Shun Lien Chuang, PhD, is the MacClinchie Distinguished Professor in the Department of Electrical and Computer Engineering at the University of Illinois, Urbana-Champaign. His research centers on semiconductor optoelectronic and nanophotonic devices. He is a Fellow of the American Physical Society, IEEE, and the Optical Society of America. He received the Engineering Excellence Award from the OSA, the Distinguished Lecturer Award and the William Streifer Scientific Achievement Award from the IEEE Lasers and Electro-Optics Society, and the Humboldt Research Award for Senior U.S. Scientists from the Alexander von Humboldt Foundation.

Preface xiii

Chapter 1. Introduction 1

1.1 Basic Concepts of Semiconductor Band and Bonding Diagrams 1

1.2 The Invention of Semiconductor Lasers 4

1.3 The Field of Optoelectronics 8

1.4 Overview of the Book 15

Problems 19

References 19

Bibliography 21

Part I Fundamentals 25

Chapter 2. Basic Semiconductor Electronics 27

2.1 Maxwell's Equations and Boundary Conditions 27

2.2 Semiconductor Electronics Equations 30

2.3 Generation and Recombination in Semiconductors 40

2.4 Examples and Applications to Optoelectronic Devices 48

2.5 Semiconductor p-N and n-P Heterojunctions 53

2.6 Semiconductor n-N Heterojunctions and Metal-Semiconductor Junctions 69

Problems 73

References 74

Chapter 3. Basic Quantum Mechanics 77

3.1 Schrödinger Equation 78

3.2 The Square Well 80

3.3 The Harmonic Oscillator 90

3.4 The Hydrogen Atom and Exciton in 2D and 3D 95

3.5 Time-Independent Perturbation Theory 97

3.6 Time-Dependent Perturbation Theory 104

Appendix 3A: Löwdin's Renormalization Method 107

Problems 110

References 111

Chapter 4. Theory of Electronic Band Structures in Semiconductors 113

4.1 The Bloch Theorem and the k p Method for Simple Bands Kane's Model for Band Structure: The k p Method with 113

4.2 the Spin-Orbit Interaction 118

4.3 Luttinger-Kohn Model: The k p Method for Degenerate Bands 126

4.4 The Effective Mass Theory for a Single Band and Degenerate Bands 130

4.5 Strain Effects on Band Structures 132

4.6 Electronic States in an Arbitrary One-Dimensional Potential 144

4.7 Kronig-Penney Model for a Superlattice 152

4.8 Band Structures of Semiconductor Quantum Wells 158

4.9 Band Structures of Strained Semiconductor Quantum Wells 168

Problems 172

References 174

Part II Propagation of Light 179

Chapter 5. Electromagnetics and Light Propagation 181

5.1 Time-Harmonic Fields and Duality Principle 181

5.2 Poynting's Theorem and Reciprocity Relations 183

5.3 Plane Wave Solutions for Maxwell's Equations in Homogeneous Media 186

5.4 Light Propagation in Isotropic Media 186

5.5 Wave Propagation in Lossy Media: Lorentz Oscillator Model and Metal Plasma 189

5.6 Plane Wave Reflection from a Surface 197

5.7 Matrix Optics 202

5.8 Propagation Matrix Approach for Plane Wave Reflection from a Multilayered Medium 206

5.9 Wave Propagation in Periodic Media 210

Appendix 5A: Kramers-Kronig Relations 220

Problems 223

References 224

Chapter 6. Light Propagation in Anisotropic Media and Radiation 227

6.1 Light Propagation in Uniaxial Media 227

6.2 Wave Propagation in Gyrotropic Media: Magnetooptic Effects 239

6.3 General Solutions to Maxwell's Equations and Gauge Transformations 246

6.4 Radiation and the Far-Field Pattern 249

Problems 254

References 256

Chapter 7. Optical Waveguide Theory 257

7.1 Symmetric Dielectric Slab Waveguides 257

7.2 Asymmetric Dielectric Slab Waveguides 268

7.3 Ray Optics Approach to Waveguide Problems 271

7.4 Rectangular Dielectric Waveguides 273

7.5 The Effective Index Method 279

7.6 Wave Guidance in a Lossy or Gain Medium 281

7.7 Surface Plasmon Waveguides 285

Problems 290

References 293

Chapter 8. Coupled-Mode Theory 295

8.1 Waveguide Couplers 295

8.2 Coupled Optical Waveguides 300

8.3 Applications of Optical Waveguide Couplers 307

8.4 Optical Ring Resonators and Add-Drop Filters 311

8.5 Distributed Feedback (DFB) Structures 322

Appendix 8A: Coupling Coefficients for Parallel Waveguides 332

Appendix 8B: Improved Coupled-Mode Theory 333

Problems 334

References 339

Part III Generation of Light 345

Chapter 9. Optical Processes in Semiconductors 347

9.1 Optical Transitions Using Fermi's Golden Rule 347

9.2 Spontaneous and Stimulated Emissions 353

9.3 Interband Absorption and Gain of Bulk Semiconductors 360

9.4 Interband Absorption and Gain in a Quantum Well 365

9.5 Interband Momentum Matrix Elements of Bulk and Quantum-Well Semiconductors 371

9.6 Quantum Dots and Quantum Wires 375

9.7 Intersubband Absorption 384

9.8 Gain Spectrum in a Quantum-Well Laser with Valence-Band Mixing Effects 391

Appendix 9A: Coordinate Transformation of the Basis Functions and the Momentum Matrix Elements 398

Problems 401

References 405

Chapter 10. Fundamentals of Semiconductor Lasers 411

10.1 Double-Heterojunction Semiconductor Lasers 412

10.2 Gain-Guided and Index-Guided Semiconductor Lasers 428

10.3 Quantum-Well Lasers 432

10.4 Strained Quantum-Well Lasers 446

10.5 Strained Quantum-Dot Lasers 457

Problems 472

References 474

Chapter 11. Advanced Semiconductor Lasers 487

11.1 Distributed Feedback Lasers 487

11.2 Vertical Cavity Surface-Emitting Lasers 502

11.3 Microcavity and Photonic Crystal Lasers 515

11.4 Quantum-Cascade Lasers 530

11.5 GaN-Based Blue-Green Lasers and LEDs 548

11.6 Coupled Laser Arrays 571

Appendix 11A: Hamiltonian for Strained Wurtzite Crystals 578

Appendix 11B: Band-Edge Optical Transition Matrix Elements 581

Problems 583

References 584

Part IV Modulation of Light 603

Chapter 12. Direct Modulation of Semiconductor Lasers 605

12.1 Rate Equations and Linear Gain Analysis 605

12.2 High-Speed Modulation Response with Nonlinear Gain Saturation 611

12.3 Transport Effects on Quantum-Well Lasers: Electrical versus Optical Modulation 614

12.4 Semiconductor Laser Spectral Linewidth and the Linewidth Enhancement Factor 622

12.5 Relative Intensity Noise Spectrum 629

Problems 632

References 632

Chapter 13. Electrooptic and Acoustooptic Modulators 639

13.1 Electrooptic Effects and Amplitude Modulators 639

13.2 Phase Modulators 648

13.3 Electrooptic Effects in Waveguide Devices 652

13.4 Scattering of Light by Sound: Raman-Nath and Bragg Diffractions 658

13.5 Coupled-Mode Analysis for Bragg Acoustooptic Wave Couplers 661

Problems 664

References 666

Chapter 14. Electroabsorption Modulators 669

14.1 General Formulation for Optical Absorption Due to an Electron-Hole Pair 670

14.2 Franz-Keldysh Effect: Photon-Assisted Tunneling 673

14.3 Exciton Effect 677

14.4 Quantum Confined Stark Effect (QCSE) 683

14.5 Electroabsorption Modulator 691

14.6 Integrated Electroabsorption Modulator-Laser (EML) 693

14.7 Self-Electrooptic Effect Devices (SEEDs) 702

Appendix 14A: Two-Particle Wave Function and the Effective Mass Equation 705

Appendix 14B: Solution of the Electron-Hole Effective-Mass Equation with Excitonic Effects 709

Problems 714

References 714

Part V Detection of Light and Solar Cells 721

Chapter 15. Photodetectors and Solar Cells 723

15.1 Photoconductors 723

15.2 p-n Junction Photodiodes 734

15.3 p-i-n Photodiodes 740

15.4 Avalanche Photodiodes 744

15.5 Intersubband Quantum-Well Photodetectors 756

15.6 Solar Cells 761

Problems 776

References 778

Appendix A. Semiconductor Heterojunction Band Lineups in the Model-Solid Theory 787

Appendix B. Optical Constants of GaAs and InP 797

Appendix C. Appendix D. Electronic Properties of Si, Ge, and a Few Binary, Ternary, and Quaternary Compounds 801

Parameters for InN, GaN, AlN, and Their Ternary Compounds 807

Index 811