Phase stability analysis of the InAs/GaAs (001) wetting layer from first principles

Abstract

The large atomic-size mismatch between In and Ga and the large lattice-mismatch strain between InAs and GaAs make the InAs/GaAs (001) growth interface a complex alloy system, the understanding of which can enhance control of device synthesis and nanostructure self-assembly. We present a detailed first-principles analysis of the full progression of surface reconstructions observed on the InAs/GaAs(001) wetting layer during early stages of In deposition. We use systematic techniques to identify the most likely surface reconstruction prototypes of the InAs wetting layer on GaAs(001) using density functional theory (DFT) and then develop several cluster expansion Hamiltonians in order to thoroughly explore surface alloy disorder due to species substitution of In, Ga, and As at the surface. We use these results to construct a first principles 0-K surface phase diagram of the InAs wetting layer on GaAs(001) and test the sensitivity of our predicted phase diagram to DFT approximations and convergence errors. We find two alloy configurations of the $(4\ifmmode\times\else\texttimes\fi{}3)$ structural prototype that are likely ground-state surface reconstructions, and simulated scanning tunneling micrographs (STM) of these reconstructions indicate that they can explain prominent features of experimentally obtained STM of the InAs/GaAs $(4\ifmmode\times\else\texttimes\fi{}3)$ surface.