid was dissolved in methanol to form a solution which was 0.26M in K. This will be referred to as the “methoxide solu- tion.” It is expected that there was either partial or complete alcohol exchange in the solution.’3 Three stoichiometric ratios of Nb/K were used in the methoxide solutions, niobium-rich (52% niobium, 48% potassium), potassium-rich (52% potas- sium, 48% niobium), and equimolar (50% niobium, 50% potassium). For the third solution, Nb(OEt), and anhydrous potassium acetate (KC,H,O,) (Aldrich Chemical Co., Milwau- kee, WI) were mixed in ethanol and refluxed for 24 h. The resulting solution was 0.20M in K. This will be referred to as the “acetate solution.” All solutions were analyzed for K and Nb concentrations by flame atomic absorption. The solutions were hydrolyzed by the addition of a 2.5M solution of deionized water in methanol in a ratio of 0.2 mol of water per mole of alkoxide (designated 0.2/1). Hydrolysis was performed on sols which were either at room temperature or cooled in an ice bath. A control methoxide sol was prepared without hydrolysis.

Single-crystal (100) MgO substrates (Commercial Crystal Labs, Naples, FL; Harrick Scientific Corp., Ossining, NY) were ultrasonically cleaned in acetone followed by vapor degreasing with trichloroethylene immediately prior to spin coating. Spin- coated films were prepared by placing a few drops of the sol onto the substrates followed by spinning at 3000 rpm for 30 s in air. The coated substrates were immediately inserted into a hot tube furnace and held for 1 h at 320°C under flowing oxygen. These steps were repeated three Jimes to achieve the desired thickness of approximately 2000 A. The films were crystallized by insertion into a hot tube furnace and held for 4 h at 800°C under flowing oxygen.

The X-ray spectra of the films were measured using the pow- der diffraction method (Model D5000 diffractometer, Siemens, Germany; Model APD 3720 vertical powder diffractometer, Philips Electronics Instruments, Netherlands). The amount of (1 10) preferred orientation in the films was calculated based on the intensity ratio between the (1 1 1) and (1 10) diffraction peaks in polycrystalline KNbO, (JCPDS 32-822). Scanning electron microscopy (SEM) (JSM-840 JEOL, Japan) was performed in both the backscattered and secondary electron modes. Also, an energy dispersive X-ray spectrometer (EDS) (9900 EDAX,

Mahwah, NJ) was used for X-ray mapping of the films. Micro- structural features were studied with an analytical transmission electron microscope (TEM) (CM20, Philips) at 200 keV equipped with an EDS (9800, EDAX). TEM samples were pre- pared using standard dimpling and ion milling techniques, as well as a chemical etch te~hnique.’~ A Raman spectrometer (Ramanor U- 1000, Instruments S.A., Edison, NJ), coupled to a research-grade microscope, was used to confirm phase identi- fication in the films.

111. Results

( I ) Variations in Stoichiometry Three different stoichiometric ratios of potassium to niobium

(52/48,50/50, and 48/52) in the methoxide solution were stud- ied. These solutions were hydrolyzed with 0.2 mol of water per mole of alkoxide at 0°C and spun 1 h after hydrolysis. Subse- quent heat treatment involved 4 h at 800°C. X-ray powder dif- fraction shows that all of the KNbO, films grew with strong (1 10) orientation (Fig. z). The major X-ray diffraction peak of these films at 4.938 A is closer to the orthorhombic (1 10) spacingoof 4.035 A than the orthorhombic (001) spacing of 3.987 A. The amount of preferred (1 10) orientation in the films is 90% for the equimolar, 85% for the potassium-rich, and 98% for the niobium-rich film. The films derived from the equimolar solution were single-phase while the slightly non- stoichiometric solutions produced films with second phases.

The microstructure of the film changed significantly depending on the stoichiometry of the sol, evident in the optical micrographs of the films (Fig. 3). Potassium-rich films exhibit appreciable optical scatter due to cracking and grain boundary phases (Fig. 3(A)). Equimolar films had a uniformly smooth microstructure (Fig. 3(B)). Niobium-rich films contain rosettes in a darker matrix (Fig. 3(C)).

The single-phase films derived from the equimolar solutions were (1 10) oriented and epitaxial with respect to the (100) MgO substrate (Fig. 4). The orientation of the film to the substrate was (110) KN II (100) MgO and [OOlI KN II [OOlI MgO according to the TEM diffraction patterns. Although optical microscopy showed a fairly uniform contrast, the TEM micro- graphs showed low-angle grain boundaries with a misorienta- tion of approximately 1” between grains, indicating a small amount of in-plane misorientation. The grains also contained 50-nm pores which were faceted along { 110) and (001 ). Ferro- electric domains can be seen in some of the grains (Fig. 4(B)).

When niobium-rich sols were used, full crystallization of the film to KNbO, after heat treatment did not occur. SEM X-ray maps of potassium and niobium in these films revealed that the matrix contained little potassium while niobium was spread

Niobium Rich UYF Potassium Rich d,,i , , , ‘ , ’ , I ,,,,,,,,, I “”, , ’ , ’ I , , ~ w l

10 20 30 40 5 0 6 0 70 8 0 Two Theta (deg)

Fig. 2. XRD of KNbO, films (methoxide solutions) from different stoichiometries: (a) 50/50 Nb/K, (b) 52/48 NbK, and (c) 48/52 NbK. Asterisks mark second phases.

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Fig. 3. and (C) 52/48 Nb/K.

KNbO, (methoxide solutions) film microstructures (optical micrographs) for different stoichiometries: (A) 48/52 N b K , (B) SO/SO Nb/K,

Fig. 4. { 001 and (B) ferroelectric domain images in some grains.

TEM micrographs of stoichiometric methoxide film: (A) three low-angle grain boundaries and faceted pores with orientation along 1 1 lo} or

evenly throughout the film (Fig. 5). Raman microprobe spectra of the rosettes confirmed that they are orthorhombic KNbO, while the matrix exhibited no appreciable Raman scatter (Fig. ,).I5 TEM analysis showed that the rosettes are single- crystal epitaxial KNbO, with the same orientation relationship as in the equimolar films (Fig. 7(A)). The electron diffraction pattern results from double diffraction between the potassium niobate film and the MgO substrate. The matrix is made up of mostly niobium-rich (determined by EDS) needlelike crystals with random orientations (Fig. 7(B)) and some flat platelets.

Characteristic d-spacings in the Nb-rich region are 8.04, 3.90, 3.77,&84, 2.53, 2.30, and 1.95 A. These d-spacings (except 8.04 A) and the niobiudpotassium ratio agree with K,Nb,,O,, (JCPDS 31-106). K,Nb,O,, (JCPDS 21-1095) has all but the 3.90-A d-spacing. The loss of potassium will be discussed in a future paper.

Higher magnification of the rosettes shows ferroelectric domains present in the rosettes with domain wall orientation along [ 11 1 ] planes (Fig. 8). Interestingly enough, the rosettes were not microporous, only containing micrometer-size voids

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Fig. 5. (A) SEM micrograph of niobium-rich film. Each rosette represents a nucleating site. Compositional maps of the same area: (B) potassium and (C) niobium.

100 200 300 400 500 600 700 800 900 Raman Shift (crn")

Fig. 6. Rosette Raman spectrum indicating orthorhombic KNbO,.

where the rosette arms grew together. Moire fringes in Fig. 8(B) indicate a rotational misorientation of < 1" between (220),,,

Each rosette in the niobium-rich films represents a nucleation site in the film. This provided us with an easy technique using optical microscopy to monitor changes in nucleation density and amount of KNbO, produced with various processing condi- tions by using niobium-rich films.

and (200),",,,,.

the most KNbO,. The films were smooth with low optical scat- ter (Fig. 9(A)). Films prepared from the ethoxide and acetate solutions produced crystalline KNbO, grains but exhibited sig- nificant scatter due to the presence of second phases and porosity/voids (Figs. 9(B) and (C)). As these initial results showed that the methoxide solution produced the highest-qual- ity films, the subsequent processing effects were studied using only the methoxide solution.

(2) Systematic Precursor Mod@cations (3) Variations in Hydrolysis Niobium-rich thin films were prepared using ethoxide, meth-

oxide, and acetate sols (Figs. 9(A-C)). Hydrolysis of the ethox- ide solution resulted in the formation of a white precipitate which cleared after stirring for 1 day. The acetate and methox- ide solutions hydrolyzed without precipitation. The methoxide solution produced films with the highest nucleation density and

The water of hydrolysis added to the solutions was critical for the development of the microstructures discussed above (Figs. 1O(A-D)). Spinning of unhydrolyzed niobium-rich meth- oxide sols resulted in films with little KNbO, crystallization (Fig. 1 O(A)). These films showed 6% coverage with KNbO, rosettes with an average size of 125 km. Water vapor added

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Fig. 7. TEM micrographs of rosette and matrix: (A) epitaxial orthorhombic KNbO, rosette and (B) needlelike niobium-rich second phase.

Fig. 8. cating < 1" misorientation between the film and the substrate.

(A) 90" ferroelectric domains in KNbO, rosette in niobium-rich film with domain boundary orientations along { 11 1 }. (B) Moire fringes indi-

during the drying of the film by bubbling 0, through water at 23°C increased crystallization in the films, with coverage of 24% and with a rosette size of 175 pm (Fig. 10(B)). These films with a low concentration of KNbO, showed the formation of a dark phase on the surface after 1-week exposure to air, sug- gesting inherent instability of the matrix phase. However, a new crystalline phase was not detected by XRD. Hydrolysis with 0.2 mol of water per mole of alkoxide prior to spinning resulted in an increase in rosette coverage to 52% with 6-pm rosettes when the solution was at room temperature during hydrolysis (Fig. lO(C)). Hydrolysis at 0°C (rather than room temperature) increased the amount of KNbO, further to 81% with 5-pm rosettes (Fig. 10(D)).

(4) Aging Films of the niobium-rich solutions, which were spin coated

later than 1 h after hydrolysis, had increased amounts of second phases and fewer KNbO, rosettes (Figs. 1 l(A-D)). The micro- structure of the films also changed with increasing storage time

between the preparation of the methoxide solution and the addi- tion of watedmethanol solution for hydrolysis (Figs. 12(A-D)). Niobium-rich solutions, which were aged for 1 month prior to hydrolysis, resulted in films with increased amounts of sec- ond phases and less KNbO, compared to unaged solutions (Figs. 12(A) and (B)). After storage for longer than 1 month prior to hydrolysis, immediate precipitation resulted upon the addition of water. Unaged equimolar solutions produced single- phase orthorhombic KNbO, films with a (1 10) preferred orien- tation, but aging between preparation and hydrolysis resulted in films with KNbO, rosette formation similar to that observed for the niobium-rich compositions (Figs. 12(C) and (D)).

IV. Discussion

Single-phase epitaxial KNbO, thin films can be formed on ( 100) MgO substrates by the sol-gel technique using methanolic solutions under certain conditions. A summary of the process

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Fig. 9. Optical micrographs for (A) methoxide, (B) ethoxide, and (C) acetate derived films.

results is shown in Table I. First, an equimolar ratio of potas- sium and niobium in the solution is necessary to avoid the formation of second phases. This is not surprising considering that KNbO, is a line compound. Hydrolysis of this equimolar solution at 0°C prior to spinning enhances the formation of orthorhombic KNbO, provided that the films are prepared immediately after the hydrolysis step. Furthermore, the metha- nolic solution produces single-phase films only if the hydrolysis step is performed promptly after the potassium niobium double ethoxide is dissolved in methanol.

Crystallization during the 750-800°C heat treatment occurs at a temperature where the cubic structure would be stable. The film should convert first to the tetragonal form and then to the orthorhombic form upon cooling. Distinguishing between the cubic, tetragonal, and orthorhombic phases in oriented thin films by standard X-ray techniques through the observation of peak splitting is difficult. However, Raman microprobe analysis confirmed that orthorhombic KNbO, is formed in these thin films, despite any residual stresses resulting from thermal expansion coefficient mismatch, lattice mismatch with the sub- strate, or volume change upon crystallization (Fig. 6).

The nature of the nucleation and growth of these mixed phase films can explain the changes in microstructure which were observed. Films derived from both equimolar and niobium-rich solutions crystallize by formation of KNbO, nuclei which grow laterally throughout the film until the potassium component of

the film is consumed. Growth of KNbO, grains in niobium-rich films is arrested at the stage where insufficient potassium remains in the matrix to form KNbO, (Fig. 5) . However, for the equimolar solutions, crystallization leads to single-phase films in which the KNbO, crystals have coalesced. This process occurs rapidly at 800°C and low-angle grain boundaries are formed upon coalescence. The 5% lattice mismatch with MgO would contribute to the formation of low-angle grain bound- aries, which have also been observed in ion-beam-sputtered KNbO, films on Mg0.4

Porosity has been a problem in other KNbO, sol-gel films." However, the rosettes in the niobium-rich films are dense, except where the dendritic arms grew together (Figs. 7 and 8). Films derived from the niobium-rich solutions should crystal- lize more slowly because the growth rate should be dependent on diffusion of potassium and niobium. However, as the amount of potassium in the films increases to an equimolar ratio, long-distance diffusion is not necessary. Crystallization could occur more quickly, trapping pores in the grains. These pores facet along low-energy/high-density { 110 1 and { 001 ] planes. The absence of fast diffusion paths such as grain bound- aries near the pores would prevent the removal of intergranular poro~ity. '~ We speculate that slowing the growth rate of the KNbO, grains would decrease the porosity in the films, by allowing for densification prior to complete crystallization.

Table I. Process Parameters and Their Effects on KNbO, Thin Film Microstructure Process parameter Microstructural change

Decreasing potassium content (substoichiometric) Lower rosette concentration, lower porosity Methanolic rather than ethanolic solutions Higher rosette concentration, lower porosity Increasing amount of water Higher rosette concentration Lowering temperature of hydrolysis Higher rosette concentration Solution aging before hydrolysis Lower rosette concentration Solution aging after hydrolysis Lower rosette concentration

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Fig. 10. hydrolysis at 23”C, and (D) hydrolysis at 0°C. White rosettes are KNbO,. Black regions in (A) and (B) are surface contamination.

Film microstructure after heat treatment for different hydrolysis conditions: (A) unhydrolyzed sol, (B) “wet” oxygen during drying, (C)

The density of the KNbO, films affects the formation offer- roelectric domains. Whereas pore-free regions of niobium-rich films had clearly defined ferroelectric domains (Fig. 7), the high amount of porosity in the equimolar films resulted in few grains with clear ferroelectric domain structures (Fig. 4). The high sur- face area and distortion of the crystal structure at the surface and the accommodation of strain energy at the pore surfaces would minimize the formation of ferroelectric domains.I8

Each rosette observed in the optical and electron micrographs represents an individual nucleation site. The evaluation of the nucleation density in films prepared under various processing conditions allows us to monitor the effects of each condition on crystallization of KNbO, films. These observations were espe- cially valuable in the interpretation of hydrolysis and aging behavior.

When slightly niobium-rich methoxide solutions were hydrolyzed at reduced temperatures immediately prior to spin- ning, films with small amounts of second phases were produced (Fig. 10(D)). When hydrolysis was done at room temperature or the hydrolyzed sol was allowed to age, the number of KNbO, rosettes formed in the films decreased (Figs. 1O(C) and 11). The total amount of orthorhombic KNbO, phase in the films was reduced; the amount of second-phase growth greatly increased. These results indicated that the nucleation of

KNbO, rosettes in the crystallizing films depends upon a homogeneous distribution of potassium and niobium in the hydrolyzed sol. Initially, when the double ethoxide is dissolved in methanol, the solution consists of the double ethoxide in a solvent of methanol. The double ethoxide is more stable (lower tendency to dissociate into its parent alkoxides) than the double meth~xide ,” .~~ but methanolic solutions show a lower tendency to precipitate in the presence of ~ a t e r . ~ . ~ Alcohol exchange in alkoxide solutions generally occurs quickly and can exchange either completely or partially depending on the alkoxide sys- tem, but the exchange reaction is promoted toward the alcohol in greater ab~ndance.’~ Therefore, it is expected that the vast majority of the ethoxy groups will quickly undergo alcohol exchange with the solvent, resulting in a partial or complete conversion of the double ethoxide to the methoxide. It is also well known that niobium alkoxide monomers coordinate with each other both in the pure compound and in solution.I3 Increas- ing the temperature of the solution increases the conversion to the double methoxide and increases the rate of hydrolysis. Both of these processes are likely to lead to a reduced association between potassium and niobium in the solution through the decomposition of the double alkoxide, and the formation of extended niobium 0x0-alkoxide species in the solution. Simi- larly, when the sol which is hydrolyzed at reduced temperature

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Fig. 11. KNbO, rosette concentration variations due to aging of the solutions after hydroIysis: (A) 1 h, (B) 1 day, (C) 5 days, and (0) 9 days.

is allowed to age (at room temperature) for 1 or more days (Fig. 1 I), the distribution of potassium and niobium in the sol may be disturbed by reactions such as those discussed above: conversion of the double ethoxide to the less stable double methoxide, and growth of extended niobium-containing clus- ters through various condensation and redistribution reactions.

The deterioration of film quality which is observed when unhydrolyzed methoxide solutions are aged between their prep- aration and the time of hydrolysis supports this model. As the solution is stored, more of the double ethoxide will be con- verted to the double methoxide. Films spun from these aged solutions should then be less homogeneous than the unaged solutions, causing the resulting films to have fewer nucleation sites and less KNbO, in the films, as was observed (Fig. 12).

Hydrolysis of the solution, as well as adding water vapor dur- ing the drying process, resulted in increased crystallization in the films compared to the unhydrolyzed samples (Fig. 10). It has been shown that the water of hydrolysis plays a key role in the crystallization of LiNbO, alkoxide gels which possess an atomic arrangement near that of crystalline LiNbO,.” It is spec- ulated that the addition of water to the potassium niobium alkoxide solutions may also result in the formation of clusters

which act as nucleating sites for KNbO,. Further studies in pro- cess confirm that increasing amounts of water of hydrolysis aid the nucleation of KNbO,.

V. Conclusions

Single-phase epitaxial (1 10) oriented thin films of KNbO, can be made on (100) MgO substrates by the sol-gel technique. Methoxide solutions produce films in which KNbO, crystallizes more easily than ethoxide or acetate solutions. The double methoxide is unstable and must be used soon after alcohol exchange from the double ethoxide to avoid the formation of a second phase. Prehydrolysis and hydrolysis at lower tempera- tures aid in the crystallization of the KNbO, phase. Small devia- tions from stoichiometry ( k 2%) generate significant amounts of second phase and changes in the microstructure in the films. Only films with exact equimolar Nb/K ratios were single phase. Niobium-rich films formed K,Nb,,O,, and K,Nb,O,, in addition to KNbO,. Porosity increased with the amount of potassium in the films and is linked to rapid crystallization. The highest- density KNbO, grains were formed from niobium-rich sols where the crystallization rate was slowed by requiring long- distance diffusion of potassium and niobium.

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828 Journal of the American Ceramic Society-Derderian et al.

Fig. 12. unaged 50/50 Nb/K, and (D) aged 50/50 Nb/K.

KNbO, rosette concentration variations due to aging of solution prior to hydrolysis: (A) unagcd 52/48 N b K , (B) aged 52/48 N b K , (C)

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