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Submitted on 1 Jan 1989

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Surface melting and crystal shape

P. Nozières

To cite this version:

P. Nozières. Surface melting and crystal shape. Journal de Physique, 1989, 50 (18), pp.2541-2550.

�10.1051/jphys:0198900500180254100�. �jpa-00211080�

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2541

Surface melting and crystal shape

P. Nozières

Institut Laue-Langevin, 156X, 38042 Grenoble Cedex, France (Reçu le 19 juin 1989, accepté le 26 juin 1989)

Résumé.

2014

Pour expliquer les expériences récentes de Heyraud et al. sur des cristallites de plomb, quelques spéculations sont avancées concernant l’effet de la fusion de surface sur la formation des facettes. Partant d’une facette non mouillée par le liquide, l’apparition de marches sur une surface vicinale peut induire le mouillage 2014 donc la fusion de surface. Le raccord de la facette aux parties

arrondies est alors anguleux. La taille de la facette et l’angle de raccordement dépendent de la température : diverses possibilités sont envisagées. Au-dessus de la fusion, une « lentille » liquide peut apparaître entre deux facettes sèches. Si on admet que la fusion de la facette n’est pas nucléée au contact de cette lentille, on peut calculer le domaine de stabilité d’une telle structure, autorisant la surchauffe du cristal observée expérimentalement.

Abstract. 2014 In order to explain recent experiments of Heyraud et al. on lead crystallites, some speculations are put forward concerning the effect of surface melting on facet formation. Starting

from a nonwetted facet, the appearance of steps on a vicinal surface can induce wetting 2014 hence

surface melting. The matching of the facet to round parts is then angular. Facet size and matching angle both depend on temperature : various possibilites are envisaged. Above melting, a liquid

« lens » may appear between two dry facets. Assuming that facet melting is not nucleated at the

contact with such a lens, one may calculate the stability of such a structure, thereby accounting for

the observed superheating of the crystal.

J. Phys. France 50 (1989) 2541-2550 15 SEPTEMBRE 1989,

Classification

Physics Abstracts

61.50J

-

68.20 - 68.45

Very recently, Heyraud et al. [1] were able to observe the equilibrium shape of small lead crystallites very close to the melting triple point. These beaùtiful in situ experiments provide a

harvest of unexpected results.

(i) The (111) facet is found to persist up to the triple point Tm. While at low temperatures the matching of the facet to the round parts is tangential, it becomes angular some 20 K below Tm. Moreover, the relative width of the facet increases as melting is approached.

(ii) Close to Tm, Rheed measurements provide unambiguous evidence of surface melting (the liquid layer is thick and it effectively screens the beam from the underlying substrate). It

is found that surface melting occurs on the round parts, but not on (111) facets. Put another way, the liquid wets the round part, but not the facet. Similar conclusions were reached for the (101) facet through shadowing techniques [2].

Article published online by EDP Sciences and available at http://dx.doi.org/10.1051/jphys:0198900500180254100

(3)

(iii) Non equilibrium octahedral crystals, made up of eight (111) facets separated by small

round parts, display clear superheating a very unusual feature in crystals. They may persist

several K above Tm.

The purpose of this brief note is to speculate on a qualitative explanation of these findings.

For simplicity, we consider only cylindrical crystals, characterized by their cross-section. The

analysis thus does not apply to real crystals, which have two curvatures. We believe that the main ideas are nonetheless the same : they are more evident in such a simple geometry.

1. A survey of surface melting.

Consider a planar solid-gas interface, and assume that a thickness f of liquid is molten. If

f is large, the energy Ex) of this molten layer may be written as

S = 7sv " ’Y sL - Y LV is the gain in surface energy upon melting : it is positive if the liquid

wets the solid. The bulk energy is H = P L 111 L - 1£ S 1, where is the free enthalpy per unit

mass of each phase and p L the specific mass of the liquid. H vanishes at the melting temperature Tm, and it is positive below Tm (the solid is more stable than the liquid). The last

term is, within a constant absorbed in S, the change in Van der Waals attraction due to

melting : the constant A is positive if p s > p L, the most usual situation.

Assume that H and S are positive. If we ignore the Van der Waals term, E(l) is depicted by

the full curve of figure 1 : a liquid layer of vanishing thickness appears at the surface. In such a case, the concept of two distinct interfaces is meaningless. A detailed description of the

interface profile is needed, based on a Landau-Ginzburg formulation. Such a calculation was

performed by Lipowski and Speth [3]. Basically, it acts to round off the cusp of

E (Q ) at f = 0, over a range qu d, the thickness of each interface. When H goes to zero, the minimum f * of E (f ) is controlled by the exponential tail of the Landau Ginzburg profile - as

a result f * - log H.

If we restore the van der Waals term, with A > 0, E(l) displays a minimum at f* = (2A/H)1/3. If H is large, f * is of order d, and a detailed description of the profile is again required. Close to melting, however, H is small and f * is large : a relatively thick liquid layer develops - the only feature we need for further discussion.

Fig. 1. - The extra energy E(l)ofa liquid layer of which f (i) Full curve : neglecting Van der Waals

interaction and interface broadening. (ii) Dotted curve : with a finite interface width (iii) Dot-dash

curve : with Van der Waals interaction (A > 0 ).

2. Crystal shape as an equilibrium of steps.

Whether surface molten or not, a crystalline interface is characterized by a net surface energy

y (corresponding to the minimum of E (f )) which is anisotropic. The resulting equilibrium

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2543

shape is then obtained through the Wulff construction. In the vicinity of a facet orientation

(taken as the origin of angles), it is convenient to describe the shape as a distribution of crystal

steps (height a), with a density n (x ) along the x crystal planes. The equilibrium shape then corresponds to the equilibrium of steps, subject on the one hand to a supercooling force, on

the other hand to their mutual interaction [4]. Let E (n ) be the surface energy per unit area

along the crystal plane (E = y /cos 0 ). In the vicinity of the facet orientation, we may expand

E

where yo is the facet surface energy, the energy of a single step, 0 /d2 the leading step interaction (whether statistical or elastic), etc. Such an expansion makes sense as long as the steps are well separated, i.e. if ne « 1, where e is the step width, of order ya2lB. When

n) > 1, E (n ) returns to the usual non singular angular dependence.

If the exchange with the vapour is easy, the supercooling force F is fixed by the vapour pressure : its work is the gain of energy upon freezing. Let 5pv be the departure from nominal

equilibrium at temperature T : then [4] :

If the crystal is isolated, F becomes a Lagrange multiplier that ensures mass conservation : it

can still be viewed as deriving from a fictitious 6pv.

In order to characterize step interactions, we note that a step has a local energy

It is thus subject to a force

which expresses the repulsion of its neighbours. Equilibrium is achieved if

It is easily shown that (1) is identical to the Wulff condition

where R is the radius of curvature of the interface, while

is the so-called « surface stiffness ».

Plotting E as a function of n is of course equivalent to plotting y as a function of 0. The advantage of such a representation (known as the « {3-plot ») is that it allows a simple analysis of the equilibrium shape. The steps may be viewed as « particles », with a

« compressibility » E". A given orientation is locally stable if Ex 0. If regions of the E (n ) plot have negative curvature, a « phase separation » ensues, obtained by the usual

double tangent construction (Fig. 2a) : 0 jumps from 61 to 02, the interface displaying an

angular point. Such a phase separation may also occur with the cusp at n = 0 = 0, as shown in

(5)

Fig. 2.

-

Formation of angular points at the interface ; (a) between two rough regions ; (b) between a

facet and around part.

figure 2b : the flat facet at 0 = 0 then goes into a round part with a finite orientation

0, : 1 the matching at facet edge is angular (Fig. 3), while it is tangential in the usual case in which Ex 0.

The equilibrium facet width 2 L * is such that the energy be stationary if a terrace is added

or suppressed at the facet. For tangential matching, one more terrace means a gain in bulk

energy 2 L * F, at the expense of two more steps with energy 2 0, hence

The facet size reflects the step energy. If the matching is angular, a is replaced by the slope of

the double tangent /3 (which is the real energy of the new step, taking account of step

interactions) : the facet is thus smaller than it would be for tangential matching (fi {3 ).

Fig. 3.

-

A flat facet with angular matching to its surroundings.

The result (3), obtained on physical grounds, follows also formally from (2). The cusp in

y (0 ) implies a function contribution to y" (6) equal to & (0 ) 2 a la. The Wulff equation

may thus be written as

Integrating across the singularity immediately yields the width Ax = 2 L * of the facet

-

hence (3). If the matching is angular, the real y (6) follows the double tangent up to

0, : /3 is replaced by e -

In conclusion, the equilibrium width 2 L * of the facet and its matching angle 6c to the round parts provide direct information of E(n) - hence on y (0).

3. Steps vs. surface melting.

We compare two extreme situations : (i) no surface melting at all, with a surface energy

YSy(6), and (ii) a sizeable surface liquid layer (which implies T very close to Tm), with a net

surface energy YSLV(o). If the liquid does not wet the facet, we have

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2545

Fig. 4.

-

Matching of a non wetting facet with a wetting round part.

We now argue that the step energy is much larger at a solid vapour interface than it would be for a solid-liquid interface : 13 sv > {3 SLV. As a result S (0 ) increases rapidly with 0, and it may well become positive for a reasonably small 6m: the curves Ysv(6) and YSLV(O) cross. Put

another way, starting from a non wetting facet, the larger step energy {3 sv may induce wetting

for a vicinal surface 8 > 6 m.

Before exploring its consequences, we discuss briefly the reasons for our statement. A solid vapour interface is abrupt, and the step is an atomic entity, with a width - a

-

hence /3 - ya. In contrast, a solid liquid interface is progressive : the solid periodicity « penetrates » into the liquid, over a distance d - may be a few atomic spacings. A step is simply a shift of

this transition region by an amount a : its width e in the x-plane will accordingly be large

-

and the step energy 8 - ’}’ a 2/ g will be small. The argument is valid as long as the interface is free to extend into the liquid, i.e. if the liquid width f is such that f » d - a condition which is met close enough to Tm (1).

If this situation holds, the E (n ) curve behaves as depicted in figure 4. The transition at n =,n. is actually rounded off, since at that point the width of the liquid layer is very small

(Sm = 0) : the (SV) and (SLV) configurations are hardly distinguishable, (SL) steps can no longer expand into the liquid and a microscopic treatment of the transition region is needed.

However, such a rounding does not affect an obvious consequence : the global E (n ) curve has

a downward convexity, and a double tangent may be drawn from the n = 0 cusp. The

matching of a non wetting facet with a wetting round part is necessarily angular. If the facet wets (So > 0), the whole Esv curve is above EsLv : the matching will then be usually tangential (although they may exist double hump EsLv curves yielding a finite 6e).

In practice, experiment provides only relative crystal shapes, since F is usually unknown.

Using the facet edge as a reference, we may infer from the round parts (n > ne) :

in which we have set

(1) One may even envisage a situation in which f3SLv = 0, i.e. the solid-liquid interface is above its

roughening transition, while the solid vapour interface is below. A proper description of such a situation implies a detailed treatment of thermal fluctuations, which control both the roughening transition and the wetting properties

-

see for instance [5].

-

(7)

Similarly the facet size L * gives access to the slope E’ (n ) at n = nc :

The shape of ESLv (n) for n:::- n, is thus determined, within an unknown additive constant.

The only other piece of information is the matching angle Oc, which would provide access to So is we could extrapolate ESLv below nc.

A naive approximation is to assume an isotropic ySL (which implies that steps at the solid liquid interface are completely washed out). Since the bulk and Van den Waals energies are independent of e, y sLV is a constant and

The round parts are circular with radius R (a test of such a simplification !), and moreover

The facet thus gives access to So - but of course it only senses the total ySLV (0 ).

In practice, the liquid solid interface is certainly anisotropic : a specific model is needed in order to extract So out of 6 c.

4. Température dependence of facets.

The facts to be explained are the growth of L* and 6 c as temperature approaches Tm, in a range of roughly 20 K below melting. The situation is here much less clear.

As a first try, one may assume that the shape of ysv (0 ) and YSLV( 6) does not change much

as temperature increases, the step energies 8 sv and 16 SLV being essentially constant in such a

narrow range of temperature. The only relevant evolution is that of So, which becomes

negative at some temperature Tc Tm (roughly Tc - 300 °C compared to Tm = 327 °C), and

which keeps going down as one approaches Tm. Since dy = - (T dT, where a is the surface entropy, such a behaviour implies asv > (T SL v. Such a simple model does in fact account for all experimental facts : the more negative So, the larger the slope of the double tangent (hence L *) and the larger the matching angle Oc.

Unfortunately, the assumption of a constant {3SLV is questionable. As the temperature is lowered, the thickness f * of the liquid layer narrows, and {3SLV should increase, ultimately approaching the step energy Ssv of a straight solid vapour interface. We may thus try the opposite view : So is essentially constant, but the slope /3sLv grows rapidly when

T is small enough for f * to be comparable to d (the width of the liquid solid interface). If this

view holds, the conclusions are reversed : the slope of the double tangent as well as 6 c should increase when T is lowered. Since the whole behaviour of {3 SL v ( 6) is changed the

effect on crystal shape is not obvious : it seems likely that a larger a implies a larger relative

facet width.

Experiment pleads for the first choice - and indeed it is not so clear that a SLV should

increase as temperature is lowered. For a vicinal surface with step density n, the surface energy acquires a contribution n{3 which depends on f through {3 : this extra f dependence

must be included, together with bulk and Van der Waals energies, in the minimisation that

determines f *. Since {3 decreases with increasing f, the minimum will be shifted to higher

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2547

£ *. If the step energy turns out to be larger than the Van der Waals term, it becomes the

leading factor in fixing f *, which basically will be d, just where /3 begins growing. In this picture, the step energy a SLV cannot grow much, since as soon as it does, it stops the decrease of f*. In the end the first picture may not be that stupid !

It is clear that these simple considerations are far too. naive. A proper treatment should account for thermal fluctuations of the two coupled interfaces : actually the condition asv > OSLV looks very queer ! Here, we want only to point the issue raised by experiment and

to suggest possible trends - the problem is definitely not settled.

5. Superheating of faceted crystals.

Consider a round part joining two facets that make an angle 2 a, fixed by the geometry. If the facets do not grow, their width is arbitrary, and the global shape is not the equilibrium shape.

The round parts may be very small

-

typically a radius R - 50 A - corresponding to a large

effective supercooling of the solid vapour transition. We want to study the shape of this round part as the temperature goes beyond Tm.

We assume that the liquid does not wet the facets, whose surface energy is ysv(0) = yo. On

the other hand, it does wet the round parts. In order to make the algebra as simple as possible, we make the simplifying assumption of an isotropic solid liquid interface : y sL and y Lv are taken as constant, with the condition

In practice, yLV is much larger than ysL (yLV = 0.46 JIm2, ysL roughly 10 times smaller).

The various phases in contact are characterized by the same chemical potential

g and temperature T. For two phases 1 and 2 we may define the relevant supercooling as the

difference of pressure p(g, T) :

(The phase 1 is more stable if ’P12 > 0.) We thus define ’PSL and ’PLV. The former global

« supercooling » force F is simply

Note that cp SL becomes negative above melting.

Suppose now for a moment that a finite liquid meniscus develops at the corner, as shown in figure 5. Within our isotropic assumption, the liquid-vapour and solid-liquid interfaces are

circles, with radii respectively R and R’, counted positive if the convexity is outward, negative

if it is inward. These radii are related to the corresponding supercooling :

The ratio R/R’ is thus fixed by thermodynamics :

(9)

Three cases are then possible

(i) x > 1 : the SL interface should extend beyond the LV interface, which is impossible : it

is consequently pressed upon upon it, forming a thin liquid film whose thickness is controlled

by other forces. This is the standard wetting situation, in which

(ii) 0 x 1 : then a finite liquid meniscus appears, with 1/R’ 1/R, both positive.

Presumably, the two surfaces join on the facet (Fig. 5), and the matching angles 0 and

8 ’ must be such as to respect force equilibrium at the junction A. Such a stationary state must

also be stable, in the sense that a small displacement of A must induce a restoring force opposite to the displacement. Note that in this regime we are still below melting : there is no

desire to melt the facet.

Fig. 5.

-

Possible formation of a liquid lens above Tm between two dry facets.

(iii) x - 0 : we enter the superheating region. There may exist a range where a stationary,

stable lens of liquid exists between the two facets, with opposite convexities. Then the liquid

will not proceed further inside the solid. However, another question remains : can this

« liquid lens » nucleate melting along the facet ? Returning to the notations of section 1, H and S are now negative : E(l) has a potential barrier, which must be overcome in order to

melt the facet. This will not happen spontaneously - but the liquid may creep from the corner A along the facet. Whether this occurs or not is unclear - an unambiguous answer would require a detailed treatment of the corner region, which is extremely complicated. The very fact that superheating is observed indicates that the corners A do not nucleate facet melting :

we will take it as granted, although admittedly this is a very questionable point. Superheating

is then controlled only by the stability of the liquid lens.

The algebra is now straightforward. Let h be the distance HA in figure 5, related to

R and R’ by the geometrical relationships

The two angles 0 and 0’ obey the dimensionless equation

The other equation is the balance of forces acting on A parallel to the facet (the only direction

in which A can move) :

(5) and (6) determine 0 and 0’ as a function of x.

(10)

2549

(i) For x > 1, we are forced to 0 = 8’ - 6 c’ given by

We recover the angular matching of section 3 ((7) is equivalent to the double tangent construction used previously).

(ii) If x 1, 9 and 0’ should be different : we can then write (6) as

In this form, it is clear that (8) has no solution if Oc = 0 : it is the angular matching to the facet

that makes possible the appearance o f a finite meniscus at the corner. As x decreases, 6 will be smaller, while 0’ grows. In the usual situation yLv > ysL, we may expand (8) as :

(iii) The stability of this stationary state requires that

the derivatives being taken at constant supercooling, i.e. at R and R’ constant. (10) reduces to

Since 9 > a, the second term is destabilizing, while the first one, due to the LV interface, is stabilizing. The stationary lens becomes unstable when

In the usual case yLV > ysL, (11) means 0 = a + -u /2, i.e. a LS interface which is a half circle. Beyond that threshold, the liquid invades the bulk. Such a conclusion is hardly surprising. (11) is in fact a refinement valid if yLV and ysL are comparable.

We have thus shown that a liquid meniscus can persist above melting, up to a threshold

given by (11), based on geometrical arguments. It remains to translate this threshold into

physical variables

-

namely up to which temperature can an interface of radius R be stable ? It is convenient to use the triple point as the origin ; instead of (J..L, T) we take as independent

variables the liquid pressure correction 5 PL and 5 T. The Gibbs Duhem equation yields

Since cp Lv and (PSL are related to R and R’, we can obtain the temperature 8 T at which a

given geometry (R, R’ ) occurs :

(11)

in which £ is the melting latent heat). A finite liquid meniscus appears when R = R’ = Rc,

hence at

For lead the last term is dominant : 8 Tl is negative. For the equilibrium crystals studied previously, R was - 1 IL, yielding 6 Tl - 0.04 K : the effect is not observable. For the non

equilibrium octahedral crystals, R is - 50 Â : 8 Tl is much larger.

In order to obtain the stability limit 8 T2, we need to calculate the radii R and R’ at threshold (the two terms of (13) have the same sign). Qualitatively, R - 50 A implies 8 T2 ’" 30 K, much larger than the observed superheating - 3 K. The reason for this discrepancy is not clear. It may well happen that the stability is limited by facet melting at the

contact A with the round parts, which for some unknown reason would have to overcome a

small potential barrier. The issue remains open.

Conclusion.

This note raises more questions than it answers. The only firm result is the statement that a

dry facet matches with a wet round part at a finite angle Oc. The temperature dependence of (J c and of facet width remains controversial. Experiments seem to be explained by a model in

which the facet would « surface melt » when the temperature is lowered some 20° below Tm. This is indeed a very queer assumption. (Usually, melting occurs upon heating !). Before exploring more « realistic » models, an experimental test of that feature would be desirable.

We have also shown that angular matching allows the appearance of a finite liquid lens at

the corner between two dry facets. In principle, such a lens can persist in a finite region above Tm, i f the contact with the facets does not initiate melting of the latter (which much overcome

a potential barrier). Here again, such an assumption looks queer

-

but we must face the

experimental fact : superheating is observed. The estimated superheating 8 T2 is too large :

the mechanism that limits metastability of the solid remains mysterious.

Acknowledgments.

The author wants to express his gratitude to J. J. Metois and J. C. Heyraud, who drew his attention to this problem. Needless to say, they bear no responsibility in the speculations put forward here.

References

[1] HEYRAUD J. C., METOIS J. J., BERMOND J. M., J. Cryst. Growth (in press).

[2] PLUIS B., DENIER VAN DER GON A. W., FRENKEN J. W. N., VAN DER VEEN J. F., Phys. Rev. Lett.

59 (1987) 2678.

[3] LIPOWSKI R., SPETH W., Phys. Rev. B 28 (1983) 3983.

[4] UWAHA M., NOZIÈRES P., Proceedings of the 1985 Oji Seminar on Morphology and Growth Unit of

Crystals, I. Sunagawa Ed. (Terra Scientific Publishing, Tokyo).

[5] LIPOWSKI R., Phys. Rev. B 32 (1985).

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