Light-matter Interactions in Semiconductors and Metals: From Nitride Optoelectronics to Quantum Plasmonics

This thesis puts forth a theory-directed approach coupled with spectroscopy aimed at the discovery and understanding of light-matter interactions in semiconductors and metals.

The first part of the thesis presents the discovery and development of Zn-IV nitride materials.The commercial prominence in the optoelectronics industry of tunable semiconductor alloy materials based on nitride semiconductor devices, specifically InGaN, motivates the search for earth-abundant alternatives for use in efficient, high-quality optoelectronic devices. II-IV-N2 compounds, which are closely related to the wurtzite-structured III-N semiconductors, have similar electronic and optical properties to InGaN namely direct band gaps, high quantum efficiencies and large optical absorption coefficients. The choice of different group II and group IV elements provides chemical diversity that can be exploited to tune the structural and electronic properties through the series of alloys. The first theoretical and experimental investigation of the ZnSnxGe1−xN2 series as a replacement for III-nitrides is discussed here.

The second half of the thesis shows ab−initio calculations for surface plasmons and plasmonic hot carrier dynamics. Surface plasmons, electromagnetic modes confined to the surface of a conductor-dielectric interface, have sparked renewed interest because of their quantum nature and their broad range of applications. The decay of surface plasmons is usually a detriment in the field of plasmonics, but the possibility to capture the energy normally lost to heat would open new opportunities in photon sensors, energy conversion devices and switching. A theoretical understanding of plasmon-driven hot carrier generation and relaxation dynamics in the ultrafast regime is presented here. Additionally calculations for plasmon-mediated upconversion as well as an energy-dependent transport model for these non-equilibrium carriers are shown.

Finally, this thesis gives an outlook on the potential of non-equilibrium phenomena in metals and semiconductors for future light-based technologies.

Part 1: Longitudinal static and dynamic effects in semiconductor lasers. Part II: Spectral characteristics of passively mode-locked quantum well lasers

In the first part of this thesis a study of the effect of the longitudinal distribution of optical intensity and electron density on the static and dynamic behavior of semiconductor lasers is performed. A static model for above threshold operation of a single mode laser, consisting of multiple active and passive sections, is developed by calculating the longitudinal optical intensity distribution and electron density distribution in a self-consistent manner. Feedback from an index and gain Bragg grating is included, as well as feedback from discrete reflections at interfaces and facets. Longitudinal spatial holeburning is analyzed by including the dependence of the gain and the refractive index on the electron density. The mechanisms of spatial holeburning in quarter wave shifted DFB lasers are analyzed. A new laser structure with a uniform optical intensity distribution is introduced and an implementation is simulated, resulting in a large reduction of the longitudinal spatial holeburning effect.

A dynamic small-signal model is then developed by including the optical intensity and electron density distribution, as well as the dependence of the grating coupling coefficients on the electron density. Expressions are derived for the intensity and frequency noise spectrum, the spontaneous emission rate into the lasing mode, the linewidth enhancement factor, and the AM and FM modulation response. Different chirp components are identified in the FM response, and a new adiabatic chirp component is discovered. This new adiabatic chirp component is caused by the nonuniform longitudinal distributions, and is found to dominate at low frequencies. Distributed feedback lasers with partial gain coupling are analyzed, and it is shown how the dependence of the grating coupling coefficients on the electron density can result in an enhancement of the differential gain with an associated enhancement in modulation bandwidth and a reduction in chirp.

In the second part, spectral characteristics of passively mode-locked two-section multiple quantum well laser coupled to an external cavity are studied. Broad-band wavelength tuning using an external grating is demonstrated for the first time in passively mode-locked semiconductor lasers. A record tuning range of 26 nm is measured, with pulse widths of typically a few picosecond and time-bandwidth products of more than 10 times the transform limit. It is then demonstrated that these large time-bandwidth products are due to a strong linear upchirp, by performing pulse compression by a factor of 15 to a record pulse widths as low 320 fs.

A model for pulse propagation through a saturable medium with self-phase-modulation, due to the a-parameter, is developed for quantum well material, including the frequency dependence of the gain medium. This model is used to simulate two-section devices coupled to an external cavity. When no self-phase-modulation is present, it is found that the pulses are asymmetric with a sharper rising edge, that the pulse tails have an exponential behavior, and that the transform limit is 0.3. Inclusion of self-phase-modulation results in a linear upchirp imprinted on the pulse after each round-trip. This linear upchirp is due to a combination of self-phase-modulation in a gain section and absorption of the leading edge of the pulse in the saturable absorber.

Microwave absorption and emission from magnetized afterglow plasmas

The microwave scattering properties of an axially magnetized afterglow plasma column in an S-band waveguide have been investigated experimentally. The column axis is perpendicular to the electric field and the direction of wave propagation in the H_(10)-mode waveguide. Strong absorption is found in the range of upper hybrid frequencies, ω_c ≤ ω ≤ [ω^2_c + ω^2_p(r,t)]^(1/2) where ω_c is the electron cyclotron frequency and ω_p is the locally and temporally varying electron plasma frequency. With the high absorption the noise emission approaches the blackbody limit. A microwave radiometer has been used to measure the noise power and with a comparison and null-technique the electron temperature. As emission and absorption are largely confined to a resonant layer, spatially resolved temperature data are obtained. Time resolution is obtained by gating the radiometer. The peak electron density is derived from the emission or absorption onset at the maximum upper hybrid frequency and confirmed by independent measurements. With this diagnostic technique the electron density and temperature decay has been studied under a variety of experimental conditions. Ambipolar diffusion and collisional cooling essentially account for the plasma decay, but impurities and metastable ions play an important role. The diagnostic method is successfully applied in a microwave heating experiment. The existence of absorbing resonant layers is shown by a peak in the radial temperature profile where the local upper hybrid frequency equals the heating frequency. The knowledge of the plasma parameters is important in the study of hot plasma effects. Buchsbaum-Hasegawa modes are investigated in a wide range of magnetic fields (.5 < ω_c/ω < .985).

Experimental and theoretical developments in extended x-ray absorption fine structure (EXAFS) spectroscopy

To obtain accurate information from a structural tool it is necessary to have an understanding of the physical principles which govern the interaction between the probe and the sample under investigation. In this thesis a detailed study of the physical basis for Extended X-ray Absorption Fine Structure (EXAFS) spectroscopy is presented. A single scattering formalism of EXAFS is introduced which allows a rigorous treatment of the central atom potential. A final state interaction formalism of EXAFS is also discussed. Multiple scattering processes are shown to be significant for systems of certain geometries. The standard single scattering EXAFS analysis produces erroneous results if the data contain a large multiple scattering contribution. The effect of thermal vibrations on such multiple scattering paths is also discussed. From symmetry considerations it is shown that only certain normal modes contribute to the Debye-Waller factor for a particular scattering path. Furthermore, changes in the scattering angles induced by thermal vibrations produces additional EXAFS components called modification factors. These factors are shown to be small for most systems.

A study of the physical basis for the determination of structural information from EXAFS data is also presented. An objective method of determining the background absorption and the threshold energy is discussed and involves Gaussian functions. In addition, a scheme to determine the nature of the scattering atom in EXAFS experiments is introduced. This scheme is based on the fact that the phase intercept is a measure of the type of scattering atom. A method to determine bond distances is also discussed and does not require the use of model compounds or calculated phase shifts. The physical basis for this method is the absence of a linear term in the scattering phases. Therefore, it is possible to separate these phases from the linear term containing the distance information in the total phase.

Upper hybrid resonance absorption and scattering from a plasma column

The electromagnetic scattering and absorption properties of small (kr~1/2) inhomogeneous magnetoplasma columns are calculated via the full set of Maxwell's equations with tensor dielectric constitutive relation. The cold plasma model with collisional damping is used to describe the column. The equations are solved numerically, subject to boundary conditions appropriate to an infinite parallel strip line and to an incident plane wave. The results are similar for several density profiles and exhibit semiquantitative agreement with measurements in waveguide. The absorption is spatially limited, especially for small collision frequency, to a narrow hybrid resonant layer and is essentially zero when there is no hybrid layer in the column. The reflection is also enhanced when the hybrid layer is present, but the value of the reflection coefficient is strongly modified by the presence of the glass tube. The nature of the solutions and an extensive discussion of the conditions under which the cold collisional model should yield valid results is presented.

The Equation of State and Petrogenesis of Komatiite

(1) Equation of State of Komatiite

The equation of state (EOS) of a molten komatiite (27 wt% MgO) was detennined in the 5 to 36 GPa pressure range via shock wave compression from 1550°C and 0 bar. Shock wave velocity, U_S, and particle velocity, U_P, in km/s follow the linear relationship U_S = 3.13(±0.03) + 1.47(±0.03) U_P. Based on a calculated density at 1550°C, 0 bar of 2.745±0.005 glee, this U_S-U_P relationship gives the isentropic bulk modulus K_S = 27.0 ± 0.6 GPa, and its first and second isentropic pressure derivatives, K'_S = 4.9 ± 0.1 and K"_S = -0.109 ± 0.003 GPa^-1.

The calculated liquidus compression curve agrees within error with the static compression results of Agee and Walker [1988a] to 6 GPa. We detennine that olivine (FO₉₄) will be neutrally buoyant in komatiitic melt of the composition we studied near 8.2 GPa. Clinopyroxene would also be neutrally buoyant near this pressure. Liquidus garnet-majorite may be less dense than this komatiitic liquid in the 20-24 GPa interval, however pyropic-garnet and perovskite phases are denser than this komatiitic liquid in their respective liquidus pressure intervals to 36 GPa. Liquidus perovskite may be neutrally buoyant near 70 GPa.

At 40 GPa, the density of shock-compressed molten komatiite would be approximately equal to the calculated density of an equivalent mixture of dense solid oxide components. This observation supports the model of Rigden et al. [1989] for compressibilities of liquid oxide components. Using their theoretical EOS for liquid forsterite and fayalite, we calculate the densities of a spectrum of melts from basaltic through peridotitic that are related to the experimentally studied komatiitic liquid by addition or subtraction of olivine. At low pressure, olivine fractionation lowers the density of basic magmas, but above 14 GPa this trend is reversed. All of these basic to ultrabasic liquids are predicted to have similar densities at 14 GPa, and this density is approximately equal to the bulk (PREM) mantle. This suggests that melts derived from a peridotitic mantle may be inhibited from ascending from depths greater than 400 km.

The EOS of ultrabasic magmas was used to model adiabatic melting in a peridotitic mantle. If komatiites are formed by >15% partial melting of a peridotitic mantle, then komatiites generated by adiabatic melting come from source regions in the lower transition zone (≈500-670 km) or the lower mantle (>670 km). The great depth of incipient melting implied by this model, and the melt density constraint mentioned above, suggest that komatiitic volcanism may be gravitationally hindered. Although komatiitic magmas are thought to separate from their coexisting crystals at a temperature =200°C greater than that for modern MORBs, their ultimate sources are predicted to be diapirs that, if adiabatically decompressed from initially solid mantle, were more than 700°C hotter than the sources of MORBs and derived from great depth.

We considered the evolution of an initially molten mantle, i.e., a magma ocean. Our model considers the thermal structure of the magma ocean, density constraints on crystal segregation, and approximate phase relationships for a nominally chondritic mantle. Crystallization will begin at the core-mantle boundary. Perovskite buoyancy at > 70 GPa may lead to a compositionally stratified lower mantle with iron-enriched mangesiowiistite content increasing with depth. The upper mantle may be depleted in perovskite components. Olivine neutral buoyancy may lead to the formation of a dunite septum in the upper mantle, partitioning the ocean into upper and lower reservoirs, but this septum must be permeable.

(2) Viscosity Measurement with Shock Waves

We have examined in detail the analytical method for measuring shear viscosity from the decay of perturbations on a corrugated shock front The relevance of initial conditions, finite shock amplitude, bulk viscosity, and the sensitivity of the measurements to the shock boundary conditions are discussed. The validity of the viscous perturbation approach is examined by numerically solving the second-order Navier-Stokes equations. These numerical experiments indicate that shock instabilities may occur even when the Kontorovich-D'yakov stability criteria are satisfied. The experimental results for water at 15 GPa are discussed, and it is suggested that the large effective viscosity determined by this method may reflect the existence of ice VII on the Rayleigh path of the Hugoniot This interpretation reconciles the experimental results with estimates and measurements obtained by other means, and is consistent with the relationship of the Hugoniot with the phase diagram for water. Sound waves are generated at 4.8 MHz at in the water experiments at 15 GPa. The existence of anelastic absorption modes near this frequency would also lead to large effective viscosity estimates.

(3) Equation of State of Molybdenum at 1400°C

Shock compression data to 96 GPa for pure molybdenum, initially heated to 1400°C, are presented. Finite strain analysis of the data gives a bulk modulus at 1400°C, K'_S. of 244±2 GPa and its pressure derivative, K'_OS of 4. A fit of shock velocity to particle velocity gives the coefficients of U_S = C_O+S U_P to be C_O = 4.77±0.06 km/s and S = 1.43±0.05. From the zero pressure sound speed, C_O, a bulk modulus of 232±6 GPa is calculated that is consistent with extrapolation of ultrasonic elasticity measurements. The temperature derivative of the bulk modulus at zero pressure, θK_OSθT|_P, is approximately -0.012 GPa/K. A thermodynamic model is used to show that the thermodynamic Grüneisen parameter is proportional to the density and independent of temperature. The Mie-Grüneisen equation of state adequately describes the high temperature behavior of molybdenum under the present range of shock loading conditions.

Joule-Thomson coefficients of propane and n-butane

Experimental Joule-Thomson measurements were made on gaseous propane at temperatures from 100 to 280˚F and at pressures from 8 to 66 psia. Joule-Thomson measurements were also made on gaseous n-butane at temperatures from 100 to 280˚ and at pressures from 8 to 42 psia. For propane, the values of these measurements ranged from 0.07986˚F/psi at 280˚F and 8.01 psia to 0.19685˚F/psi at 100˚F and 66.15 psia. For n-butane, the values ranged from 0.11031˚F/psi at 280˚F and 9.36 psia to 0.30141˚F/psi at 100˚F and 41.02 psia. The experimental values have a maximum error of 1.5 percent.

For n-butane, the measurements of this study did not agree with previous Joule-Thomson measurements made in the Laboratory in 1935. The application of a thermal-transfer correction to the previous experimental measurements would cause the two sets of data to agree. Calculated values of the Joule-Thomson coefficient from other types of p-v-t data did agree with the present measurements for n-butane.

The apparatus used to measure the experimental Joule-Thomson coefficients had a radial-flow porous thimble and was operated at pressure changes between 2.3 and 8.6 psi. The major difference between this and other Joule-Thomson apparatus was its larger weight rates of flow (up to 6 pounds per hour) at atmospheric pressure. The flow rate was shown to have an appreciable effect on non-isenthalpic Joule-Thomson measurements.

Photographic materials on pages 79-81 are essential and will not reproduced clearly on Xerox copies. Photographic copies should be ordered.

Geometrical effects on the resonance absorption of neutrons

An investigation was conducted to estimate the error when the flat-flux approximation is used to compute the resonance integral for a single absorber element embedded in a neutron source.

The investigation was initiated by assuming a parabolic flux distribution in computing the flux-averaged escape probability which occurs in the collision density equation. Furthermore, also assumed were both wide resonance and narrow resonance expressions for the resonance integral. The fact that this simple model demonstrated a decrease in the resonance integral motivated the more detailed investigation of the thesis.

An integral equation describing the collision density as a function of energy, position and angle is constructed and is subsequently specialized to the case of energy and spatial dependence. This equation is further simplified by expanding the spatial dependence in a series of Legendre polynomials (since a one-dimensional case is considered). In this form, the effects of slowing-down and flux depression may be accounted for to any degree of accuracy desired. The resulting integral equation for the energy dependence is thus solved numerically, considering the slowing down model and the infinite mass model as separate cases.

From the solution obtained by the above method, the error ascribable to the flat-flux approximation is obtained. In addition to this, the error introduced in the resonance integral in assuming no slowing down in the absorber is deduced. Results by Chernick for bismuth rods, and by Corngold for uranium slabs, are compared to the latter case, and these agree to within the approximations made.

Some properties of the coefficients of cyclotomic polynomials

An explicit formula is obtained for the coefficients of the cyclotomic polynomial F_n(x), where n is the product of two distinct odd primes. A recursion formula and a lower bound and an improvement of Bang’s upper bound for the coefficients of F_n(x) are also obtained, where n is the product of three distinct primes. The cyclotomic coefficients are also studied when n is the product of four distinct odd primes. A recursion formula and upper bounds for its coefficients are obtained. The last chapter includes a different approach to the cyclotomic coefficients. A connection is obtained between a certain partition function and the cyclotomic coefficients when n is the product of an arbitrary number of distinct odd primes. Finally, an upper bound for the coefficients is derived when n is the product of an arbitrary number of distinct and odd primes.

Friction and heat transfer coefficients in smooth and rough pipes with dilute polymer solutions

Measurements of friction and heat transfer coefficients were obtained with dilute polymer solutions flowing through electrically heated smooth and rough tubes. The polymer used was "Polyox WSR-301", and tests were performed at concentrations of 10 and 50 parts per million. The rough tubes contained a close-packed, granular type of surface with roughness-height-to-diameter ratios of 0.0138 and 0.0488 respectively. A Prandtl number range of 4.38 to 10.3 was investigated which was obtained by adjusting the bulk temperature of the solution. The Reynolds numbers in the experiments were varied from =10,000 (Pr= 10.3) to 250,000 (Pr= 4.38).

Friction reductions as high as 73% in smooth tubes and 83% in rough tubes were observed, accompanied by an even more drastic heat transfer reduction (as high as 84% in smooth tubes and 93% in rough tubes). The heat transfer coefficients with Polyox can be lower for a rough tube than for a smooth one.

The similarity rules previously developed for heat transfer with a Newtonian fluid were extended to dilute polymer solution pipe flows. A velocity profile similar to the one proposed by Deissler was taken as a model to interpret the friction and heat transfer data in smooth tubes. It was found that the observed results could be explained by assuming that the turbulent diffusivities are reduced in smooth tubes in the vicinity of the wall, which brings about a thickening of the viscous layer. A possible mechanism describing the effect of the polymer additive on rough pipe flow is also discussed.