Optoelectronic Devices

and Circuits I
Jrgen Werner
Institut fr
Photovoltaik
juergen.werner@ipv.uni-stuttgart.de

JHW

Contact
Jrgen Werner, Institut fr Photovoltaik
Room No.: 1.215
Phone: 685-67140
juergen.werner@ipv.uni-stuttgart.de
Jrgen Khler, Institut fr Photovoltaik
Room No.: 1.235
Phone: 685-67159
j
k hl @i
i t tt t d
juergen.koehler@ipv.uni-stuttgart.de

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Institut fr Photovoltaik
a) Structure of ipv
Employees: ~ 33
Annual Turnover: ~ 2.0 Mill.
PhD Students: ~ 10
Research Groups: 5
Student Works: 15 - 20 per Year
b) Main Focus of Research
Micro- and Optoelectronics
S
Sensor
T
Technology
h l
andd Photovoltaics
Ph
l i
Semiconductor Technology and Semiconductor Physics
Solar Cells and Thin Film Technology

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Table of contents
0. Introduction
1. Basic Physics
1.1 Simple equations
1.2 Reflectance, absorptance, transmittance
1.3 Refraction and total internal reflection
1.4 Reflectance r, transmittance t for i = 0

2. Thermal Radiation

2.1 Black body radiation

2.2 Grey body radiation
2 3 Selective body radiation of a semiconductor
2.3

3. Coherence
3.1 Definition
3.2 Temporal coherence
3.3 Spatial coherence
3.4 Emission of photons

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4. Semiconductor Basics
4.1 Energy bands and Fermi function
4.2 The wave vector
4.3 The band structure
g of k-values,, the Brillouin zone
4.4 Limited range
4.5 The crystal momemtum
4.6 Impulse pe
4.7 Direct and indirect band gap semiconductors

5. Excitation and recombination processes in

semiconductors
5.1 Introduction
5.2 Absorption of radiation in semiconductors
5.3 Carrier recombination in semiconductors

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6. Light emitting diodes

6.1 Working principle of an LED
6.2 The spectrum emitted by an LED
6.3 Materials for LEDs (and lasers)
6.4 Emission efficiencyy of LEDs

7. Semiconductor Lasers
7.1 Working principle and compounds of lasers
7.2 General lasing conditions
7.3 Lasing conditions for semiconductor lasers
7.4 Laser modes
7.5 Radiation amplification in a semiconductor laser
7 6 Semiconductor laser configurations
7.6
7.7 Light guiding in semiconductor lasers
7.8 Modern semiconductor lasers

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8. Glass Fibers
8.1 Configurations and optical properties
8.2 Step-index fibers
8.3 Graded-index fibers
8.4 Mono-mode fibers
8.5 Dispersion in glass fibers
8.6 Attenuation in glass fibers

9. Photodetectors
9.1 Introduction, general considerations
9.2 Properties and specifications of photodetectors
9.3 Photoconductors
9 4 Photodiodes
9.4
9.5 Photodiodes with internal gain: Avalanche
photodiodes (APDs)
9.6 Materials and detector configurations

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0. Introduction

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What is optoelectronics?
semiconductor
technology
geometrical
optics

physiologic
optics

optoelectronics

communication
techniques

integrated
optics

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Fig. 0.1: Overlap of

optoelectronics with
classic areas.

quantum
optics

physical
optics
radio frequency
techniques

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Optoelectronics =
generation and communication of
electromagnetic radiation from optical regime
+
conversion of this radiation into electrical signals

Optical regime =
100 nm (UV) to 1 mm (far IR)
(glass fibers use light of 800 - 1500 nm)

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glass fiber

llaser
diode

photo
h
detector

optical signal

electrical signal

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electrical signal

Fig. 0.2: Scheme of an optical communication system

11

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What is light?
small visible part of the optical regime
between 380 nm and 780 nm

2.0

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[Wm -2 nm-1]

IEC standard 904 (AM 1.5G)

1.5

d
dAd

spectra
al radiation density

light =

0.5

integrated radiation density d =1kW/m2

dA

Fig. 0.3:
The suns spectrum:
only tiny part of the
optical regime.

1.0

0.0

Vi ibl part:
Visible
t

only small part of

the suns spectrum.
400

600

800 1000 1200 1400

wavelength [nm]

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1. Basic Physics

13

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1.1 Simple equations

a) wavelength , frequency , and velocity c of light:

c=
with

c0

nr

(1 1)
(1.1)

c0 = vacuum light velocity = 2.998 108 m/s,

nr = refraction index.

At interfaces between media of different nr:

velocity c
changes by a change of wavelength (not of frequency !).

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b) particle properties of radiation:

Max Planck: Radiation = stream of particles (photons);
energy: E = h ,
related to wavelength of the radiation by

E = h = =

hc

(1.2)
wave

particle

h = 4.14 x 10-15 eVs = 6.62 x 10-34 Js = Plancks constant.

15

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Impinging power on a surface due to monochromatic photons with

number nphot :

= h

dn phot
dt

( )
(1.3)

c) conversion of energies into wavelengths and frequencies :

E[eV] =

1.24
1
24
[m]

[THz] = 242 E [eV]

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(1.4)

(1.5)
16

Table 1.1: The regime of light (visible radiation)

violet

green

dark red

[nm]

380

500

780

E [eV]

3.26

2.48

1.59

[THz]

789

600

385

17

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1.2 Reflectance, absorptance, transmittance

r =

r
0

reflectance,
(1.6 a)
reflection coefficient

a =

a
0

absorptance,
absorption factor

t =

t
0

transmittance,
(1.6 c)
transmission factor

0
r

a
t
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Fig. 1.1: Reflected, absorbed,

and transmitted radiation.

(1.6 b)

r + a +t = 1

r , a , t depend on frequency , polarization, angle of incidence,

(and on temperature T).

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1.3 Refraction and total internal reflection [1]

a) Refraction:

Change of light velocity, Snells law

n t > ni
r i

ni

Refraction: ray bends

towards the normal.

r i

ni
nt

nt
t

a)

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sini ci nt
= =
sint ct ni

b)

Fig. 1.2:
Refraction for two
different angles of
i id t lilight.
incident
ht

ni sini = nt sint

(1.7)

(1.8)

19

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b) Total internal reflection:

n i > nt

nt

t
t

b)

a)

ni

i r
i r
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Fig. 1.3 a + b: Partial internal reflection for two

different angles i

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90

For t = 90:

c)
c)

i = c r = cc
=

Fig. 1.3 c: Critical

angle

d)
i > c r = i

sinc =

nt
;
ni

c = critical angle
Fig. 1.3 d: Total
internal reflection.

F t = 90 and
For
d nt = 1:
1

sin
i c = ni-11

(1 9)
(1.9)

Total internal reflection requires radiation coming from

the side with the higher optical density (ni >

nt).
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Table 1.2: Critical angle for total internal reflection

in optoelectronic materials
material
glass
Si
GaAs
Ge

index of
critical angle c
refraction ni
1.5 - 1.7
3.45
3.4
39
3.9

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35 - 41
16.8
17.1
14 6
14.6

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1.4 Reflectance r, transmittance t for i = 0

a)

ni

nt

r =

nt > ni

b)
nt < ni

r
n -n
= ( t i )2
0
nt + ni

t = 1- r

nt

ni

(1.10)
(1.11)

Due to the quadratic dependence,

r is the same for a) and b)!!!

r
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Fig. 1.4: Reflectance r for perpendicular

incidence of radiation
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Table 1.3: Perpendicular reflectance for different interfaces

interface

reflectance r

transmittance t

glass/air

4%

96 %

GaAs/air

30 %

70 %

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1.5 Internet Links

1. Refraction of Light (Applet): http://OLLI.Informatik.UniOldenburg.DE/sirohi/refraction.html
2. Total Internal Reflection in Water (Applet):
http://www.phy.ntnu.edu.tw/ntnujava/index.php?topic=43
3. Snell's Law (Applet):
http://www.phys.ksu.edu/perg/vqm/laserweb/Ch-1/F1s1t2p3.htm

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1.6 Literature
1. E. Hecht, Optics 3rd edition (Addison Wesley, Reading, MA, 1998),
p. 121

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2. Thermal Radiation

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2.1 Black body radiation [1,2]

2.1.1 What is a black body?
To human eyes:
A body appears as black, if all radiation in the visible regime, i.e. all
light is absorbed!
Consequently:

a (h) = 1 in this regime of the electromagnetic spectrum.

Ideal black body: a (h) = 1

for all frequencies.

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What is a black body?

Ideal black bodies do not exist;
but some systems
y
are close to the ideal one:
very thick non-reflecting bodies
a tiny hole in a black shoe box
the old stove of your great grand parents

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What is a black body?

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Fig. 2.1: Absorption and emission by walls of temperature T:

Thermal equilibrium between radiation field and walls.

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What is a black body?

Personal experience:
Black body (black jeans) absorbs more radiation than a non-black body
(blue jeans).
However: Black body emits also more radiation than a non-black body!

The stronger a body absorbs radiation,

the stronger it must emit radiation.

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What is a black body?

q
of the following
g requirement:
q
Rule is a consequence
Rates of absorbed and emitted energy are equal at T = constant.
Unequal rates:

Temperature change.

Strongly absorbing body: must get rid of the energy.

Body must also have strong emission
(or explode of radiation overflow....).

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2.1.2 Kirchhoffs radiation law

Emitted power Prad from a body with absorptance a :

Le ( ) = a ( )LeBB ( ) [

W
]].
m sr m
2

(2.1)

Le() = radiated power per wavelength interval (m) and steradian (sr)
emitted per surface element (m2) = f(a()).
Note: Absorptance a (number between 0 and 1) depends on
surface ((color,, texture,, roughness
g
etc.)) and on wavelength
g ;

LeBB () = emitted power spectrum of a black body = universal function

Measurement of a allows calculation of Le().
33

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2.1.3 Plancks radiation law

Power spectrum of a black body:

2hc02
d 3
1
W
L =
= 5 hc0 /( kT )
dAd d
e
1 m2 sr m
BB
e

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(2.2)

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BB
--2 -1
-1
spec tral density Le (Wm sr m )

Power spectrum of a black body:

4x107

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3x107

T = 6000 K

2x107

5000 K
4000 K
1x107

3000 K

0.0

0.5

1.0

1.5

2.0

wavelength (m)

Fig. 2.2: Spectrum of a black body.

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Increase of T:

35

Spectrum shifts to shorter wavelengths.

View into the door of an oven:

Cold oven: everything appears black
Upon heating:

red color;

higher temperature: yellow color;

green and blue colors ??

Radiation law of Planck

= mathematical description of color
of burning fire, heated oven!

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2.1.4 Wiens displacement law

a) wavelength of maximums position

maxT = 2.8978 103 mK

max
Examples:
Sun temperature
Earth temperature

(2.3)

1
T

(2.4)

Tsun 6000 K
Tearth 300 K

max 500 nm
max 10 m

C l pictures:
Color
i t
li ht source with
light
ith high
hi h color
l temperature
t
t is
i required!
i d!
b) height of the maximum (for = 2 sr)

W
T5
5
m mK
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17
LBB
e (max ) = 2.6 10

(2.5)
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2.1.5 Stefan-Boltzmann law

Integrated power emitted per surface element (and = 2) of a
black body:
BB
Ptotal
= LBB
e d d =

= 5.67 10 8

d
= T4
dA

(2.6)

W
= Stefan constant.
m2 K 4

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Stefan-Boltzmann law: Example:

Emission of the sun: Tsurface = 5800 K:
64 MW/m2!!
16 m2 sun surface make up one nuclear
power plant of 1 GW power!!!

Emission of the earth (T = 300 K): 500 W per m2 surface area.

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2.2 Grey body radiation

Black body: Absorptance
Grey body:

a = 1 for all .

a < 1, but independent of !

a () = constant < 1

(2.7)

Power emission (Kirchhoffs law!) equal to black body,

but reduced by a constant factor (a) for all wavelengths.

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2.3 Selective body radiation of a semiconductor

2 3 1 Selective body radiation
2.3.1

(2 7)
(2.7)

Selective body: Absorptance a < 1, but dependent on .

Power emission (Kirchhoffs law!!)
not only reduced by a constant factor (as for the grey body),
but dependent also on wavelength .

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2.3.2 Radiation from a semiconductor

p
of a semiconductor of gap
g p Eg:
a)) Absorptance
Simplest model: no light absorption for h < Eg and
complete light absorption for h E g .

Absorptance a
(ratio of absorbed to incident radiation, see chapter 1.2)
= step function.

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b)

a)

c)

Fig. 2.3: a) absorption in a semiconductor,

b) step function of absorptance vs. photon energy,
c) versus wavelength.
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b) Emitted spectrum of a semiconductor:

Simplest model (step-like absorption, no reflection):
spectrum similar to black body spectrum, however, cut off for > g;

-1
-2 -1
BB
spectral density Le l (Wm sr m )

T = 300 K: maximum of black body radiation at about 11 m;

variations of T: only weak change of spectrum.
140

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120
100
80

T = 500 K
400 K
300 K
200 K

60
40
20
0

10

15

wavelength (m)

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Fig. 2.4:
Black body spectrum near
room temperature.
Semiconductor with Eg =
0.31 eV: same spectrum
as black body for < 4m.

20
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c) Absorptance a and absorption constant :

We go back to Fig. 1.1: Reflected, absorbed, and transmitted
radiation (see chapter 1.2):

r =

r
0

reflectance,
(1.6 a)
refl. coefficient

a =

a
0

absorptance, (1.6 b)
absorp. factor

t =

t
0

transmittance,
(1 6 c)
(1.6
transm. factor

a
t
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a = 0 - t

Now we assume: r = 0:

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Definition of absorption constant :

Transmitted intensity within a semiconductor at depth x:

t ((x)=
) 0 e-x

(2.8)

with 0 = incident intensity.

The absorptance a is thus

a ( )

a
0

0 t

= 1 e ( )x
0

(2.9)

If w is the thickness of the sample:

a ( )

= 1 e

( ) w

(2.10)

The absorption constant is discussed in chapter 5.2.1.

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2.4 Internet Links

1. Black body Radiation (Applet): http://100-online.ipe.unistuttgart.de/applets/planck/Planck.html
2. Black body Radiation (Applet):
http://www.mhhe.com/physsci/astronomy/applets/Blackbody/frame.h
tml

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2.5 Literature
1. E. Hecht, Optics 3rd edition (Addison Wesley, Reading, MA, 1998),
p. 578
2. H. G. Wagemann and H. Schmidt, Grundlagen der
optoelektronischen Halbleiter-bauelemente (Teubner, Stuttgart,
1998), p. 60.

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3. Coherence

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3.1 Definition
Two waves are coherent when their phase difference is constant
in time.
Only in this case, interference is observable, because interference is
the result of phase differences between waves.
coherent:

monochromatic, very (infinitely) long wavetrains of

same frequency (e.g. Laser)

incoherent:

light with different wavelengths (e.g. light from a

fluorescent lamp)

Interference is only observable with coherent light!

Wavetrains as long and as monochromatic as possible
are needed in order to observe interference.

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3.2 Temporal coherence

Correlation between the phases of a travelling wave separated by a delay
time at the same location.
lc

infinitely long coherence time

short coherence time

Relation between coherence time tc and coherence length lc:

lc = tc c
with c = speed of light

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3.3 Spatial coherence

Correlation between the phases of a travelling wave at different locations
at the same time.
locations of
constant phase

small spatial coherence

infinite spatial coherence

Interference experiments:
wave train splits into two parts which traverse different distances,
difference of distance must never exceed the coherence length lc.
R = 100 %

R = 50 %
R = 100 %

Example:
Michelson interferometer

detector

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3.4 Emission of photons

radiation: photon emission via spontaneous transition of electrons in
atoms from excited (E1) to lower energy state (E0).
e-

E1

E1
h
E0

energy E and frequency of photon:

E = E1 E0 = h

excited state has finite average lifetime t

Heissenbergs uncertainty relation: E t > h,
with h = Plancks constant

(3.1)
(3.2)

energy of photon not exactly defined: E > h/t

frequency of photon not exactly defined:
from (3.1):
(h ) = h = E
and (3.2):
> 1/t

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many atoms emit many photons with different frequencies +/- :

resulting wavetrain not monochromatic
Example:
Ne gas discharge lamp, = 632 nm, t = 10-8 s

= c0/ = 4.7 x 1014 Hz

= 1/t = 108 Hz
spontaneously emitted light of a hot body (grey, black, etc.):
from excited,
excited independently emitting atoms,
atoms not coupled or
synchronized;
every atom emits photon with different frequency
superposition incoherent light.

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Only lasers are able to emit really coherent light!

lasers:
rely not on spontaneous but on stimulated emission
(chapter 7.1).
eh

2 h

E1

E0

If you are interested in more information about different light

sources and lasers (fluorescent lamps, solid state lasers etc.)
then visit the lecture Lasers and Light Sources during the
winter term.

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3.5 Internet Links

1.

http://en.wikipedia.org/wiki/coherence_(physics)

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3.6 Literature
1. H. Weber and G. Herziger, Laser Grundlagen und Anwendung
(Physik-Verlag Weinheim, 1972), p. 11.
2. C. Gerthsen, H. O. Kneser, and H. Vogel, Physik 16. Auflage
(Springer, Berlin, 1989), p. 457.
3. E. Hecht, Optics 3rd edition (Addison Wesley, Reading, MA, 1998),
pages 308-311.
4. H. G. Wagemann and H. Schmidt, Grundlagen der
optoelektronischen Halbleiter
Halbleiter-bauelemente
bauelemente (Teubner,
(Teubner Stuttgart
Stuttgart,
1998), pages 39-43.

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4. Semiconductor Basics

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4.1 Energy bands and Fermi function

Crystal: electrons cannot take arbitrary positions and energies.
semiconductor: allowed energy bands, separated by band gap
(energetically forbidden band).
Highest occupied band at low T: valence band
lowest unoccupied band at low T: conduction band
conduction band
band gap
valance band
for all temperatures T; probability to find electron at certain energy E:
Fermi function

f (E) =

1
e

E EF

kT

+1

(4.1)

,
EF = Fermi energy.

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4.2 The wave vector k

Spatially periodic crystal lattice:
probability *dx to find an electron in a certain interval dx
is also spatially periodic
periodic.
Wave function

(r ) : solution of (time independent) Schrdinger

equation:

2
(r) = (E E pot (r)) (r).
2m

Spatial periodicity of

(4.2)

of spatial periodicity
( r ) : direct consequence

of E pot ( r ).
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Probability to find an electron in a certain (crystallographic) direction is

spatially periodic.

Wave functions are characterized by wave vector k .

Wave functions ( r , k ) : Bloch functions, spatially modulated

sin-functions.

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4.3 The band structure E ( k )

E ( k ) = total energy of electrons in a certain state (Bloch wave) with

wave vector k.
Total energy = sum of kinetic and potential energy.
Allowed bands: separated by band gap.

E(eV)
3
2
1
0
-1
-2
2

conduction
band
valence
band

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[100]

6
a

4
a

2
a

2
a

4
a

6
a

[100]

Fig. 4.1: Band structure of silicon (seen in [100]-direction) with

lowest conduction band and highest valence band.

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4.4 Limited range of k -values, the Brillouin zone

Crystals with face centered cubic structure (fcc) and two atoms in base
of the lattice (Si, GaAs, etc):
Energy periodic in k with periodicity 4/a, where a = lattice constant.
Consequence: usually only values for -4/a < k < 4/a
(first Brillouin zone) are shown.
Symmetry with respect to k = 0 for cubic semiconductors:
only half of this zone is mostly given.

4.5 The crystal momentum

pk

Electron in state k : crystal momentum pk = k .

conserved in many processes (k-conservation).

(4.3)

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4.6 Impulse

pe

different from crystal momentum:

with the effective mass

and the velocity

pe = meff ve
m eff

2
= 2
E
k 2

(4.4)

(4.5)

k =k0

ve = 1 k E ( k )

k = k0

(4.6)

for an electron in a certain state k 0 .

Note: Not pe is conserved, but p k !!!

k-conservation means:
Periodicity of Bloch function is conserved!
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4.7 Direct and indirect band gap semiconductors

direct (band gap)
semiconductor:

maximum of valence band (and mini

mum of conduction band) at same k

indirect semiconductor:

maximum of valence band (and mini-

mum of conduction band) at different k

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Fig. 4.2:

Direct
and
indirect
band gap semiconductors.

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4.8 Internet Links

1. AlGaAs band diagram and E-K diagram (Applet):
http://www.acsu.buffalo.edu/~wie/applet/students/mcg/ternary.html
2. SiGe band diagram and E-K diagram (Applet):
p j
g
pp
http://jas2.eng.buffalo.edu/applets/education/semicon/SiGe/index.ht
ml
3. Carrier Concentration vs. Fermi Level (Applet):
http://www.acsu.buffalo.edu/~wie/applet/fermi/fermi.html
4. Carrier Concentration vs. Fermi Level and Density of States(Applet):
http://www.pfk.ff.vu.lt/lectures/funkc_dariniai/sol_st_phys/fermi_level_
applet2.htm
5. Fermi Function and Localized Energy States:
http://www.acsu.buffalo.edu/~wie/applet/fermi/functionAndStates/func
tionAndStates.html

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6. 3D Solid State Crystal models

http://www.ibiblio.org/e-notes/Cryst/Cryst.htm
7. Oscillating 3D Crystal
http://www.physics.uoguelph.ca/applets/Intro_physics/kisalev/java/an
on/index.html

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5. Excitation and recombination

processes in semiconductors

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5.1 Introduction
Light emitting diodes
semiconducting lasers
semiconductor detectors

back bone of optoelectronics

for generation,
generation detection,
detection and amplification of light and other nonnon
visible radiation.
Black, grey, and selective radiation not appropriate for optoelectronics:
being too wide-banded
non-coherence
too low an intensity
Emission of light from semiconductors (visible and non-visible):
not based on heat,
no Plancks spectrum (chapter 2.3),
but based on luminescence!
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What is luminescence ?
Luminescence

= generation of optical radiation by

non-thermal processes

Table 5.1: Examples for luminescence

excitation
light
voltage, injection
electron beam
chemical
h i l excitation
it ti

term

example

photoluminescence
electroluminescence
cathodoluminescence
chemoluminescence
h
l i

fluorescence tubes
LEDs, lasers
TV, image tubes
glow-worms
l

Optoelectronics makes use of electroluminescence.

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5.2. Absorption of radiation in semiconductors

5.2.1 Beers absorption law
h

absorbing
body

h
Power of impinging wave
damped by absorption:

0
(x)

(x)= 0 e -x = 0 e-x/L .

= absorption constant
or -coefficient

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(5.1)

distance x
Fig. 5.1: Absorption of radiation.

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Absorption coefficient ,
absorption length L = -1

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depend on photon energy h.

Low-doped and defect free semiconductor:

absorbs radiation only for h Eg;
absorption requires k-conservation.
Important consequence of conservation of crystal momentum (or quasi
momentum) for absorption constant :
higher for direct than for indirect band gap semiconductors.
Absorption process in indirect semiconductors:
difference in k-value (k) of conduction and valence band edge;
k cannot be overcome by absorbed photons alone (see chapter 5.2.2).

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72

5.2.2 Crystal momentum and momentum (impulse) of photons

a) The indirect band gap of Si

Position of conduction band

minimum of Si:

min
2
kcond
= 0.85
[100],
a
Position of valence
band
max
maximum: kvalence
= 0.

(5.2)

Excitation of electrons from

valence band maximum to
conduction band minimum:

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required momentum change:

pk , Si = k Si
Fig. 5.2: Indirect band structure of
silicon with Eg = 1.12 eV

(5.3)

with

kSi = 0.85 2 a .

(5.4)
73

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Lattice constant a of silicon: a = 0.54 nm;

k Si = 0.85 2

= 9.8 109 m 1 = 9.8 107 cm 1 1108 cm 1 ,

which has to be overcome in the absorption process of a photon.

b) Conservation of energy E and k-value
Transitions of electrons between different states in a semiconductor
crystal:
conservation of energy E and k-value (i.e. crystal momentum)
required according to

E2 = E1 E,
E

k2 = k1 k,
where E1,
transition.

(5 5)
(5.5)
(5.6)

k1 are energy and k-values before, and E2, k2 after the

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74

Excitation of electrons across Eg by interaction with photons:

energy conservation not a problem:
photon energies of visible regime: h Eg,
condition E = Eg easily fulfilled;
however: k-conservation
conservation is a problem:
k-value of photons too small to fulfill k-conservation
in case of an indirect semiconductor.
c) Energy E and k-value of photons:
Photon energy: Ephoton = h, and c = . Consequently,

E photon = h

= c k photon

(5.7)

linear relationship between photon energy Ephoton and

wave number (absolute value of wave vector) kphoton.
75

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Table 5.1: Energy and k-value for photons

Ephoton [eV] [nm]

1
2
3
10
2000
Photons with h 1 eV:

1240
620
413
124
0.62

kphoton[cm-1]
0.5x105
5
1x10
1.5x105
0.5x106
1x108

k 105 cm-1, i.i e.

e a factor of 1000 below
8
-1
kSi = 1x10 cm .

Electronic transitions not possible with such low-energy photons;

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76

 allowed transitions more or less vertical;

in Si strong absorption of light only for h > 3.4 eV.
E(eV)
( )

E(eV)
( )
CB

3
2
1

-1

CB

2
2
a

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-2

1x105 cm-1

IkI

-1x108 cm-1 0.5

2
a

0.5 1x108 cm-1 IkI

VB

b)

a)

Fig. 5.3: Band structure for a) photons and b) electrons in Si

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77

5.2.3 Phonons
Phonons = energy quanta of lattice vibrations.
Interaction of phonons: momentum conservation possible during
absorption (or emission) of a photon in an indirect semiconductor.
The phonon energy Ep = hp is small: Ep 10 50 meV << Eg.
The phonon momentum

p p = k p is largest, when the wavelength

p = 2 / k p is smallest.

Simple cubic lattice:

smallest wavelength min equal to lattice constant a, i.e. min = a.
Therefore:

k p k pmax = 2 min = 2 / a.

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78

Momentum of phonons spans same range as momentum of

electrons!
Phonons: supply (or take over) large momentum and small energy.
Absorption process of photons with energy close to band gap in indirect
semiconductors:
photon supplies energy (and almost no momentum)
phonon supplies momentum (and almost no energy)!

5.2.4 Light absorption / light emission

Direct semiconductors: no phonons necessary for transition of
electrons between conduction band and valence band
band.
absorb light better (higher absorption const. );
emit light also easier (higher constant B for radiative
transitions, see chapter 5.4).

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79

5.2.5 Fundamental absorption in semiconductors [1]

Fundamental absorption = absorption at the band edge.
- Absorption behavior different for direct and indirect semiconductors;
- different dependence of absorption constant on photon energy h.
- Vice versa: measurement of (h):
distinction between direct and indirect semiconductor.

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80

5.2.5.1 Direct band gap semiconductors

E

Exactly parabolic band:

Fig. 5.4:
Absorption in a
direct band gap
semiconductor

dir = Adir (h E g ) 2 .

(5.8)

Consequently,

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2
dir
(h E g )).

(5.9)

81

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Constant Adir:

with

For me

2me mh

q 2
me + mh

Adir =
nr ch 2 me

(5.10)

nr = refraction index,
index
me, mh = (effective) masses of electrons and holes, and
q = elementary charge.

mh m0 (free electron mass) and nr 4:

dir 2 10 4 {(h E g )[eV ]}1/ 2

(5.11)

This equation yields for

h = Eg+ 1 eV

dir 2104 cm-1

L = 1/dir 510-5 cm = 0.5 m

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82

5.2.5.2 Indirect band gap semiconductors

Fundamental absorption requires
1. absorption of a photon
+ emission of a phonon, or
2. absorption
p
of a p
photon
+ absorption of a phonon
1.: photon needs energy above Eg:

habs,1 = Eg + Ep

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(5.12a)

2.: photon needs energy below Eg:

(5.12b)
habs,2, = Eg Ep

Fig. 5.5: Fundamental absorption in indirect semiconductors

phonon emission = lattice

vibrations become stronger,
phonon absorption = lattice
vibrations become weaker.
83

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Absorption constant ind of an indirect semiconductor

= sum of processes of phonon absorption (abs) and emission (emi):

ind (h ) = abs (h ) + emi (h )

(5.13)

Number of phonons = f(T): abs and emi = f(T).

Low temperatures T: only few
f
phonons can be absorbed.
Phonon absorption: strong temperature dependence,
phonon emission: weak temperature dependence.
Both processes depend on statistics of phonons.

abs = Aind
emi = Aind

( h E g + E p ) 2
Ep

e kT 1
( h E g E p ) 2
1 e

E p

kT

low T: abs 0 ;
dependence
strong T-dependence

(5.14a)

low T: emi prevails;

weak T-dependence

(5.14b)

Aind = constant.

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84

For constant temperature T we get

abs
emi
ind (hv) = Aind
(T )(h Eg + E p ) 2 + Aind
(T )(h Eg E p ) 2 .

(5.15)

Pre-factors depend on temperature T.

Fi 5
Fig.
5.6:
6 T-dependence
d
d
off
photon absorption;
low T: only phonon emission.

Only those photons with

E = Eg + Ep are absorbed.
Extrapolation to = 0:
two axis intercepts
at Eg Ep..

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85

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Fig. 5.7: Comparison of absorption constant for direct and indirect

semiconductor of same band gap (at high T).

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86

5.2.5.3 Absorption via impurity to band transitions

Useful for detection of very low energy photons (h 50 meV).
For that purpose: cooling of semiconductor (to T < 20 K for Si);
shallow donors (or acceptors) in n-type (p-type) Si are occupied with
electrons
l t
(h l )
(holes);
photons excite electron (hole) from shallow donor (acceptor) to
conduction (valence) band;
increased conductivity.
e
+

Ec
EF
ED

Ec
h

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Ev

EA
EF
Ev

Fig. 5.8:
Light absorption in
shallow level for
infrared detection.

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87

5.3. Carrier recombination in semiconductors

5.3.1 Classification of recombination processes

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Fig. 5.9: Recombination in semiconductors

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88

Recombination = recovery of equilibrium

Figure 5.9 distinguishes between
transition between bands
level transitions
intra band transitions
Auger transitions

(1)
(2)
( )
(3)
(4)

(1) Transitions between bands (inter band transitions):

1a) direct transitions
1b) indirect transitions (with phonon emission/absorption)
(2) Level transitions:
2a) level to band transitions (for example from donor D)
2b) donor acceptor/transitions (often radiatively)
2c) phonon cascade transitions and/or multi phonon transitions.

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89

(3) Intra band transitions:

Energy dissipation of electrons and holes via emission of phonons,
i.e. they excite lattice vibrations.
(4) Auger transitions:
Electron and hole recombine over the band gap;
excess energy given either to electron (in n-type material)
or to hole (in p-type material);
carrier excited to high energies in conduction band (valence
band);
looses its energy finally via excitation of lattice vibrations,
i.e. process No. (3).

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90

Processes for the generation of radiation: 1a) to 2b)

Only process 1a) is important for LEDs and lasers.
Lifetime due to radiative recombination: calculated below.
Process No. 2c):
Recombination via deep traps deadly for most optoelectronic
devices (Shockley-Read-Hall-recombination, SRH).
Process No. 4):
Limits the lifetime of carriers in silicon.

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91

5.3.2 Carrier lifetime due to radiative recombination

Measures to avoid recombination processes of Fig. 5.9:
Use of crystals without defects (to avoid SRH-recombination),
low doping (to avoid donors/acceptors),
donors/acceptors)
low temperatures (to suppress phonons).
However: one process cannot be suppressed by principle:
Radiative recombination.
P
li it lif
ti
i
tto a fifinite
it value.
l
Process
limits
lifetime
off excess carriers

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92

Gedanken-experiment:
For understanding radiative recombination:
Gedanken-experiment: Semiconductor of band gap Eg and
temperature T,
in a black shoe box of same temperature and closed lid:
carrier concentration of electrons and holes in the bands?
time dependence of these concentrations?
Is the semiconductor in thermodynamic equilibrium? Why and how?
a) Thermodynamic equilibrium
Requirement of thermodynamic equilibrium:
Balanced exchange of energy between semiconductor and its
environment (the shoe box);
for T = constant: no net energy stream from or to semiconductor.
93

JHW

Energy stream from black shoe box to semiconductor:

black body radiation of inner walls of the shoe box;
Absorbed by the semiconductor:
only photons with energy h > Eg.
Condition for thermal equilibrium:
semiconductor has to emit the same energy as it absorbs.
For Tsemic = Tshoe box:
emitted radiation spectrum of semiconductor
= absorbed spectrum (otherwise Tsemic

Tshoe box!).

There is only one source for radiation of semiconductor:

recombination of electrons and holes.

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94

Thermodynamic equilibrium: Tsemic

= Tshoe box:

constant stream of photons onto semiconductor:

continuous excitation of electrons from valence band into

conduction band,
i e continuous generation of excess electron/hole pairs;
i.e.

recombination of e/h-pairs radiation emitted by the semiconductor.

Dynamic equilibrium between excitation and recombination.
Mean electron and hole concentration = constant:

np = ni2 .

(5.16)

Equilibrium generation rate G0 of e/h-pairs:

must depend on absorption properties of the semiconductor,
i.e. on band gap Eg and on absorption constant
(see information sheet).
95

JHW

b) The equilibrium recombination rate R0

Thermodynamic equilibrium:
recombination rate R0 of recombining
e/h-pairs within the semiconductor
per cubic centimeter and second

thermal generation rate

G0 due to the black body
radiation
radiation,

G0 = R0 .

(5.16)

1.: G0 = f(optical properties of semiconductor via absorption constant );

see information sheet;
2.: R = f(concentration of electrons and holes)
because their recombination must supply the radiation:

R = Bnp

(5.17)

and for thermodynamic equilibrium:

R0 = Bn0 p0 = Bni2 .

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(5.18)
96

B = radiative recombination constant,

characteristic value for a particular semiconductor.

Since

B=

R0 G0
=
ni2 ni2

(5.19)

and G0 = f(absorption constant ),

B depends on band structure of the semiconductor under

consideration via G0 () and ni.
The higher the absorption constant , the higher is also B.
Direct semiconductors with large -values have stronger radiative
recombination.
(examples given below)

97

JHW

c) The non-equilibrium case

Starting condition:
- semiconductor in black shoe box, thermal equilibrium,

- G0 of e/h pairs within the semiconductor as before.

Change to non-equilibrium state:
- constant injection of electrons and/or holes into semiconductor
e.g. by application of bias voltage to contacts:

non-equilibrium concentrations n, p with np ni2 in the steady state,

and

R = Bnp

(5.17)

R larger than equilibrium rate R0 = G0.

Net radiative recombination rate Urad (number of disappearing carriers
per second):
U rad = R G0 = B[ np n0 p0 ]
(5.20)

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98

= B[( n0 + n)( p0 + p ) n0 p0 ]
= B[n0 p0 + np0 + pn0 + np n0 p0 ]
(5.20)

Bp (n0 + p0 ) due to n = p
and n, p << n0 , p0
Radiative lifetime r
= mean lifetime of excess carrier until it recombines:

ni2
1
p
r =
=
=
U rad
B(n0 + p0 )
R0 (n0 + p0 )

(5.21)

maximum of r for minimum of n0 + p0;

minimum of n0 + p0 for intrinsic semiconductor,
i. e. n0 = p0 = ni and n0p0 = ni2;
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JHW

rundoped =

ni2
n
1
= i =
> rdoped
R0 2ni 2 R0 2 Bni

(5.22)

Dependence of carrier lifetime on doping concentration due to pure

radiative recombination:

r 1/n0 1/ND ,

with ND = doping concentration

Tab. 5.2: Radiative lifetime of minorities and majorities for several

intrinsic semiconductors.
quantity
3

[
/ ]
/s]
B[cm
-3
ni[cm ]
Eg[eV]

rundoped

Si
-15
2 x 10 15
10
1.04 x 10
1.12
6.6 h

Ge
-14
3
4 x 10 14
3.4
13
1.84 x 10
0.67
0.79 s

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GaAs
-10
10
7 x 10
6
2.04 x 10
1.45
350 s
100

5.3.3 Emitted spectrum under non-equilibrium due to

band/band recombination
see information sheet

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101

5.3.4 Other radiative recombination processes

Processes 2a, 2b in Fig. 5.9 also radiative;
Process 2a: in GaP diodes with isoelectronic nitrogen centers,
green/yellow emission. Nowadays: GaP replaced by InGaAsP;
Process 2b, donor/acceptor transitions:
often used for material analysis of doped direct semiconductors;
luminescence very weak, not useable for light generation.

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102

5.3.5 Non-radiative recombination processes

Processes 2c to 4 in Fig. 5.9: non-radiative;
no general closed-form expression available describing carrier lifetime;
g
processes and recombination via
Auger
combination): lifetime modeling relatively
Photovoltaics);

deep traps ((SRH-resimple (see lecture

processes involving phonons: modeling difficult.

Process 2c: phonon cascades (= subsequent emission of
phonons)
Phonons: only small energies (10 to 50 meV),
meV)

energetically closely spaced levels required;

phonon cascades only important for recombination into shallow
levels.

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103

Process 2c: multi phonon emission

(= simultaneous emission of phonons)
Process very improbable for energy dissipation of electrons;
however: important for lattice relaxation of deep levels.
Process 3: intra band transitions
Within bands: available energy levels are continuous;
energy dissipation of electrons and holes via phonon cascades.
Process 4: Auger recombination
p
effect for recombination in (p
(pure)) indirect
Most important
semiconductors;
Mechanism: transfer of excess energy of recombining electron/holepairs to either a third partner electron (in n-type material) or hole
(in p-type material).

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104

 JHW

Fig. 5.10: Auger-effects in a direct semiconductor

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105

5.4 Internet Links

1. Indirect recombination via an energy state in the band gap
http://www.acsu.buffalo.edu/~wie/applet/recombination/indirect.html

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106

5.5 Literature
1. J. I. Pankove, Optical Processes in Semiconductors (Dover
Publications, New York, 1971), p. 35 ff.

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107

6. Light emitting diodes

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108

6.1 Working principle of an LED

Mechanism: spontaneous emission due to radiative band/band
recombination of electrons and holes.
Spontaneous emission: inverse process of absorption.
Figure 6.1 compares the two processes for a general two-level system.
absorption

spontaneous emission

E2

E2
h

before

E1

E1

E2

E2
h

after

E1

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Fig. 6.1:
Absorption and
spontaneous
emission for a
system with two
discrete electron
levels E1, E2.

E1

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109

Energies E1, E2 mono-energetic: radiation emission with h = E2 E1.

Semiconductor: E1, E2 correspond approximately (but not exactly) to
valence band edge EV and conduction band edge EC.
Emitted photon energy h of luminescence diodes with band gap Eg:

h EC - EV = Eg.

Generation of visible radiation

requires
< 780 nm Eg > 1.60 eV
> 380 nm Eg < 3.26 eV
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Fig. 6.2: Spontaneous emission in

a semiconductor.

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110

Requirement for efficient generation of radiation:

many electrons and holes at same site and same time!
Consequence: semiconductor must be in nonequilibrium!
Equilibrium:
Consequence:

np = ni2.
in n-type material:
in p-type material:
in intrinsic material:

n large, p small,
p large, n small,
n and p small.

All these cases: emitted radiation low

(equilibrium selective body radiation of chapter 2.5.2).
Requirement for strong radiation: np > ni2,
by injection of carriers, for example across a pn-junction.
Extension of recombination zone:
one diffusion length into bulk of n-type and p-type region.
111

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n-type
p

p-type
recombination

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Fig. 6.3: Recombination by carrier injection into junction.

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112

Quasi Fermi levels EFn (for electrons) and EFp (for holes):
From

np > ni2

it follows:

EFn > EFp.

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Fig. 6.4: Band diagrams for LED without and with bias voltage V.
113

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6.2 The spectrum emitted by an LED

No black body spectrum described by Plancks equation.
Exact shape of emitted radiation:
depends on energy distribution of electrons in conduction band
and holes within valence band.
For electron and hole density distribution (see Fig. 6.5b), it holds:

nE = Dc(E)fn(E) = dn/dE

(6.1)

pE = Dv(E)fp(E)= dp/dE,

(6.2)

and

with the density of states Dc(E), Dv(E), and the Fermi functions
fn(E), fp(E) for electrons and holes.

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114

ne
EC
Eg
EV

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pe
a)

occupied
states

intensity (a
arb. units)

GaAs
T = 300 K

2kT

1.45 1.50 1.55

photon energy h (eV)

b)

c)

Fig. 6.5: a) Electron energies in a semiconductor,

b) occupied states and
c) emitted spectrum of an LED.
115

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Fig. 6.5a shows: Electron and hole recombination not directly from
band edges but between slightly higher energies.
Emitted spectrum: after van Roosebroek and Shockley:

(h ) (h ) 2 h Eg e

h E g
kT

for
o h > Eg

(6.3)

Energetic width (h) at room temperature: (h) 2kT = 52 meV;

maximum of the radiation: about 1kT 26 meV above Eg.
Reason: energetic width of Fermi distribution function of electrons and
holes 2kT.
O wavelength
On
l
th axis:
i energetic
ti width
idth (h) corresponds
d tto width
idth .
From = c/ it follows:

c
1 c2
2
2
= 2 = 2 = = (h ). (6.4)

c
c
hc
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116

with (h) 2kT it follows for the width :

2kT 2
52 meV
=
hc
1.24 eV

2 =

1
2.
24 m

(6.5)

Width of radiation increases with square

q
of center wavelength
g !
For example, GaAs LED with = 870 nm has a width = 32 nm.
Diodes emitting at 1.3 m or 1.5 m (optimum wavelengths for
communication via glass fibers):
width = 70 nm and = 94 nm, respectively;
too large for optical data communication;
lasers with typical widths < 0.1 nm are used.
Frequency band width of GaAs-LED:
= 870 nm

= 354 THz
= 32 nm

= 12 THz

/ = 3.4x10-2
117

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6.3 Materials for LEDs (and lasers)

6.3.1 III/V-Compounds (GaAs, GaP, InAs etc.)
3.5

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380 nm

band gap E g (eV

V)

3.0
AlP

2.5

AlAs

GaP
2.0

AlSb

1.5
Si

1.0

InP

GaAs
Ge

0.5
0.0

visible
indirect
780 nm
direct
1300 nm
GaSb

1500 nm

In 0.53Ga 0.47As

I Sb
InSb

InAs
5.3

5.5

5.7

5.9

6.1

6.3

6.5

lattice constant a ()
Fig. 6.6: Binary and ternary compounds for optoelectronic devices;
dashed lines represent indirect band gaps.

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118

Fabrication of LEDs: wide range of materials by

alloying III/V-compounds.
Example: system GaAs and AlAs completely miscible; AlxGa1-xAs;
variation of x: lattice constant almost unchanged,
band gap varies over wide range.
AlxGa1-xAs grows without lattice defects on GaAs substrates.
GaP and InP also miscible, however, lattice constant changes
over wide range.
The following
gp
parameters change
g upon
p alloying:
y g
band gap Eg
lattice constant a
band structure (direct, indirect)
thermal expansion coefficient

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119

Wavelength selection of emitted light: by selection of band gap Eg.

However: Eg coupled to a certain lattice constant a for particular alloy.
Challenge to find an appropriate substrate:
light emitting material usually grown by epitaxy
(e. g. any composition in the InGaAs system).
Obstacle: not many materials can be considered as substrate.
Requirements for the substrate:
a ailabilit in large areas (> 3 inches)
availability
defect free (no dislocations etc.)
lattice matched to epitaxial layer
similar thermal expansion coefficient as epitaxial layer.

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120

Substrate materials:
III/V-compounds: only GaAs, InP and GaP available in required size.
Silicon: most used material in microelectronics,
but no fit to lattice constants of III/V-materials.
Figure 6.6 demonstrates the following interesting features:

No direct band gap III/V-semiconductor with Eg > 2.3 eV available.

No blue light with these materials;
new materials: nitrides and/or organic materials!

GaP
G
P has
h highest,
hi h t but
b t indirect
i di t band
b d gap;
not very efficient in emission.

For certain mixture, ternary alloys of GaP and InP fit onto GaAs
substrate.

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For certain mixture, ternary alloys of GaAs and GaSb (or InAs) fit
onto InP substrate.

Alloy In0.53Ga0.47As = direct, fits on InP and emits at 1.5 m,

an ideal wavelength for glass fibers.

Semiconductor for 1.3 m emission:

- growth by ternary alloy not possible,
- requires four instead of three elements (quaternary alloy).

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121

122

GaP

E g (eV)

(In,Ga)P

2.26

GaP

5.576
5 653
5.653

1.42
1.35

GaAs
InP

1.4 eV

InP

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GaAs

1.2 eV
5.960

0.36

Ga(As,P)

1.8 eV
1.6 eV

5.869
InAs

indirect

1.0 eV

0.8 eV
0.6 eV

InP
In(As,P)

GaAs
(In,Ga)As

InAs
Fig. 6.7: Quaternary alloys in the system In1-xGaxAsyP1-y.

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123

Band gap adjustment:

System In1-xGaxAsyP1-y:

Eg between Eg = 0.36 eV (InAs) and Eg = 2.26 eV (GaP),

corresponds to = 3.4 m to = 0.55 m.

For glass fibers: = 1.3 m (0.95 eV) and = 1.5 m (0.83 eV)
most important.
LED and lasers with these two wavelengths
can be grown on InP substrates.

On InP substrates, the maximum possible Eg is 1.35 eV (0.918 m).

On GaAs substrates, the maximum
is 1.85 eV (0.670 m) .

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124

6.3.2 Materials for blue light (LEDs and lasers)

Why blue light?
for color displays (RGB)
for generation of white light (via LUCOLEDs)
for
f optical
ti l storage
t
systems
t
with
ith higher
hi h d
density
it (CD
(CDs etc.).
t )
Laser scanning of CDs:
The smaller the wavelength , the smaller can be
distance d between two pits on CD;
Resolution is limited by diffraction of laser beam at edges of
lens of scanning system according to

d min = 1.22

nsin

(6.6)

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Materials of the past:

SiC, Zn(S,Se)
research essentially given up, due to
low luminescence efficiency
(hampered by defects)

materials of today:

GaN, InN, InxGa1-xN

125

first good material in 1995

- low sensitivity to defects
- on SiC-substrate (Siemens, Cree)
- on Al2O3-substrate (Nichia)

more on organic LEDs in Lasers and Light Sources

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126

6.4 Emission efficiency of LEDs

External quantum efficiency (EQE)
Internal quantum efficiency (IQE):
e/h-pair:
pair: high,
high up to 99 %.
%
= number of created photons per recombining e/h
External quantum efficiency (EQE):
= number of photons leaving crystal per recombining e/h-pair:
low, usually around 3 to 4 % for an LED;
most created photons trapped within semiconductor.
Therefore:
EQE = IQE x opt
Three reasons for low optical efficiency opt:

(6 7)
(6.7)
re-absorption
reflection
total reflection
127

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a) Re-absorption
Direct semiconductors: high absorption constant
only light created directly underneath surface can leave crystal.
Normal pn-junction LED: re-absorption losses 10 to 20 %
(non
(non-)absorption
)absorption efficiency non-abs
0 8 to 0.9.
09
b = 0.8
Way out: use of heterostructures.
b) Reflection
Reflectivity (to the inner side!) between semiconductor (nsemi) and air
(n = 1), according to chapter 1.4:
2

n 1
r = semi 0.3 for nsemi 3.5
nsemi + 1

(6.8)

Way out: epoxy with n = 1.5.

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128

c) Total reflection
Photon generation within crystal (Fig. 6.8):
surface

e
c

0 = 4

point of
generation

back side

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Fig. 6.8:
Loss due to
total reflection.

- Equal probability of all directions for emission of photons;

- only photons within cone of half angle c can leave crystal;
angle c = angle of total internal reflection (chapter 1.3);
for semiconductors with nsemi = 3.5: c = 17.
Small angle c mainly responsible for low optical efficiency of LEDs!

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129

Ratio tr of emitted to transmitted light

= ratio of solid angle e (spanned by c)
to total spherical angle 0 = 4:

tr =

e 2(1 cosc )
=
0
4

(6 9)
(6.9)

= (1 - cosc ) / 2 2.2 %
Way out: encapsulation in epoxy (n = 1.5); increases angle and
(non-)total reflection efficiency to c = 25 and tr = 9.4 %.
Total optical efficiency:

opt= non-abs r tr

(6 10)
(6.10)

usually around 5 %;
higher efficiencies: by pre-selection of preferential emission of photons
into the narrow cone of (non-)total reflection.

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130

6.5 Internet Links

1. Formation of a PN Junction Diode (Applet):
http://www.acsu.buffalo.edu/~wie/applet/pnformation/pnformation.html
2. PN Junction Diode under Bias (Applet):
http://fiselect2.fceia.unr.edu.ar/fisica4/simbuffalo/education/pn/biasedP
N/index.html
3. Light Emitting Diodes (Color calculation Applet ):
http://www.ee.buffalo.edu/faculty/cartwright/java_applets/source/LED/i
ndex.htm

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131

7. Semiconductor Lasers

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132

7.1 Working principle and components of lasers

7.1.1 Stimulated emission
laser = light amplification by stimulated emission of radiation
a) absorption

E2

E2
before
E1

b) spontaneous emission

c) stimulated emission

E2

h
E1

E1

E2

E2

E2
h

after

E1

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E1

E1

h
h

Fig. 7.1: Principle of stimulated emission.

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133

Fig. 7.1: Principle of stimulated emission:

Interaction of photon and excited atom, molecule etc.
emission of second photon amplification.
Lasers: no use of spontaneous emission (in contrast to LEDs; Fig.
Fig 6.1),
6 1)
but stimulated (or induced) emission of photons (Fig. 7.1).
Stimulated emission: induced by resonator or cavity !
LED:

individual emission processes independent of each other.

Laser: stimulated emission resulting in amplification;

synchronization of individual radiation emitting sources.
Result: strong coherence of emitted radiation (see chapter 3).

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134

Emitted radiation (photon) has same

energy
phase
polarization
direction of emission (!)
as incident radiation (photon).
Last point particularly important:
Radiation forced (with
( ith the help of a resonator) to be emitted
into cone not suffering from total reflection (see Fig. 6.8).
Consequence: high external quantum efficiency EQE.
135

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7.1.2 Laser components

Components of (almost) every laser:
active medium (semiconductor, gas, crystal...)
resonator
(Fabry-Perot, Bragg reflector...)
energy pump (bias voltage
voltage, pump laser...)
laser )
active
medium

energy pump

Fig. 7.2:
Laser components.
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resonator
mirror

mirror
(semi-transparent)

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136

7.1.3 The ratio of stimulated to spontaneous emission

Electron transitions from high energy state E2 to low energy state E1:
either by stimulated or by spontaneous emission.
Number N2 of electrons leaving state E2:

dN 2
dt stim 12
=
j .
dN 2
AAE
dt spon

(7.1)

j = photon flux density (i.e. light intensity),

12 = cross section for stimulated emission,
AAE = Einstein coefficient for spontaneous emission.
Important: Sites of high radiation intensity stim. emission also high!!!
Sites predetermined by resonator geometry,
which induces standing radiation wave.
137

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7.2 General lasing conditions

7.2.1 The gain of a laser (first general lasing condition)
Amplification by stimulated emission: must over-compensate losses by
p
absorption.
Spatial dependence of radiation intensity :

d
d
d
(x)=
+
= - + 12 N 2
dx
dx abs dx stim
ind
= -12 N1 + 12 N 2

(7.2)

= -12 (N1 - N 2 )(x)

)( )
Integration:

(x)= 0 e-12 (N1 -N2 )x = 0 e gl x .

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(7.3)
138

Quantity gl, (differential) gain of laser:

gl = 12 (N1 N2 ) = 12 N1

( N N 1) = ( N N 1).
2

(7.4)

First lasing condition (holds for any laser):

Requirement for light amplification in a laser:
increase of (x) with increasing x, i.e. (x) > 0.

gl mustt be
b > 0 and
d th
therefore:
f

N2 > N1 !

population inversion

(7.5)

139

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7.2.2 The resonator (second general lasing condition)

Laser: optical amplification necessary feedback by resonator required.
Resonator supplies feedback by generating standing light wave.

O ti l amplification
Optical
lifi ti necessary!!
E
EC

e
h

EV

JHW

h
Fig. 7.3: Light amplification in a laser.

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140

Fabry-Perot, the simplest resonator (cavity)

Fabry-Perot: two parallel mirrors with high reflection coefficient.

Standing wave between the two mirrors;

Requirement for amplification: second lasing condition for mechanical
length d:
d

2d = m

nr

(7.6)

m = integer
m = vacuum wavelength
nr = refraction index

8 half waves

Purpose of cavity:
JHW

7 half waves
mirror

mirror

selection of only one wavelength

for amplification;
mirrors have to be
extremely parallel.

Fig. 7.4: The Fabry-Perot.

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141

Example: GaAs laser, typical length d = 200 m, = 850 nm, nr = 3.5:

m 1647.
Wavelengths for different m: so-called (longitudinal) modes.
Sites with spatial distance of /2 within resonator:
intensity of wave goes with a frequency through a maximum.
High light intensity: more photons created by stimulated emission
- provided electrons available at required energy.
amplification
This local generation of photons = basic mechanism of amplification.

Note: Certain sites present within cavity not contributing to

stimulated emission and therefore not amplifying!

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142

7.3 Lasing conditions for semiconductor lasers

7.3.1 The first lasing condition
Request for occupation inversion:
separation of quasi-Fermi levels of electrons and holes
by more than band gap [1] at recombination sites:

E Fn E Fp E g h .

(7.7)

Requirement of equation: at least one of the two Fermi levels

to be within a band.
Note:
Thermodynamic equilibrium: both Fermi levels equal;
lasing: non-equilibrium conditions required by injection of carriers;
doping of semiconductor: high doping of both sides, both Fermi levels
within band (degenerate semiconductors).
143

JHW

Figure 7.5 compares LED and laser:

V>0

V=0

LED

n
p
EF = EF

EC
EV

LASER
n++

EF

EF

EF = EF

EC
EV

p
EF

p++

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EF

Fig. 7.5: LED and semiconductor laser. Laser: quasi-Fermi levels have
to be separated by at least the band gap value.

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144

Gain in semiconductor laser:

depends on population of conduction and valence band:

g( h , n, p ) const. DV ((E)D
) C ((E + hv)[f
)[f n ((E + hv)) + f p ((E)) - 1 ]]dE

(7.8)

DV, DC = density of states of valence and conduction band,

fn = occupation probability of conduction band with electrons,
fp = occupation probability of valence band with holes.
A positive
iti gain
i g > 0 requires
i

f n ( E + hv ) + f p ( E ) 1 > 0.

(7.9)

145

JHW

For the occupation functions it holds

f n (E) =

(E-EFn )/kT

f p (E) =

1
(EFp -E)/kT
E)/kT

1 f p (E) = 1

q
y
The inequality
holds then only for

+1

(7.10a)

(7.10b)

+1
1

(EFp -E)/kT

+1

1
(E-EFp )/kT

+1

(7.10c)

f n ((E + hv)+
) f p (E)
( ) 1 > 0,,

(7.11)

h < EFn EFp = EF .

(7.12)

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146

EF

EC

Eg

EF

EF

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EV

Fig. 7.6: Only electron levels in the energy regime between EF and
Eg yield a positive gain g.
147

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Consequence:
light amplification only for energies h below distance of quasi-Fermi
levels;
light has energy h larger than band gap Eg;
condition for amplification:

Eg < h < EF .

(7.13)

For h = Eg and h = EF: gain g = 0;

peak between these two values.

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148

7.3.2 The second lasing condition

Task of resonator: amplification of light.
Condition for resonator of length d: (2d) > 0.
In g
general:

Amplification:

d = (g - )dx,
)dx or

(7 14a)
(7.14a)

(x)= 0 e(g -)x .

(7.14b)

gain g has to - overcome absorption losses and

- compensate reflection losses.

After length 2d: two reflections at mirrors with reflectivity R1, R2,
light intensity after 2d:

( 2d)= 0 R1 R2 e(g -)2 d .

(7.15)
149

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Solution for g with requirement (2d) > 0:

g > +

1 1
ln

2d R1 R2

(7.16)

High quality lasers require

small
large d
large R1, R2
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absorption coefficient
mirror

differential gain g

mirror
(semi-transparent)

Fig. 7.7: Laser cavity with mirrors.

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150

7.4 Laser modes

a) Longitudinal (axial) modes
Condition for standing light wave within cavity of length d:

2d = mm / nr ,

(7 17)
(7.17)

not only one, but many m and many m fulfill Eq. (7.17);
each wavelength represents one mode.
From c = m m, we obtain:

m =

=m

c
.
2nr d

(7.18)

Frequency distance = m+1 - m of modes:

c 1
,
2nr d

(7.19)
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JHW

Energy distance of longitudinal modes:

lm (h) =

hc 1 1.24 eVm
=
,
2nr d
2nr d

(7.20)

which corresponds to wavelength distance

-1

2 1

2nr d

(7.21)

Requirement for good separation of modes ( large):

short lasers in case of Fabry-Perot structures.
However: the shorter the laser, the smaller the volume for emission and,
therefore, the intensity.
Long high-intensity Fabry-Perot lasers: many modes;
solution for mode reduction: DFB and DBR laser

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152

Example for longitudinal modes:

InGaAsP-laser, 780 nm, nr = 3.6, and length d = 170 m:
number of (longitudinal) half waves of one mode within cavity:

m=

2dnr

340 m 3.6
36
= 1569
0.78 m

(7.22)

Reality: not only one, but about 60 modes, with m = 1540 ... 1600,
and wavelength separation of 0.5 nm;
value in accordance with Eq. (7.8)!
equal energetic distance after Eq. (7.23):

lm (h) =

hc 1 1.24 eVm
1.24 eVm
=
=
= 1.01 meV
2nr d
2nr d
2 3.6 170 m

(7.23)

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153

Interpretation of observation:
Emission line of LED: (mean) width (h) 2kT 50 meV at room
temperature (see chapter 6.2, Fig. 6.5);
within
ithi thi
this energy regime:
i
selection
l ti off energies
i with
ith lm(h) 1 meV
V
by cavity of Fabry-Perot laser for emission;
here: 50 modes separated by 1 meV;
so-called super luminescent regime below threshold current density:
laser emits all these lines;
at currents above threshold current density:
many of side modes die out.

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154

intensity (arrb. units)

2kT

JHW

1.60 1.65 1.70

photon energy h (eV)

Fig. 7.8: Longitudinal modes in InGaAsP laser of 170 m length below
threshold. Mode distance about 1 meV.
155

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b) Transversal modes
Finite width of laser cavity:
not only modes with different m, but also of different optical lengths
transversal modes,, see Fig.
g 7.9.
Transversal modes: suppressed by narrow cavity.

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Fig. 7.9: Transversal modes in a waveguide.

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156

7.5 Radiation amplification in a semiconductor laser [5,6]

Spectrum of Fig. 7.8: still spectrum of an LED;
Lasing: - one (or a few) lines have to be amplified,
- first lasing condition (population inversion) has to be fulfilled;
- intensities of lines in Fig. 7.8 have to be multiplied by gain
curve egl(h);
- gain g must be positive and has to exceed optical losses.
Figure 7.10: Calculated gain curve [5] for laser with GaAs-layer,
hi hl p+-doped
highly
d
d with
ith p+ = 1x10
1 1019 cm-33,
hole Fermi level position EV - EFp = 12 meV below EV;
injection of different concentrations of electrons
into GaAs-layer by application of bias voltage.
157

JHW

From certain electron concentration n on:

gain gl positive for energies between Eg and EF of the quasi-Fermi
levels.

gain g

amplification
for n4

i
0

n2

n3

n4
Fig. 7.10:
Gain curve for GaAs laser
with band gap Eg = 1.424 eV.

n1

Eg

1.424 1.441 1.451 1.466

photon energy h (eV)

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17 27

42

difference h - Eg (meV)

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158

Table 7.1: Values for Fig. 7.10.

Too low injection: distance EF of quasi-Fermi levels for electrons and
holes smaller than band gap Eg

gain gl negative (absorption).

EFn - EC EF - Eg

electr. conc.
[cm-3]

[meV]

[meV]

n1 = 2.2 x 1017

-15

-3

4 0 x 1017
n2 = 4.0

17

n3 = 5.6 x 1017

15

27

n4 = 8.2 x 1017

30

42

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159

Gain gl in Fig. 7.10: depends strongly on the injected carrier (electron)

concentration n.
For amplification: a) gain gl must be positive and
b) has to exceed threshold value i in order to
compensate intrinsic losses;
intrinsic losses: e. g. absorption by free carriers,
not contained in the fundamental absorption constant ,
characterized by an additional absorption coefficient i .
Above threshold (i.e. for g > i):
emission lines of Fig. 7.8 are amplified with gain curve from Fig. 7.10;
the higher the current (the injected carrier density n), the less laser lines
survive;

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160

Fig. 7.11 shows light output versus current density:

light output

spontaneous
emission
i i

stimulated
emission
i i

g > i
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jth
current density j

Fig. 7.11: Above threshold current jth, gain gl exceeds threshold value i.
Fig. 7.12 shows example [8] for emission spectrum:
161

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e) 100 mA
10 mW

Please note that the

vertical scales of the
diagrams are different!

b) 75 mA
2 3 mW
2.3

d) 85 mA
6 mW

a) 67 mA
1.2 mW

c) 80 mA
4 mW

836

832

828

824

820

816

836

Wavelength (nm)

832

828

824

820

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816

Wavelength (nm)

Fig. 7.12: Modes of AlGaAs/GaAs double heterostucture laser of length

d = 250 m and width w =12 m for various currents at 300 K [8].

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162

7.6 Semiconductor laser configurations

7.6.1 Heterojunctions, heterostructures
Heterojunctions:

two materials of different chemical nature,

e.g. SiGe/GaAs or InGaAsP/InP.

Lasers and LEDs: use band gap difference between two (or more)
materials in order to achieve
carrier confinement
optical confinement
Carrier confinement: based on offsets between conduction (EC)
and/or valence bands (EV).
Light confinement:

based on Moss law:

nr4 Eg const.

(7.24)

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163

Total reflection of light from material with smaller band gap Eg.
Quantum wells (Fig. 7.13): ideal for confinement.

To distinguish:

isotype
yp heterojunctions
j
((same type
yp of doping,
p g, Nn-, Pp
pstructure)

anisotype heterojunctions (different type of doping, Np- or Pnstructure)

Fig. 7.13:
p
Quantum well for optical
and carrier confinement.

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164

Offsets EC , EV at conduction and valence band between two

materials:
derived from same principles as for homojunctions.

7 6 2 Homojunction (anisotype)
7.6.2
Two equal principles / assumptions of contact formation for
homojunctions and heterojunctions (leading to Andersons rule):
Homojunction (see Fig. 7.14):
Fermi level EF across junction is constant (flat)
Vacuum level Evac across junction is continuous
(no change of electron affinities , no offset at conduction band edges,
whereas work functions w change).
165

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interface

Evac

q1

EC
EF
EV

p-type

n-type

(1) q
2

qw

q 2
q

(2)

qw

EF

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EF
a) before contact

b) after contact

Fig. 7.14: Homojunction formation:

a) before contact
b) after contact: Fermi level EF flat, vacuum level Evac
continuous across interface.

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166

7.6.3 Heterojunction (anisotype)

interface
JHW

N-type

p-type

Evac
q 1

(1)

q w

EC
EF

(1)
Eg

(2)

q 2 q w

(2)
Eg

EV

q 1

EC
EF
EV

a) before contact

q 2

EC
Eg(2)
(1)

Eg

EV

EC
EF
EV

b) after contact

Fig. 7.15: Heterojunction formation according to Andersons rule for

conduction band offset EC.
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JHW

Requirement: continuous vacuum level Evac across interface.

Discontinuities EC , EV in conduction and valence band edge;
Anderson rule for the discontinuities EC and EV:

EC = q( 2 - 1 )

(7.25a)

EV = (Eg(1) - Eg(2) ) - EC = Eg - EC

(7.25b)

see Fig. 7.15!

Very large discontinuities potential well at interface, see Fig. 7.16.
Electrons in potential well:
only discrete energies (subbands),
localized perpendicular to interface with respect to movements.
Formation of two-dimensional electron gas (2DEG).

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168

2DEG

EC
JHW

EF
subbands

EC

Fig. 7.16: Two-dimensional electron gas (2DEG) at interface of a

hetero-structure.

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169

7.6.4 Band engineering with heterostructures of type I, II, III

a) The relative position of bands for semiconductors
Heterostructures allow manipulation and engineering of electron, hole
and light behavior within semiconductors.
However, band adjustment not always according to Andersons rule
(adjustment of vacuum levels):
other reference levels needed for understanding: charge neutrality
levels, dielectric mid-gap levels, energy of mean dangling bond;
these levels: derived from three-dimensional band structure of
individual semiconductors.
Anderson rule just a crude prediction.

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170

 Further rather complicated theories:

- charge neutrality level (Tersoff),
- dielectric mid-gap energy (Cardona and Christensen),
- dangling bonds (Lanoo).
Finally: particular energies for particular semiconductors;
to be matched upon formation of contacts.
b) Carrier confinement in heterostructure types [2]
Figures 7.17 and 7.18: three types of heterostructures;
type I: Double layer confines electrons and holes;
type II: Only hole confinement;
type III: Holes from one material in direct contact with electrons from
second semiconductor.
171

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type I
straddling

type III
misaligned

type II
staggered

EC

EC
EC
EV
EV

EC
EV

EV
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Fig. 7.17: The three types of heterostructures.

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172

In0.53Ga 0.47 As
EC(eV)=

Eg (eV)=

InP
0.25

0.26
0.75

1.35
0.34

EV(eV)=

InAs
EC(eV)=

In 0.52 Al 0.48 As In0.53Ga 0.47 As

0.88

EV(x)

0.22

0.16

GaSb

EC(x)

0.75

1.44

AlSb

InAs

0.50
0.73

Eg (eV)=
EV(eV)=

0.47

1.35
1.58
0.36

0.36
-0.51

0.35

EC(x)
EV(x)

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-0.13

Fig. 7.18: Lattice-matched compositions for InGaAs/InAlAs/InP show type I.

System InAs/GaSb/AlSb shows all three types.
173

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c) Optical confinement in heterostructures

a)

c)

b)

EC (x)

EC (x)

EV (x)

EV (x)

n r (x)

n r (x)

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DH

SCH

GRINSCH

Fig. 7.19:
19 Profile
f ffor bands and refraction
f
index ffor
a) double heterostructure (DH),
b) separately confined heterostructure (SCH), and
c) graded index separately confined heterostructure (GRINSCH).

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174

Modern semiconductor devices:

very small structures quantum wells, quantum boxes (dots)
quantified energy levels; see Fig. 7.16;
size of quantum boxes 10 nm;
type I hetero-interfaces (see Fig. 7.19a):
- quantum box for carrier confinement,
- high carrier density for population inversion,
- confinement also of light by step-like behavior of
refraction index nr (Moss law: nr4Eg = const.)
However: Confinement of light not effective for structures with
thicknesses below wavelength of light:
the smaller the structures,
the better the confinement of carriers,
but the higher the losses of light.

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175

Light-confining structures need thicknesses

not smaller than wavelength of the light,
i.e. not smaller than about 1 m (see also chapter 8).
Solution of contradicting demands, see Fig. 7.19b:
Different structures for light- and carrier confinement:
inner potential well confines carriers,
outer well - profile of refraction index nr - confines light.
Fig. 7.19b: step function profile of refraction index nr
Fig. 7.19c: graded profile of refraction index nr.
Advantage of graded index profile:
smaller number of (transversal) optical modes (see chapter 8).
Reality: center zone of structure in Fig. 19b:
sometimes not only single layer, but multi quantum well.

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176

7.7 Light guiding in semiconductor lasers

7.7.1 Principle of light guiding
For increasing ratio of stimulated to spontaneous emission (chapter 7.3):

confinement of light to a narrow region in a laser;

for steering emission of photons into a certain direction:

guiding of light within laser;

two methods: Gain g
guiding
g and index g
guiding;
g;
both methods based on total reflection at interface between
material with higher and material with lower refraction index.

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n2 < n1
n1
n2
mirror

Fig. 7.20: Top (!) view of semiconductor laser; principle of light guiding;
relation n2 < n1 must hold for n2 of cladding layer.
Aim of laser design:
to achieve zone of low n2 (cladding layer) with simple methods.
In principle:
center zone as narrow as possible to avoid (transversal) optical modes.

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178

However: if inner zone too narrow:

light enters into cladding layer (see chapter 8, structure parameter).
minimum width of the center zone layer: several m.

7.7.2 Gain guiding (active guiding)

Effect occurs in all semiconductor lasers:
refraction index nr increases with increasing carrier concentration
(due to higher current) according to [3,4]

q2 2 n
p
nr (n, p) = r + 2
+ .
8 0c0 r me mh

(7.26)

r and 0 = relative and absolute dielectric constant.

Gain guiding bases on active wave guiding:
higher refraction index only during operation of laser
(increased n, p within space charge region).
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7.7.3 Index guiding (passive guiding)

Effect based on step of refraction index built into structure;
typical examples: hetero-structures; e.g. Fig. 7.19.
Index guiding + gain guiding:
lower threshold current density jth (chapter 7.10).
Figures 7.21a,b: two hetero-structure lasers with gain and index
4 m
guiding.
metal
oxide

metal
oxide

p-GaAs
p-AlGaAs
p-GaAs

p -InGaAsP

n-GaAs

n-InP
p-InP

n-AlGaAs

a)

p-InP

p-InGaAsP

n -InP

b)
n -InP-substrate

JHW

Fig. 7.21: a) gain guided AlGaAs/GaAs-laser,

b) index guided InGaAsP laser with InP cladding layers.

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180

7.8 Modern semiconductor lasers

7.8.1 The stripe contact laser
a) Carrier confinement
Stripe contact laser (Figure 7.22): simplest semiconductor laser;
contact stripe confines carriers to narrow zone of pn-junction;
Fabry-Perot by splitting wafer along preferential crystallografic
directions, usually along [110];
(111)-split planes then extremely flat. Laser emits light at edges
(edge emitting laser)!

181

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b) Optical confinement
Optical confinement: based on gain guiding;
center zone: as narrow as possible to suppress (transversal)
optical modes.

p-type
~100 m

5 m
stripe
contact

active zone
(~0.2 m)

n-type
type

contact
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~500 m

current lines

Fig. 7.22: Side view and cross section of stripe contact laser.

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182

Improvement of current (carrier) confinement in stripe contact lasers:

use of a V-groove contact,
hydrogen implantation to form semi-insulating GaAs, or
by oxide layer; index guiding by oxide with nr 1.5.
V-groove contact

H -implant

oxide
SiO2

a))

b))

c))
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active zone

Fig. 7.23: Confinement of current lines in GaAs stripe contact laser by

a) V-groove contact, b) hydrogen implantation, c) oxide layer.
183

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7.8.2 The double heterostructure laser

Operation principle: Inversion in center layer by carrier injection from
N-type and P-type layers with the high band gap.

N-type
Evac
EC
EF

p-type

q1

E C
Eg(1)

EV

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P-type
Evac
EC

q2
Eg(2)

E V

EC
EF
EV

EF
EV

Fig. 7.24: Double heterostructure before putting materials together

(for example AlGaAs, GaAs, AlGaAs).

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184

N-type

p-type

P-type
EC

EC

EF
EV

EV

a) V = 0

Fig. 7.25:
Double heterostructure
laser consisting of an
AlGaAs/GaAs/AlGaAs
stack,
a) without and
b) with
ith bias.
bi

electrons

h
h

EFp

b) V > 0

EFn

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holes
185

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4 m
metal
oxide
p -InGaAsP

n InP
n-InP
p-InP

p-InP

p-InGaAsP

n -InP

b)
n -InP-substrate

Fig. 7.26:
carrier confinement
InGaAsP
double heterostructure laser improves
G
p
resulting in reduced threshold current density

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186

7.8.3 Quantum well laser

contact layer

EC
Ene
ergy

confinement layer
confinement layer
quantum wells
confinement layer

EV

confinement layer
contact layer
substrate

Fig. 7.27: Quantum well structure improves carrier and optical

confinement and reduces threshold current density.

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187

Fig. 7.28: AlGaAs quantum well laser with two quantum wells and
graded index light guiding structure for separated optical confinement.

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188

7.8.4 Quantum dot laser

Fig. 7.29: Self-organized growth of InGaAs quantum dots on a GaAs

substrate

189

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homo junction

threshold current de
ensity [A/cm2]

105

Fig. 7.30: InAs quantum

dot laser

quantum wells

104

103
quantum dots

hetero junction

102

101
1960

1970

1990

1980

2000

2010

year

Fig. 7.31: Reduction of threshold energy

density in modern semiconductor lasers

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190

7.8.5 Distributed feedback (DFB) laser

a) Mode distance and energy distribution
Energy distance of (longitudinal) modes in Fabry-Perot cavities; see
chapter 7.4, Eq. (7.17) :

lm (h) =

hc 1 1.24 eVm
=
,
2nr d
2nr d

(7.27)

Figure 7.32: compares mode distance lm(h) and energy widths En ,

Ep of carrier distributions;

short cavities: mode distance larger than energy distribution of

electrons and holes.
electrons can only recombine at a single energy
difference.
191

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cavity modes

carrier distribution

E
lm(h)
EC

En

ne = DC(E)fn(E)

En Ep 1 kT
EV

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Ep pe = DV(E)fp(E)

short long
d
Fig. 7.32: Short cavity: Energy distances of optical modes larger than
energy widths of electrons and holes;
only single modes excited.

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192

Conditions for single-mode Fabry-Perot laser:

Distributions of electrons and holes about kT 26 meV wide;
for refraction index nr = 3.6: lm(h) > kT d must be < 6 m!
y
lasers: too low an intensity.
y
Such small Fabry-Perot

Instead of short Fabry-Perot lasers: Bragg reflectors.

b) Bragg reflector

n2
n1
difference 2
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Fig. 7.33:
Bragg reflector.
193

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Principle of Bragg reflector (Figure 7.33):

Waveguide with periodic thickness variation of layer with n1;
each hump scatters the light interference effects;
wavelengths with multiple of hump distances constructive interference of individually back-scattered waves.
arrangement of humps acts as mirror of high reflectivity, even if
scattering intensity of individual hump is small.
Condition for standing waves with well defined wavelengths within
structure of Fig. 7.33:

2 = m

nr

(7
(7.28)
28)

Similiarity to second laser condition for Fabry-Perot cavity (see chapter

7.4)! Hump distance replaces cavity length d!

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194

Consequence: energy distance of longitudinal modes (standing waves)

in laser with Bragg reflector:

lm ((h)) =
Small :

hc 1 1.24 eVm
.
=
2nr
2nr

(7.29)

energy distance of modes much larger than kT.

Calculations show: m > 2 strong losses due to radiation;

mode with m = 1 used; needs very small 150 to 250 nm.
For laser with refraction index nr = 3.2, = 1.3 m (1.5 m):
hump distance must be = 200 nm (234 nm).

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195

c) DBR- and DFB-laser

Fig. 7.28a: Bragg reflector not in electrically active layer, but
distributed among end pieces of crystal.
DBR = Distributed Bragg Reflector
In contrast, Fig. 7.34b: Bragg reflector along hole active zone,
feedback distributed equally.
DFB = Distributed Feedback Bragg (reflector)

Figure 7.35, real DFB-laser .

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196

a) Distributed Bragg Reflector

b) Distributed Feedback Bragg (reflector)

I
DFB

DBR

active

ARC

active
ARC

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ARC

Fig. 7.34: a) DBR- and b) DFB-laser, after Ref. [3]. End faces contain
anti-reflecting coating (ARC) to avoid Fabry-Perot modes.

197

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n-InP
p-InP
n-InP

ARC

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DFB

p InP
p-InP
p-InGaAsP
InGaAsP (active layer)
n-InGaAsP
= 200 nm (for = 1.3 m)
= 235 nm (for = 1.55 m)

Fig. 7.35: Hitachi HL1541 BF/DL laser with buried heterostructure and
distributed feedback reflector for fiber optic communications;
optical output power 1 mW at laser line,
side mode suppression 35 dB.

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198

7.8.6 Vertical surface emitting laser (VCSEL)

light output
Si/SiO2 DBR
n -InP
(substrate)
n -InP
(cladding)
p -GaInAsP
(active)
p -InP
(cladding)
SiO2
active region

contact

Lasers discussed so far:

edge emitting lasers.
Structure
Str
ct re of Fig.
Fig 7.36:
7 36
contains vertical stack of
Bragg reflectors;
vertically standing light
wave;
light emission at surface;
appropriate for laser arrays
and optical interconnects of
computer chips.

Si/SiO2 DBR

Fig. 7.36: Vertically emitting laser.

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199

7.9 Internet Links

1. Population Inversion (Applet):
http://stwww.weizmann.ac.il/lasers/laserweb/Ch-2/F2s6p1.htm
2. Creating (Applet): http://stwww.weizmann.ac.il/lasers/laserweb/Ch3/F3s5p1 htm
3/F3s5p1.htm
3. Principle of a Laser:
http://www.phys.ksu.edu/perg/vqm/laserweb/Java/Javapm/java/Las
er/index.html
4. Laser Cavity:
http://webphysics.davidson.edu/Applets/optics4/laser.html
5 Uses of Lasers and comparison (Applet):
5.
http://www.colorado.edu/physics/2000/index.pl
6. Quantum Well Calculator
http://www.ee.buffalo.edu/faculty/cartwright/java_applets/quantum/n
umerov/index.html

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200

7.10 Literature
1. H. G. Wagemann and H. Schmidt, Grundlagen der
optoelektronischen Halbleiter-bauelemente (Teubner, Stuttgart,
1998), pages 202-205.
2 J.
2.
J H
H. Davies
Davies, The Physics of Low-Dimensional
Low Dimensional Semiconductors
(Cambridge University Press, Cambridge, UK, 1998), p. 85.
3. W. Bludau, Halbleiteroptoelektronik: Die physikalischen Grundlagen
der LEDs, Diodenlaser und pn-Photodioden (Carl Hanser,
Mnchen, 1995), p. 160.
4. see Ref. [3].
5. pages 125-132 in Ref. [3].
6. W. L. Leigh, Devices for Optoelectronics (Dekker, New York, 1996),
p. 90
7. p. 105 in Ref. [6].
8. H. Kressel, in Handbook on Semiconductors, Vol. 4 (T.S. Moss and
C. Hilsum editors, North Holland, Amsterdam, 1981), p. 636.

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201

8. Glass Fibers

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202

8.1 Configuration and optical properties

8.1.1 Advantages of glass fibers
Glass fibers: dielectric waveguides;
- core with refraction index n1 and cladding with refraction index n2;
- total reflection keeps light in core;
- today: power losses below 0.16 dB/km, bandwidths around
1 GHz km (i.e. 1 ns dispersion/km);
- high capacity (1 Gbit/s), cheap, potential free, and light.
cladding
g
b

core

n2 < n1
n1

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Fig. 8.1: Glass fiber for optical data communication.

203

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8.1.2 Fiber configurations

Three major fiberoptic configurations [1]:

Fig.
g 8
8.2:
Configurations and
index profiles.
a) multi-mode stepindex fiber,
b) multi-mode
graded-index fiber,
c) single-mode stepindex fiber.
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204

8.2 Step-index fibers

Light carried by total internal reflection due to small discontinuous
fractional step:

n =

n1 n2
n1

(8.1)

Fig. 8.3: Step-index fiber.

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Refraction index n1:

in the range n1 = 1.44 to 1.46,

varied by doping SiO2 with Ge, Ti, B;

value for n:

between 0.1 and 2 %;

typical diameter of cladding: 2b = 125 m;

of core: 2a = 8 - 100 m.
205

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8.2.1 Ray guiding

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Fig. 8.4: Ray guiding in a step-index fiber.

Core: guides rays with angle > c.
Critical angle c for total reflection (chapter 1.3):
1 3):

sin c =

n2 n1 ( 1 n )
=
= 1 n = cos c .
n1
n1

(8.2)

c = complementary critical angle.

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206

For n = 1%:

c = 81.9

Total reflection requires

and

c = 900 c = 8.1 ;

= 90 < c .

8.2.2 Acceptance cone, numerical aperture NA

Ray guiding only within cone of acceptance (half) angle a (Fig. 8.4).
With na = refraction index outside fiber:
p
NA:
numerical aperture

NA = na sin a .

(8.3)

207

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Maximum acceptance angle a = f (c):

from Snells law (chapter 1.3) it follows:

NA = na sin a = n1 sin c = n1 1 cos 2 c

(8.4a)

n
= n1 1 2 = n12 - n22
n1

(8.4b)

n1 2n .

(8.4c)

Example: na = 1, n1 = 1.46, n = 1 % ( c = 8.1) :

a = 11.9 and NA = 0.206 (typical value for glass fibers).

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208

Small a and small NA: consequences of small n.

Larger n easier light coupling.
Example: un-cladded fiber with n1 = 1.46, n2 = 1:

c = 46.8, a = 90 and NA = 1
rays guided from all directions,
however: large NA larger number of modes.

small NA

large NA

a
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Fig. 8.5: Fibers with different numerical apertures NA.

Angles are exaggerated.
209

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8.2.3 Modes in a step-index fiber

Geometrical optics: all angles c < allow ray communication.
Wave optics:
only certain angles c < < 90 allowed.
Each angle defines a mode.
Condition for allowed (transversal !) modes:

phase fronts

n2

cladding

A
1

n1

core
B cladding

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n2
Fig. 8.6: Wave optic condition for modes. Reflected and original wave
have to interfere constructively.

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210

Condition for constructive interfere:

Original wave
Wave reflected at points A and B

must have same phase!

Condition fulfilled, if distance between equivalent points 1 and 2 is

a multiple of !
Equivalent points 1 and 2: distance 1A = distance B2
For fixed : condition only fulfilled for certain angles ;
each angle defines 1 transversal mode.
The thicker core, the more modes!
Calculation of modes: wave optics, Maxwells equations [1,2];
solutions (radial energy distribution): Figure 8.7, so-called LPlk modes,
k = number of rings, l = half of number of spots.
211

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8.2.4 Intermodal dispersion

Number of modes: thousands!;
number = f (fiber thickness, launching angle)
Individual modes:
p
lengths,
g , arrival at end of fiber at different times.
different optical

smear-out of light pulse, (inter-) modal dispersion.

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LP01

LP21

LP83

Fig. 8.7: Modes projected onto end face of step-index fiber;

LP01 = axial, basic mode; LP21, LP83 = higher order modes [2].

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212

time delay
cladding
axial

mode

core
cladding
opt. power

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sum
time t

time t

time t

Fig. 8.8: Different modes in step-index fiber;

inter-modal dispersion; smear-out of pulses.

213

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8.2.5 Mode dispersion coefficient Mdis

Mdis: characterizes time delay between fastest (axial) and slowest ray
per unit length of fiber.
Fastest ray:
y along
g fiber axis of length
g Lf , arrival after minimum time tmin:

tmin =

Lf
co / n1

(8.5)

Slowest ray:
y largest
g
length
g Lslow , reflected with critical angle
g c:
from chapter 8.3.1:

sin c = n2 /n1;

from Fig. 8.9:

Lslow/Lf = l/lf = 1/sin c .

Therefore:

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214

Lslow = L f

n1
n2

L fast = L f

(8.6)

(8 7)
(8.7)

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Fig. 8.9: Length Lslow of slowest ray: Lslow = Lf /sin c .

215

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Propagation time of the slow ray:

n
2
Lf 1
L
n2 L f n1
t
= slow =
=
,
max
c0
v
c0 n2
n1

(8.8)

time difference between slowest and fastest ray:

tmode = tmax tmin =

L f n1 n1 n1n
Lf .
1
c0 n2
c0

(8.9)

Mode dispersion coefficient of the step-index fiber:

M dis =

tmode
Lf

n1
n .
c0

(8
10)
(8.10)

Example: n1 = 1.46, n = 1 %, c0 = 3 x 108 m/s: Mdis = 49 ns/km.

Spreading out of pulse after 1 km: to width of 49 ns,
10 m in space!

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216

input signal
49ns
(10m)

time t

Fig. 8.10:
Fig
8 10:
Intermodal dispersion
spreads input pulses;
spatial delineation

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1.0 km

10 m
(49ns)

Pulses need
minimum distance
depending on mode
dispersion coefficient Mdis.

output signal
49ns
(10m)
time t

217

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Example in Fig. 8.10: width of light pulse = 10 m:

required separation of 2 subsequent light pulses:
20 m before the fiber, corresponding to t = 98 ns.
bandwidth Bfiber = 1 /(98 ns) = 10 MHz.
Quantity Bfiber
fib :

B fiber

1
2 t

(8.11)

1
2 M dis

(8.12)

Bandwidth-distance product:

B fiber L f =

Bfiber = 10 MHz and BfiberLf = 10 MHzkm: small value.

Step-index fibers not useful for data communication
over long distances.
Figure 8.11 demonstrates dispersion of a series of pulses.

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218

 JHW

Fig. 8.11: Dispersion destroys clear separation between pulses.

Closely spaced pulses degrade more quickly.
219

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8.3 Graded-index fibers

Intermodal dispersion:
due to optical lengths difference Lopt = nrL for rays
(with L = geometric length difference).
Solution of p
problem: acceleration of long
g rays
y byy smaller refraction
index (higher light velocity) smaller optical length Lopt = nr L;
see Fig. 8.12.

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Fig. 8.12: Graded-index fiber.

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220

Refraction index nr (power law):

( )

g
.
nr (r ) = n1 1 n r

(8.13)

Very large g 10: step-index

step index fiber.
fiber
According to theory [3,4]: minimum of intermodal dispersion
for optimum goptimum = 2 - 2n. For n 1% goptimum 2;
the profile is parabolic.
Since nr = f () (usually called dispersion):
compensation of intermodal dispersion by tailored refraction index
profile only possible for a single wavelength !
Note: Term dispersion has two meanings:
1. In the whole field of optics: Wavelength dependence nr(),
resulting in a dependence of light velocity on refraction index;
221

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2. In the field of fiber optics: The spread out of pulses, a consequence

of modes (different path lengths).

Table 8.1: Comparison of multi-mode step-index and graded-index

fibers;
graded-index fiber: smaller dispersion coefficient,
bandwidth Bfiber 100x higher than for step-index fiber;
BfiberLfiber 1 GHz km.

fiber

change of nr

light guiding

dispersion
coefficient
Mdis [ns/km]

step-index

step-like

total reflection

25 - 50

diffraction

0.2 - 0.5

graded-index continuous

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222

Table 8.2: Typical values for a graded-index fiber (after Ref.[5]).

parameter
core radius a
cladding radius b

value
50 m
125 m

numerical aperture NA
acceptance half angle a

0.2 0.02
11.5

mode dispersion coefficient Mdis

(for 1300 nm)
bandwidth-length product
Bfiber Lf = 1/ (2Mdis)
(for 1300 nm)

0.5 ns/km

attenuation

850 nm
1300 nm
1550 nm

1 GHz km

2.5 dB/km
0.5 dB/km
0.4 dB/km

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223

Dependence nr = nr():
tailored refraction index yields maximum bandwidth
(minimum intermodal dispersion) for well-defined .
Fiber in Fig.
Fig 8.13:
8 13: maximum tailored to appear at 1300 nm
(-regime of minimum attenuation; see table 8.2).

Advantage of graded-index fibers: relatively high aperture.

simple plugs for cable interconnection.
bandwidth length product ( 1 GHzkm)
However: low bandwidth-length
restriction to short distances (local area networks, LAN).

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224

B fiber L f (GHzz km)

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1.0

0.5

0.8

1.2

1.6

2.0

wavelength
l
th ((m))

Fig. 8.13: Compensation of intermodal dispersion in a graded-index

fiber.
225

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8.4 Mono-mode fibers

8.4.1 Structural parameter (V-parameter)
Finite radius a of core: modes in step-index fibers.
For 2a < 6...8
6 8 m: only one mode (ground mode).
mode)
In general: number of modes = f (structural parameter V ).

2a c < 6...8m
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b
a
0
-a
-b

core
cladding
n2 n1

Fig. 8.14: Structure of mono-mode fiber; ac = critical core radius.

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226

Definition of structure parameter [6]:

V=

a NA = k a NA

(8.14)

V = f ((core radius a, wavelength

g , and p
profile of refraction index nr((r))
)),
where nr(r) defines numerical aperture NA.
Requirement for mono-mode operation (from wave-optics):

V < Vc = 2.405

(8.15)

single mode operation by

single-mode
reducing core radius a,
increasing wavelength ,
reducing aperture NA.
227

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8.4.2 Number of modes for V > Vc

Number Nmod of modes for V Vc:

N mod =

V2 g
.
2 g+2

(8.16)

g = power of index profile (see chapter 8.4);

N mod =

V2
2

for step-index fiber with g , and

(8.16a)

N mod =

V2
4

for graded-index
graded index fiber with g = 2.
2

(8 16b)
(8.16b)

Equal V-parameters:
graded-index fibers: only half the number of modes as step-index fibers!

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228

Example 1:
Fiber with n1 = 1.447, n = 1%: NA = n1 (2n)1/2 = 0.205.
With a = 25 m and = 850 nm: V = 37.8;
Nmod = 714 (step-index fiber), Nmod = 357 (graded-index fiber).
Example 2:
Requirement of mono-mode operation: V < Vc = 2.405,
reduction of V by factor 37.8/2.405 16.
fiber of example 1 = mono-mode for = 16 x 850 nm = 13.6 m.
Alternative:

- reduction of NA (smaller step n) and/or

- reduction of a.

However:

- penetration of wave into cladding layer and

- waveguide dispersion (see chapter 8.7)!
Reduction of a limited to a !

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229

Example 3:
Fiber of example 1: n1 = 1.447, n = 1 %, NA = 0.205:
operates as mono-mode fiber at = 1.3 m for a < 2.43 m.
Reduction of n to n = 0.25 %: single-mode operation (V < 2.405)
for larger core radius a < 4.86 m.

8.4.3 Cut-off wavelength

Condition for mono-mode fiber: V < Vc.
Fixed geometry: mono-mode behavior for > cut-off wavelength c
(c = 13.6 m in example 2).

8 4 4 Cladding penetration
8.4.4
Geometrical optics: light transport within core by total reflection.
However, wave optics: total reflection,
but part of optical power penetrates into cladding!
Example in Fig. 8.15.

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230

radius r
b
cladding
a
core

optical power Popt

-a

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-b

Fig. 8.15: Distribution of optical power for modes across fiber diameter.
Wave-optics: part of power penetrates into the cladding,
even when condition for total reflection is fulfilled.
Waveguide dispersion.
231

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Reduction of core radii a:

Red. of structural param. V:

increase of cladding penetration.

These effects restrict the structural parameter to the following values:

1.5 < V < Vc = 2.405.

(8.17)

Note: Penetration of electric field into cladding:

waveguide dispersion (nr(cladding) < nr(core)).
Mono-mode
Mono mode fiber: not all light transported in core,
dispersion of light pulse.
Remaining dispersion even for a mono-mode fiber (see chapter 8.5.3);
Table 8.3: typical values for mono-mode fiber.

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232

 JHW

Fig. 8.16: Electric field E of ground mode;

Gaussian shape of width 20;
small a (and V): Field penetration into cladding.

233

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Fig. 8.17: Radial dependence of electric field E of ground mode for

different structural parameters V;
V < 1.5: large power losses into cladding (see also Fig. 8.18).

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234

ratio Pcladding /Pcore

1.0

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0.8
0.6

12

11

03

02

0.4

01

0.2
2.405
0.0

10

12

structure parameter V
Fig. 8.18: Penetration of optical power into cladding [7].

235

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Table 8.3: Typical values for a mono-mode fiber.

parameter

value
7 m

core diameter 2a

9 1 m
125 m

field diameter 20
cladding radius b

1100 to 1300 nm
cut off wavelength c
chromatic dispersion coefficient Mchr
3.5 ps/(nm km)
for 1300 nm
20 ps/(nm km)
for 1550 nm
attenuation
1300 nm
0.4 dB/km
1550 nm
0.25 dB/km

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236

8.5 Dispersion in glass fibers

Three dispersion effects of light pulses in glass fibers:
intermodal dispersion (only in multimode fibers)
material dispersion
chromatic dispersion
waveguide dispersion

8.5.1 Intermodal dispersion and mode mixing

Effects: from different ray lengths; see chapters 8.2.5, 8.3;
implicit assumption: linear increase of tmod between
f t t and
fastest
d slowest
l
t ray with
ith length
l
th Lf off fiber
fib
(compare chapter 8.2.5):

tmode = tmax tmin =

n1n
Lf .
c0

(8.18)
237

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Linear dependence: up to critical fiber length Lc.

L > Lc: intermixing of modes mode coupling.

Reasons: - small imperfections in the fiber (random irregularities at
fiber surface, inhomogeneities of nr in the bulk) or
- imperfections
i
f ti
att connections
ti
b t
between
t
two
fib ends.
fiber
d
For L > Lc (Lc = Kopplungslnge): smear-out of pulse less than
expected from linear dependence on fiber length Lf.
Instead: tmod varies with power law:

tmod = tmax - tmin = const. ( L f ) ,

with 0.5 < < 1.

(8 19)
(8.19)

Very often: 0.7...0.8.

Critical length Lc: between some hundred meters and some kilometers,
depending on perfection of fiber.

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238

8.5.2 Material dispersion

Occurrence: if light source is not perfectly monochromatic.
Figure 8.19a: refraction index nr for fused silica.
In general field of optics: material dispersion = dispersion.
dispersion
Since nr = nr(): smear-out of pulse containing different .
Facts:
modulated laser beam or pulse distribution of wavelengths;
p
purely
y monochromatic: onlyy infinitelyy long
g wavetrain.
Pulse (or modulation) of finite length tpulse:
frequency spectrum of finite width = 1/tpulse and
wavelength spectrum of finite width (see also chapter 3).
239

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Fig. 8.19:

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a) refractive index and

group index for
fused silica.
At 0 = 1.312
m
refractive index nr
has point of inflection,
group index ngroup
is minimum.
b) material dispersion
coefficient Mmat
vanishes at 0 .

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240

a) The group refraction index ngroup

Light transport across fiber: by pulses or wave-trains.
Monochromatic waves, centered around wave with frequency
( wave-train or pulse):
traveling with phase velocity c() determined by nr().
refractive index =
Maximum of pulse:

group index =

nr ( ) =

c0
1
n ( )

= r
c ( )
c ( )
c0

(8.20)

different speed: group velocity cgroup;

different group index ngroup().
)

ngroup ( ) =

c0
c group ( )

1
c group ( )

ngroup ( )
c0

(8.21)

241

JHW

For each of the monochromatic waves:

phase velocity, i.e. their speed:

1 / c = 1 /( ) =

2 / k
=
2

(8.22a)

In contrast, group velocity [8]:

1 / c group =

dk
d

(8.22b)

From chain rule and k = w/c:

dk
dc
1/ cgroup =
= 1/ c 2
=
d
c d

c0

JHW

c0

c0

c2 dc
d

(8.22c)

242

with:

2c0

d =

2c0

and:

nr =

c0
c

dc =

c2
dnr
c0

8.22c results in:

dk
=
d

c0

dnr

c0

d .

(8.22d)

243

JHW

From 8.20, 8.21 and 8.22d:

ngroup = nr

dnr
.
d

(8.23)

for small , ngroup decreases with

ith (normal dispersion),
dispersion)
for larger , ngroup increases with (anomalous dispersion).
(as shown in Fig. 8.19)
b) The material dispersion coefficient Mmat [9]
Traveling time of pulse maximum with group velocity cgroup along fiber
with length Lfiber:

t group =

L fiber
cgroup

ngroup L fiber
c0

dn L fiber

= nr - r
.
d c0

JHW

(8.24)
244

Time spread tmat for waves making up the pulse:

tmat =

dt group
d

(8.25)

The last two equations yield

tmat =

d 2 nr L fiber
= M mat L fiber .
d 2 c0

(8.26)

Material dispersion coefficient Mmat: obtained from normalizing with

respect to fiber length and spectral width of light source:

M mat

tmat
d 2 nr
=
=
.
L fiber
d 2 c0

(8.27)

245

JHW

Material dispersion coefficient for fused silica, Fig. 8.19b:

for = 1312 nm: curve goes through zero.
Optical data communication:
development of light sources for = 1312 nm.
Material dispersion coefficient:
tailoring by composition of glass (see Fig. 8.20).

8.5.3 Waveguide dispersion [10]

Small structural parameters V: light penetrates into cladding (see
Figs. 8.15 to 8.18).
acceleration of light due to lower refraction index of cladding;
smear-out of light pulse (sum of light from core and cladding).
Pulse widening:

twave = M wave L fiber .

JHW

(8.28)
246

8.5.4 Chromatic dispersion

Material dispersion and waveguide dispersion:
depend on width of light source.
Both effects together: chromatic dispersion.
Chromatic dispersion coefficient Mchr (approximately):

M chr = M mat + M wave .

(8.29)

Non mono-mode fibers: chromatic dispersion important,

dominated by intermodal dispersion.
Waveguide dispersion in mono-mode fibers: < material dispersion.
Advanced mono-mode fibers: graded-index cores with adjusted profiles
(shift of minimum of chromatic dispersion to desired wavelength).
Dispersion-shifted fibers with linearly tapered profile, reduced core
radius, and doping:
shift minimum to larger , where attenuation also low (see Fig. 8.20).
247

disp
persion coeffic. Mmat ,
Mwave (ps/(km nm))

JHW

30

SiO 2
material dispersion
Mmat

20

SiO 2 +GeO 2

0
2a=6.0m

-10

-20

waveguide dispersion
Mwave

-30
30

2a=4.8m

-40

a
JHW

dispersion coeffic. Mchr

(ps/(km nm))

30
chromatic dispersion
M chr

20
10

nr

-a
-b

0
-10

SiO2 + GeO 2 , 2a=4.8m

-20
SiO2 , 2a=6.0m

-30
-40

1.2

1.4

1.6

wavelength (m)

1.8

2.0

Fig. 8.20: Dispersion-shifted fiber. Doping and reduction of core

diameter shift minimum from 1.3 to 1.5 m.

JHW

248

Dispersion-flattened fibers (Fig. 8.21): other grading profiles!

minimizing chromatic dispersion for two wavelengths and
reducing effect in between.
JHW

Fig. 8.21: Dispersion-flattened fiber. Profile tailored to minimize

chromatic dispersion for two wavelengths.
249

JHW

8.6 Attenuation in glass fibers

8.6.1 The attenuation coefficient
Power of light: exponential degradation due to
absorption and scattering.
Definition of effective attenuation coefficient eff ( see chapter 5.2.1):

( L ) = 0 e

eff =

eff L

(8.30)

1 0
ln
.
L ( L )

[eff ] = km-1

(8.31)

Instead of eff : use of quantity dB:

( L) = 0 10

dB L /10

JHW

(8.32)
250

 dB

1
10log10 0 .
L
( L )

[dB ] = dB/km

eff [km 1 ] = 0.23 dB [dB/km]

(8.33)
(8.34)

0 /(L) = 1, 0.5, 0.1, 0.01, 0.001

correspond to 0, -3, -10, -20, -30 dB.

JHW

251

8.6.2 Attenuation mechanisms

Four mechanisms of light attenuation (see Fig. 8.22):
UV-absorption at band tails of SiO2
IR-absorption due to molecular excitations (Si-O, Si-Si bonds)
absorption at OH
OH-ions
ions due to water vapor inclusions,
inclusions
and at metal ions
Rayleigh scattering
a) UV-absorption: due to electronic transitions between band tails
(caused by statistical disorder of amorphous SiO2, band gap = 9 eV);
intrinsic absorption.
b) IR
IR-absorption:
b
ti
b SiO2-molecules
by
l
l making
ki up the
th glass;
l
intrinsic absorption.
c) Absorption at OH-ions and metal ions:
extrinsic absorption;
can be reduced by technological improvements.

JHW

252

Rayleigh
scattering 1/ 4
IR absorption
(molecules)

OH
absorption

dB

attenuation coe
efficcient

JHW

0.3

UV absorption
(band tail)

0.1
0
1
0.6

0.8

1.0

1.2

1.4

wavelength (m)

1.6

1.8

Fig. 8.22: Attenuation of light in silica glass;

local minimum at 1.3 m, absolute minimum at 1.55 m.

JHW

253

d) Rayleigh scattering
Rayleigh scattering = intrinsic effect.
Glass: amorphous, microscopic fluctuations of molecule density.
Spatial fluctuations of refraction index nr,
much smaller than wavelength of the light.
Light-scattering; much stronger for blue end of spectrum
than for red end.
Attenuation for light: decreases with 1/4.
Rayleigh
y g scattering
g at air molecules of atmosphere:
responsible for
blue sky
red sunset

JHW

254

Attenuation in glass fibers: limited by

Rayleigh scattering (on the blue side),
IR-absorption (on the red side), and
OH-ion
OH ion absorption (in between).
between)
Minima of attenuation at 1.3 and 1.55 m:
accessible with light sources based on InP-substrates (see Fig. 6.6).

JHW

255

8.7 Internet Links

1. Fiber Optic (Principle applet):
http://webphysics.davidson.edu/applets/Optics/fiber_optics.html
2. Demonstration of Light Guidance in a Step-index fiber (Applets):
http://OLLI.Informatik.Uni-Oldenburg.DE/sirohi/guidance.html
3. Fiber Optics - Slab Dielectric Surrounded by Air:
http://www.ee.buffalo.edu/faculty/cartwright/java_applets/ray/FiberO
ptics/index.html

JHW

256

8.8 Literature
1. B. E. A. Saleh and M. T. Teich, Fundamentals of Photonics (Wiley
Interscience, New York, 1991) p. 277-286.
2. O. Strobel, Lichtwellenleiter bertragungs- und Sensortechnik
(VDE-Verlag, Berlin, 1992), p. 44-45.
3. p. 64 in Ref. [2].
4. p. 295 in Ref. [1].
5. D. Jansen, Optoelektronik (Vieweg, Braunschweig, 1993), p. 171.
6. p. 170 in Ref. [5], p. 45 in Ref. [2], p. 279 in Ref. [1].
7. p. 46 in Ref. [2].
8. E. Hecht, Optics 3rd edition (Addison Wesley, Reading, MA, 1998),
p. 121, see for example p. 297.
9. p. 69 in Ref. [2].
10. p. 301 in Ref. [1].

JHW

257

9. Photodetectors

JHW

258

9.1 Introduction, general considerations [1,2,3,4]

Photodetector = radiation absorbing device,
measures flux ( = areal number nphot of photons)
or optical power (nphot
h h)
A) Thermal detectors

B) Quantum detectors

Energy transfer to atoms,

molecules or lattice of solids

Transfer to electrons
of gases or solids

heating

Change
C
off electron distribution

Signal ~ power

Signal ~ flux

slow

fast

JHW

259

9.1.1 Thermal detectors [5,6]

Various phenomena:
Dependence of contact potential difference on temperature:
thermocouple, thermopile
Dependence of conductivity of metal foil on temperature:
bolometer
Dependence of dielectric constant r on temperature:
pyroelectric detector
Dependence of volume of enclosed gas on temperature:
Golay-cell.
In this lecture: Emphasis on photoelectric detectors.
These detectors are based on external and internal photoeffect.

JHW

260

9.1.2 Quantum detectors = photoelectric detectors

External photoeffect:
= emission of photo-excited electrons from solid into vacuum
(photon energy to be larger than work function);
collection of free electrons.
Internal photoeffect:
= generation of electron/hole pairs in semiconductor by
fundamental absorption at band gap (see chapter 5.2).
Further subdivision:
- photoconductivity
- photoelectric effect at junction or barrier
(pn- and pin-junctions, Schottky-barriers,
avalanche diodes, phototransistors, ...).

261

JHW

9.2 Properties and specifications of photodetectors [7,8]

9.2.1 External quantum efficiency EQE
EQE (with 0 < EQE < 1) = ratio of photogenerated charge carriers
(electrons) contributing to detector current per incident photon

number Zel of electrons in circuit

Z
Z el
EQE =
= el =
number Z ph of incident photons
Z ph
Z ph

I ph / q
0 / h

((9.1))

Iph = photogenerated detector current,

0 = incident optical power.

JHW

262

EQE < 1 due to

optical losses: Reflection losses at surface, incomplete absorption
(transmission losses)
electrical losses: incomplete collection (recombination in bulk or at
surfaces).

External quantum efficiency EQE:

EQE = coll (1 r ) [1 exp ( weff )]

(9.2a)

coll = (electrical) collection efficiency,

r = reflectance at surface,
= absorption coefficient of detector material,
weff = effective thickness of photodetector.
Internal quantum efficiency IQE:
since EQE = IQE (1- r)

IQE = EQE /(1 r)

(9.2b)
263

JHW

9.2.2 Responsivity, spectral response [A/W]

= ratio of photogenerated detector current
and incident optical power

number of photons per time Z ph produces photocurrent

(if allll photons
h t
converted),
t d)

I ph = q Z ph

optical power 0 = h Z ph (Watts) at energy h results in

electric current Iph = q0 / h (if all photons converted),
with quantum efficiency EQE:

Iph = EQE q Z pph = EQE q0 / h = 0

ph
0

= EQE

[m ]
q
= EQE
h
1.24

((9.3))
(9.4)

[] = A/W

JHW

264

For quantum detectors:

ideal quantum efficiency EQE = 1, independent of
ideal spectral response : linear function of
for semiconductor detector with gap Eg and = 0 for h < Eg,
or > g = hc/Eg

EQE and = 0 for h < Eg

from Eg = hg and

c =

it follows:

g [m ] =

g = hc/Eg and

1.24
Eg [ eV ]

(9.5)

For thermal detectors:

output signal
= 0 = const.;
0
Quantum efficiency EQE: from Eq. (9.4) it follows:

EQE =

JHW

265

EQE
1

1.24
[m]

Quantum
detector

m
0

Thermal
detector

Fig. 9.1: Wavelength dependence of external quantum efficiency and

spectral response of quantum detectors
and thermal detectors.

JHW

266

9.2.3 Detection sensitivity [9,10,11]

Detectors: characterized by a minimum detectable signal.
Physical reason: Noise. Types of noise relevant in detectors:
within detector itself:
- Quantum noise of incident photon flux
- shot noise of current (dark current + photocurrent)
in resistor of detector circuit:
- Thermal (Johnson or Nyquist) noise.

Minimum-detectable signal: defined as mean signal

yielding signal-to-noise ratio (SNR) of
SNR = 1.

267

JHW

9.2.4 Response time, frequency response [12,13]

In general: detectors low-pass filters:

R0

R (f ) =

1 + (2 f r )
2

1
2

(9.7)

f = frequency, 0 = responsivity at 0 Hz, r = response time.

Response time r represents several physical delay effects
like transit times caused by different times for
drift within field regions
g
diffusion outside of field regions (see below).

JHW

268

In addition to physical effects:

RC time constant of photodetector circuit;
electronic response time limit;
upper cut-off frequency fc:

fc =

1
2 CD RL

(9.8)

CD = capacitance of detector (pn-junction)

RL = load resistor of detector

269

JHW

9.3 Photoconductors [14,15]

Two main types:
a)

b)

EC

E
EC
ED

EF
EV

Fig. 9.2:

a) intrinsic

and

JHW

localized

EA

EV

b) extrinsic photoconductors.
270

Extrinsic type: for IR-detection; IR-detection with intrinsic detectors:

low Eg

high dark currents low detection sensitivity.

Photoconductive sensors: use change of conductivity

= q n n + q p p
with

(9 9)
(9.9)

n, p = electron- / hole density,

n, p = electron- / hole mobility.

High sensitivity: large changes in conductivity required between

illuminated and dark state (light/dark-ratio):

ph q ( n ph n + p ph p )
=
d
q ( nd n + pd p )

ph = photoconductivity

and

(9.10)

= dark conductivity
271

JHW

Linear device:

nph = nd + G()
G()

and

pph = pd + G()

(9.11)

= light-induced generation rate of electrons and holes,

= lifetime
lif ti
off photogenerates
h t
t carriers,
i
= light intensity.

ph
n + p

= 1+
= 1 + G
nd n + pd p
d
d

(9.12)

Sensitive detectors require high carrier lifetimes .

JHW

272

9.4 Photodiodes [16,17,18]

p
jph(n)

EC

j3

qVd
EF
EV

+ + + + + + + + + + + + +
+ +

j1

EC
EF

j2
j4

jph(p)

+ +
+

EV

SCR

j1, j2 = majority carrier currents

currents, diffusion currents across barrier VD
(diffusion voltage of junction)
j3, j4 = minority carrier currents, drift currents across the space
charge region (SCR)
jph(n), jph(p) = photocurrents
Fig. 9.3: Operation principle of photodiodes (and solar cells).

JHW

ji = 0 , i = 1, ..., 4

Equilibrium condition in the dark:

qV
J d = J 0 exp
kT

273

- 1

(ideal diode eqation)

(9.13)

Illumination: Additional minority carrier currents Jph(n) and Jph(p);

increase of majority carriers negligible (low excitation regime).
Photocurrent Jph: in reverse direction;
added to dark current:

J = J d - J ph :
qV
J = J0 exp -1 - J ph
kT

(9.14)

J(V)-characteristic of photodiode and of solar cell

JHW

274

J
Jph
=0

V
Jph

Jph

= 1

solar cell regime

photodiode regime

Fig. 9.4: Current/voltage curve of solar cells and photodiodes.

9.4.1 Detailed look at pn-photodiodes

Special properties, especially in comparison to pin-photodiodes
(see below): see Fig. 9.5:
275

JHW

Structure

Space charge density (x)

+

Electric field E((x))

x
JHW

276

Electron energy E(x)

EF

EC
EV

SCR

diffusion

drift

diffusion

V EC
EV
x

EF

Photocarrier generation G(x) (

)
and photocarrier collection ( ---- )

G(x)
x
diffusion

drift

diffusion

Fig. 9.5: Scheme of pn-photodiode.

JHW

277

Discussion:
Space charge- and drift region narrow (dimension: < 1 m);
for efficient light absorption ((abs.) 0.8 0):
thickness of (crystalline) silicon photodiode of 50 m required;
see Fig.
Fi 9.5,
9 photocarrier
h
i generation!
i !
Main contribution to photocurrent due to
photocarrier diffusion from outside space charge region.
Collection losses: increase with distance from SCR;
see shaded area below G(x)-curve.
pn-photodiode:
pn
photodiode: Diffusion
Diffusion-controlled
controlled detector
detector.

9.4.2 The pin-photodiode

Improvement of carrier collection by increase of width of field-/ driftregion; see Fig. 9.6!

JHW

278

Structure

Space charge density (x)

x
Electric field E(x)

x
279

JHW

Electron energy E(x)

EF

EC
EV

- V
EC

EV

EF

)
Photocarrier generation G(x) (
and photocarrier collection (- - -)

G(x)

x
diffusion

drift

diffusion

Fig. 9.6: Scheme of pin-photodiode.

JHW

280

Discussion:
Goal: broadening of field region
Possible approach: very low doping of p- and n-region

(dSRC2 ~ 1/(ND , NA)); however: low conductance of p- and n-region,

hi h resistance
high
i
l
losses
i operation!
in
i !
Good approach:insertion of i-layer
with thickness in the range of 50 m;
majority of photocarriers collected by drift,
only small contribution by diffusion from p- and n-layer;
improved collection efficiency;
see Fig. 9.6, shaded area below G(x)-curve;

pin-photodiode: Drift-controlled detector.

281

JHW

Time-dependent behavior of pn- and pin-photodiodes:

a) pn-photodiode: controlled by diffusion time:
Diffusion length L of mobile carriers:

L=

D = diffusion constant, = carrier lifetime

Diffusion constant D and carrier mobility :
interrelated according to Einstein-relation:

D=

It follows:

kT
q

L2
L2
=
=
D kT q
JHW

(9.15)

282

 substituted by diffusion time tdiff and L substituted by diffusion distance

ddiff :

tdiff =

2
d diff

mV
T

(9.16)

with VT = temperature voltage = kT/q = 0.025 V.

pn-junction of photodiode assumed in center of structure at ddiff = d/2:

t diff =

d2
4 VT

(9.17)

283

JHW

b) pin-photodiode: controlled by drift time:

Drift velocity vd of charge carriers in a semiconductor:

vd = mE = m

V
di

(9.18)

with di = thickness of the i-layer.

JHW

284

di
di2
tdrift = =
.
v d V

Drift time tdrift:

(9.19)

A li ti off e.g. V = 25 V to
Application
t a pini photodiode,
h t di d and
d di d:

tdrift
tdiff

4 VT 4 0.025
1
=
=
V
25
250

(9.20)

Upper
pp cut-off frequency
q
y of p
pin-photodiode
p
remarkably higher than that of pn-photodiode.

pin-photodiodes useable for frequencies up to 50 GHz.

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285

9.4.3 The Schottky photodiode

Schottky photodiodes: even higher cut-off frequencies
than with pin-photodiodes: up to 100 GHz.

JHW

286

Operation principle:
Electron energy E(x)

E Vac
-

q
h 1

q = work

h2

= electron
affinity of
semiconductor

Eg
EV

Metal

function of metal

EC
EF
+

Schottky barrier
height
q = q

Semiconductor (n-type)

Fig. 9.7: Band diagram of Schottky photodiode.

287

JHW

Characteristic features:
Semiconductor coated with thin semitransparent metal film
Rectifying barrier obtainable with
- metal with high work function A on n
n-type semiconductor or
- metal with low work function on p-type semiconductor.
Absorption in metal film:

electron injection across interface,

when h > q:

threshold
th h ld wavelength:
l
th

th(1) =

hc
;
q B

th(1) [m ] =
JHW

1 . 24
;
q B [ eV ]

(9.21)

288

 Absorption of radiation in semiconductor:

th(2) =

hhc
;
Eg

th(2) [m ] =

1.24
;
Eg [ eV ]

(9.22)

Schottky diodes: feasible on materials available only n-type

or only p-type, e.g. on II-VI compounds.

289

JHW

9.5 Photodiodes with internal gain: Avalanche

photodiodes (APDs) [19,20,21]
Avalanche photodiode: converts each absorbed photon into a cascade
of moving carrier pairs; basic process: impact ionisation in high-field
region inside reverse-biased
reverse biased pnpn junction.
junction

p
EC
EF
EV
h

n
-

2
+
+

1
+

Ekin > Eg

2
+

Eg

Fig. 9.8: Principle of avalanche multiplication in an APD.

JHW

290

Threshold energy Ekin,th(n) for impact ionization of electrons:

Ekin, th (n ) = E g

Example:

meff, p = meff, n :

2+
1+

meff, p
meff,
eff p

meff, n

(9.23)

meff, n

Ekin,th(n) = 3/2Eg

In most semiconductors: meff,

ff p > meff,
ff n:

Eg Ekin,th (n)

3
Eg
2

(9.24)

JHW

291

In practice: region for light absorption and region for carrier

multiplication are separated in order to
provide sufficiently thick absorber region,
avoid jjunction breakdown, and
generate multiplication of only one carrier type (electron or hole).

Fig. 9.9 shows an APD structure.

JHW

292

Electric field E(x)

EB
- Structure

p+

p-()

p n+

x
Electron energy E(x)

EC

Space charge density (t)

EF
EV

multiplication
region

- - -

EC
+
+

EF
EV

x
Fig. 9.9: Scheme of reach-through p+-p-p-n+ avalanche photodiode
(RAPD).

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293

Reach-through: applied reverse bias must be high enough for

depletion layer (SCR) to reach through p and
region into p+ contact layer.
Field strength: adjusted by doping:
threshold field strength EB for carrier multiplication
confined to the desired multiplication region.

9.6 Materials and detector configurations

For visible light detection: silicon most common material.
Compound semiconductors, III-V- and II-VI-compounds, also in use:
f photoresistors
h t
i t
d to
t ease off economic
i production
d ti
for
due
(II-VI-compounds);
for optical communication purposes via glass fibers ( = 1.3 - 1.6 m);
multinary III-V-compounds required.

JHW

294

Electodes

Semiconductor

Insulator

b) pin-photodiode

a) Photoresistor

Au

Semi-transparent-Ni
Mask

p-GaN

Semiconductor

AlGaN
MQWs

p-AlGaN
n-AlGaN
n-SiC substrate

Metal

Ti

Au

c) Schottky-diode

d) Reach-through avalanche photodiode (RAPD)

Fig. 9.10: Examples of structures of photodetectors.

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295

9.7 Internet Links

1. Formation of a PN Junction Diode (Applet):
http://www.acsu.buffalo.edu/~wie/applet/pnformation/pnformation.ht
ml
2. Formation of a PIN Junction (Applet):
http://jas2.eng.buffalo.edu/applets/education/pin/pin2/index.html
3. PN-Junction Simulation (Applet):
http://fiselect2.fceia.unr.edu.ar/fisica4/simbuffalo/education/pin/pin/in
dex.html

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296

9.8 Literature
1. G. Winstel und C. Weyrich, Optoelektronik II (Springer-Verlag,
Berlin, 1986).
2. R. Paul, Optoelektronische Halbleiterbauelemente (Teubner,
Stuttgart,
g , 1992),
), pages
p g 213-277.
3. H. G. Unger, Optische Nachrichtentechnik, Teil II (Hthig Buch
Verlag, Heidelberg, 1992), pages 451-500.
4. M. Fukuda, Optical Semiconductor Devices (Wiley, New York, 1999),
pages 211-264.
5. Pages 19-23 in Ref. [1].
6. Pages 488 489 in Ref. [3].
7. Pages 35-54 in Ref. [1].
8 Pages 217-226
8.
217 226 in Ref.
Ref [2]
[2].
9. H. G. Wagemann and H. Schmidt, Grundlagen der
optoelektronischen Halbleiter-bauelemente (Teubner, Stuttgart,
1998), pages 152-153.
10. D. A. Ross, Optoelectronic Devices and Optical Imaging Techniques
(The Macmillan Press, London and Basingstoke, 1979), pages 4867.
297

JHW

11. D. Jansen, Optoelektronik (Vieweg, Braunschweig, 1993), pages

127-146.
12. Pages 37-38 in Ref. [10].
13. Pages 234-239 in Ref. [4].
14 Pages 119
14.
119-138
138 in Ref.
Ref [9]
[9].
15. Pages 20-30 in Ref. [10].
16. Pages 141-165 in Ref. [9].
17. Pages 55-88 in Ref. [1].
18. Pages 211-243 in Ref. [1].
19. W. Heywang, H. W. Ptzl, Bnderstruktur und Stromtransport
(Springer-Verlag, Berlin, Heidelberg, New York, 1976), pages
260 264
260-264.
20. Pages 243-264 in Ref. [4].
21. Pages 99-132 in Ref. [1]

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