Epitaxial growth of quantum-dot heterostructures

on metamorphic buffers
Alexey Zhukov*, Alexey Vasilyev, Elizaveta Semenova, Natailia Kryzhanovskaya,
Andrey Gladyshev, Mikhail Maximov, Victor Ustinov, and Nikolai Ledentsov

A. F. loffe Physico-Technical Institute, 26 Politekhnicheskaya St., 193021 St. Petersburg, Russia

ABSTRACT
Recent achievements in self-organized quantum dots (QDs) have demonstrated their potential for long-wavelength laser
applications. However, the wavelength of QD structures pseudomorphically grown on GaAs substrate is typically not
longer than 1 .3 tm. In this work we study a novel approach for extension of the spectral range of GaAs-based diode
lasers up to 1.5 jtm. We use a sensitivity of QD emission to the band gap energy of surrounding matrix. The method is
based on formation of a QD array inside a metamorphic InGaAs epilayer. Growth regimes of metamorphic buffer that
enable mirror-like surface morphology in combination with effective dislocation trapping are discussed. Structural and
optical properties of metamorphic InAs/InGaAs QDs are presented. It is shown that the wavelength of QD emission can
be controllably tuned in the 1.371.58 tm range by varying the composition of metamorphic InGaAs matrix. Details of
formation, fabrication, and characterization of metamorphic-based diode lasers are also presented. We demonstrate a
lasing wavelength as long as 1.48 jtm in the 2080 C temperature interval. The minimum threshold current density is
800 A/cm2 at RT. The external differential efficiency and pulsed power maximum exceed 50%and 7 W, respectively.
Keywords: Epitaxy, metamorphic structure, quantum dots, diode laser

1. INTRODUCTION
In the standard silica fiber there are three spectral windows of low attenuation around 0.85, 1 .3, and 1 .55 tm. The
attenuation on the given wavelength sets the maximum distance for optical fiber communication. The lowest attenuation
and the longest distance about 100 km are achieved for the 1.5-tm window. In shorter distances the dispersion, i.e.
dependence of the refractive index on the wavelength in the fiber, is more important parameter because it affects the
maximum speed of transmission. Because zero dispersion takes place at 13 lOnm, the 1 .3-tm window is ideal for highspeed transmission over optical fiber for several kms. Thus, 1 .31 .55-trn laser sources are required for optical fiber
communication.

Epitaxial growth of the laser structure can be done in the easiest form if all the layers ofthe structure are lattice-matched
to the substrate. Between InP and GaAs, two most common materials for crystalline substrates, only InP has latticematched alloys of suitable band gap energy. On the other hand, GaAs-based laser structures hold several advantages over
hiP. First of all, it is lower price of GaAs substrates in combination with their larger diameter and lower etch-pit density.
Also, AlAs/GaAs combination is well known as a perfect solution for mirrors of the surface-emitting laser. Another
advantage of GaAs-based structures is better electron confmement owing to larger bandedge discontinuities in these
materials and better thermal conductivity. All this should result in better laser characteristics especially at elevated
temperatures making it possible an uncooled laser operation.

2. SELF-ORGANIZED QUANTUM DOTS

Lattice-mismatched growth is the only possibility to reach sufficiently long wavelength for GaAs-based materials. If
highly mismatched material is deposited on substrate, like InAs on GaAs, the film is mechanically strained. It was found
*E..majl. zhukov@beam.ioffe.ru
Optical Materials and Applications, edited by Arnold Rosental, Proceedings of SPIE Vol. 5946
(SPIE, Bellingham, WA, 2005) 0277-786X/05/$15 doi: 10.1117/12.639319

Proc. of SPIE Vol. 5946 594616-1

that strain accumulation in the film leads to spontaneous transformation from layer-by-layer to island growth mode as
The onset of island growth mode can be easily monitored by
soon as InAs thickness exceeds 1 .7 monolayers
characteristic transformation of reflection high-energy electron diffraction (RHEED) pattern from streaky to spotty.
These InAs islands covered by GaAs are known as self-organized quantum dots (QDs).2
From the very beginning of study QDs were considered as a potential candidate for long-wavelength lasing on GaAs.
Fig. 1 shows the dependence of QD peak position (solid circles) and intensity of QD line (open circles) on the amount of
InAs deposited as observed in photoluminescence (PL) at RT.3 The x-axis scale nearly corresponds to the range of
dislocation-free growth. As the QD formation takes place at 1.7 ML PL peak shifts significantly to longer wavelengths.

Further deposition of InAs leads to additional red shift and emission wavelength as long as 1.2 im can easily be
achieved on GaAs. Attractive advantage is that the PL intensity is still rather bright contrary to the quantum-well (QW)
case where special methods should be applied to reach this spectral range (for review see Ref. 4).

1200

1100

49 1000

C)

4)

4)
Cti

900

InAs effective thickness Q1A' '1L

Wavelength, pm

Figure 1. Peak position (solid circles) and PL intensity (open Figure 2. Evolution of QD emission line with changing the In
circles) of InAs/GaAs quantum, dot (PL at 300 K) against the mole fraction, x, in capping InGaAs quantum well (QW width
effective thickness of InAs.

4nm).

Possible long-wavelength application is not the only motivation for laser application of QDs. Another important aspect is
associated with intrinsic electronic structure of QD ensemble which effects on device performance.5. Briefly speaking,
threshold current depends on density of electronic states in the laser active region. Minimum possible threshold current

density estimated for QW laser is about 50 A/cm2 at RT. Also, QW threshold current increases with increasing
temperature. At the same time, for typical density of self-organized QDs the estimated value is one order of magnitude
lower, as low as 5 A/cm2. Important note is that the threshold is temperature independent because the energy width of
QD density of states is much narrower than the thermal energy.

This intrinsic property of QD array makes it very promising for laser application. The record-low threshold current
densities about 20 A/cm2 have been already reported (for review see Ref 6). Also, temperature-independent behavior of
the laser threshold (infinite characteristic temperature) has been recently demonstrated for QD laser operating up to
80 0C7

There are several methods for increasing the wavelength of QD emission (for review see Refs. 4 and 6). Our approach is
the following: QD emission line shifts to longer wavelengths if the band gap energy of surrounding matrix is reduced 8
InGaAs external QW is used instead of conventional GaAs matrix. Of course, additional care is required in this method
because both QD and QW materials are lattice-mismatched with respect to GaAs. At the same time, PL peak can be
controllably tuned in a wide wavelength range by changing the In mole fraction in the QW, see Fig. 2. Wavelength can
reach the required 1.3-tm window without any degradation of PL intensity. Another attractive advantage of this method
is that the QD density is practically unchanged. Thus, the optical gain does not decrease.

Proc. of SPIE Vol. 5946 594616-2

3. CONCEPT OF METAMORPHIC QUANTUM-DOT LASER

Figure 3 shows the experimental dependence of the wavelength of QD emission on the band gap of surrounding matrix.
Different matrix band gap supposes different materials. Before this study three possible materials on GaAs substrate
were known: pure bulky GaAs, bulky AlGaAs,9 and strained InGaAs QW. Also QDs in InGaAs matrix lattice-matched
to InP substrates were studied.' For a given matrix material, the QD wavelength can be slightly changed by changing the
effective thickness of deposited InAs. At the same time, changing the matrix band gap provides much wide range of
tunability: from 1 im in the case ofAlGaAs up to 2 im for QDs on InP.
'

20\

'

InGaAs/InP

18Oi
MM InGaAs QW

16OOf
\. \ MM

01

t
InGaAs Wavelength band of

1400

---!:..) fc:
1200

InGaAs/GaAs

fiber-optic communication

\ \
c
:/
QW \......J I

'

GaAs\OJ

1000

800

1000

1200

I
1400

Matrix bandgap,

AlGaAs

'\

.
1600

1800

rneV

Figure 3. Wavelength of emission for InAs QDs embedded in different surrounding matrixes. Metamorphic matrices (MM, shown by
solid circles) are discussed in Sec. 5. Two horizontal lines mark the spectral interval suitable for fiber-optic communication.

However, there is a gap in possible matrix band gap, near 1 .01 .1 eV, because no suitable material is available. This
wavelength interval is most interesting for optical fiber communication. Mentioned QDs in pseudomorphic InGaAs QW
only touch this region near 1 .3 tm. Further increase of In mole fraction in the QW results in plastic strain relaxation. We
consider a possibility to achieve sufficiently narrow band gap matrix for QD formation using the concept of metamorphic
growth.1'

A possibility to exploit metamorphic growth mode for the long-wavelength lasers has not been studied in detail yet in
spite of the fact that such an approach is currently widely used for high-electron mobility transistor (HEMT) structures
(see, e.g. 12) A virtual substrate, which has larger lattice parameters and lower band gap energy as compared to the
GaAs, can be created by the deposition of sufficiently thick transient InGaAs buffer on initial GaAs substrate. Purpose of
the buffer is to change the lattice parameter from GaAs to InGaAs and simultaneously block all the dislocations inside.
In ideal case the strain relaxation proceeds by misfit dislocations, which propagate along the interface. The subsequent
layers ofthe structure can be dislocation-free and, thus, be suitable for light-emitting devices.

Metamorphic approach allows one to extend the spectral range of QD structures grown on GaAs substrates using the
sensitivity of QD wavelength to the band gap of surrounding material. Figure 4 shows the compositional dependence of
the band gap for In(AL,,Ga,_ p),- As quaternary alloy assuming unstrained case. For In mole fraction, x, about 2025%
the band gap interval from 1.1 to 1.8 eV can be covered by changing the Al subfraction, y. This wide range provides both
sufficiently narrow band gap matrix for QD formation (InGaAs) and effective prevention of current leakage when using
InGaAIAs cladding layers (y>0.3). A comparison ofthe band diagrams ofthe 1.3-tm (dashed line) and the 1.5-tm (solid
line) QD lasers is shown in Fig. 5. Layer sequence of the metamorphic-based l.5-trn laser looks very similar to the
conventional 1.3-jim QD laser on GaAs. Approximately 2025% of InAs is added to all the layers. The structure is
initialized from a metamorphic InGaAs buffer layer.

Proc. of SPIE Vol. 5946 594616-3

AIGaAs
cladding

AlAs

AJGaAs
a)

i, '-a) j

claddina)

Ld a)

>a)

GaAs
cap

1.4
1.3
1.2

InCaAs

1.1

1.0

0.2 0.4
0..
x (InAs mole fraction)

0.9
0.8

Distance,

Figure 4. Band gap of

tm

quaternary alloy Figure 5. Band gap profile of 1.3-tm (dashed line) and 1.5-tm

(300 K) as a function oflnAs and AlAs fractions.

(solid line) QD laser structures. In the latter case the

pseudomorphic growth mode is supposed.

4. EPITAXIAL GROWTH OF METAMORPHIC EPILAYERS

The structures presented were grown by molecular-beam epitaxy (MBE) on GaAs (100) substrates using a Riber 32P
machine. 2-tm-thick InGa1_As epilayers with different In mole fraction x ranging from 16 to 26% were deposited onto
GaAs at different growth conditions. Deposition temperature, As overpressure, etc., were varied. Linear or step
compositional gradients were obtained. Also, Si- and Be-doped InAlGaAs epilayers were studied to ensure suitable
electrical characteristics.
The composition, structural quality, and degree of strain relaxation were evaluated by high-resolution x-ray diffraction
(HRXRD). Carrier concentration and mobility were measured at 300 K by the Van der Pauw method using a BioRad
setup. Surface morphology and dislocations density were studied by scanning (SEM) and transmission (TEM) electron
laser (W= 500 W cm2, A. = 514 nm) in the
microscopy. Photoluminescence measurements were carried out using
77300 K temperature range. A Ge photodiode was used as a signal detector.
As opposed to ideal metamorphic growth, formation of both interface and threading dislocations is typically observed.
Threading dislocations are especially dangerous from the viewpoint of possible light-emitting applications because they
propagate through the whole thickness of the epitaxial layer. We found that interface-to-threading dislocations ratio
depends on the growth conditions. Formation of the threading dislocations can be effectively eliminated by careful
optimization of the structure design and growth regimes. As an example, TEM images of the samples grown at different

temperatures are presented in Fig. 6. It is seen that that decrease of epitaxial temperature results in domination of
interface-type dislocations while the threading those are suppressed. Use oflowered temperatures for the layer deposition
( 400 C) allows one to confme most of dislocations inside the buffer and avoid their propagation into the upper layers.

Surface morphology depends to a certain extent on temperature of buffer deposition. The growth mode switches to the
island type if too low temperatures ( 350 C) are used which is also confirmed by spotty RHEED pattern. Two-step
temperature regime, when the initial buffer is deposited at 400 C and the rest of structure at 500 C, provides smooth
layer surface in combination with filtering of threading dislocations. The dislocation density in the upper layers of about
2x108 cm2 was estimated by plan-view TEM images. The degree of strain relaxation is as high as 99.7% as evaluated by
HRXRD curves taken near asymmetric (115) GaAs reflexes.

Proc. of SPIE Vol. 5946 594616-4

Conductivity of Be- and Si-doped In(A1Ga1_)iAs metamorphic layers (x2O25%) was studied to make a conclusion
concerning applicability of layers metamorphic for fabricating components of laser structure. We found that p-type

doped layers demonstrate free-hole concentration in a good agreement with that of GaAs:Be regardless the Al
composition. At the same time, free-electron concentration in n-type doped epilayer decreases with increasing Al
subfraction, y. Room-temperature concentration against Al subfraction, y, is shown in Fig. 7. A significant problem with
conductivity was found for the samples with y> 50% (two order of magnitude drop in the electron concentration as
compared to the concentration of Si atoms).

Figure 6. Cross-section TEM images of 1n02Ga08As metamorphic layers deposited on GaAs surface at different temperatures. Black
arrows mark some threading dislocations.
A GaAS

1J

io3
E

E
0

0
102

0
0
0
0
0
V

101

Do

00

C/)

IJ
0

20

40

60

80

100

1016

iO'7

1018

i09

Carrier concentration, cm3

AI/(A1+Ga) ratio, %
Figure 7. Dependence of 300K electron concentration in Si- Figure 8. Correlation between carrier concentration and specific

doped In0.2(ALGa1_)o.8As metamorphic epilayers on Al conductivity in Si-doped GaAs (triangles), Al0 3Ga0 7As
and metamorphic
subfraction.
Al08Ga2As
(squares),
(rhombs),
In02Al03Ga5As (solid circles).

Proc. of SPIE Vol. 5946 594616-5

On the other hand, the samples with lower Al content (y S 40%) can be effectively doped to over 1018 cm3 while the
electron mobility is about 800900 cm2V1s'. As a result, the specific conductivity of In0.2(Al,,Ga1_)0.8As:Si (y - 30%)
can reach 300 i'cm'. This is much higher than that of Al03Ga2As and corresponds to the highest conductivity level of
Al03Ga7As:Si (see Fig. 8), two most common materials for cladding layers in l.3-im QD lasers.

5. QUANTUM DOTS IN A METAMORPHIC MATRIX

Formation of island array on top of metamorphic InGaAs layer is confirmed by transition of RHEED pattern from
streaky to spotty upon deposition of approximately 1.8 ML of InAs. TEM micrograph of IriAs QD array formed in a
metamorphic In2Ga3As matrix is presented in Fig. 9. Quantum dots are approximately 1520 nm in diameter with the
surface density ofabout loll cm2.

Ct

0)

lOOnm

InAs, ML
Figure 9. Plan-view TEM image oflnAs QD array formed in
a metamorphic In02Ga8As matrix.

Figure 10. Dependence of room-temperature PL peak position

(solid symbols) and PL intensity (open symbols) on the effective

thickness of InAs forming QD array in a metamorphic

In02Ga8As matrix.
300

1600

250

e
0

Ct

1500

200

(I)

0
01

LI,

0)

150

01 1400

100
C)

50
1300
1000

1100

1200

1300

1400

1500

Wavelength, nm

Figure 11. Room-temperature PL spectra from 4-nm-thick

In04GaAs quantum well (QW), 2.7ML InAs quantum-dot
array (QDs), and 2.7ML QD array capped with In0 4Ga,As

QW (QDs in QW) having the same matrix band gap of

0
1000

1050

1100

1150

Matrix bandgap, meV

Figure 12. Dependence of QD emission wavelength (solid
circles) and QD localization energy (open circles) on the band
gap of metamorphic InGa1As matrix. QD array is capped with
4-nm-thick In+2Ga.3_As QW.

1.12 eV.

Proc. of SPIE Vol. 5946 594616-6

Dependence of room-temperature PL peak position and PL intensity on the effective thickness of InAs forming QD array
is shown in Fig. 10. The band gap of a metamorphic matrix was about 1.1 eV. In the QD growth mode (24 ML) PL
peak position is red-shifted with increasing the InAs thickness from 1.33 to 1.37tm indicating the growth of QDs in size.
Wavelength of QDs in a metamorphic matrix is approximately 150 nm longer as compared to that of InAs/GaAs QDs for
the same amount of InAs (compare with data of Fig. 1). This is a direct consequence of narrower band gap of the matrix
material. Intensity of QD line initially increases (up to -2.7ML of InAs) and then abruptly drops due to plastic strain
relaxation.

Wavelength of QD emission can be shifted beyond 1.4 tm by capping InAs QD array with InGaAs QW. Similar method
was discussed in Sec. 2 for achieving the 1 .3-trn emission in a GaAs matrix. In the discussed case of metamorphic
structures InAs composition in the capping QW is 2O% higher than that in the metamorphic matrix, QW width is 4 nm.
PL spectra of QW, QD array, and QD array capped with QW are compared in Fig. 1 1 for the matrix band gap of 1110
meV. For the same matrix band gap this approach results in additional 130-nm shift of QD line to longer wavelengths.
QD line can be controllably red shifted up to 1.6 im by varying the matrix composition (matrix band gap), see Fig. 12.

Thus, QD structures grown in a metamorphic matrix completely cover the wavelength interval of optical fiber
communication (see Fig. 3).

With increasing InAs mole fraction in the matrix (decreasing the matrix band gap) the energy separation between QD
line and the matrix band gap slightly decreases (Fig. 12). However, the effective localization energy exceeds 200 meV
even for the QDs emitting at the longest wavelength. This should be sufficient for effective prevention of thermally
activated carrier escape out of QD states to the matrix at RT.

6. DIODE LASERS BASED ON METAMORPHIC QUANTUM DOTS

We applied metamorphic approach for fabricating long-wavelength lasers on GaAs substrates. InAs mole fraction
throughout the structure is 21% excluding a QD active region. 1.6-tm-thick InAlGaAs claddings doped with Si or Be
have Al composition of 35%. A 0.7-tm-thick undoped InGaAs layer is used as a waveguide as well as a matrix for QD
formation. From 5 to 15 QD planes separated by 45-nm-thick spacer layers are deposited in the center. Each QD layer is
formed by deposition of 2.7 ML of InAs and covered with 4-nm-thick In041Ga59As QW. A Be-doped InGaAs contact
layer terminates the structure.
Broad-area lasers with a 100 tm stripe width were fabricated. No facet coatings were deposited. N- and p-type contacts
were made using deposition and melting at 450 C of AuGe/NiIAu and AuZn/Ni/Au metallic layers, respectively. Laser
characteristics were measured inside the 2085 C temperature region using the excitation with 0.2-ts current pulses. To
evaluate internal device parameters, mirror loss was varied by changing the cavity length L. Also, laser structures with
four cleaved facets were evaluated. Such kind of laser cavity emulates the stripe laser of infmite length (V' 0) because
the mirror loss is negligible.

Threshold current density measured at RT and lasing wavelength taken near the threshold are shown in Fig. 13 as
functions of the reciprocal cavity length for the stnicture with 10 QD planes. Minimum threshold current density of 800
A/cm2 and the longest wavelength of 1 .49 tm are achieved in the resonator with four cleaved facets. Lasing proceeds on
the ground state up to 1-mm-long cavity. This means that the saturated gain on the ground state exceeds 10 cm1. With

varying the cavity length from 2 to 1 mm the threshold current density increases from 1 .4 to 2 kA/cm2 while the
wavelength changes very slightly from 1463 to 1458 nm. This also indicates a sufficient gain on the QD ground state. In
all lasers the lasing peak is shifted towards the longer wavelength with respect to PL peak position at 1.45 im measured
in a sample with etched-off contact layer.
Dependence of the minimum threshold current density (resonators with four cleaved facets) on the number of QD planes
in the laser active region is shown in Fig. 14. The lowest threshold current density of 700 A/cm2 was measured in the
laser structure with 5 planes of metamorphic QDs. Increase of the threshold current density to 5.3 kA/cm2 is probably
attributed to formation of dislocations in the active region due to excessive strain.

Proc. of SPIE Vol. 5946 594616-7

2500

1500

2000

1490

io4

1500 .

1480tj

I.''

ci

io3
1000

1470

1460

500

1450

10

102

Reciprocal cavity length ilL, cm1

10

15

Number of QD planes

Figure 13. Threshold current density (solid circles) and lasing

wavelength (open circles) against reciprocal length of broad-

Figure 14. Dependence of the minimum threshold current

area laser with 10 planes of metamorphic QDs.

QD planes in the laser active region.

density (resonators with four cleaved facets) in the number of

Wavelenght, am

10

15

20

25

Drive current, A

Ternperature,C

Figure 15. Light-current characteristic in pulse regime and

Figure 16. Temperature dependence of the threshold current

lasing spectra (insert) for broad-area metamorphic QD laser.

(solid circles) and lasing wavelength (open circles).

Example of light-current characteristic of a representative metamorphic QD laser is shown in Fig. 15. The maximum
power in pulse regime exceeds 7 W. The lasing spectra shown in the insert demonstrate the absence of any currentinduced shift of the wavelength. Up to the maximum drive current of 23 A quantum dots lase on the ground state with
the wavelength of 1.46 tm. The external differential efficiency is 50%. From the dependence of the external differential
efficiency on cavity length the following internal parameters were extracted: internal efficiency as high as 60% and
internal loss of-3 cm'.
Temperature dependence of the threshold current and lasing wavelength is presented in Fig. 16. Maximum operation
temperature comes to 80 C, the characteristic temperature of the laser threshold, T0, is 61K. Lasing wavelength is

Proc. of SPIE Vol. 5946 594616-8

gradually red-shifted with increasing temperature. No temperature-induced transition to the excited-state lasing is
observed.

7. CONCLUSIONS
Formation of self-organized quantum dots in a metamorphic InGa1_As/GaAs (x -2025%) matrix is demonstrated.
Special growth regimes are used to confine most of dislocations inside the buffer and avoid their propagation into the
upper layers. Metamorphic approach allows one to extend the spectral range of QD structures grown on GaAs substrates
up to 1 .58 tm at RI using the sensitivity of QD wavelength to the band gap of surrounding material. QD laser structure
based on metamorphic approach is proposed and realized. Threshold current density and lasing wavelength of the
metamorphic QD lasers under investigation corresponds fairly well to the best results published for long-wavelength
lasers on GaAs based on InGaAsSbN.'3 Minimum threshold current density of 800 A/cm2 and operation at 75 C are
demonstrated. Low internal loss and high internal quantum efficiency provides high external differential efficiency
exceeding 50% and high output power over 7W. These structures may have potential in edge- and surface-emitting lasers
for applications in metropolitan area networks and in dense wavelength division multiplexing.

ACKNOWLEDGMENTS
This work was conducted in the framework of joint research project between A. F. loffe Physico-Technical Institute,
St. Petersburg, Russia, and NL-Nanosemiconductor-GmbH, Dortmund, Germany.

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Proc. of SPIE Vol. 5946 594616-10