Self-Assembled QD physics for SOA fabrication

Carlos Janer Jiménez

Profesor Titular de Universidad
Departamento de Ingeniería Electrónica
Escuela Superior de Ingenieros
Universidad de Sevilla
Camino de los Descubrimientos s/n 41092 Sevilla. Spain
email:janer@zipi.us.es
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
3. SAQD electronic properties
4. Carrier relaxation and dephasing
5. Optical properties
6. Rate equations
7. Conclusions
 Self-Assembled QD physics for SOA fabrication

1. Introduction
• InAs/GaAs QD self-organization
• Capping and stacking
• Simple (incorrect) picture
• Why it fails
• Bibliography
2. SAQD structural properties
3. SAQD electronic properties...
Self-Assembled QD physics for SOA fabrication
Self-Assembled QD physics for SOA fabrication
Self-Assembled QD physics for SOA fabrication
Self-Assembled QD physics for SOA fabrication
 Self-Assembled QD physics for SOA fabrication

1. Introduction
• InAs/GaAs QD self-organization
• Capping and stacking
• Simple (incorrect) picture
• Why it fails
• Bibliography
2. SAQD structural properties
3. SAQD electronic properties...
Self-Assembled QD physics for SOA fabrication
Self-Assembled QD physics for SOA fabrication

The stacking process may produce a slight anisotropy!

 Self-Assembled QD physics for SOA fabrication

1. Introduction
• InAs/GaAs QD self-organization
• Capping and stacking
• Simple (incorrect) picture
• Why it fails
• Bibliography
2. SAQD structural properties
3. SAQD electronic properties...
 Self-Assembled QD physics for SOA fabrication
● Simple picture:
– Island shape and size are statistically determined by
thermodynamic equilibrium (minimum free energy). Wrong!
– InAs and GaAs do not mix during island nucleation. Wrong!
– Capping does not affect shape, size and composition. Wrong!
– Confined carriers' wavefunctions do not overlap. Right!
● Therefore:
– Islands' shape are deduced.
– Strain and stress tensor distributions are calculated.
– Carrier energy levels and wavefunctions can be derived.
– Relaxation and pure dephasing times are also calculated.
● The SAQD optoelectronic properties may be obtained: Everythig
strongly depends on shape, size and composition. Even if our picture were
right the deduced results would be wrong! (very sensitive to slight deviations)
 Self-Assembled QD physics for SOA fabrication

1. Introduction
• InAs/GaAs QD self-organization
• Capping and stacking
• Simple (incorrect) picture
• Why it fails (apart from sensitivity):
• Some processes are kinematically forbidden -->
Fabrication conditions (T, As pressure, growth
interrupts, ...) critically change size, shape, strain and
In content --> Everything (energy levels, relaxation
times, ...) depends strongly on them.
• Capping changes shape and composition.
• Bibliography...
Self-Assembled QD physics for SOA fabrication

1. Introduction
• ...
• Why it fails
• Bibliography (Review books)
• “Self-Assembled Quantum Dots”, Springer,
2008. Z.M. Wang (Editor)
• “Semiconductor Nanostructures”, Springer,
2008. D. Bimberg (Editor)
• “Handbook of Self Assembled Nanostructures
for Novel Devices in Photonics and Electronics”,
Elsevier, 2008. M. Henini (Editor)
• “Quantum Dot Lasers”, Oxford University Press,
2003. Ustinov et al.
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
3. SAQD electronic properties
4. Carrier relaxation and dephasing
5. Optical properties
6. Rate equations
7. Conclusions
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
• Fabrication methods: MBE and MOCVD
• Metrology (how do you see a QD?)
• Reciprocal space (RHEED, XRD)
• Real space (TEM, AFM, STM, XSTM)
• Thermodynamics and kinematics
• SAQDs shapes
• Uni-Bi-Multi-modal size/shape distribution?
• Indium and strain distribution
• Capping and stacking
 Self-Assembled QD physics for SOA fabrication

Molecular Beam Epitaxy: widely used in QD laser fabrication

 Self-Assembled QD physics for SOA fabrication

Metal Organic Chemical Vapor Deposition: good scalability to

high volume production.
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
• Fabrication methods: MBE and MOCVD
• Metrology (how do you see a QD?)
• Reciprocal space (RHEED, XRD)
• Real space (TEM, AFM, STM, XSTM)
• Thermodynamics and kinematics
• SAQDs shapes
• Uni-Bi-Multi-modal size/shape distribution?
• Indium and stress-strain distribution
• Capping and stacking
Self-Assembled QD physics for SOA fabrication

RHEED: On-line surface quality monitoring (MBE)

 Self-Assembled QD physics for SOA fabrication

STM and XSTM: Pyramids? Lenses? Depends on fabrication? Very likely!

Islands are far to small. It is difficult to tell what the shapes are like.
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
• Fabrication methods: MBE and MOCVD
• Metrology (how do you see a QD?)
• Thermodynamics and kinematics
• SAQDs shapes
• Uni-Bi-Multi-modal size/shape distribution?
• Indium and strain distribution
• Capping and stacking
 Self-Assembled QD physics for SOA fabrication

GaAs, InAs: zinc-blende structure. Growth direction: [001]

 Self-Assembled QD physics for SOA fabrication

● Driving process: relaxation from surface --> 3D-islands (diluted)

● Situation to be avoided: Ostwald ripening (large islands)
● Fisland(L)=ΔFelastic(L)+ΔFsurface(L)+ΔFedges(L) dF/dL=0 --> optimal size?

● α=ΔFsurface(L)/ΔFedges(L) if α<1 --> optimal size! narrow distribution!

 Self-Assembled QD physics for SOA fabrication

• This simple thermodinamically controlled growth

process does not describe reallity:
• Some equilibrium processes are kinematically forbidden
• Therefore, fabrication conditions critically change size,
shape, strain and In content .
• Energy levels, relaxation times, ... strongly depend on
them.
• Capping changes shape, strain distribution, In content ...
 Self-Assembled QD physics for SOA fabrication
Reported shapes (before capping):
● Pyramids
● Truncated pyramids
● Lenses (easier to work with? --> suported by AFM)
● Truncated cones (easier to work with than truncated lenses?)
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
• Fabrication methods: MBE and MOCVD
• Metrology (how do you see a QD?)
• Thermodynamics and kinematics
• Uni-Bi-Multi-modal size/shape distribution?
• Indium and strain distribution
• Capping and stacking
 Self-Assembled QD physics for SOA fabrication

● Reported size and shape distributions:

– Monomodal (most papers)
– Bimodal --> only at small InAs coverage? Ostwald ripening?
It does not look like it. Both MBE and MOCVD.
– Multimodal --> truncated pyramids (shape). Multimodal
distribution related by some authors (Pohl et al.)
to size quantisation. MOCVD. Could they be
wrong?--> many interlevel e-h recombinations?
Not very likely!
● Applications:
– QDL: Monomodal distribution should be favored!
– QDSOAs: Multimodal distribution should be favored!
 Self-Assembled QD physics for SOA fabrication

● Quantum dot ensembles' characteristics (shape, size, surface

density...) depend very strongly on:
– Deposition temperature 400ºC<T<520ºC (MBE)
– Arsenic pressure
– Growth interruptions
– InAs deposition rate
● Quantum dot ensambles fabrication should be optimized in terms
of application:
– Quantum dot lasers --> Single mode and uniform distribution
(single-mode lasing and narrow
bandwith are desirable)
– QD-SOAs --> Multimode and large variances (large
bandwidth is required)
● Application oriented fabrication process!
 Self-Assembled QD physics for SOA fabrication
● PL espectra from U.W. Pohl et al.:

Very large badwidth: nice feature for a SAQD-SOA!

 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
• Fabrication methods: MBE and MOCVD
• Metrology (how do you see a QD?)
• Thermodynamics and kinematics
• Uni-Bi-Multi-modal size/shape distribution?
• Indium and strain distribution
• Capping and stacking
 Self-Assembled QD physics for SOA fabrication
Strain distribution (simple model). It fails!
 Self-Assembled QD physics for SOA fabrication

● The wetting layer plays an active role during island

nucleation. Islands consume WL material:
 Self-Assembled QD physics for SOA fabrication

InAs islands are not stoichiometric,:

 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
• Fabrication methods: MBE and MOCVD
• Metrology (how do you see a QD?)
• Thermodynamics and kinematics
• Uni-Bi-Multi-modal size/shape distribution?
• Indium and strain distribution
• Capping and stacking
 Self-Assembled QD physics for SOA fabrication

● Capping:
– In desolves from islands
– Ga is absorbed by islands
– Islands' tops disapear
– Capping layer absorbs In
– Wetting layer composition
and thicknes change
 Self-Assembled QD physics for SOA fabrication

● Stacking may induce vertical alignment between islands.

Wavefunction should neither vertically nor laterally overlap
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
3. SAQD electronic properties
• How do we model carriers? Independent carriers? e,h? Excitons? Xo, QDs may
be charged --> X+, X-, XX, ... should also be taken into account
• Bandgap diagram --> Very sensitive to shape, size and In content!
• Waveforms --> Very sensitive to shape, size and In content!
• Selection rules --> Parity
• Electron states, Hole states --> ~ 50meV, 25meV apart?
• Exciton binding energy --> ~ -20meV?
• Vertical stacking --> Quantum dots or quantum molecules? --> Quantum dots!
Self-Assembled QD physics for SOA fabrication
 Self-Assembled QD physics for SOA fabrication

● Transport and capture seem to be quicker than relaxation.

● In SAQD-lasers only two discrete levels are seen. The third
one couples to the wetting layer.
● Is the band-structure of a QD-SOA different?
● It could be if the island size distribution were multimodal!!
● Multimodal growth should be favoured in QD_SOAs
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
3. SAQD electronic properties
4. Carrier relaxation (independent carrier capture
image)
• barrier --> wetting layer --> capture --> relaxation --> Xo ?
Does the relaxation blockade (phonon bottleneck)
actually take place? Seems to depend on size, shape, strain
distribution... !!!
• Pure dephasing (elastic) processes --> usually treated as Xo
(excitons) --> Important in quantum computing
Self-Assembled QD physics for SOA fabrication
The phonon bottleneck:
Self-Assembled QD physics for SOA fabrication

The phonon bottleneck (there is really no need to

consider polaritons):
 Self-Assembled QD physics for SOA fabrication

The phonon bottleneck:

● Although the LO phonon is dispersionless, the phonon

bottleneck does not always take place.
● Relaxation times between 100fs --> 100ps have been reported
(only in some cases there seems to be a phonon bottleneck).
● Many different explanations (Auger recombination, strong coupling
between electron and phonon, ...) have been proposed to explain
this fact.
● Could islands be designed so that the electron (hole) energy spacing
matches the LO energy? --> Extremely fast dynamics!
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
3. SAQD electronic properties
4. Carrier relaxation and dephasing
5. Optical properties
6. Rate equations
7. Conclusions
 Self-Assembled QD physics for SOA fabrication

● PL emission width from SAQD ensambles is dominated by:

– inhomogeneous broadening (size, shape and composition)
– multiple carrier recombinations (there are, at least, a GS and an
ES) --> important at high carrier concentrations
– thermal broadening
– multimodal size distribution!! --> small interchannel crosstalk in
SOAs
● Gain recovery is limited by either:
– electron relaxation to the GS
– hole relaxation to the GS
● High gain requires high island density and vertical stacking
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
3. SAQD electronic properties
4. Carrier relaxation and dephasing
5. Optical properties
6. Rate equations
7. Conclusions
 Self-Assembled QD physics for SOA fabrication
• Two-level quantum dots will be assumed and, therefore, two
amplifying wavelengths will be taken into account
• The groud state will be assumed to have a 2-fold degeneracy

•
The excited state will be assumed to have a 4-fold degeneracy
• The barrier population will not be taken into account

•
WL carriers (nwl) may either trapped by the ES or scape from it
(ΔE~50meV) by thermoionic effect

•
GS carriers (ngs) may either relax from the ES or scape to it
(ΔE~25meV)
• Pauli blocking functions are (1-fgs,es), fgs=ngs/2ND, fes=nes/4ND ND--> Dots
• Multimodal dot distributions should be considered
• QDs are supposed to be neutral!! --> that's a bit hard to swallow!!
why should then carriers follow independent paths till they relax??
 Self-Assembled QD physics for SOA fabrication

Very simplified picture: the quantum dots are assumed to be neutral. This is not true!!
 Self-Assembled QD physics for SOA fabrication

Very unpleasent! Electron and holes dynamics are not considered separatedly. They should!
 Self-Assembled QD physics for SOA fabrication

Spectral discretization due to multimodal distributions and size fluctuations should be carried
out. Even with a simple rate-equation approach things get very complicated and there is a very
large ammount of parameters that should be known.
 Self-Assembled QD physics for SOA fabrication

1. Introduction
2. SAQD structural properties
3. SAQD electronic properties
4. Carrier relaxation and dephasing
5. Optical properties
6. Rate equations
7. Conclusions
 Self-Assembled QD physics for SOA fabrication

● SAQDs characteristics are extremely sensitive to fabrication

conditions
● SAQDs desired characteristics depend on application: QD-lasers
and QD-SOAs need tailored fabrication processes
● There is a potentially extremely large return in SAQDs research in
Optoelectronics. Sensitive information is very unlikely to leak
● Multimodal distribution (no crosstalk) and very fast gain recovery
(pattern free amplification) are essential features for QDSOAs.
● Could the electron interlevel spacing be tailor so as to match the
LO energy? --> very fast dynamics
● Even simple rate equation models are likely to consume large
ammounts of CPU time