IEEE TRANSACTIONS ON ELECTRON DEVICES, VOL. 61, NO.
5, MAY 2014
Plasmon Resonance Effects in GaAs/AlGaAs
Heterojunction Devices: An Analysis Based
on Spectral Element Simulation
Feng Li, Qing Huo Liu, Fellow, IEEE, and David P. Klemer
Abstract— The effect of surface plasmons is investigated in
III–V devices that incorporate a subsurface heterojunction to
guide electron transport, in a structure analogous to that of the
high-electron mobility transistor. The use of the spectral element
method results in a highly efficient computational approach;
perturbations in the electric potential resulting from surface
plasmonic effects are included in a self-consistent solution of
the Schrödinger–Poisson equations. The results of calculations of
electron conduction band edge and electron density distribution
are presented, and the effect of the plasmonic penetration depth
on electron density distribution in the 2-D electron gas at the
heterojunction is studied. This approach has broad applicability
in the design and simulation of III–V optoelectronic sensors and
transducers used for physiochemical and biological sensing and
imaging.
Index Terms— Chemical and biological sensors, finite
element modeling (FEM), high-electron mobility transistor
(HEMT), plasmons, spectral element method (SEM), surface
plasmonics.
I. I NTRODUCTION
O NE ADVANTAGE of the high-electron mobility transis-
tor (HEMT) is the high sensitivity of the HEMT 2-D
electron gas (2-DEG) to perturbations in the local elec-
tromagnetic environment, resulting in high gain-bandwidth
products and suitability as low-noise amplifiers. Accordingly,
there have been proposals to develop biological and chemical
sensors based on the HEMT device structure [1]–[3], with a
broad range of potential applications, including biosensing for
medical diagnostics, chemical sensing, and security screening.
The III–V materials typically used in HEMT design also
exhibit useful optoelectronic properties. As one attempts to
miniaturize photonic devices to nanometer dimensions, one
encounters restrictions imposed by the diffraction limit, lead-
ing to the emerging field of plasmonics, and its goal of creating
photonic devices suitable for subwavelength operation [4].
The unique properties of plasmonic devices have been
Manuscript received January 6, 2014; revised March 8, 2014; accepted
March 10, 2014. Date of publication March 26, 2014; date of current version
April 18, 2014. The review of this paper was arranged by Editor K. J. Chen.
F. Li was with the Department of Electrical Engineering and Computer
Science, University of Wisconsin-Milwaukee, Milwaukee, WI 53211 USA.
He is now with the Department of Engineering, Thomas Nelson Community
College, Hampton, VA 23666 USA (e-mail: feng.li@alumni.duke.edu).
Q. H. Liu is with the Department of Electrical and Computer Engineering,
Duke University, Durham, NC 27708 USA (e-mail: qhliu@ee.duke.edu).
D. P. Klemer is with K2 BioMicrosystems, LLC, Geneva, IL 60134 USA
(e-mail: d.klemer@att.net).
Color versions of one or more of the figures in this paper are available
online at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TED.2014.2311473
0018-9383 © 2014 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
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1477
successfully used in the design of optically based biomole-
cular sensors [5], [6]. As mentioned above, HEMT structures
have also been proposed for biological and chemical sensing,
but little research has been devoted to the use of hybrid
HEMT/plasmonic devices that could facilitate the transduction
of optical signals (e.g., biomolecular fluorescence) directly
into an electrical response, allowing for the design of compact
biosensors or multiplexed bimolecular detection arrays.
With its metal gate (typically gold) serving as a surface
plasmonic media, a HEMT/plasmonic device perturbed by
penetrating surface plasmonic fields could find application
in highly integrated optoelectronic systems operating at high
frequencies. While some investigations have focused on the
use of complex hybrid HEMT/plasmonic structures as elec-
tromagnetic detectors [7], virtually no attention has been
given to their application to biological/chemical sensing. Such
sensors could, for example, employ novel surface waveguides
or integrated flow cells, or make use of the unique ability for
direct attachment of organic and biological molecules directly
onto III–V surfaces [8].
Part of the difficulty in hybrid HEMT/plasmonic device
design has been the lack of suitable modeling and simu-
lation tools; this is unfortunate, as accurate simulation can
impact the optimal design of high-sensitivity HEMT-based
sensors—for example, optimal design, and location of the
heterointerface within the device structure. In this paper, the
effect of a surface-plasmon-induced ponderomotive potential
on the electron density distribution within the 2-DEG of
an AlGaAs/GaAs heterostructure is studied through a self-
consistent solution of the Schrödinger–Poisson equations that
describe the system. Although various numerical simulation
schemes exist [e.g., finite element modeling (FEM) or finite
difference modeling (FDM)], in this paper, a solution algo-
rithm based on the spectral element method (SEM) approach
was chosen. This choice was based on the high-computational
efficiency and accuracy of the SEM algorithm as compared
with traditional FEM- and FDM-based simulations, as has
been previously reported [9] and [10].
II. D EVICE S TRUCTURE AND S URFACE P LASMON E FFECTS
The AlGaAs/GaAs HEMT structure under investigation is
shown in Fig. 1. A heterostructure is formed by depositing
an undoped AlGaAs spacer layer, 50 Å in thickness, onto a
(bulk) undoped GaAs channel layer. A highly silicon-doped
Al0.3 Ga0.7 As barrier layer is deposited onto the spacer layer,
1478 IEEE TRANSACTIONS ON ELECTRON DEVICES, VOL. 61, NO. 5, MAY 2014

where k0 = ω/c is the wave vector of a wave propagating in

vacuum, and εm is the optical dielectric function of the gold
metallization. The electric potential induced by the surface
plasmon is wavelike in the z-direction, but decays exponen-
tially in the x-direction.
The plasmon-induced field decays into both the metal and
barrier layer, and exhibits a maximum at the precise interface
of the metal and semiconductor. The field decay along the
positive x-direction (i.e., into the AlGaAs, perpendicular to
the interface) is characterized by an evanescent decay length
(or penetration depth) L ps , defined as the distance from the
interface at which the amplitude of the field decreases by
a factor of 1/e. This decay length is a characteristic of the
material within which the plasmonic field is confined; for
Fig. 1. Schematic of an AlGaAs/GaAs HEMT device (not to scale), showing AlGaAs material (and other dielectric materials as well),
a surface plasmon wave propagating along a metal–semiconductor interface it can be defined as
defined as x = 0. 1
L ps = (5)
Re{ks }
having a doping density of 3 × 1018 /cm3 and thickness of which quantifies the extent of confinement of the plasmon-
200 Å. Finally, a heavily doped GaAs cap layer is deposited, induced field in the AlGaAs semiconductor material.
onto which ohmic source and drain contacts will be patterned. The evanescent decaying surface plasmon field along the
A portion of the cap layer is etched off and a very thin gate x-direction can lead to an effective ponderomotive poten-
metallization (typically Au or Al) is deposited onto the highly tial [13]
doped Al0.3 Ga0.7 As barrier layer. In some cases, the gate-
Usp = U0 e−2x/L (6)
recess etch may extend slightly into the AlGaAs material that
2
q E0 2
forms the barrier layer. U0 = (7)
Under certain conditions, surface plasmons can be excited 4mω2
and guided to propagate along the interface between the gold where q and m are electron charge and mass, respectively,
metallization and the Al0.3 Ga0.7 As barrier layer. A plasmonic E 0 is the electric field strength, and ω is the angular frequency
wave may then propagate along the gate length, i.e., the of the electric field. This exponentially decreasing ponderomo-
z-axis direction, as shown in Fig. 1. Surface plasmon tive potential results in an effective dc electric field
polaritons (SPPs) only exist for transverse magnetic polar-
q E 02 − 2x
ization, and the field intensity of the surface plasmons are E effective = e L. (8)
derived from Maxwell’s equations. Assuming a harmonic time 2Lmω2
dependence (∂/∂t = −i ω), the (sinusoidally varying) electric In the channel of the HEMT device, the predominant carriers
field in the barrier layer side may be expressed as [11], [12] are electrons, thus a plasmon-induced effective potential
β −q 2 E 02 − 2x 2x
E x (x) = As eiβz e−ks x (1) φsp = e L = A0 e− L (9)
ωε0 εs 4mω2
and is expected, which can influence the electron density of the
ks iβz −ks x 2-DEG, and thus channel conductivity.
E z (x) = −i As e e (2) The amplitude of the effective potential φsp depends on the
ωε0 εs
field strength of the laser pulse at the prism interface. The
where As denotes the modal field amplitudes of the electric local intensity I of the laser beam is related to the amplitude
field and potential, respectively, ω is the angular frequency, E of the electric field by
ε0 is the free space permittivity, εs is the relative permittivity of v p ε0 εr μr 2 cε0 n 2
the barrier layer, β is the propagation constant of the traveling I = E = E (10)
2 2
waves (corresponding to the component of the wave vector
along the direction of propagation), and ks is the component where v p is the phase velocity, c is the vacuum velocity of
of the wave vector in the barrier layer, perpendicular to the light, and n is the refractive index. For a Gaussian beam
interface located at x = 0. The constants β and ks may be with optical power P and Gaussian beam radius r , the peak
expressed as intensity is
 P
εm εs Ip = (11)
β = k0 (3) πr 2 /2
εm + εs
and the peak electric field is given by
and 

εs 4P
ks = β 2 − k02 εs = i k0 √ (4) E= . (12)
εm + εs πr 2 cε0 n

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LI et al.: PLASMON RESONANCE EFFECTS IN GaAs/AlGaAs HETEROJUNCTION DEVICES 1479

The peak power P is related to the pulse energy E p via [14] Finally, the electron density associated with the heterojunction
is the sum of subband and bulk electron densities
Ep
P = fs (13) n = n 2-D + n 3-D
τp (19)

where τ p is the pulse duration (defined as full width at half and the ionized donor concentration is given by
maximum). The numerical factor f s depends on pulse shape, + N D (x)
and is 0.94 for a Gaussian-shaped pulse. The intensity of the ND (x) = (20)
1 + 2 exp{[E f − (V − E D )]/k B T }
laser pulse can be carefully chosen based on (12) and (13) to
result in an electric field well below the breakdown field of where E D is the donor energy level, and N D the donor
GaAs (∼4 × 105 V/cm). concentration.

IV. S TURM –L IOUVILLE D IFFERENTIAL E QUATION

III. T HE S CHRÖDINGER –P OISSON E QUATIONS
To facilitate numerical simulation, the Schrödinger–Poisson
To simplify the calculations, the electron density distribution equations can be recast into the form of a Sturm–Liouville dif-
perpendicular to the device surface is treated as a 1-D problem. ferential equation. The 1-D Schrödinger equation and Poisson
Given the small thickness of the spacer layer, the small width equation may be rewritten as [10], [15]
of the quantum well formed at the heterointerface, and the 2-D  
1 d 1 d (  x ) (21)
nature of the 2-DEG, the Schrödinger equation is used for the − 2 +V x ) ψ(x ) = Eψ(
π d x m r∗ (
x ) dx
determination of electron densities. The single electron, 1-D,
time-independent Schrödinger equation is and
 
  d d
2 d 1 d r (
x) φ(
x ) = −
ρ (
x) (22)
− ψ(x) + V (x)ψ(x) = Eψ(x) (14) dx dx
2 d x m ∗ (x) d x
respectively, where  x = x/d0 , V (x) = V (x)/E 1 =
where  is the reduced Planck constant (i.e., Planck’s constant 
[Vh (x) − qφ]/E 1 , E = E/E 1 , E 1 = π 2 2 /2m ∗ (0)d02 ,
divided by 2π), m ∗ is the effective mass of an electron, ψ is m r∗ (
x ) = m ∗ (x)/m ∗ (0), r (
x ) = 0 r (x)/ (0), and ρ
(
x) =
the wave function, V is the potential energy, and E is the (d0 / (0))ρ(x), with d0 representing a standard length for
2
energy. normalization, e.g., spacer layer thickness. In this form, the
The 1-D Poisson equation is normalized Schrödinger and Poisson equations [(14) and (15),
 
d d  +  respectively] can then be treated as special forms of the
ε0 εr (x) φ(x) = −q N D (x) − n(x) = −ρ(x) (15) Sturm–Liouville differential equation
dx dx
 
d d (  x)+ρ
where εr is the relative dielectric constant, φ is the electrostatic − η(
x) +V x ) u(x ) = Eu( (
x ) (23)
+ dx dx
potential, q is the elementary electron charge, N D is the ion-
ized donor concentration, and n is the electron concentration. which becomes the Schrödinger equation for ρ (x ) = 0 and
The potential energy V can be related to the electrostatic x ) = 1/π 2 m r∗ (
η( (
x ), and the Poisson equation for V x ) = 0,
potential φ and the ponderomotive potential φsp induced by  = 0, and η(
E x ) = r ( x ).
a steep spatial gradient in the electric field intensity of the
surface plasmon wave, by the following expression: V. S PECTRAL E LEMENT M ETHOD
The SEM is a high-order finite element method that com-
V (x) = −qφ(x) − qφsp (x) + E c (x) (16)
bines the generality of the finite element method with the
where E c is the conduction band discontinuity at the accuracy of spectral techniques [16].
heterointerface. For the simulation of heterostructure devices, a Gauss–
The subband electron density may be written as Lobatto–Legendre (GLL) integration quadrature and interpo-
  lation scheme is used in the implementation of the SEM. The
m
m∗k B T 2 E f − Ej Nth-order GLL interpolation polynomial may be written as
n 2-D (x) = ψ j (x) ln 1 + exp  
π2 kB T 1 −x 2 L N (
x)
j =1 −1
b j (x) = (24)
(17) N(N + 1)L N (
xj) 
x − xj
where m is the number of bound states, k B is the Boltzmann where L N represents the Legendre polynomial of the
constant, T is the absolute (Kelvin) temperature, E f is the Nth order, and L N its derivative. The Nth-order Legendre
energy of the Fermi level, and E j and ψ j represent, respec- polynomial is defined as
tively, the energy and the wave function of the j th subband. 1 dN 2
The 3-D bulk electron density outside the bound states L N (x) = (x − 1) N . (25)
2 N N! d x N
within the triangular quantum well may be written as
The Sturm–Liouville differential equation can be transformed
3
(2m ∗ ) 2 ∞ 1
(E − V ) 2 d E into the compact matrix form
n 3-D (x) = . (18)
2π 2 3 V 1 + exp[(E − E f )/k B T ] AU = λBU + fˆ() (26)

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1480 IEEE TRANSACTIONS ON ELECTRON DEVICES, VOL. 61, NO. 5, MAY 2014

which allows the Schrödinger equation to be written in matrix

form as
A = λB. (27)
This can be simplified further and written as a regular
eigenvalue problem

A = λ
 (28)
where 
A= B−1/2 AB−1/2 ,and = B1/2 .
Similarly, the Poisson equation may be written in the matrix
form
A = fˆ() (29)
which can be solved using a Newton–Raphson iteration
approach
Fig. 2. Unperturbed electrostatic potential, along with electric potential
  (n)  −1 induced by surface plasmons.
∂ fˆ i   
 (n+1) (n)
= − A− A(n) − fˆ (n)
∂ j
(30)
where the index n refers to the nth Newton–Raphson iteration.

VI. B OUNDARY C ONDITIONS

Correct solution of the Schrödinger–Poisson equations
requires establishment of proper boundary conditions for the
semiconductor device structure. In the derivation of the weak
formulation, free-surface boundary conditions (i.e., Newmann-
type boundary conditions) are naturally included in the SEM.
For solution of the Schrödinger equation, this is a significant
advantage of the SEM method over the alternative finite-
difference numerical approach, in which much attention is
required for imposing appropriate boundary conditions.
For the HEMT device structure without consideration of
the SPP perturbation, at the deepest extent within the material
(x = x end ) the electrostatic potential φ(x end ) = 0, and
dφ/d x = 0. In addition, the surface plasmon-induced effec-
tive dc potential has zero value at this farthest extent, with
φsp (x end ) = 0, and dφsp /d x = 0.
At the heterointerface, continuity of potential and electric
displacement is automatically satisfied—realizing of course
that different dielectric constants apply to the two regions.
At the gate position (x = 0), it is required that total potential
φtotal = φ(x 0 )+φsp(x 0 ) = φ0 , determined by the Schottky bar-
rier height and the applied gate potential, which also depends
on the choice of Fermi level E f . Alternatively, we may set
E f = 0, in which case φ(x end ) is no longer zero, but must
instead be determined accordingly; at the gate, however, the
potential is simply determined by Schottky barrier height and
the applied gate potential, φtotal (x 0 ) = φms + φsp (x 0 ) − Vgate .
This latter boundary condition approach for the Poisson equa-
tion was used in the present paper. Based on this approach,
the electrostatic potential in the case where surface plasmon
effects are absent, along with effective potentials induced by
surface plasmons is shown in Fig. 2. To eliminate the effect
of interband absorption of the surface plasmon electric field
and photogeneration of electrons in the AlGaAs and GaAs
layers, a sufficiently high wavelength is assumed for the laser
radiation (e.g., λ = 1330 nm).
Fig. 3. Conduction band edge and electron density distribution in the HEMT
device, showing the effect of surface plasmon-induced electric potentials.
VII. E LECTRON D ENSITY D ISTRIBUTION
Fig. 3 shows results of simulations of the electron
conduction band profile and electron density distributions
within the HEMT device, with and without surface plasmon
perturbations. It is apparent that the peak electron density is
significantly influenced by the presence of surface plasmons
in an appropriately designed device, despite small changes
in the conduction band shape and the energy profile of the
quantum well at the heterointerface. It can also be seen that
a plasmonic potential increases the electron density. For this
calculation, the magnitude of the potential induced by the
surface plasmon is assumed to be A0 = −0.05 V based on (9),
and the real part of the propagation constant can be calculated
based on (4); specifically, Re(ks ) = 1/150 Å, corresponding
to a decay length of L ps = 1/Re(ks ) = 150 Å.
Fig. 4 shows the electron density distribution for different
surface plasmonic amplitudes. It is apparent that incremental
changes in peak electron density are greater for larger plas-
monic amplitudes. Furthermore, it appears that variations in
electron density are approximately linear for small-amplitude
perturbations in surface plasmon wave induced effective
electric potential (Fig. 5), a desirable property for linear
HEMT-based sensors.

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LI et al.: PLASMON RESONANCE EFFECTS IN GaAs/AlGaAs HETEROJUNCTION DEVICES
Fig. 4. Electron density distribution as a function of plasmon-induced electric
potential (curves follow the same sequence as that of the legend).
Fig. 5. Maximum value of electron density as a function of plasmon-induced
effective electric potential.
Fig. 6. Effect of decay length on electron density distribution, for plasmon-
induced effective potentials.
Fig. 6 shows the effect of variations in surface plasmon
decay length (in the x-direction) on electron density dis-
tribution, assuming a fixed amplitude for plasmon-induced
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1481
dc effective potential. It can be seen that maximal changes
in electron density occur for smaller decay lengths. This
is reasonable, as the surface plasmon potential acts on the
2-DEG more effectively if it decreases more abruptly from
the interface to the body, inducing a greater effective surface
potential relative to the heterointerface. In addition, as was
seen earlier in Fig. 4, the decaying surface plasmonic potential
may increase the electron density and channel conductivity.
VIII. C ONCLUSION
The SEM offers a highly efficient means for simulation of
HEMT-based devices, as well as other devices that incorporate
compound semiconductor heterointerfaces. SEM-based simu-
lations can thus facilitate the process of device design and
optimization. Based on this technique, we have shown that
perturbations in the HEMT electron density profile (and, thus
the 2-DEG) may be generated by the effective dc electric field
induced by the surface plasmonic waves. Modulation of the
2-DEG will result in variations in device terminal charac-
teristics, and these variations may be exploited in sensing
applications.
Commercially available HEMT devices are widely used in
the microwave and millimeter (mm)-wave frequency bands,
based on the capability for high-frequency operation resulting
from the high-electron mobility values that are achievable.
Thus, it is not unreasonable to expect that plasmonic-induced
changes in electron carrier densities can potentially result in
measurable changes in microwave and mm-wave characteris-
tics, manifested as changes in device terminal impedances and
scattering parameters (i.e., reflection coefficients and power
gains). This fact, in combination with the resonant nature of
the plasmonic interaction, suggests that extremely sensitive
sensors operating at high frequencies—in the microwave or
millimeter-wave bands—could be fabricated and integrated
into high-frequency electronic systems.
ACKNOWLEDGMENT
The authors would like to thank the reviewers for helpful
comments and suggestions in preparation of the manuscript.
They also express their sincere gratitude to Prof. J. Li for
numerous helpful technical discussions.
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Feng Li received the Ph.D. degree in electri-
cal engineering from the University of Wisconsin-
Milwaukee, Milwaukee, WI, USA, in 2012.
His past affiliations include Duke University,
Durham, NC, USA, and the University of Texas at
Arlington, Arlington, TX, USA. His current research
interests include design and fabrication of compound
semiconductor devices.
David P. Klemer received the M.D. degree from
Columbia University, New York, NY, USA, and
the Ph.D. degree in electrical engineering from the
University of Michigan, Ann Arbor, MI, USA, in
1999 and 1982, respectively.
He is currently a Senior Member of Technical Staff
with K2 BioMicrosystems, Geneva, IL, USA.

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