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JOURNAL OF APPLIED PHYSICS 104, 013511 共2008兲

Role of elastic anisotropy in evolution of microstructure and texture in


orthorhombic YBa2Cu3O7−␦ thin film deposits
Sung Bo Lee,1,a兲 Rock-Kil Ko,2 Kyu-Jeong Song,2 Doh-Yeon Kim,1 Fritz Phillipp,3 and
Dong Nyung Lee1
1
School of Materials Science and Engineering, Seoul National University, Seoul 151-744, Republic of Korea
2
Korea Electrotechnology Research Institute, Changwon 641-120, Republic of Korea
3
Max-Planck-Institut für Metallforschung, Heisenbergstrasse 3, 70569 Stuttgart, Germany
共Received 3 March 2008; accepted 23 April 2008; published online 7 July 2008兲
We have investigated the microstructure of YBa2Cu3O7−␦ films deposited on SrTiO3共100兲 by pulsed
laser deposition and then postdeposition annealed in the temperature range between 200 and
400 ° C. By postdeposition annealing, in the matrix oriented with the c-axis normal to the substrate
surface, domains oriented with the c-axis parallel to the surface are nucleated and grown in the
crystalline solid state, revealing the rectangular shape or the network structure. Strain energy
minimization calculated based on the elastic anisotropy of the orthorhombic YBa2Cu3O7−␦ favors
the development of the domains and their anisotropic growth shape. © 2008 American Institute of
Physics. 关DOI: 10.1063/1.2949693兴

I. INTRODUCTION It is noted that, in view of lattice constant matching at


the film/substrate interface, the a-axis orientation is preferred
The YBa2Cu3O7−␦ 共YBCO兲 superconducting material, and the c-axis one is favored from the viewpoint of the sur-
having an orthorhombic structure with room temperature lat- face energy minimization.10 However, the development of
tice parameters of a = 0.382 nm, b = 0.389 nm, and c the a-axis orientation on top of the c-axis one7,8 indicates
= 0.117 nm, reveals high anisotropy of the electric proper- that the a-axis orientation is not simply determined by the
ties, which is known to arise from its structure, and thus lattice constant matching. In the present study, we suggest
different applications may be satisfied by different orienta- that the a-axis orientation develops through the minimization
tions of YBCO thin films. The deposition of films with the of the strain energy in elastically anisotropic films of the
c-axis normal to the film surface 共c-axis film兲 is required for orthorhombic YBCO. Results from YBCO films deposited
excellent current transport properties because the critical cur- on SrTiO3共100兲 by pulsed laser deposition and then post-
rent density along the ab planes is known to be much higher deposition annealed in the temperature range between 200
than that perpendicular to the planes.1,2 However, because of and 400 ° C are presented. After the postdeposition anneal-
the very short superconducting coherence length along the ing, interestingly, in the c-axis oriented matrix 共or simply the
c-axis,3 the a-axis films 共oriented with the c-axis parallel to c-axis matrix兲, the a-axis oriented domains 共or simply the
the surface兲 will be better for applications to Josephson and a-axis domain兲 form, revealing a rectangular shape or a
tunneling devices. rectangular-network structure. That is, the texture transition
For the YBCO film mainly deposited on SrTiO3共100兲, occurs in the crystalline solid state. The elastic anisotropy of
the a-axis orientation 共the a-axis direction normal to the sur- the YBCO also explains the anisotropic growth shape of the
face and hence the c-axis direction parallel to the surface兲 a-axis domains consistently.
and the c-axis orientation 共the c-axis direction normal to the
surface兲 are competing, with the a-axis orientation dominat-
ing with decreasing substrate temperature.4–6 Aside from the II. EXPERIMENTAL
substrate temperature, a change in film thickness is reported The 200-nm-thick YBCO films were deposited on a
to control the texture of the deposited YBCO film.7–9 The SrTiO3共100兲 substrate by a pulsed laser deposition with a
volume fraction of the a-axis orientation increases with in- base pressure of 5 ⫻ 10−6 Torr. The substrate temperature
creasing film thickness.7–9 The a-axis oriented grains in the was 780 ° C. The oxygen partial pressure in the chamber was
c-axis oriented matrix were observed to have rectangular 200 mTorr. After deposition, they were heated to 500 ° C at a
shapes.7,8 The anisotropic shape was attributed to the growth heating rate of 15 ° C / min in 1 atm of oxygen, maintained at
rate normal to the c-axis direction of the a-axis oriented the temperature for 1 h, cooled to 200 ° C at 10 ° C / min, and
grains being much higher than that parallel to the c-axis then removed from the furnace. The films were additionally
direction.8 Observations in the literature4–9 suggest that the annealed at 200 ° C for 12 h, 300 ° C for 6 h, or 400 ° C for
understanding of the temperature and thickness dependence 3 h also in oxygen atmosphere. The heating rate was
is critical for successful device applications. However, the 25 ° C / min and, after annealing, the films were fast cooled to
origins of the dependence and the anisotropic shape of the room temperature by opening the door of the furnace and
a-axis grains remain unexplored. then taking them out. All the postdeposition annealed films
exhibited sharp resistivity transitions with Tc at about 90 K.
a兲
Electronic mail: bolee@snu.ac.kr. The high-resolution transmission electron microscopy

0021-8979/2008/104共1兲/013511/5/$23.00 104, 013511-1 © 2008 American Institute of Physics

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013511-2 Lee et al. J. Appl. Phys. 104, 013511 共2008兲

FIG. 1. Plan-view TEM images of 共a兲 the YBCO film


postdeposition annealed at 500 ° C and of the postdepo-
sition annealed film after annealing at 共b兲 400 ° C and
共d兲 200 ° C. In 共a兲, for convenience’ sake, only some of
many twin boundaries appearing in the figure are indi-
cated by arrows. 共c兲 is an HRTEM image taken from
the film annealed at 400 ° C. In the low magnification
images 共b兲 and 共d兲, the c-axis directions in the a-axis
domains are indicated by white arrows.

共HRTEM兲 was carried out using the JEOL JEM-ARM1250 is also apparent that the volume fraction of the a-axis do-
operated at 1.25 MV with 0.12 nm point-to-point resolution. mains increased and their aspect ratio decreased with anneal-
In analyzing TEM results, the a- and c-axis directions were ing temperature.
distinguished from each other. However, since the YBCO
structure is known to be heavily twinned,11,12 the a- and IV. DISCUSSION
b-axis directions were not distinguished from each other, and
hence the orientation of grains whose c-axis directions are The initial YBCO films deposited on the substrate at
parallel to the surface is referred to as the a-axis orientation. 780 ° C possibly had a tetragonal structure with the c-axis
direction normal to the film surface because the substrate
temperature is above the tetragonal-orthorhombic transition
III. RESULTS temperature, about 700 ° C at ⬃1 atm of oxygen. The sub-
strate temperature of 780 ° C is thought to be high enough to
The plan-view TEM images from the YBCO annealed at activate volume diffusion of the deposit, and so the orienta-
500 ° C and from those annealed at 500 ° C and subsequently tion of the deposit could be dominated such that the mini-
annealed at 400 ° C or 200 ° C are shown in Fig. 1. The film mum surface-energy plane of the film is parallel to the film
annealed at 500 ° C was c-axis oriented and revealed many surface.13 The minimum surface-energy plane of tetragonal
twin boundaries 关Fig. 1共a兲兴. However, in the film annealed at YBCO is not known. On the other hand, the minimum
500 ° C and subsequently annealed at 400 ° C for 3 h, as surface-energy plane of superconducting orthorhombic
shown in Fig. 1共b兲, the a-axis domains developed in the YBCO is known to be the 共001兲 plane.10 A slight difference
c-axis matrix. The a-axis domains assumed a rectangular in structure between the two phases leads us to suppose that
shape and in some areas two domains met each other at 90°. the tetragonal YBCO has the minimum surface energy along
The selected area diffraction pattern 共inset兲, whose zone axis the 共001兲 plane. The c-axis orientation could be inherited to
was nearly parallel to the c-axis direction of the matrix orthorhombic YBCO deposits after annealing at 500 ° C for
共关001兴兲, included both an a-axis domain and the c-axis ma- 1 h in oxygen in agreement with the observed result 共Fig. 1兲.
trix within the selected area indicated by “O.” Two extra However, when the c-axis YBCO deposits were an-
spots between the fundamental reflections arose from the nealed at 400 or 200 ° C, the a-axis domains developed in
a-axis domain, the d spacing between the nearest spots cor- the c-axis YBCO matrix, as already mentioned. This is con-
responding to the interplanar spacing of the 共001兲 planes tradictory to the surface-energy minimization criterion. We
共1.17 nm兲. The pattern indicates that the long edges of the attribute the evolution of the a-axis domains to the strain
a-axis domains are parallel to their 共001兲 planes and run energy developed in the deposits during cooling from the
along the a-axis direction of the c-axis matrix. The c-axis deposition temperature and the postdeposition heat treat-
direction of the a-axis domains is indicated by arrows. The ments. Since the thermal expansion coefficient of YBCO
plan-view HRTEM image of two a-axis domains meeting 共13.4⫻ 10−6 / K兲 共Ref. 14兲 is higher than that of SrTiO3 共11
each other at 90° 关Fig. 1共c兲兴 clearly shows the interplanar ⫻ 10−6 / K兲 共Ref. 14兲, the YBCO film would be tensile
spacing of the 共001兲 planes, d = 1.17 nm. After annealing at stressed when cooled from the elevated temperatures. An-
200 ° C, the a-axis domains formed a clear network struc- other source of stress is a possible temperature gradient be-
ture, as shown in Fig. 1共d兲, and the width of the a-axis do- tween the substrate/film interface and the film surface. Actu-
mains was approximately 150 nm, which is smaller than that ally, Westerheim et al.15 measured the temperature of the
of the specimen annealed at 400 ° C 共280 nm on average兲. It surface of a 200-nm-thick YBCO film grown on LaAlO3 to

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013511-3 Lee et al. J. Appl. Phys. 104, 013511 共2008兲

be lower than the substrate temperature of 750 ° C by nearly


5 ° C. The substrate temperature and the film thickness are
similar to those used in the present study. In this case, the
tensile stress develops in the colder region of the film. If
other conditions are the same, the thicker films are likely to
develop the higher stress.
To consider the evolution of the a-axis domains in terms
of the strain energy minimization, we need to calculate
Young’s moduli along the a-, b-, and c-axis directions. The
elastic compliances of orthorhombic YBCO crystals are as
FIG. 2. 共Color online兲 Tensile direction x⬘1 on the 共001兲 plane normal to the
follows: S11 = 0.006 147, S22 = 0.005 614, S33 = 0.013 029, c-axis.
S12 = −0.000 779, S13 = −0.004 489, S23 = −0.004 285, S44
= 0.016 393, S55 = 0.021 277, and S66 = 0.010 309 共in
GPa−1兲.16 1
= cos4 ␥S11 + sin4 ␥S22 + cos2 ␥ sin2 ␥共2S12 + S66兲.
With reference to the nonzero compliance components E共001兲
for the orthorhombic YBCO,16 Young’s modulus E is given
共2兲
by
The first and the second derivatives of Eq. 共2兲 yield that
1 / E共001兲 = S11 = 0.006 147 GPa−1 is a maximum value or
4
1/E = a11 4
S11 + a12 4
S22 + a13 2 2
S33 + a11 a12共2S12 + S66兲 E共001兲 = Ea = 162.7 GPa is a minimum value at ␥ = 0°. Like-
2 2
+ a11 a13共2S13 + S55兲 + a12
2 2
a13共2S23 + S44兲, 共1兲 wise, E共001兲 = Eb = 178.1 GPa is another minimum value at
␥ = 90°, and E共001兲 = 195.91 GPa is the maximum value at ␥
= ⫾ 50.1°. It is noted that two minimum Young’s moduli are
where a1i are the direction cosines between the tensile direc-
obtained at 0° and 90°, and one maximum Young’s modulus
tion x1⬘ and the symmetry axes xi of crystal 共Appendix兲.
at 50° within the range of 0 to 90°. Table I gives Young’s
Let the symmetry axes a, b, and c of the orthorhombic
modulus as a function of angle ␥. The average Young’s
YBCO crystal be x1, x2, and x3. For the x3 tension, a11 = a12
modulus along the 共001兲 plane calculated using the data in
= 0 and a13 = 1. Therefore, for the YBCO crystal, Ec = E关001兴
= 76.75 GPa. Similarly, Eb = 178.1 GPa and Ea = 162.7 GPa. Table I is Ē共001兲 = 183 GPa. The average Young’s modulus
In fact, Ec = 76.75 GPa is the minimum Young’s modulus, along the 共hkl兲 plane was calculated using the following
and hence the c-axis direction is parallel to the minimum equation: Ē共001兲 = 共2 / ␲兲兰0␲/2E共001兲共␪兲d␪. The definite integral
Young’s modulus direction 共see Appendix兲. can be numerically evaluated using the trapezoidal rule. The
A thin crystalline deposit is approximated to be under maximum deviation of Young’s modulus is less than 13%
the plane stress state 共stress in the thickness direction is neg- 关共196− 163兲 / 183= 0.125兴. Therefore, elastic properties along
ligible compared with planar stresses兲 when the thickness is the 共001兲 plane can be approximated to be isotropic.
far shorter than planar dimensions. Likewise, the YBCO de- We calculate the strain energy of a cube whose edge has
posit on the SrTiO3 substrate is under the plane stress state. unit length in the c-axis YBCO deposit. Since the deposit is
If the stress state of YBCO deposit is mainly controlled by under plane stress 共␴3 = 0兲, equibiaxial strain 共␧1 = ␧2 = ␧兲
differences in the thermal expansion coefficient of the de- 关Fig. 3共b兲兴, equibiaxial stress 共␴1 = ␴2 = ␴兲 state, the strain
posit and substrate, the stress state of YBCO deposit will be energy of the cube w1 is given by
determined by the thermal characteristics of the thick SrTiO3
substrate. Since the thermal expansion coefficient of SrTiO3
w1 = 21 共␴1␧1 + ␴2␧2兲 = ␴␧ = Ē共001兲␧2 , 共3兲
is known to be isotropic, the YBCO deposit is under the
plane stress, equibiaxial strain state. If YBCO is elastically
isotropic along the 共001兲 plane, the c-axis YBCO deposit where ␴i and ␧i are stress and strain in xi direction along the
under the plane stress, equibiaxial strain state also satisfies 共001兲 plane 关Fig. 3共a兲兴. It is noted that ␴i and ␧i are the
the equibiaxial plane stress.17 principal stresses and strains because the deposit is approxi-
In order to see if YBCO is elastically isotropic along the mately elastic-isotropic along the 共001兲 plane.
共001兲 plane, we calculate Young’s modulus along various Now the cube is replaced by another cube of the same
directions parallel to the 共001兲 plane of YBCO, that is, we YBCO with a different orientation and strained in the same
calculate Young’s modulus along x1⬘ on the 共001兲 plane as way as before. Young’s modulus along both the edge of the
shown in Fig. 2. Setting a11 = cos ␥, a12 = cos共␲ / 2 − ␥兲 new cube and the deposit surface must be Ē共001兲. Let the
= sin ␥, and a13 = 0 in Eq. 共1兲, we obtain Young’s modulus along the deposit surface and normal to

TABLE I. Young’s modulus 共GPa兲 as a function of angle ␥ 共deg兲 along the 共001兲 plane.

␥ 0 10 20 30 40 45 50 60 70 80 90

E共001兲 163 166 173 184 192 195 196 193 186 181 178

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013511-4 Lee et al. J. Appl. Phys. 104, 013511 共2008兲

strain energy minimization is likely to determine the film


orientation. The elastic anisotropy of the orthorhombic
YBCO suggests that, to decrease the strain energy, the a-axis
orientation should be evolved, explaining the previous re-
ports on the temperature dependence.4–6

FIG. 3. 共Color online兲 共a兲 A cube whose edge has unit length in the c-axis V. CONCLUDING REMARKS
YBCO deposit for the calculation of the strain energy per unit volume. 共b兲
Young’s modulus along the 共001兲 plane is Ē共001兲. 共c兲 Now the cube is re- In summary, the strain energy minimization leads to the
placed by another cube of the same YBCO with a different orientation. nucleation and growth of the a-axis domain and its aniso-
Young’s modulus along both the edge of the new cube and the deposit tropic shape. It explains consistently the thickness and tem-
surface must be Ē共001兲. Let the Young’s modulus along the deposit surface perature dependence of the texture evolution previously re-
and normal to Ē共001兲 be E. ported. Our results suggest that the elastic anisotropy of the
orthorhombic YBCO should be considered as an important
Ē共001兲 be E. 关see Fig. 3共c兲兴. Then the strain energy of the cube factor in controlling the morphology and texture of the depo-
sition structure.
becomes w2 = 21 共Ē共001兲 + E兲␧2. The strain energy released by
the replacement process is thus

⌬w = w1 − w2 = 21 共Ē共001兲 − E兲␧2 . 共4兲 ACKNOWLEDGMENTS

The strain-energy release ⌬w can be maximized when E is We thank Ms. Ute Salzberger for the TEM specimen
the lowest. The lowest value of E is Ec. In other words, the preparation. The help at the ARM of Mr. Rainer Höschen is
strain-energy release can be maximized when Ec of the sub- acknowledged. This work was supported by the Korea Re-
stituted cube is parallel to the deposit surface or, in other search Foundation Grant funded by the Korean Government
words, a-axis-oriented domains form in the c-axis matrix 共MOEHRD兲 共KRF-2007-314-D00107兲.
关Fig. 3共c兲兴.
When the a-axis and b-axis of the c-axis YBCO are par-
allel to the a-axis and b-axis of the substituted cube, the APPENDIX: ELASTIC ANISOTROPY OF
boundary energy between the c-axis YBCO matrix and the ORTHORHOMBIC YBa2Cu3O7
new cube will be minimized, resulting in the evolution of
rectangular grains shown in Fig. 1. However, the growth rate The elastic compliance matrix of YBCO crystals with
of the new grains depends on their elastic anisotropy. The orthorhombic symmetry is given by

冤 冥
metastable high-energy matrix is subjected to the higher S11 S12 S13 0 0 0
strain energy in the higher Young’s modulus directions of the
stable low-energy grains, resulting in the higher growth rate S12 S22 S23 0 0 0
along the higher Young’s modulus direction.18,19 This is the S13 S23 S33 0 0 0
. 共A1兲
reason why the low energy grains have longer dimensions in 0 0 0 S44 0 0
the Ē共001兲 direction than that in the Ec direction as shown in 0 0 0 0 S55 0
Fig. 1 and as previously observed.7,8
0 0 0 0 0 S66
The larger aspect ratio of the low energy grains devel-
oped during annealing at 200 ° C than that developing at Compliances of orthorhombic YBCO crystals are as fol-
400 ° C can be attributed to the higher elastic anisotropy at lows: S11 = 0.006 147, S22 = 0.005 614, S33 = 0.013 029, S12 =
the lower temperature. The lower volume fraction of the −0.000 779, S13 = −0.004 489, S23 = −0.004 285, S44
grains developing at 200 ° C is due to the lower atomic mo- = 0.016 393, S55 = 0.021 277, and S66 = 0.010 309 共in
bility. GPa−1兲.16
At relatively high temperatures, the lattice diffusion is so If calculating the Young’s modulus E along the arbitrary
high that the strain energy cannot dominate the film energy, direction, x1⬘ can be calculated using the following relation:
and the surface energy minimization determines the film
⬘ ,
E = 1/S1111 共A2兲
texture,6,13 resulting in the c-axis orientation because the
minimum surface plane is along the ab plane or the 共001兲 ⬘ is expressed in terms of the com-
where the compliance S1111
plane.10 On the other hand, as temperature decreases, the pliances Sij referred to the symmetry axes of the crystal.
strain energy increasingly dominates the film energy and the From the transformation law,

TABLE II. Subscripts in tensor notation vs those in contracted notation.

Tensor 11 22 33 23 or 32 13 or 31 12 or 21

Contracted 1 2 3 4 5 6

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013511-5 Lee et al. J. Appl. Phys. 104, 013511 共2008兲

⬘ = a1ia1ja1ka1lSijkl
S1111 共A3兲 ⬘ = a11
1/E = S1111 4 4
S11 + a12 4
S22 + a13 2 2
S33 + a11 a12共2S12 + S66兲
The compliances 共in the tensor notation兲 Sijkl in the above 2 2
+ a11 a13共2S13 + S55兲 + a12
2 2
a13共2S23 + S44兲, 共A6兲
equation are converted to the contracted notation Smn accord-
ing to Eq. 共A4兲 and Table II. where E is Young’s modulus.
Let the symmetric axes a, b, and c of the orthorhombic
pSijkl = Smn with ij = m and kl = n, 共A4兲 YBCO crystal be x1, x2, and x3. For the x1 tension, a11 = a12
where = 0 and a13 = 1. Therefore, for the orthorhombic YBCO crys-
tal,
p = 1 when both m and n are 1,2 or 3 共S1111
⬘ 关001兴 = S33 = 0.01303 GPa−1 or Ec = 76.75 GPa.
S1111
= S11, S1122 = S12 ¯兲,
Similarly,
p = 2 when either m or n is 1,2 or 3 共2S1123
⬘ 关010兴 = S22 = 0.005614 GPa−1 or Eb = 178.1 GPa.
S1111
= S14, 2S1113 = S15 ¯兲,
⬘ 关100兴 = S11 = 0.006147 GPa−1 or Ea = 162.7 GPa.
S1111
p = 4 when both m and n are 4,5 or 6 共4S1223
= S64, 4S1212 = S66 ¯兲, 1
T. R. Dinger, T. K. Worthington, W. J. Gallagher, and R. L. Sandstrom,
Phys. Rev. Lett. 58, 2687 共1987兲.
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4
S1111 J. Geerk, G. Lnker, O. Meyer, F. Ratzel, J. Reiner, J. Remmel, T. Kröner,
R. Henn, S. Massing, E. Brecht, B. Strehlau, R. Smithey, R. L. Wang, F.
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5
+ a12a12a12a12S2222 + a12a12a13a13S2233 A. Cassinese, A. Di Chiara, F. M. Granozio, S. Saiello, U. S. di Uccio, and
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+ a13a13a11a11S3311 + a13a13a12a12S3322 6
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+ a12a13a13a12S2332 + a13a12a12a13S3223 8
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10
F. M. Miletto-Granozio and U. S. di Uccio, J. Cryst. Growth 174, 409
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11
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12
S. Horiuchi and A. Ono, Interface Sci. 2, 239 共1994兲.
+ a12a11a12a11S2121 , 共A5兲 13
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14
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15
where a1i are the direction cosines with the subscripts 1 and A. C. Westerheim, A. C. Anderson, and M. J. Cima, Rev. Sci. Instrum. 63,
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16
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crystal, respectively. 17
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Taking into account that S21 = S12, S31 = S13, and S32 = S23, 18
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Eq. 共A5兲 reduces to 19
D. N. Lee, Adv. Mater. Res. 26–28, 623 共2007兲.

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