Physica B 502 (2016) 146–150

Contents lists available at ScienceDirect

Physica B
journal homepage: www.elsevier.com/locate/physb

Effect of the shape of quantum dots on the refractive index changes

Keyin Li, Kangxian Guo n, Litao Liang
Department of Physics, College of Physics and Electronic Engineering, Guangzhou University, Guangzhou 510006, PR China

art ic l e i nf o a b s t r a c t

Article history: We have intensively studied the influence of the shape of quantum dots on the refractive index changes.
Received 18 August 2016 Within the framework of the effective-mass approximation, numerical results are performed by means of
Accepted 30 August 2016 calculation methods of the compact-density-matrix and the matrix diagonalization. We analyze the
Available online 31 August 2016
properties of the linear, third-order nonlinear and total refractive index changes (RICs) as a function of
Keywords: the incident photon energy in circular, elliptic, and triangular shaped quantum dots. The results show
Quantum dot that the shape of quantum dots has a significant impact on the refractive index changes.
Refractive index changes & 2016 Published by Elsevier B.V.

1. Introduction harmonic generation in cubical quantum dots and drawed a con-

In the past few years, considerable researches have been
dedicated to the nonlinear optical properties of quantum dots
(QDs) and this trend, recently, is intensified with the significant
progresses in modern nanofabrication techniques which make it
possible to fabricate the low-dimensional semiconductor struc-
tures in nanoscopic scale such as quantum dots (QDs), quantum
wires and quantum wells [9–14]. It is well known that quantum
confinement can give rise to a great deal of novel nonlinear optical
properties. These properties sever the purpose to produce new
optical devices, such as high-speed electron-optical modulators,
photodetectors and far-infrared laser amplifiers.
Taking advantage of advanced methods for fabricating semi-
conductor nanostructure, QDs can be made into different geome-
trical shapes, such as cubical shape [1], spherical shape [2], and
disk-like or cylindrical shape [3]. In recent years, a number of
theoretical and experimental works have been presented in
studying the optical properties of QDs. For instance, Harutyunyan
and Kazaryan studied the effect of magnetic and electric fields on
interband absorption coefficient in cylindrical layer quantum dot
[4] and found that both magnetic and electric fields had influence
on the absorption coefficient. Liu and Xu [5] investigated the re-
fractive index changes and the optical absorption coefficient as-
sociated with intraband relaxation in a cylindrical quantum dot,
and obtained that the refraction index changes and absorption
coefficient sensitively depended not only on the incident optical
wave but also on the dot size. Zhang and Guo surveyed the third-
n
Corresponding author.
E-mail address: axguo@sohu.com (K. Guo).
clusion that the length of the cubical quantum dots and the
magnitude of the electric field had a great influence on the third-
harmonic generation [6]. These studies show that the optical
properties of QDs depend strongly on geometrical size of QDs and
a static magnetic field. It is worth mentioning that geometrical
shape of QDs also makes a big difference to the optical properties.
Liang and Xie researched the influence of the shape of quantum
dots on their optical absorptions coefficient [7]. Obviously, the
investigation for the realistic profile of the confinement potential
is an important knowledge, because it is conducive to the studies
of the electronic and optical properties of QDs [15,16,18,19].
In this paper, we intend to study the linear, third-order non-
linear and total refractive index changes in circular, elliptic, and
triangular QDs. We especially pay close attention to the shape
effects on the refractive index changes of QDs. The outline of this
paper is as follows. In Section 2, a model for QDs is provided along
with an analytical expressions of lateral confining potential, and
the analytical forms of the refractive index changes for circular,
elliptic, and triangular shaped QDs is obtained. In Section 3, the
numerical results and discussions are exhibited. In Section 4, a
brief conclusion is expressed.
2. Theory
2.1. Theoretical model
In this work, we discuss an electron, moving in the (x,y) plane,
1
which is confined in the system with potential V = 2 m*(ωx2x 2
2
+ωy2y2 )(1 + 7 β cos3θ ) . By means of the effective-mass

http://dx.doi.org/10.1016/j.physb.2016.08.054
0921-4526/& 2016 Published by Elsevier B.V.
 K. Li et al. / Physica B 502 (2016) 146–150 147

approximation, the Hamiltonian of this system can be expressed as time-dependent Schrödinger equation that the evolution of the
[7,8] density matrix operator ρ obeys is as follows [20,21]:

p2 1 2 ∂ρij 1
H= + m*(ωx2x2 + ωy2y2 )(1 + βcos3θ ), = [H′0 − erE(t ), ρ]ij − Γij(ρ − ρ(0) )ij ,
2m* 2 7 (1) ∂t i (7)

where ωx and ωy represents the confinement frequency associated where H′0 represents the Hamiltonian of the system excluding the
with the confinement potential along the x and y directions, re- effect of E(t), ρ(0) is the unperturbed density matrix operator, e
spectively, and θ denotes the angle with respect to a specific axis signifies the electronic charge, and Γij expresses the phenomen-
in the x–y plane. For the convenience to express and calculate, we 1
ological relaxation rate. In this paper, we make Γij = Γ0 = T for i ≠ j .
ω
make δ = ωx , which is the ratio of the confinement strengths of 0
y Eq. (7) can be solved employing the iterative method [22,23],
QDs, and we treat the average confining energy
ω0 =  (ωx + ωy ) /2 = 3.0 meV . Through the above description, we ρ(t ) = ∑ ρ(n) (t ),
(8)
can clearly find that the lateral confining potential can not only n

turn into a circle confining potential when β = 0 and with [14,24]

ωx = ωy(δ = 1), but also can become an elliptic one in the case of
β = 0 and ωx ≠ ωy(δ ≠ 1). Moreover, the lateral confining potential ∂ρij(n + 1) 1 1
= {[H′0 , ρ(n + 1) ]ij − Γijρij(n + 1) } − [er , ρ(n) ]ij E(t ).
can be converted into a triangular shaped confining potential in ∂t i i (9)
the condition of β ≠ 0 and ωx = ωy(δ = 1).
The electric polarization of the system can be described as [22]
In Eq. (1), the confinement potential V can be split into two
parts: one is an isotropic and parabolic potential and the other is ˜ −iνt + ε χ ( − ν )Ee
P (t ) = ε0χ (ν )Ee ˜ −iνt , (10)
0
the asymmetric part. The Hamiltonian of this system in the polar
coordinate (r, θ) obeys the following equation: The nth order electric polarization is written as [9,13]

p2 1 1
H= + m*ω2r 2 + V ′(r , θ ), P (n)(t ) = Tr (ρ(n) er ),
(2) Ω (11)
2m* 2
where ω2 = (ωx2 + ωy2)/2 and ω2 = ωx2 + ωy2 with regard to elliptical where ε0 denotes the permittivity of vacuum, χ (ν ) is susceptibility,
QDs and triangular QDs, respectively. V ′ means the asymmetry
Ω means the volume of the system and Tr represents the trace
symbol of the matrix ρ(n) er .
part of the confinement potential, which is expressed as
1 * 1 In our work, the linear and the third-order nonlinear refractive
4
m (ωx2 − ωy2)r 2cos2θ and 7 βm*ω02r 2cos3θ for elliptical QDs and
index changes are respectively expressed as [25,26]
triangular QDs, respectively.
2
p 1
Through the above process, we can regard H0 = 2m* + 2 m*ω2r 2 ▵n(1)(ν ) σ |M |2 E10 − ν
= Ω 210 ,
as unperturbed Hamiltonian and H′ = V ′(r, θ ) as the perturbation nr 2nr ε0 (E10 − ν )2 + (Γ0)2 (12)
term. Obviously, H0 is the two-dimensional harmonic oscillator
and
Hamiltonian, and its eigenenergy and eigenfunction can be written
as [17], ▵n(3)(ν, I ) σ |M |2 μcI
= − Ω 310 {4(E10 − ν )|M10|2
En(0) = n + 1 = 2n′ + |m| + 1, (3)
nr 4nr ε0 [(E10 − ν )2 + (Γ0)2]2
(M11 − M00)2
+
(E10)2 + (Γ0)2 (13)
1
e imθ⎡ 2n′! ⎤2
|m| − r λ |m| 2 2
2 2
ψn = λ⎢ ⎥ (λr ) e 2 L n (r λ ),
2π ⎣ (n′ + |m|!) ⎦ ′ (4)
×{(Γ0)2(2E10 − ν ) − (E10 − ν )[E10(E10 − ν ) − (Γ0)2]}} . (14)
where n = 0, 1, 2, 3⋯, n′ = 0, 1, 2, 3⋯, m = 0, ± 1, ± 2⋯,
λ2 = m*ω2/ . n is the principal quantum number, n′ is the radial The total changes of refractive index can be given by [25,26]
quantum number, and m is the magnetic quantum number, re- ▵n(ν, I ) ▵n(1)(ν ) ▵n(3)(ν, I )
spectively. L n|m| is about the Laguerre polynomial. = + .
′ nr nr nr (15)
Within the framework of the perturbation theory, the wave
function in this system can be given by In the above equation, σΩ represents the electron density, μ is
the permeability, nr signifies the refractive index, εR is the real part
<ψi|H′|ψj>
ϕi = ψi + ∑ |ψj > . of the permittivity, ν expresses the incident photon frequency, and
i≠j Ei(0) − E (j 0) (5)
∼
I = 2ε0nr c|E |2 is the incident optical intensity. M01 = < ψ0|ercosθ|ψ1>,
M00 = < ψ0|ercosθ|ψ0> and M11 = < ψ1|ercosθ|ψ1> are dipole matrix
By the reason of the first order of the perturbation energy Ei(1) = 0,
elements, E10 = ω10 = E1 − E0 denotes the energy difference. It is
| < ψi|H′|ψj > |2 worth mentioning that dipole transitions are permitted only when
Ei = Ei(0) + ∑ , i, j = 0, 1, 2, 3⋯. the selection rules Δm = ± 1 are satisfied. Therefore, our attention
i≠j Ei(0) − E (j 0) (6)
is paid to the transition between the ground state ( n′ = m = 0) the
first excited state ( n′ = 0, m = 1).
2.2. The linear, third-order nonlinear and total refractive index
changes
3. Results and discussions
By means of the compact density-matrix approach and the
iterative method, we can obtain the refractive index changes. In this section, the RICs are numerically calculated for the ty-
Supposing that the system is excited by an electromagnetic field of pical GaAs/AlAs semiconductor. The parameters used in our cal-
∼ ∼
frequency ν, such as E (t ) = E0cos(νt ) = E exp(iνt ) + E exp( − iνt ). The culations are as follows [27]: m* = 0.067 m0 (where m0 is the mass
148 K. Li et al. / Physica B 502 (2016) 146–150
of free electron), μ = 4π × 107 Hm−1, σΩ = 5.0 × 1022 m−3,
−12 −1
ε0 = 8.85 × 10 Fm , εR = 3.2, and Γ0 = 1/0.14 ps.
3.1. The influences of circular and elliptic QDs on refractive index
changes
(1)
In Fig. 1a, b, and c, respectively, we plot the linear Δn /nr , the
third-order nonlinear Δn(3) /nr and the total Δn/nr refractive index
changes as function of the incident photon energy, with β = 0 and
five different values of δ = ωx /ωy , δ = 3.0: 3.0, δ = 2.8: 3.2,
δ = 2.5: 3.5, δ = 2.2: 3.8, and δ = 2.0: 4.0. From these figures, we
can clearly see that the resonant peaks of the Δn(1) /nr , Δn(3) /nr , and
Δn/nr decrease with the decrease of δ which means the asym-
metry of the elliptical QDs enhances. The reason of this trait lies in
the fact that the asymmetry of the elliptical QDs leads to the
commixture of many eigenstates with various angular momenta.
Therefore, the transition matrix element between the final and
initial states decreases when the asymmetry of the elliptical QDs
increases (δ decreases). According to this characteristic, if a larger
refractive index changes is desired, a comparatively larger δ should
be adopted. In addition, these figures also show that the resonant
peaks of Δn(1) /nr , Δn(3) /nr , and Δn/nr exhibit a red shift. The phy-
sical origin is that the energy difference E10 decreases with the
increasing asymmetry of the elliptical QDs which results in that
the overlaps of many eigenstates with various angular momenta
enhance. Moreover, what is worth mentioning is that if the
Fig. 1. The linear optical RICs of the elliptical QD versus the incident photon energy ν . The third-order nonlinear optical RICs of the elliptical QD versus the incident photon
energy ν . The total optical RICs of the elliptical QD versus the incident photon energy ν .
asymmetry of the elliptical QDs increases continuously (δ de-
creases), a disk-like QD is close to a needle-like QD.
3.2. The influences of triangular QDs on refractive index changes
We drew three graphs, respectively, the linear Δn(1) /nr , the
third-order nonlinear Δn(3) /nr and the total Δn/nr refractive index
changes as function of the incident photon energy, with δ = 1 and
four different values of β, β = 0, β = 1, β = 2, and β = 3, as is shown
in Fig. 2a, Fig. 2b, and Fig. 2c. From these diagrams, we can clearly
find that there are some similar characteristics for the RICs be-
tween the triangular QD and the elliptical QD under the same
average confining energy condition. First, the resonant peaks of
the RICs move toward the lower incident photon energy region
when the parameter β increases, which embodies the asymmetry
of triangular QDs enhances. The physical origin of this feature is
same to the explanation for that of the elliptical QD. Second, we
also can find that the resonant peaks of the RIC of the triangular
QD increase obviously with the increasing β (i.e., with the in-
creasing asymmetry of QDs), especially for the Δn(3) /nr . This fea-
ture is clearly different from that of the elliptical QD. When these
diagrams, from Figs. 1 and 2, are taken to analyze and compare, it
can be clearly found that the RICs of the triangular QD are greater
distinctly than those of the elliptical QD when we restrict the
average confining energy to a constant value. Therefore, when the
average confining energy ℏω0 remains a constant value, the
 K. Li et al. / Physica B 502 (2016) 146–150
Fig. 2. The linear optical RICs of the triangular QD versus the incident photon energy ν . The third-order nonlinear optical RICs of the triangular QD versus the incident
photon energy ν . The total optical RICs of the triangular QD versus the incident photon energy ν .
electronic states in the triangular QD is lightly more stable than
the case of the elliptical QD. According to above finding, we can
obtain the larger refractive index changes as long as the parameter
β is adjusted appropriately. Hence, the knowledge of the shape
effects on the refractive index changes of QDs is significant in
semiconductor physics due to the fact that they can greatly
modulate and optimize the performance of low-dimensional
quantum devices.
4. Conclusion
In the present work, we discuss the influences of shape on its
refractive index changes by introduce a QD with asymmetry con-
fining potential. Calculations are executed in the linear, third-order
nonlinear and total optical RICs as a function of the incident
photon energy for circular, elliptic, and triangular shaped quantum
dots. The RICs of the elliptical QD and the triangular QD have the
similar features under the same average confining energy condi-
tion. On the basis of the average confining energy ℏω0 given a
constant value, the resonant peaks of the RICs of the elliptical QD
reduces with the increasing asymmetry of QDs, but those of the
triangular QD are opposite; the maximum positions of the RICs
exhibit a red shift when the asymmetry of QDs increases; the RICs
of the triangular QD are larger distinctly than those of the elliptical
QD. Hence, the shape of quantum dots has a significant impact on
149
the refractive index changes.
Acknowledgments
The work is supported by the National Natural Science Foun-
dation of China (under Grant nos. 61178003, 61475039), Guang-
dong Provincial Department of Science and Technology (under
Grant no. 2013 B090500012), the Science and Technology Bureau
of Zhongshan (under Grant no. 2015A2001).
References
[1] Shuai Shao, Kang-XianGuo, Zhi-HaiZhang, NingLi, ChaoPeng, Physica B 406
(2011) 393C396.
[2] R.C. Ashoori, H.L. Stormer, J.S. Weiner, L.N. Pfeiffer, K.W. Baldwin, K.W. West,
Physica B 189 (1993) 117.
[3] Q. Ye, R. Tsu, E.H. Nicollian, Phys. Rev. B 44 (1991) 1806.
[4] V.A. Harutyunyan, E.M. Kazaryan, Physica E 36 (2007) 114.
[5] C.H. Liu, B.R. Xu, Phys. Lett. A 372 (2008) 888.
[6] Zhihai Zhang, Kangxian Guo, Binchen, Ruizhen Wang, Minwu Kang, Physica B
404 (2009) 2332C2335.
[7] Litao Liang, Wenfang Xie, Physica B 462 (2015) 15–17.
[8] T. Ezaki, Y. Sugimoto, N. Mori, C. Hamaguchi, Semicond. Sci. Technol. 13 (1998)
A1.
[9] K.X. Guo, S.W. Gu, Nonlinear optical rectification in parabolic quantum wells
with an applied electric field, Phys. Rev. B 47 (1993) 16322–16325.
[10] Z.W. Zuo, H.J. Xie, Confined bulk like longitudinal optical phonon modes in
150 K. Li et al. / Physica B 502 (2016) 146–150
right triangular quantum dots and quantum wires, J. Phys.: Condens. Matter
22 (2010) 025403–025409.
[11] R. Safari, S. Shojaei, The control of the nonlinear optical response of semi-
conductor quantum dots, Optik 125 (2014) 6926–6929.
[12] N. Li, K.X. Guo, S. Shao, Polaron effects on the optical absorptions in cylindrical
quantum dots with parabolic potential, Opt. Commun. 285 (2012) 2734–2738.
[13] G.H. Wang, Nonlinear intersubband optical absorption in semiparabolic
quantum wells, Optik 125 (2014) 2374–2377.
[14] L. Zhang, H.J. Xie, Electric field effect on the second-order nonlinear optical
properties of parabolic and semiparabolic quantum wells, Phys. Rev. B 68
(2003) 235315–235320.
[15] T. Ezaki, N. Mori, C. Hamaguchi, Phys. Rev. B 56 (1997) 6428.
[16] Ingibjörg Magnúdótir, VidarGudmundsson, Phys. Rev. B 60 (1999) 16591.
[17] B. Li, K.X. Guo, Ch.J. Zhang, Y.B. Zheng, Phys. Lett. A 367 (2007) 493.
[18] A.J. Peter, K. Navaneethakrishnan, Physica E 40 (2008) 2747.
[19] S. Rajashabala, K. Navaneethakrishnan, Braz. J. Phys. 37 (2007) 1134.
[20] B. Gönül, O. Özer, B. Gönül, F. Üzgün, Mod. Phys. Lett. A 17 (37) (2002) 2453.
[21] G.H. Liu, K.X. Guo, C. Wang, Linear and nonlinear intersubband optical ab-
sorption in a disk-shaped quantum dot with a parabolic potential plus an
inverses quared potential in a static magnetic field, Physica B 407 (2012)
2334–2339.
[22] W.F. Xie, Nonlinear optical properties of a hydrogenic donor quantum dot,
Phys. Lett. A 372 (2008) 5498–5500.
[23] B. Chen, K.X. Guo, R.Z. Wang, Z.H. Zhang, Z.L. Liu, Linear and nonlinear inter-
subband optical absorption in double triangular quantum wells, Solid State
Commun. 149 (2009) 310–314.
[24] G.H. Wang, Third-harmonic generation in cylindrical parabolic quantum wires
with an applied electric field, Phys. Rev. B 72 (2005) 155329–155333.
[25] N. Li, K.X. Guo, S. Shao, G.H. Liu, Polaron effects on the optical absorption
coefficients and refractive index changes in a two-dimensional quantum
pseudodot system, Opt. Mater. 34 (2012) 1459–1463.
[26] V. Prasad, P. Silotia, Effect of laser radiation on optical properties of disk
shaped quantum dot in magnetic fields, Phys. Lett. A 375 (2011) 3910–3915.