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Quantum-dot lasers
Karl Eberl

From
Physics World
September 1997

IOP Publishing Ltd 2014

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Ptiyaica Wbrid Sptmbv 1907 47
Arrays of quantum dots promise improved
performance for semiconductor lasers and have the
added advantage that they can assemble themselves
Quantum-dot lasers
KARLEBERL
bulk semiconductor material
SEMICONDUCTOR lasers are key components in many of
the appliances that we take for granted in everyday life.
Fibre-optic communications and compact-disc players are
perhaps the two best known examples. There is also a
world-wide research and development effort to improve
the performance of these devices by making them smaller,
brighter, more efficient or capable of lasing at new wave-
lengths. A new class of semiconductor laser - a quantum-
dot laser that self assembles - is showing great promise in
many of these areas.
Semiconductor lasers emit light when an electron in the
conduction band "recombines" with an empty electron
state or "hole" in the valence band. The wavelength of the
light is usually determined by the band gap of the semi-
conductor - the energy difference between the top of the
valence band and the bottom of the conduction band.
Gallium indium phosphide, for example, has a band gap
of about 1.9 eV, which leads to the emission of red light.
The band gap, which is responsible for most of the use-
ful properties of semiconductors, is due to the quantum
nature of the electron waves as they travel through the
crystal. Quantum mechanics
forbids the electrons from
having energies inside the
band gap.
In a bulk semiconductor,
such as silicon or gallium
arsenide, an electron in the
conduction band behaves like
a free electron and can occupy
states with continuous values
of momentum and energy.
This picture changes dramat-
ically, however, when the
motion of the electron is
restricted in one or more
dimensions (figure la and b).
If the electrons are confined in
a small enough region, their
energy levels will be quantized,
similar to the energy levels in
an atom. One way to make
such an artificial atom or
"quantum dot" is to surround
a small region of semiconduc-
tor with another semiconduc-
tor that has a larger band gap
(figure lc). The electrons are
effectively confined in the
region with the smaller band
gap as they seek to reduce
their energy.
In a simplified model the confinement potential can be
considered as a square well (figure Id). In this model the
separation of the discrete energy levels depends inversely
on the size of the quantum dot. The dot must be 10 nm or
smaller for the energy levels of the "quantum well" to be
separated by more than the thermal energy at room tem-
perature. Such quantum dots contain only a few thousand
atoms and should be able to emit light at wavelengths
determined by the energy levels in die dot, rather than the
band-gap energy.
However, various processes conspire to stop a semicon-
ductor emitting light. Impurity atoms can, for example,
trap the charge carriers and prevent recombination.
Electrons and holes can also emit phonons (i.e. lattice
vibrations) rather than photons when diey recombine. To
overcome these problems, the surface of the quantum dot
must be "passivated": in other words, the small-band-gap
material must be completely embedded in the barrier
material without any crystal defects and impurities.
Quantum dots are widely used for experiments that
semiconductor quantum dot
10 nm
band gap
light
emission
1(a) The periodic crystal potential in a piece of bulk
semiconductor material allows almost free motion for
electrons, which results in energetic bands separated by a
forbidden band gap. Within the conduction band, electrons
have continuous kinetic energy and momentum, (o) The
situation is totally different for an electron confined in a very
small (~ 10 nm in diameter) semiconductor cluster and the energy spectrum becomes discrete like that for atoms.
(c) A schematic illustration of a passivated quantum dot with the charge carriers (purple) confined in the small-
band-gap material (red), which is completely embedded in a large-band-gap material (blue) without any crystal
defects and impurities present. The charge carriers are confined in all directions. The location of the electron is
indicated schematically and is similar to the orbitals in atoms, (d) A model square-well confinement potential
showing the quantized energy states (red lines).
4 8 Physics World September 1997
elastic strain relaxation
wetting layer
HHHHHHHHHHHHHHHHHH
2(a) Cluster formation during epitaxial growth of a semiconductor
material (red) on top of another semiconductor with a smaller (by a few
per cent) lattice constant (blue). For example, indium phosphide has a
4% larger lattice constant than gallium indium phosphide, so InP forms
clusters as shown in figure 3. The cluster formation is energetically
favourable, because the lattice can elastically relax compressive strain
and thus reduce strain energy, (>) In an alternative growth mode the
epilayer is laterally compressed to match the substrate lattice. This so
called "pseudomorphic growth" is observed for heterostructures that
have only a small lattice mismatch.
probe the fundamental quantum behaviour of semicon-
ductors. They also have many potential device appli-
cations. The most promising of these are single-electron
transistors (see Harmans in further reading) and quan-
tum-dot lasers. The latter offer the possibility of improved
device performance and increased flexibility to adjust the
laser wavelength.
Early days
Semiconductor lasers have developed rapidly since their
invention in 1962. The first semiconductor laser consisted
of a gallium arsenide p-n junction that was forward biased
such that electron-hole recombination took place in the
depletion region between the positively doped (p) and
negatively doped (n) regions. Polished surfaces (called
facets) perpendicular to the junction were used to form
the resonant cavity needed for laser action. These facets
fill the role played by mirrors in conventional lasers.
The performance of the early semiconductor lasers was
greatly improved by sandwiching the gallium arsenide
(GaAs) "active" layer between aluminium gallium arsenide
(AlGaAs) layers in a "heterostructure" device. This
improved laser performance for two reasons. First, the
AlGaAs layers have a larger
band gap than the GaAs
layers, which helps to confine
the charge carriers in the
active layer. Second, AlGaAs
has a lower refractive index
than GaAs, which confines the
light within the active layer
and thus acts as a waveguide.
In 1970 this concept lead to
the continuous room-tem-
perature operation of GaAs/
AlGaAs heterostructure lasers.
A key figure-of-merit for a
semiconductor laser is the
current density needed for lasing to start. This figure
should be as low as possible and by 1975 threshold cur-
rent densities of about 500 A cm"
2
had been achieved with
active layers about 0.1 |0.m thick. The practical use of
semiconductor lasers in real applications such as fibre-
optic data transmission began around this time.
In 1974 Raymond Dingle of Bell Laboratories in the US
demonstrated quantum confinement of charge carriers for
the first time. And in 1979 Won-Tien Tsang, also of Bell
Labs, built the first semiconductor laser based on quan-
tum confinement. The active region in Tsang's laser was
only about 0.01 um (10 nm) thick, so the charge carriers
(i.e. electrons and holes) were only free to move in just
two dimensions. These quantum-well lasers had three
advantages over previous devices: considerably higher
light amplification or "optical gain"; much lower threshold
current densities (less than 50 A cm"
2
) and significantly
improved temperature stability. These advantages are all
linked to the reduced energy spread of occupied states for
electrons and holes in quantum-well devices compared
with bulk semiconductors.
The next step - from quantum-well lasers to quantum-
wire lasers - came in the late 1980s. In quantum-wire
lasers the charge carriers are free to move in only one
direction, which further increases optical gain, reduces
threshold current densities (to less than 10 A cm"
2
), and
improves temperature stability.
In 1986 Masahiro Asada of the Tokyo Institute of
Technology and co-workers, building on earlier work by
Yasuhito Arakawa from Tokyo University, predicted that
quantum-dot lasers - lasers in which the active region
contains a large number of equally sized quantum dots -
would have even better characteristics. A quantum dot
confines the motion of the electrons in all three of the
spatial directions.
The discrete energy spectrum of the quantum dots
promises highly efficient lasing at a distinct energy. Two
key requirements in any laser are a population inversion
(i.e. there should be more electrons in the excited state
than in the ground state) and that the optical gain is
greater than the losses. Lasers also rely on stimulated
emission: in this process a photon of a given frequency
causes another photon of the same frequency to be emit-
ted. In a laser diode, only those electrons in the conduc-
tion-band minimum that recombine with holes in the
valence-band maximum contribute to stimulated emis-
sion. Since the electronic states in a quantum dot are
squeezed into discrete transition energies, fewer charge
carriers will be needed to create a population inversion,
which should lead to lower threshold currents than found
in existing laser diodes.
Temperature stability should also be improved in quan-
tum-dot lasers. In a conventional semiconductor laser the
3 A cross-sectional transmission electron micrograph of an InP cluster on GalnP. The cluster was formed
during epitaxial growth of nominally three atomic layers of InP. Since the islands are extremely small and
appear spontaneously during growth, they are called self-assembling quantum dots.
PhytkaWorid Septembar 1997 49
GaAs substrate
laser output
GalnP waveguide
^^ with one layer of InP
4 An optically pumped InP quantum-dot laser. The electron-hole pairs are excited by a ^ - i . * ^ ^ ' quantum dots
focused stripe of green light incident from the left. The stimulated red-light emission (laser
output) originating from the dots is observed perpendicular to the excitation light. The experiment was performed at low temperature (8 K) under
continuous excitation, with the sample mounted in a cryostat. The layer of InP dots is in the middle of a GalnP film, which is surrounded by AllnP
layers that have a smaller refractive index and thus keep the light close to the active layer.
spread of energy states usually causes the threshold cur-
rent to change significantly with temperature. For a quan-
tum-dot laser, however, the discrete energy spectrum and
large separation between the energy levels almost elim-
inates any temperature dependence.
Making quantum dots
The experimental challenge is to make 10 nm semicon-
ductor structures in an efficient and reproducible way. A
large number of dots are needed and they must be equal
in size and optically active. However, conventional semi-
conductor-processing techniques that are based on litho-
graphy and etching face inherent problems such as
limited resolution and the introduction of surface defects
during production.
Over the past few years several research groups have
started working on the direct synthesis of various semi-
conductor nanostrucrures, including quantum dots, by
combining epitaxial growth tech-
niques, such as molecular beam
epitaxy or chemical vapour de-
position, with lithography. Con-
ventional lithographic techniques
are used to create a pattern on
the surface before the quantum-
dot material is deposited. Epi-
taxial growth on patterned
substrates leads to the formation
of sharp edges or V-grooves on
the surface. Quantum dots and
wires can then be formed in a
self-adjusting way.
A much simpler idea is based
on the islands that form when a
semiconductor is deposited on a
substrate that is made from a
material with a significantly
smaller lattice constant. This
process is known as the Stranski-
Krastanov growth mode, and
quantum dots that have dimen-
sions of only a few atomic dis-
tances across have been grown
this way (figure 2a). An import-
ant point is that the size of the
S Spectrum of the laser output (a) and photoluminescence
spectrum (b) from the InP quantum-dot laser shown In figure
4. The laser-output intensity 19 about a factor of 200 times
more intensive than the lower spectrum.
quantum structure is controlled within the epitaxial de-
position in a self-adjusting process. For the first few
atomic layers, the atoms arrange themselves in a planar
layer called the wetting layer. As epitaxial growth pro-
ceeds, the atoms tend to bunch up and form clusters.
Cluster formation is energetically favourable, because the
lattice can elastically relax the compressive strain and thus
reduce the strain energy within the islands.
In an alternative growth mode known as "pseudomor-
phic growth", the epilayer is laterally compressed to match
the substrate lattice (figure 2b). The lateral strain is auto-
matically introduced as the growth proceeds.
To see how these techniques work, consider the growth
of indium phosphide (InP) on gallium indium phosphide
(GalnP). GagjInojP has the same lattice constant as
gallium arsenide, so it is possible to grow good quality
GalnP layers on gallium arsenide substrates. The lattice
constant of InP is about 4% larger. However, with opti-
mized molecular-beam-epitaxy growth conditions, defect-
free clusters or dots form after
1.5 or more monolayers of InP
have been deposited. For exam-
ple, after three nominal layers
have been deposited, clusters can
be seen on top of the wetting
layer. There are about 5xl 0
10
dots per square centimetre and
they nucleate preferentially at the
atomic "steps" that are always
present on a surface. The dots
have a truncated pyramid shape,
and are about 15 nm in diameter
and 3 nm high (figure 3). Sur-
prisingly, the dot size varies by
only about 10%, which is essen-
tial for making a quantum-dot
laser. After the InP dots have
been grown, a thick layer of
GalnP is deposited to passivate
the dots.
The dot size strongly depends
on the amount of deposited dot
material. And since the energy
levels in the dot depend on its
size, so does the wavelength of
light emitted by the dot. Bulk
5 0 Ptiyttct Worid Septwntw S97
indium phosphide has a band gap
of 1.35 eV, which corresponds to a
wavelength of 1 [im. The growth of
two monolayers of InP on GalnP
produces dots with diameters of
about 12 nm, whereas for seven
monolayers the diameter is about
50 nm. The energy shift for 12 nm
dots is 1.85 eV, which corresponds
to red-light emission. The larger
50 nm dots have lower energy shifts
(1.65 eV) and emit in the infrared.
The pronounced increases in
energy are due to carrier confine-
ment and strain in the dots.
However, once more than seven
monolayers of InP have been
grown, various dislocations are
introduced and these reduce the
light output.
The size of the dots can also be
adjusted within a certain range by
changing the growth conditions.
For example, an extended interrup-
tion between the deposition of the
dot material and the growth of the capping layer leads to
larger dots with a lower dot density - smaller dots disap-
pear and larger dots grow higher during the interruption.
The same happens for very slow deposition rates. Larger
clusters are energetically favourable because there is less
strain at the top of large dots. However, short-wavelength
lasers (e.g. those working in the visible) require small dots,
which can be made by keeping the growth interruption
short. This also reduces the range of dot sizes.
The ability of self assembly to make regular arrays of
extremely small quantum dots without the need for litho-
graphy and etching makes it a highly promising technique
for the fabrication of quantum-dot lasers.
Let there be light
To make a quantum-dot laser we need a dense array of
equal-sized dots within the active region, and a mirror at
each end of the region to form the laser cavity. The energy
of the radiation depends on the band gap of the dot mater-
ial and the strain, and inversely on the size of the dots.
Electrons and holes can be created in the dot by optical or
electrical excitation (figure 4).
In 1995 my group at the Max Planck Institute in
Stuttgart in collaboration with Andreas Hangleiter's group
at the University of Stuttgart observed room-temperature
lasing in the visible range from an optically excited indium
phosphide quantum-dot laser. The electron-hole pairs
were formed by focusing green light onto the active layer,
and red laser emission was observed emerging from the
mirrors of the laser structure (figure 5). The threshold
current for lasing was comparable with that obtained for
GalnP/AlGalnP quantum wells in a similar set-up.
Also in 1995 Dieter Bimberg's group at the Technical
University in Berlin, in collaboration with researchers
from the A F Ioffe Physical Technical Institute in St
Petersburg, demonstrated room-temperature operation
of an electrically pumped quantum-dot laser. This
device contained a closely packed stack of indium
arsenide (InAs) quantum-dot layers and emitted in the
infrared. Bimberg and co-workers also achieved thresh-
old current densities comparable with quantum-well
lasers (below 20 A cm"
2
) at liquid-nitrogen temperatures
6 A cross-sectional transmission electron micrograph
from a sample with three stacked layers of InP dots.
Stacking individual dot layers helps to Increase the total
amount of active material within the waveguide of a
laser structure.
and with better temperature sta-
bility. However, they have not yet
been able to match the perform-
ance of quantum-well laser diodes
at room temperature.
Stacking layers of dots in the laser
structure increases the amount of
active material in devices (figure 6).
In 1995 James Harris and co-
workers at Stanford University in
California reported a significant
reduction in photoluminescence
linewidth from stacked InAs dot
layers. This reduction is thought to
be due to the more uniform distri-
bution of dot sizes caused by the
correlated nucleation of the dots:
atoms that arrive during the growth
of the upper layer tend to accumu-
late and form new dots just above
those in the underlying layer. This
correlation - which is caused by the
strain field around the embedded
dots - is observed if the separation
between the layers is not too large.
Recently Bimberg and co-workers and Hideaki Saito's
group at NEC in Tsukuba have built laser diodes with a
stack of ten layers of dots.
Self-assembled futures
Although the research is still at an early stage, experiments
have already shown that self-assembled quantum dots do
make good lasers. The next challenge is to match and sur-
pass the performance of quantum-well lasers. This would
give quantum-dot lasers a chance to move into appli-
cations such as ultrafast optical data transfer. A key aspect
of this challenge will be to improve our control over the
size distribution of the dots produced in the self-assembly
process. But given the rapid progress made so far, experts
in the field are confident that there will be significant per-
formance improvements in the near future.
Further reading
1986 Gain and the
box lasers IEEE J.
M Asada, Y Miyamoto and Y Suematsu
threshold of three-dimensional quantum
Quantum Electron. QE-22 1915
D Bimberg et al. 1997 InGaAs-GaAs quantum dot lasers IEEE
J. Quantum Electron. 3 1
K Eberl, P M Petroff and P Demeester 1995 Low-dimensional
structures prepared by epitaxial growth or regrowth on pat-
terned substrates NATO ASI Series E: Applied Science VbL 298
(Kluwer, Dordrecht)
K Harmans 1992 Next electron, please... Physics Wbrld March
pp5O-53
A Moritz et al 1996 Optical gain and lasing in self-assembling
InP/GalnP quantum dots App Phys. Lett. 69 212
P M Petroff and S P DenBaars 1994 MBE and MOCVD growth
and properties of self-assembling quantum dot arrays in HI-V
semiconductor structures Superlattices and Microstructures 15 15
H Saito et al. 1996 Room-temperature lasing operation of a
quantum-dot vertical-cavity surface-emitting laser App. Phys.
Lea. 69 3140
Karl Eberl is in the Max-Planck-lnstitut fur Festkorperfof
schung, Heisenbergstr. 1, 70569 Stuttgart, Germany (email:
eberl@servix.mpi-stuttgart.mpg.de)
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tomary for second-year courses. The
detailed explanation of the classical
phenomena provides a sound basis for
the introduction to wave mechanics
that follows. Directed primarily at
undergraduate students in physics,
mathematics and engineering, it will
also be useful as a reference for gradu-
ate students, and for those looking for
examination problems.
E.F. Toro
Riemann Solvers and
Numerical Methods for
Fluid Dynamics
A Practical Introduction
1997. XVIII, 592 pages, 223 figures.
Hardcover 76
ISBN 3-540-61676-4
J.H. Spurk
Fluid Mechanics
1997. XII, 5i2pages, 214 figures.
Hardcover 28.50
ISBN 3-540-61651-9
This textbook emphasises the uni-
fied nature of all the disciplines of
fluid mechanics as they emerge from
the general principles of continuum
mechanics. The different branches
of fluid mechanics, always originat-
ing from simplifying assumptions,
are developed from the general to
the specific. This book is offered to
engineers, physicists and applied
mathematicians; it can be used for
self study, as well as in conjunction
with a lecture course.
J.H. Spurk
Fluid Mechanics
Problems and Solutions
1997. XVIII, 601 pages, 214 figures.
Softcover 26
ISBN 3-540-61652-7
This collection of over 200
detailed worked exercises adds to
and complements the textbook by
the same author, and illustrates
the teaching material through
examples. While lecturers will find
these questions suitable for exami-
nations and tests, students can use
them to check their understanding
of the subject.
Please order from
Springer-Verlag London Ltd.
Fax: + 44/ 1483/ 41 51 51
e-mail: alex@svl.co.uk
or through your bookseller
Springer-Verlag, P. O. Box 31 13 40. n-10643 Berlin, Germany. |ak.452.l/MNT/SF

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