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(1)

The

significant influence

of

surface states on the

electroluminescence

of

CdS

nanoparticles

Eih-Zhe

Lianga,

Ching-Fuh

Ljfl*a, Sheng-Ming Shih", Wei-Fang

Sub

a

Graduate

Institute

of

Electro-Optical Engineering

b

Institute

of

Materials Science and

Engineering

National

Taiwan University, Taipei

1

06,

Taiwan, ROC

ABSTRACT

The significance

of

surface states

in

nano-structures

is

studied using CdS nanoparticles. Spectral features like peak

red-shift due

to

organic capping and influence

of

surface states have been observed. The pronounced enhancement

of

emission from surface states

can be

dominant with certain modification

of

CdS nanoparticles. Spectral behaviors

of

electroluminescence

in

different temperature

are

also studied.

Keywords: CdS nanoparticles, low-dimensional structure, surface states, electroluminescence, exciton.

1. ThTRODUCTION

Nanoparticles formed

by

chemical methods have certain advantages. They have low cost

of

production and well

control physical properties. Compared with epitaxial quantum dots, nanoparticles can

be

simply dissolved

in

various solutions and applied

to

nonspecific substrates. Stimulated emission and optical gain had been reported with CdS quantum dots

by

optical pumping1'2. However,

it

is

challenging

to

employ electrical pumping

to

realize nanoparticle- based light emitting devices. Electroluminescence from CdS nanoparticles reported

in this

work proves

the

feasibility

of

using such materials

as

active light-emitting media.

Since nanoparticles are low-dimensional materials

(

5

nm), compared with bulk materials,

it

results

in

large surface contact area with environment. Surface states formed

by

termination with oxygen

or

other contaminants are thus

of

great amount. Generally

this

situation

is

avoided

by

using passivation around nanoparticles,

in

our case organic

p-hydroxyl thiophenol group. However, we found that there can

be

significant enhancement

of

light emission from surface states.

It

can be

useful

in

addition

to

intrinsic quantum states provided by low-dimensional structures.

Electroluminescence

of

CdS nanoparticles

in

different environment such

as

normal treatment, heat treatment and

oxygen enrichment

is

achieved. Emission spectrum

of

CdS nanoparticles

is

significantly influenced by both process temperature and oxygen surrounding condition. Radiative recombination due

to

free exciton

in

CdS

is

observed, with spectral peak shift due

to

organic encapping. As surrounding oxygen content level

is

raised, radiative recombination

from surface states emerges. Side effect such

as

coalescence

of

CdS nanoparticle into bulk form also presents

in

raising process temperature.

At

different temperature,

the

EL spectrum

of

CdS nanoparticle remains quite

the

same. Peak shift

is

compared with bulk bandgap shift and ascribed

as

effect

of

quantum confinement and surface configuration.

This work also demonstrates

the

electroluminescence

of

CdS-nanoparticle on silicon substrate. The fabrication

of

light emitting active layer

is

simply the spin-coating technique. Carriers

to

achieve light emission

can

be

supplied by quantum tunneling through surrounding barrier into nanoparticles. Using silicon as substrate shows

a

promising

way

to

monolithically integrate light emission

of

nanoparticles and conventional electrical circuitry. Moreover, optical functional blocks can

be

built

at

relatively low temperature, following traditional process. This advantage eliminates conflicted thermal budget

of

epitaxial 111-V materials and silicon circuitry.

2. SIGNifICANCE

OF

SURFACE

STATES

In the

unpassivated case, nanoparticle interacts with oxygen as exposed

to

atmosphere. Surface states associated

with oxygen,

in our

case Cd-O bond,

are

formed. The ratio between surface

area

and volume ratio

of

nanoparticle increases

as

individual particle size shrinks into several nanometer range. Radiative recombination rate with surface * Email:cflin@cc.ee.ntu.edu.tw; also with Graduate Institute

of

Electronics Engineering and Department

of

Electrical Engineering

(2)

states origin becomes comparable with that

of

CdS core,

or

even dominant. To

be

specific, assuming

n

is the

number

of

atoms along

the

radius

of

nanoparticle,

the

ratio

of

atoms

in the

top surface layer

to

core atoms

is

given by

(

n3

- (n

-

m),)/

_ rn)3

where

m is

effective number

of

atoms

of

surrounding surface layer. We can see

in

Fig. 1 that

the

ratio becomes unity as

the

radius shrinks within

n

10.

In

such cases, radiative recombination rate

of

surface states becomes comparable to

intrinsic ones, assuming alike oscillation strength. This situation describes how

the

unpassivated CdS nanoparticles can emit more light with surface state origin than that observed

in

epitaxial

or

bulk CdS case.

...-—' ..-— —.---—--

.

- . . !• . •_

Fig. 1 Ratio

of

surface atoms

to

core atoms with respect to number

of

atoms along radius.

3.

PREPARATION

OF

MATERIALS

Two kinds

of

CdS nanoparticles ready for spin-coating purpose are synthesized

by

modification

of

Pietro's

method3. First form

is

CdS nanoparticle with organic capping. Cadmium acetate dihydrate Cd(CH3COO)22H20, 0.80 g, 3 .0 mmole)

is

dissolved

in

20 ml mixed solvent

of

acetonitrile, methanol, and water with volume ratio 1

:

1 :2. Another solution containing disodium sulfide nanohydrate (Na2S9H20, 0.36

g,

1.5 mmole) and p-hydroxyl thiophenol (0.56 g, 4.4 mmole)

in

the

same solvent system

is

added into vigorously stirred cadmium acetate solution. The whole system was stirred for 18 hours without light illumination. After removing solvent and purifying by centrifuge, we obtained

0.70

g

yellow solid aggregate ofCdS nanoparticles capped by p-hydroxyl thiophenol.

Second form

of

CdS nanoparticle

is

coated with silica shell. The purpose

of

preventive use

of

organic component is

to

raise

the

thermal budget

of

whole fabrication process

and

increase tolerance with low temperature. The preparation process

is as

follows. Cadmium acetate dihydrate (Cd(CH3COO)22H20, 1.60 g, 6.0 mmole)

is

dissolved

in

32 ml mixed solvent

of

acetonitrile and water with volume ratio 1

:

1

.

Another solution containing disodium sulfide (Na2SxH2O,

x7—9, 0.58

g,

—2.4 mmole) and (y-mercaptopropyl) trimethoxysilane (1.41

g,

7.2 mmole)

in the

same solvent system is added into vigorously stirred solution

of

cadmium acetate. After being vigorously stirred

for

18 hours,

the

mixture is basified

to

pH=8.4 with 25% ofNH3 aqueous solution. Additional 64 ml

of

ethanol

is

added

to

the

mixture. The mixture

is stirred

for

48 hours after adding 1.89

g

of

orthotetraethoxysilane (TEOS). Part

of

the solvent was removed and

precipitation takes place

in

the mixture The precipitate

is

centrifuged

for

three times and rmsed with deionized water

2 n

E 0

.1o

'op two surface layers

I

,Top one surface layer

U 20 40 60 80 100

(3)

The prepared nanoparticle aggregate

is

redispersable

in

ethani

or

other polar organic solvents. After treated by ultrasonic vibration and percolation, solutions for spin-coating purpose

are

produced.

To

take

TEM image, prepared solution is dipped onto carbon film coated copper plate and reabsorbed. Sparsely

distributed nanoparticles

are

obtained. The average diameter

of

the spherical CdS nanoparticles

is

about 5 nm,

as

shown

in

Fig.

2.

Compared with

the

high-temperature synthesizing method

by

using trioctylphosphine oxygen (TOPO), this room-temperature process

is

easier but

the

particle size distribution

is

wider.

By

replacing

part

of

cadmium acetate with manganese acetate, we prepared

Mn

doped CdS nano- particles with

different concentrations

of

manganese (5%, 10% and 20%,

in

molar percentage). Through

out the

experiment, no significant difference

of

doped and undoped CdS nanoparticles

is

found under the spectral resolution

of

our

monochromator. To synthesize manganese doped CdS nanoparticles, we have used large molar percentage

of

Mn,

5

%, 10

% and 20

% respectively

in the

reaction. However, only trace doping amounts

of

Mn, 0.08%, 0.05% and 1 .10% was

detected respectively

by

ICP-Mass investigations. When

the

same approach was used

to

synthesize MnS nanoparticles,

a

very low yield was obtained. This indicates very low doping content can

be

made and electroluminescence

is

less

affected

by

Mn content.

4.

SETUP

FOR

ELECTROLUMINESCENCE

The basic idea about setup

of

electroluminescence

is to

use cascade tunneling as injection source. Carriers are supplied

by

tunneling current through potential barrier

of

high bandgap material surrounding nanoparticle,

as

shown in Fig. 3

. In

our case,

the

SiO group

or

organic functional group p-hydroxyl thiophenol serves

as the

goal. The choice

of

substrate

to

host CdS nanoparticles

is

silicon due

to

its

surface quality and availability.

In

addition,

in

this early study

of

light emission, difficulty

to

maintain uniformity

of

film exists

if

nanoparticle solution

of

aqueous solvent system is used.

The Schottky barrier

of

metal-silicon contact has certain prevention from short circuit other than indium-tin-oxide (ITO) glass.

With different type

of

injection carriers, depending

on

n-type

or

p-type silicon substrate, electrons

or

holes are

emitted from silicon and holes

or

electrons are emitted from metal deposited. Fermi level

of

Si

in

n-type case has

to

be raised

for

electrons

to

tunnel through potential barrier

of

p-hydroxyl thiophenol group. Most carriers tunnel into the

adjacent nanoparticles. Carriers are expected

to

recombine within nanoparticles through intrinsic radiative transition or

surface-state related transition.

Fig. 3 : Schematic ofelectron transport and transition in the device.

A

schematic

of

CdS-nanoparticle light emitting stage

is

shown

in

Fig.

4.

The fabrication steps

are as

follows. First,

a

doped silicon wafer (doping

lO15

cm3)

is

used

as

substrate. Acetone, methanol, and

DI

water are used successively for clean procedure. Buffered oxide etch

is

applied

to

remove native oxides. The wafer

is

spin-coated with CdS nanoparticle solutions. Solvents are either removed

by

evacuation

or

heat treatment. The thickness

of

CdS nanoparticle layer can

be as

large

as

500 nm, verified

by

surface profile scan.

In

this case, volume density can

be

very high.

Subsequently, both top and bottom metal contacts

are

made

by

thermal evaporation. The top semi-transparent contact layer is lOnm gold, and

the

bottom

is

l5Onm gold. Before

the

deposition

of

the Au

layer,

a

3-nm adhesion layer

of

chromium

had

been evaporated for both contacts.

A

CM1 10 monochromator and photomultiplier

is

used

to

record the

electroluminescence spectrum. In every spectrum measurement, the entrance

slit

width 0.6 mm

is

used for maximum detection

and

correct spectrum.

(4)

Samples made

on n- and

p-type Si wafers show different current-voltage curves,

as

shown

in

Fig.

5.

Both have

rectifying current-voltage (I-V) curves,

but

with opposite polarities. This rectifying effect corresponds to metal-insulator-semiconductor tunneling effect as expected. To

be

specific,

the

thin potential barrier

of

organic

functional group and low substrate doping level results

in

Schottky-diode-like behavior.

Fig. 5: I-V curves ofdevices on n-type and p-type Si.

5.

PROPERTIES

OF

ELECTROLUMINESCENCE

We take different post treatments after the nanoparticle film

is

spin-coated onto silicon substrate. The normal treatment

is

to

remove

the

solvent without physical change

of

nanoparticles. Heat treatment

is

carried

out in

medium

high temperature

to

explore decomposability

of

organic passivation and

test

oxygen cooperation. Oxygen enrichment

raises extent

of

oxygen related surface states. All three conditions show prominent spectral features and

can be

used

to

monitor passivation

of

surface condition.

Origins

of

electroluminescence

of

CdS nanoparticle with bulk CdS are schematically shown

in

Fig. 6. Three

exciton levels corresponding

to

bulk CdS bandgap now change their peak positions

of

quantum states due to modification

of

surface configuration. Modified A free exciton level changes from 508nm

to

526.5nm as

can

be determined

in

normal treatment

of

electroluminescence device. Transition level

of

surface states related

to

Cd-O

termination with peak position

of

571 .Snm can

be

observed. This level occurs when passivation

of

nanoparticle is removed and

it

has contact with atmosphere,

as

in

heat

treatment and oxygen enrichment.

with

capping

E

526.5nni 571 .5nm 508nm ______

E

A' Excitonn level

Fig.

6

Energy diagram

of

CdS nanoparticle.

Fig. 4: Schematic

of

the CdS nanoparticles EL device on Si wafer.

voltage(V) Bulk CdS

E

_________ 'I, EVA X

EB

EB

EC

EC

'Jr Surface states

(5)

3.1 Normal process

After spin-coated,

the

device

is

placed

in

a

chamber with evacuation at room temperature for

5

minutes

to

remove

ethanol solvents. Both spectra

of

CdS and CdS doped with Mn

are the

same,

as

shown

in

Fig.

7.

The spectrum fits into Lorentzian shape with scattering time

of

6

fs. Its FWIIM

is 42

nm. Such broad spectrum indicates

the

dispersion

of

particle size and

a

trade-off

of

low temperature synthesis.

This spectral peak indicates radiative recombination

of

free exciton

in

CdS nanoparticles with red-shift due

to

p-hydroxyl thiophenol groups. The green spectral peak

is

at 526.5nm (2.355eV), different from bulk CdS A-exciton

transition energy, 2.441eV (508nm) at room temperature. Although quantum confinement within

the

nanoparticles increases exciton energy whenever

the

particle size decreases4'5, organic functional group

or

silicon dioxide matrix can

modify

the

electron configuration within and change ground states significantly.

It

results

in

energy red-shift

of

86 meV. CdS nanoparticles coated with poly(vinyl alcohol) also show such energy shift

in

absorption spectrum6, where photoluminescence at 2.42eV (10K)

is

observed.

Fig. 7: EL Spectrum

of

CdS with solvent removed. 3.2.

Heat

treatment

The CdS nanoparticles

are

spin-coated

as

described

in

previous section. These samples

are

subsequently treated

by

rapid thermal annealing (RTA) with temperature 425°C for

5

minutes. The annealing process takes place

in

nitrogen

purge and its purpose

is to

remove solvent and both

test

decomposition

of

organic functional group. Electrical property

like I-V curve resembles that

in

Sec. 3.1.

As

shown

in

Fig.

8 the

emission spectrum consists

of

two peaks. One

is

at

513 .7nm and

the

other at 571.Snm. The former peak stands

for

bulk CdS free

A

exciton transition. This spectral lobe can

be

fitted

by

Lorentzian shape with scattering time

of

8

fs and FWHM 40 nm.

1.2 1.0

>

Cl) C

.

C 0.8 ci) N a) E 0

z

0.6 0.4 0.2 450 500 550 \veIength (nm) 600

Fig. 8: The EL Spectrum of CdS particles after heat treatment.

500 550

wavelength (nm)

(6)

The 57 1 .5nm peak results from

the

trapped carriers

in

surface states related

to

oxygen, Cd-O termination7. In

medium high temperature treatment, decomposition

of

p-hydroxyl thiophenol group causes oxygen termination with

cadmium

to

occur.

It

proves p-hydroxyl thiophenol group

to be

effective overcoat

of

CdS nanoparticles against oxygen

influence. The surface states induce radiative transition

as

well. The peak magnitude at

the

spectral lobe

is

smaller than

the magnitude

at

5

13

.7

nm, indicating emission from surface states

is

weaker than that resulted from CdS nanoparticles.

However, light power from this sample

is

generally stronger than that

in

Sec.

3 .

1

.

This phenomenon

is

due

to

the

participation

of

surface level luminescence, leading

to

increase

of

total light output.

3.3 Effect

of

surrounding oxides

To further study the surface states related

to

oxygen, we immersed CdS nanoparticles into high oxygen content environment. Two ways

are

proceeded. First,

the

nanoparticle solutions were mixed with spin-on-glass (50G Filmtronics

3

15FX), and the second way, mixed with 5102 nanoparticles (average diameter

of

12 nm, dissolved in isopropanol). The cleaned, oxide-free silicon substrate

is

spin-coated and treated

by

425°C

to

sinter with 5i02 glass. The

similar EL spectrum

is

found

in

mixture

of

CdS nanoparticles with SOG and 5i02 nanoparticles. The peak

at

513.7nm (2.414eV) resembles

A

free exciton signal

of

bulk CdS at temperature 65°C, and

the

peak

at

57l.5nm (2.414eV) corresponds

to

radiative transition due

to

surface states. The magnitude

of

total light emission

in

current setups

is

ten

times stronger than that

of

unheated samples

in

Section

3 .

1

,

under the same carrier inj ection condition.

Co Cl)

ci

Fig. 9: EL spectrum ofCdS nanoparticles with oxygen enrichment

EL

spectrum shown

in

Fig.9 indicates two mechanisms

as

shown

by the

energy diagram

in

Fig.

6.

First, the

coalescence

of

CdS nanoparticles into bulk form results

in

less broadening spectrum around

5

13 .7 nm. Since the

potential barrier

of

p-hydroxyl thiophenol group disappears due

to

decomposition, carriers

in

bulk powders stay for

enough time (about

ins

transition lifetime)

to

recombine radiatively between each tunneling process. Second, relative

magnitude

of

surface states luminescence

is

much stronger than that

in

Sec. 3.2. Highly increased concentration

of

surface state levels, which are supplied

by

surrounding oxygen termination, contributes

to

the enhancement

of

internal

quantum efficiency. The magnitude difference between mixture with SOG

and

Si02 nanoparticles comes from excess

dangling Si-O bond

of

the

latter case. With the same sintering time,

the

latter mixture makes more extent

of

oxygen enrichment.

3.4 Temperature effect

To examine EL property

of

CdS nanoparticle with varied temperature, original organic functional group is

substituted with inorganic silica passivation shell,

in

order

to

prevent instability

of

organic composition at low temperature.

EL

spectra

of

silica-passivated CdS nanoparticles are shown

in

Fig. 10. The resembling peak

of

surface

states represents Cd-O termination, now introduced

by

silica passivation

at

surrounding surface probes

to

origin

of

light emission.

As

temperature increases, the

EL

intensity decreases. Such reduced emission efficiency comes from increased

nonradiative mechanism with increased temperature. Surface states

and

carrier-phonon scattering both play roles. Ten

times stronger magnitude

of

light emission intensity

at

low temperature

of

15

K

compared with room temperature case reveals that nonradiative mechanism

is

a

crucial factor influencing emission efficiency

of

the emitter. The reason

for

the

(7)

similar spectra is due

to

two causes. First, the shift

of

quantized energy levels due

to

small nanoparticles (<5nm)

contributes

to the

spectrum around 520nm. Second, transition

of

surface states may have multiple levels corresponding

to

broad spectrum at room temperature.

C >s C,) cD U) Co ci 700

Fig. 10: EL spectrum

of

CdS nanoparticles with silica shell at varied temperature.

Spectral peak at 520nm

in

Fig. 10

is

attributed

to the

same origin

as

peak

at

526.5nm

in

organic-capped CdS nanoparticles, with additional effect

of

quantum confinement and surface configuration.

As

a

result, peak shift with

varied temperature

is

compared with bulk bandgap shift

in

Fig. 11 and ascribed

as

characteristics

of

as-synthesized CdS

nanoparticle. Ten times increase

of

emission intensity

is

observed

at

cryogenic temperature (15K), indicating strong

influence

of

surface traps due

to

the

large surface area. Reduced thermal scattering also contributes

to

enhancement

of

light emission

at

low temperature. The relative magnitude

of

recombination rate

of

surface states

to

exciton level

changes slightly and may result from

its

nearness

to

conduction band

2.5

2.4

0 100 200 300

Terrperature (K

Fig. 11: Spectral peak variation with temperature compared with bulk exciton energy.

With energy parameters

of

bulk CdS given above6, red-shift due

to

p-hydroxyl thiophenol group

is

determined as 86meV. Also, transition level

of

surface states

is

found

to be

273 meV below bulk bandgap.

In

addition

to

observation

of

such peak

at

571 .Snm, similar phenomena

at

spectral range, SSOnm—600nm, as

an

indication

of

imperfect CdS crystal

or

nanoparticles

had

been reported elsewhere. Okamoto8 also ascribed

their

broad peak

at

6SOnm (1 .9eV)

to

surface

state emission. Hong7 also demonstrated broad peak

of

592nm (2.0944eV) due

to

S-vacancy

(in

this case termination

of

oxygen).

3.5

Raman

spectrum

Previously observed transition

of

manganese ion

in

CdS nanoparticle at S8Snm (2. 1 19eV)9

is not

clearly observed

in

our samples, mainly due

to

insufficient spectral resolution and trace content

of

Mn

incorporated

to

CdS core. To

550 600

v.eveIength(nm)

Free Aexaton (exp.)

Free A exaton in

caJ4

(8)

determine

the

factor

on

firm ground, Raman spectroscopy

is

taken as shown

in

Fig. 12.

Raman shift

at

305cm1 corresponds

to

the

longitudinal optical phonons LO) mode

of

bulk CdS'°.

No

wave number shift

is

observed

for

CdSIMn nanoparticles, therefore Mn

is not in the

CdS core lattice. The other Raman shift

peaks

are

from

the

vibrations

of

the organic molecules. Consequently,

the

EL peaks

of

CdS nanoparticles prepared with

or

without addition

ofMn

are

the

same

as

shown

in

Figure 7.

We have mentioned reaction rate

of

MnS synthesis

is

slower than that

of

CdS synthesis. Therefore, the

position

of

Cd

in the

lattice

of

CdS can barely

be

replaced by Mn.

It

is

trapped

by the

hydroxyl group

of

p-hydroxyl thiophenol capping on

the

surface

of

CdS nanoparticles.

5. CONCLUSIONS

Significant surface influence

is

observed for nanoparticles. Chemical preparation

of

CdS nanoparticles ready for

spin-coating and LEDs made

of

CdS and CdS:Mn nanoparticles on Si substrates

are

described

in

detail.

EL

properties

are

investigated. Spectral shift

of

free exciton transition due

to

passivation

of

p-hydroxyl thiophenol group around nanoparticles

is

discovered. Process modifications such

as

heat treatment and oxygen enrichment

are

influential

to

intrinsic green emission. P-hydroxyl thiophenol group

is

shown

to

have protection from diffusion

of

contaminants into nanoparticles,

but

cannot resist temperature deterioration above 400°C.

Radiative recombination

of

carriers trapped

in

surface states present and magnifies

itself as

long as extent

of

surface states increases. Ten times increase

of

emission intensity

is

observed

at

cryogenic temperature (1 5K), indicating

strong influence

of

surface traps due

to the

large surface area. Reduced thermal scattering also contributes to

enhancement

of

light emission

at

low temperature.

At

varied temperature,

the EL

spectrum

of

CdS nanoparticle remains

quite

the

same. Peak shift

is

compared with bulk bandgap shift and ascribed as effect

of

quantum confinement and surface configuration.

ACKNOWLEDGEMENTS

The authors acknowledge

the

support from National Science Council, ROC under

the

contract number NSC 90-2215-E-002 and NSC 90-2622-L002.

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quantum dots

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of

a

Surface Phenolic Quantum Dot ,"Chem. Mater.

9,

pp.2117-2122, 1997.

4.

B.G. Potter, Jr. and J.H. Simmons, "Quantum size effects

in

optical properties

of

CdS-glass composites," Phys. Rev. B

(9)

6661

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Fig.  1  Ratio  of  surface atoms  to  core atoms with respect to number  of  atoms along  radius
Fig. 3  :  Schematic  ofelectron  transport  and transition in  the  device.
Fig. 5: I-V curves ofdevices on  n-type  and p-type  Si.
Fig.  8:  The EL  Spectrum  of  CdS particles after heat  treatment.
+3

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