Wavelength dispersion phenomena

observed for emitted optical radiation

from a p+nn+ silicon avalanche mode
light-emitting device in a radio
frequency bipolar-integrated circuitry

Timothy A. Okhai
Lukas W. Snyman
Jean-Luc Polleux

Timothy A. Okhai, Lukas W. Snyman, Jean-Luc Polleux, “Wavelength dispersion phenomena observed for
emitted optical radiation from a p+nn+ silicon avalanche mode light-emitting device in a radio
frequency bipolar-integrated circuitry,” Opt. Eng. 58(1), 017104 (2019),
doi: 10.1117/1.OE.58.1.017104.

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 Optical Engineering 58(1), 017104 (January 2019)

Wavelength dispersion phenomena observed for emitted

optical radiation from a p+nn+ silicon avalanche mode
light-emitting device in a radio frequency
bipolar-integrated circuitry
Timothy A. Okhai,a,b Lukas W. Snyman,a,* and Jean-Luc Polleuxc
a
University of South Africa, Department of Electrical and Mining Engineering, Florida Campus, South Africa
b
Tshwane University of Technology, Department of Electrical Engineering, Faculty of Engineering and the Built Environment, Pretoria, South Africa
c
Universite Paris-Est, ESYCOM (EA2552), ESIEE, UPEM, Le Cnam, Noisy-Le-Grand, France

Abstract. A two-junction micro p+np+ silicon avalanche-mode light-emitting device (Si AMLED) is analyzed for
its dispersion characteristics, which generally resulted in different wavelengths of light (colors) being emitted at
different angles from the surface of the device. The SiAMLED is integrated into on-chip bipolar radio frequency-
integrated circuitry at micron dimensions. LEDs have high-frequency modulation frequencies reaching into the
GHz range. Such devices, which are of micron dimension, operate at 8 to 10 V, 1 μA to 2 mA.
The emission wavelength is in the 450- to 850-nm range, emission spot sizes are about 1 μm2 , and emission
intensities are up to 200 nW:μm−2 . The observed geometrical-chromatic dispersion characteristics range
from 0.01 deg ∕nm wavelength for green radiation at a 5 deg exit angle to the normal of the device to
0.16 deg ∕nm wavelength for blue radiation at a 60 deg exit angle to the normal of the surface of the device.
The high dispersion characteristics of the emitted radiation are attributed to the positioning of the optical source
∼1 μm subsurface to the silicon–silicon oxide interface, as well as to the high-refractive index differences
between silicon and the surrounding lower refractive index silicon oxide layers. It is believed that the identified
dispersion characteristics will have interesting and futuristic on-chip electro-optic applications for on-chip micro-
optical wavelength dispersers, futuristic optical communication demultiplexers, along with on-chip microgas and
biosensor applications. © 2019 Society of Photo-Optical Instrumentation Engineers (SPIE) [DOI: 10.1117/1.OE.58.1.017104]
Keywords: complementary metal oxide semiconductor-integrated circuit technology; light-emitting devices; optical communication;
sensors; silicon light-emitting devices; silicon photonics.
Paper 180767 received May 28, 2018; accepted for publication Dec. 11, 2018; published online Jan. 18, 2019.

1 Introduction In this paper, a two-junction microdimension p+−np+ Si

Recently, researchers successfully created silicon avalanche
mode light-emitting devices (SiAM LEDs), which can be
realized in standard silicon-integrated circuitry, and began
proposing diverse applications for these in the future.1–7
The main advantage of these devices may be their ease of
integration into mainstream silicon-manufacturing technol-
ogy, such as complementary metal oxide semiconductor
(CMOS) and radio frequency (RF) bipolar technologies.
In particular, the miniaturization and utilization of these
technologies in an RF-immune environment are attractive,
as is the RF modulation of on-chip optical waveguides.
In recent research, light emission from silicon devices was
realized in various reverse-biased p–n avalanche structures,
before nomenclated silicon light-emitting diodes were real-
ized, which operate in a reverse avalanche mode (Si AM
LEDs).8–12
Various researchers believe that if the detailed dispersion
characteristics (as observed per solid angle) for a particular
device are known, which will enable the design of novel and
futuristic on-chip electro-optic applications, such as wave-
length multiplexers for on-chip communications as well as
diverse futuristic on-chip micro- and nanodimensioned gas
and even bio sensors.13–16
*Address all correspondence to Lukas W. Snyman, E-mail: snymalw@unisa.ac
.za
AM LED was analyzed for its radiation geometrical
dispersion characteristics, in terms of different wavelengths
of light (colors) being emitted at different emission angles
from the surface of the device. The detail dispersion
characteristics are thus thought to be a function of the device
structure, the number of transparent over-layers (each with
a different optical refractive index), and even the final topog-
raphy or curvature of the various surface layers.
2 Light-Emission Characteristics from Si AMLEDs
It has been postulated that light-emission occurs from the
SiAM LED structures through phonon-assisted intra- and
interband recombination phenomena.17–19 Kramer et al.20
and Snyman et al.21–25 have realized a series of practical
and utilizable Si LEDs in a standard CMOS technology,
using surface and current density engineering techniques.
Matjila and Snyman23 and Snyman et al.24 subsequently
realized devices that showed increased light emission when
additional carriers were injected into avalanching Si n+p
light-emitting junctions. Xu et al.8 and Du Plessis et al.25 sub-
sequently realized a series of in-CMOS-integrated LED
devices with third-terminal gated control. More recently,
Dutta et al.26 analyzed temperature, carrier density, and
electric field aspects, as encountered in Si LEDs operating in
0091-3286/2019/$25.00 © 2019 SPIE

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

Fig. 1 Device design (schematic), considerations of a p+nn+ Si avalanche mode LED in RF bipolar
integrated circuitry:30 (a) lateral cross-section of the device; (b) device optical performance character-
istics, as previously compared to other devices;30 (c) spectral characteristics of the emitted optical
radiation (for below 570 nm, consult22). Inserts show the optical emission micrographs of the LEDs
taken at normal angles to the surface of the device. (d) Insert showing an emission spectra of similar
device over an extended range showing the 450-nm emission (2.8 eV) peak.

an avalanche mode. The same groups also suggest that the
operation of gated Si LEDs would occur in the forward bias
mode and emit in the 1000-nm region.27
Particularly, because of the reverse bias configuration of
Si Av Mod LEDs, the devices offer an inherent high-modu-
lation speed ranging into the GHz range—a major advantage
associated with these devices.28–30 Also, these types of
devices show great potential to be integrated into futuristic
CMOS-based optical interconnected, hybrid-optical RF
systems, and on-chip microphotonic systems.
Ogudo et al.29 recently realized first-iteration chip-optical
links, where optical pulses were transmitted up to 10 GHz
over distances of 50 μm using on-chip waveguide technol-
ogy. An RF bipolar process was used in that instance.
Major progress has recently been made in increasing
emission intensities from SiAMLED in the 650- to 750-nm
emission regime, judging from the work of Xu and Snyman
et al.,30,31 where, for the first time, evidence was found that
enhanced emission can be obtained from Si CMOS-based
LEDs by using enhanced impurity scattering and extended

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

E-field profiling in the device. The emission intensities
ranged from 0.1 to about 200 nW∕μm2 .
In the present study, a specific p+np+ graded junction
type Si AMLED device was used (see Fig. 1), realized in
a 0.35-μm Si bipolar process with a high-frequency RF appli-
cation capability. This process enabled “elongated pillar”
structures to be etched out on a broad silicon semi-insulating
p-substrate. These structures could hence effectively confine
the lateral carrier diffusion and maximize the diffusing car-
rier density in the device. The device used n+ and p+ regions
in the substrate of the silicon, positioned at a distance 1 μm
apart from each other. Subsequently, up to 1-μm graded
doping profiles were formed at the edges of these regions,
whereas overlapping of dopants occurred in the center region
of the device.30 For illustrative purposes, the device design
and performance characteristics applicable to previous real-
izations are again presented here.
The optical emissions emitted from the device were mea-
sured with an Anritso MS9710B Spectrum Analyzer with
a lensed-probe optical fiber. The device and the lensed probe
were electronically micromanipulated to within 0.1 mm of
the LED. The total emission intensities, with cross-sectional
conduction areas of about 1 μm2 , indicated intensities at
the surface of the device of the order of 200 nW∕μm2 .
Figures 1(c) and 1(d) show the main spectral components,
as observed for this type of device (as measured for several
devices). Clear peaks and prominent peaks of 2.8, 2.3, 1.8,
and 1.5 eV were observed in the spectrographic measure-
ments for the devices, as shown in the spectrum when con-
verting the nm emissions to corresponding eV emissions.22,30
Overall, the spectrum represented a broad spectrum from
450 to about 850 nm, with main characteristic peaks at
450 nm (2.8 eV) (blueish), 550 nm (2 eV) (green),
600 nm (2.3 eV) (reddish), and 750 to 850 nm (1.5 and
1.8 eV) (infrared).
3 Experimental Procedures Used in this Study
As a departure point, the device’s surface layers were inves-
tigated using a high-resolution optical microscope (Leica
DMi8) with submicron resolution capability. The investiga-
tion clearly showed the pedestal design of the active regions
of the device (light gray), the exposed simulating substrate
after etching (dark gray), as well as the surface dioxide layers
and metal contact layers (see Fig. 2). The elevation of doping
pedestal layers on the substrate was measured at about 1 μm;
the thickness of the remaining oxide layer after surface pas-
sivation layer etching was about 5 μm (measured by means
of high-resolution imaging and three-dimensional profiling
at different depths of imaging, using the profiling capability
offered by the Leica DMi8). The silicon nitride passivation
layer over the active Si Av Mod LED was very transparent.
The thickness of the various surface layers was compared
with the initial design considerations and the foundry process
specifications. These were determined as follows:
Subsurface p+ silicon doping depth: 1.5 μm,
Silicon oxide surface layers with no metallization layers:
4 μm, and
Surface passivation layer thickness with silicon nitride:
0.5 μm.
Figure 2 shows a schematic representation of the exper-
imental setup used to record the subsequent dispersion char-
acteristics of the light emitted from the integrated SiAMLED
used in this study. The emission from the LED was observed
with a long working-distance (∼1.5 cm) optical stereo
microscope (Olympus DZM-2). A small aperture, 1.5 cm
in diameter, was used in the back plane of the objective
lenses. The chip and its mount were then tilted from the hori-
zontal plane at an angle, α, while the emission characteristics
were recorded with a color CMOS camera (Moticam 2500,

Fig. 2 (a) High-resolution bright field micrograph of the Si Avalanche Mode LED analyses of the device
as performed with a high-resolution Leica DMI 8 optical microscope. An RF bipolar-integrated circuit
process was used to fabricate the device. Dark gray represents etched recesses down to the silicon
substrate, while-light gray represents 1.5-μm-thick epitaxial layer onto which vertical doping layers
were applied to create vertical pedestal device. Intermediate regions were filled with plasma-deposited
silicon oxide, planarized with sequential lapping. A silicon nitride layer of 0.5 μm was used as a passi-
vation cover layer. Particularly evident is the transparency of the over-layers as observed in the micro-
scope. (b) Schematic representation of the vertical cross section of the device showing the positioning of
the various structures as well as the positioning and nature of the transparent over-layers.

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

5.0 MPixel USB 2.0: 2592 × 1944 pixels). The CMOS

surface area was 1 cm × 1 cm.
The total capture angle was 21 deg and the numerical
aperture of the objective lens was 0.36. The captured emis-
sion from the chip surface for the specific microscope used
was a solid angle, dΩ, of 0.15, capturing about 0.15 of all
half-spherical light emitted from the sample surface. The
particular microscope, with its specific settings, was hence
essentially used as a probe to investigate the dispersion char-
acteristics of the emitted light from the silicon device as
a function of radiation emission angle from the surface of
the device. High-resolution color images were taken at incre-
ment angles of 5 deg, 15 deg, 30 deg, 45 deg, and 60 deg, in
each case.
The captured images were subsequently analyzed as
a function of tilt angle. By measuring the respective red,
green, and blue color pixels per unit area of the image
and profiling these along the tilt direction in a particular
image, a good presentation could be obtained of the variation
in the emitted radiation angle in the direction of tilt.
The dispersion of the different wavelengths into different
angles exiting the surface resulted in shifts in the images in
the intermediate image plane, I, of the microscope, as sche-
matically shown in Fig. 3. The higher the refraction occur-
ring in the device overlayers at a particular wavelength, the
higher the shift in the color image (dispersion) on the inter-
mediate image plane. Two such cases, each for a different Fig. 3 Schematic representation of the experimental setup used to
propagation wavelength, are shown schematically in Fig. 3. record the dispersion characteristics of the light emitted from the inte-
grated SiAMLED. The emission from the LED was observed with a
The shorter propagation wavelength (dotted lines) experien- long working-distance, small-aperture Olympus DZM-2 stereo optical
ces higher refraction in the respective device interface microscope. The device was then tilted in a specific roll direction and
regions, and experiences higher exit angles from the device the dispersed color image detected in the intermediate image plane.
surface. These are then correspondingly transferred in the Each propagation wavelength (as example two cases are indicated
image plane of the microscope as a shift in color image. by solid and dotted, respectively) exits with different exit angles
from the sample, and caused shift in the intermediate image plane
A trivial method was used to determine the dispersion of per propagation wavelength (color). By measuring the shift, d Xi in the
the different wavelengths (colors) emitted from the device. intermediate image plane as derived from photomicrograph images,
The total magnification, M, of the image on the final digital the corresponding changes in object shift angles, d Θo and d Θi for
micrograph could be calculated using the separation distance the different propagation wavelengths (colors) could be derived.
of two optical sources, 4 μm apart on the chip (see Fig. 1).
Additional camera magnification (10×) and subsequent dig-
ital image magnification (5×) were implemented to analyze magnification at the intermediate plane, the active numerical
the images accurately at high magnification. aperture of the objective lens (0.36) and the equation for
All measured distances on the final photographic images the numerical aperture:
were subsequently related to the image shifts on the inter-
mediate image plane, I, as in Fig. 3, using the known mag- N:A:o ¼ n sin Θo ;
EQ-TARGET;temp:intralink-;e003;326;288 (3)
nification parameters and the image planes of the Olympus
DZM-2 microscope. where n ¼ 1 due to air, and Θo is the average half angle
The color shifts on the intermediate image plane were (for the dispersed wave for each specific color); and using
then converted to dΘi shifts in the intermediate image a derived ratio between dΘi and dΘo (from the applicable
plane, using the distance from the intermediate objective lens geometrical distances) (see Fig. 2).
(15 cm, according to microscope specifications), and then With this technique, some trivial values could be derived
deriving the effective object distance, o, of the optical source for dispersion or change in emission degree per primary
in front of the objective, through wavelength emitted from the device.
The experimental dispersion characteristics obtained
dΘi ¼ tan−1 ðx 0shift on intermediate plane∕ðo þ iÞ;
EQ-TARGET;temp:intralink-;e001;63;181 (1) were then compared with anticipated theoretically derived
dispersion analyses using the device, the known device
and design dimensions and specifics, and a specially developed
o ¼ M 0 ∕i;
EQ-TARGET;temp:intralink-;e002;63;138 (2) EXCEL ray tracing tool. In this tool, arbitrary initial propa-
gation directions were chosen as emitted by the optical
where M 0 is the magnification at the intermediate image source, and the change in propagation direction determined
plane, I. as each ray propagate through the different layers as a func-
These shifts could subsequently be converted to dXi tion of known refractive index values and layer dimensions.
shifts falling onto the objective, using the derived total An example of such an analysis is shown in Sec. 9.

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

From these comparisons, it was anticipated that important
information would be derived about the dispersion mecha-
nisms occurring in the device. We also hoped to obtain
more information on the exact position of the optical source.
4 Experimental Observed Dispersion
Characteristics of the Emitted Optical Radiation
Figures 4 and 5 show an overview of the dispersion phenom-
ena of the emitted color wavelengths, as observed in the final
microscope images as a function of device tilt angle of the
sample. Figure 4 shows clear enlarged representations of
the dispersion as observed for 5 deg, 15 deg, and 30 deg
tilt angles, and Fig. 5 shows a representation of the wider
dispersion phenomena as observed at the larger tilt (radiation
exit) angles of 45 deg and 60 deg. Intensity profiles were
taken of the pixels through each profile using MATLAB
image analyses. The shift in color peaks was measured in
centimeter in the final digitally magnified images in each
case. The results, as shown, are representative of five sepa-
rate analyses from the same device.

Fig. 4 Observed experimental dispersion characteristics (color shifts per propagation wavelength) for
the emitted radiation from the device for smaller tilt angles of the sample. Micrographs were taken at
the indicated slanted angles of the device, and corresponding line profiles of color pixel distributions
were taken in the direction of tilt of the sample. The micrographs show the clear dispersion of emitted
colors increasing with the tilt angle.

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

Fig. 5 Observed experimental dispersion characteristics (color shifts per propagation wavelength) for
the emitted radiation from the device for larger tilt angles of the device.

A clear, narrow dispersion in color wavelengths from red
to yellow to green, with faint tints of blue on the left-hand
sides, was observed for the smaller tilt angles. The yellow
wavelength in the dispersion images was considered to be
due to overlaps of the green and red radiation. Due to the
limited solid angle of observation, the blue radiation peaks
were completely captured at low tilt angles but only partially
in high tilt angles. The blue emissions were very low in inten-
sity, and barely visible in the naked images.
It is evident that the emitted radiation primarily contained
high intensities of red and green light at the angles investi-
gated. Color shifts of 0.25 cm were observed for green
radiation relative to red at 5-deg tilt, and shifts of 0.5 cm
were observed for tilt angles of 15 deg, 0.75 cm at 30 deg.
Hence there was a clear increase in the dispersion of
the emitted wavelengths with a concomitant increase in
tilt angle.
At the higher tilt angle of 45 deg exit angle as shown in
Fig. 5, color shifts of about 1 cm were observed. At a 60-deg
angle, the dispersion was very wide, with a broad over-
lapping of the primary colors.
5 Modeling Dispersion Mechanisms and
Determination of the Position of the Optical
Source
We decided to model the emission characteristics theoreti-
cally in the structure according to known optical refraction
and absorption phenomena, using the specific device
structure and dimensions, and then compare it with the
experimentally observed results. This was performed with
a self-developed ray-tracing analysis Microsoft Excel tool.
The analysis used the specific position of the optical source
in the structure, choosing a specific wavelength of propaga-
tion, then the specific propagation direction, before calculat-
ing the refraction phenomena as they presented at each
interface in the structure where a change of optical refractive
index occurred. For an example of the software and pro-
cedure used, see Appendix.
As a first analysis, the optical propagation mechanisms
were modeled using a series of calculations and assuming
a position of the optical source, sitting at the silicon–silicon
oxide interface (Fig. 2). The initial launch direction of par-
ticular optical rays (wave fronts) was fixed, and then, using
Snell’s law for refraction [as in Eq. (4)], subsequent ray
propagation directions and angles were derived:
n1 sin Θ1 ¼ n2 sin Θ2 ;
EQ-TARGET;temp:intralink-;e004;326;208 (4)
where n1 is the refractive index at the launch site, n2 is the
refractive index in the subsequent optical layer, Θ1 is the ini-
tial launch angle at the optical source position, and Θ2 is the
new refracted light propagation direction in the successive
layer.
Similarly, estimates of the anticipated intensity variation
along the direction of propagation directions could be
derived through Eq. (5):
I ¼ I o expð−α dÞ;
EQ-TARGET;temp:intralink-;e005;326;93 (5)

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

Fig. 6 (a) Modeling and ray tracing of the optical refraction phenomenon in a silicon RF bipolar process
with the optical source positioned at the silicon and silicon oxide interface. The propagation directions in
the silicon oxide layer as well as the exit angles after they passed through the silicon nitride layer into air
are indicated. Wavelength values and refractive indices and refraction phenomena were assumed to
occur as per available in available Refs. 33–36, shown as insert figures, (b) and (c).

where I o is the intensity at position along the propagation at
the optical source position or successive layer interface, and
d is the distance of propagation.
Refractive index values (see Refs. 32–36) were used in
the respective analyses. The results and outcomes of the
modeling analyses for the case where the optical source
was positioned at the silicon–silicon dioxide interface are
shown in Fig. 5.
The results and outcomes of a similar analyses for the case
where the optical source was positioned at 1 μm below the
silicon–silicon dioxide interface are shown in Fig. 6.
6 Discussion of the Results
The dispersion in terms of different wavelength emissions
per angle, as both experimentally and theoretically observed,
is very clear and pronounced. The analyses showed that
the red optical radiation had the highest emitted intensities
and was also the least refracted by the surface layers of
the device. Higher refraction and lower intensities were
observed for the green-emitted intensities (around 550 nm)
at higher refracted angles, followed by much higher refrac-
tion and lower emitted intensities for the blue propagation
wavelengths.
The ray-tracing modeling based on primary refraction
mechanisms (see Figs. 6 and 7) interestingly revealed low
wavelength dispersion at the surface of the device when
the optical source was assumed to be positioned at the sili-
con–silicon oxide interface. Only at high exit angles was
noticeable dispersion observed for different wavelengths
(see Fig. 6).
Modeling with the optical source at 1 μm subsurface
below the silicon revealed that substantial refraction and
dispersion of the propagation occur subsurface in the silicon
itself, which results in the high dispersion of different wave-
lengths at the surface of the device (see Fig. 7).

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

(a)

(b) 10 (c) 7
6
0.8
5
0.6 4
3
0.4
2
0.2
1
0 0
400 450 500 550 600 650 700 500 1000 1500

Fig. 7 (a) Modeling and ray tracing of the optical refraction phenomenon in a silicon RF bipolar process
with the optical source positioned 1 μm below the silicon and silicon oxide interface. Wavelength values
and refractive indices and refraction phenomena were assumed as per available in available Refs. 33–36
and is shown as inserts, (b) and (c).

Table 1 shows summative comparisons between the
experimentally observed dispersion characteristics (see
Sec. 4) and those derived through ray tracing and theoretical
modeling (as in this section).
Interestingly, we observed a weak correlation between
the experimentally measured dispersion phenomena and
the theoretical analyses when the optical source was posi-
tioned at the silicon–silicon dioxide interface. However,
we observed a strong (substantial) correlation between the
experimentally observed and theoretically analyzed derived
dispersion phenomena as shown in Table 1 (bolded col-
umns), for the scenario where the optical source was posi-
tioned at 1 μm subsurface of the silicon.
A further interesting derivation from the analyses is that
the silicon oxide and silicon nitride over-layers seemingly
contributed minimally to the observed dispersion in the emit-
ted radiation and that the silicon itself was primarily respon-
sible for the observed dispersion phenomenon of the device
(as shown in Fig. 7). This was seemingly primarily because
of the high refractive variation of the silicon in the range of
radiation as emitted by the SiAM LED light source.
Inspection revealed that the refractive index varied almost
three units in the range 400 to 700 nm, whereas a refractive
index variation of only 0.5 unit is observed in silicon oxide
for the wavelength range of 400 to 700 nm.
Table 2 shows the derived values for the dispersion for
green and blue radiations, respectively, using red radiation
as reference. The results were derived from the respective
experimentally observed image shifts, as shown in Fig. 4.
Good image shift peaks were observed for the red–green
shifts, and a reasonable correlation was observed between
the experimentally observed shifts (squares) and the theoreti-
cally derived values.
For the blue shifts, only rough shift values could be
derived at the low exit angles, because of the much higher
shifts occurring for this radiation, and only partial peaks
could be recorded for the higher tilt angles. It can be antici-
pated that the exact correlation would be a function of the
exact position of the optical source below the silicon surface.
The current correlation predicts that the real source was
slightly deeper lying than 1 μm, which will result in even
better correlations. The low intensities observed for the
emitted blue radiation were due to the high absorption of
the blue radiation in the silicon itself.
Figure 8 shows a graphical presentation of the finally
derived results. The derived dispersion in terms of change

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

Table 1 Derived experimentally observed dispersion magnitudes.

Derived d Θo (theoretical) Derived dΘo (theoretical)

Experimentally Shift in intermediate d Θi at through ray tracing and (through ray tracing and
measured shift image plane, X i , intermediate modeling with the optical modeling with the optical
(digital (cm) Camera image plane, d Θo (experimental) source at Si–Si O2 source 1 μm below the
Radiation magnification) M plus digital I (red–green) at objective plane) interface) (red–green) silicon surface
exit angle (red–green) (cm) magnification = 50) (deg) (red–green) (deg) (deg) (red–green) (deg)

5 0.25 0.02 0.06 0.47 0.00 0.40

15 0.50 0.03 0.13 0.93 0.00 0.93

30 0.75 0.05 0.19 1.40 0.00 1.80

45 1.00 0.07 0.25 1.86 0.02 3.04

60 2.00 0.13 0.51 3.73 0.02 5.80

Note: Derived according to the procedures outlined in Sec. 4, and compared to the theoretical modeling in Sec. 5, with the optical source in different
positions.
The values in bold indicate substantial correlation between the theoretically predicted and the experimentally derived values.

Table 2 Derived experimentally observed values for the dispersion for the Si AMLED device as shown in Fig. 1 for green and blue radiations, using
the red radiation as a reference.

Derived dispersion, Derived dispersion,

Shift in intermediate d Θ∕d λ, green Derived intensity, Shift in intermediate (experimental, Derived intensity
image plane, X i , relative to red, experimental, image plane, X i , d Θ∕d λ blue (experimental,
Radiation (cm) Camera M plus 580 nm green relative (cm) Camera M plus relative to red), blue relative to
exit angle digital magnification (experimental) to red digital magnification 580 nm red)

5 0.25 0.010 1.0 1.5 0.018 0.3

15 0.50 0.023 1.0 2.5 0.036 0.3

30 0.75 0.045 1.0 5.0 0.072 0.3

45 1.00 0.050 0.9 8.0 0.115 0.3

60 2.00 0.090 0.8

Fig. 8 Comparison of the derived experimentally and theoretically derived wavelength dispersion
values as a function of radiation exit angle from the surface of a p+nn+ Si avalanche mode LED
and as integrated silicon RF bipolar-integrated circuitry, plotted as dots and solid lines, respectively
(source positioned 1 μm below the silicon silicon-oxide interface).

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .
of angle per wavelength as a function of exit angle for green
and blue propagation wavelengths is presented. The theoreti-
cal derived values are presented as solid lines while the
experimentally observed values are plotted. Only the results
for green and blue are presented since much less values were
observed for red propagation wavelengths and the experi-
mentally observed shifts were indeed measured using the
red peaks as a reference (as in Fig. 5). The slight deviation
between the theoretical results is attributed to a presumable
slight shallower real lying optical source than the 1 μm lying
optical source as assumed in the theoretical simulations.
7 Potential Applications of the Observed
Phenomena in Futuristic On-Chip Micro and
Nanodimensioned Micro- and Nano-Optic
Devices
An analysis of the results reveals numerous potential appli-
cations for the derived technology in futuristic on-chip opto-
electronics. These may range from (1) the placement of spe-
cifically designed optical sources with specific directional
and dispersive emission characteristics; (2) the design and
placement of micro wavelength dispersive coupling into
microdimensioned on-chip optical waveguides; (3) the
design and placement of broadband wavelength emitters
for diverse on-chip electro-optic applications; (4) Fabry–
Perot interference interferometers transforming broadband
wavelength emissions into narrow band on-chip optical emit-
ters; and (5) the realization of various on-chip nano- and
microdimensioned sensors that can detect a variety of param-
eters, ranging from standard physical parameters to a range
of derived bioparameters through the use of waveguide
optics and intermediate evanescent-based waveguide-based
receptor layers.
What makes these applications so attractive is the micro
positioning of the optical source itself through micro- and
nanolithographic technology, the design of waveguides
and wavelength dispersers using the same technology, and
the design of microelectronic processing technology in
close proximity to the optical source, and detectors to proc-
ess and transfer derived information to adjacent on-chip
processing circuitry.
8 Conclusions
The following important conclusions can be derived from
this study:
1. SiAM LEDs that operate in an avalanche mode and
that emit broadband optical emissions over a wide
propagation wavelength range offer interesting
dispersion characteristics for each propagation wave-
lengths, with green and blue propagation wavelengths
refracted quite substantially, and dispersed over wider
exit angles as compared with longer propagation
wavelengths of red radiation.
2. The dispersion is well observed when an optical
source of micron dimensions is placed 1 micron
below a silicon surface. The observed dispersion is
then mainly a function of the distance that the optical
radiation travels in the silicon itself, as well as the spe-
cific refraction phenomena occurring at the first inter-
face surface, where the refraction index changes from
the high value (3.5 for silicon itself) to a much lower
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refractive index as determined by the device silicon
oxide over-layers (1.46 for silicon dioxide);
3. The observed chromatic dispersion characteristics
range as observed for the p+nn+ Si AM LED devices
as analyzed in this study indicate values of dispersion
of 0.02 deg ∕nm wavelength for green radiation at a
15 deg from the normal exit angle to 0.10 deg ∕nm
at 60 deg exit angle. For blue propagation wavelength,
the corresponding values are 0. 028 degrees per nm to
0.16 degrees per nm.
4. The analyses as performed in this study also indicate
that the position of the optical source can be deter-
mined by comparison of experimental analyses with
theoretical modeling results. In this case, the position
of the optical source is determined to be slightly shal-
lower than 1 μm in the silicon at about 0:9 μm below
the surface of the silicon.
Furthermore, it has been determined, through theoretical
modeling, that the second and third over-layers (normally
encountered in silicon-integrated circuits) seemingly contrib-
ute little to wavelength dispersion phenomena, as the refrac-
tive indices differ too little. In the specific device studied in
this study, the highest optical dispersion in terms of change
in exit angle per wavelength occurs at the first interface when
light emerges from the silicon and travels into the silicon
over-layer of less refractive index. The refractive index
step is quite high from 3.5 to 1.5 (Δ ¼ 2.0), and silicon-
oxide a major dispersion of light occurs at the silicon inter-
face because of the high-refractive index differences at the
interface. Light then travels through the silicon oxide
layer and undergoes a second dispersion when traveling
from the silicon oxide layer into the air. This refractive
index is also quite large, viz. from 1.46 to 1 (Δ ¼ 0.46).
The refractive index changes for the different wavelengths
in the silicon oxide are, however, much less and do not
cause excessive dispersion in this medium;
High absorption of different wavelengths mainly occurs
in the high-index silicon, with a refractive index of 3.5.
The critical angle for exiting the surface of the silicon is,
however, only 35 deg. This implies that the absorption
path differences between the zero degree exiting light and
the 35 deg exiting light is not much different, such that
absorption differences between 650 and 450 nm are most
significant and result in a reduction of blue 450- and 550-
nm emissions, as observed in the experimental results.
The specific dispersion characteristics, as observed for
this device, predict interesting uses in futuristic on-chip inte-
gration applications. These may range from the realization of
wavelength dispersers in on-chip optical communication and
signal processors, where coupling and transmission in on-
chip optical waveguides are utilized, to the realization of
on-chip micro- and nano-optical sensors where gas and bio-
material are allowed to interact with different color regions
on the chip.
9 Appendix
Example of the ray-tracing tool that was developed with
Microsoft Excel and used for analyses of the dispersion phe-
nomena occurring at the various interfaces in the device
structure as analyzed in this study according to theoretical
principles. First, the optical source was positioned at a
017104-10 January 2019 • Vol. 58(1)
 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

Table 3 Calculated ray tracing paths and predicted interface dispersion values for different wavelengths and emission angles for an optical micro-
source positioned 1.0 μm below the silicon surface of the Si AM LED device as in Fig. 7. Θ1 is the incident angle to the Si-Si oxide interface and Θ2 is
the refraction angle in the Si oxide.

D ¼ d Θ∕d λ
(deg/nm)
Θ2 ¼ sin −1 d Θ (rel to (rel to 580 nm)
λ (nm) Θ1 (deg) n1 n2 sin (Θ1 ) n 1 sin (Θ1 ) ½n 1 sinðΘ1 Þ∕n2 ½ðn 1 sinðΘ1 Þ∕n 2  Θ2 (deg) 580 nm) (at Si-SiO2 interface)

580 (red) 0 3.600 1.459 0.00 0.00 0.00 0.00 0

5 3.600 1.459 0.09 0.31 0.22 0.22 12 0 0

10 3.600 1.459 0.17 0.63 0.43 0.44 25

15 3.600 1.459 0.26 0.93 0.64 0.68 37 0 0

20 3.600 1.459 0.34 1.23 0.84 0.95 48

25 3.600 1.459 0.42 1.52 1.04 1.24 60

30 3.600 1.459 0.50 1.80 1.23 1.57 71

35 3.600 1.459 0.57 2.06 1.42 1.94 81

40 3.600 1.459 0.64 2.31 1.59 2.34 91

45 3.600 1.459 0.71 2.55 1.74 2.77

45 3.600 1.459 0.71 2.55 1.74 2.77

50 3.600 1.459 0.77 2.76 1.89 3.23

55 3.600 1.459 0.82 2.95 2.02 3.71

60 3.600 1.459 0.87 3.12 2.14 4.18

540 (green) 0 4.000 1.460 0.00 0.00 0.00 0.00 0

5 4.000 1.460 0.09 0.35 0.24 0.24 14 2 0.0500

10 4.000 1.460 0.17 0.69 0.48 0.49 27

15 4.000 1.460 0.26 1.04 0.71 0.77 41 4 0.1000

20 4.000 1.460 0.34 1.37 0.94 1.08 54

25 4.000 1.460 0.42 1.69 1.16 1.43 66

30 4.000 1.460 0.50 2.00 1.37 1.84 78

35 4.000 1.460 0.57 2.29 1.57 2.30 90

40 4.000 1.460 0.64 2.57 1.76 2.82

45 4.000 1.460 0.71 2.83 1.94 3.40

45 4.000 1.460 0.71 2.83 1.94 3.40

50 4.000 1.460 0.77 3.06 2.10 4.02

55 4.000 1.460 0.82 3.28 2.24 4.66

60 4.000 1.460 0.87 3.46 2.37 5.32

420 (blue) 0 5.000 1.468 0.00 0.00 0.00 0.00 0

5 5.000 1.468 0.09 0.44 0.30 0.30 17 5 0.0313

10 5.000 1.468 0.17 0.87 0.59 0.63 34

15 5.000 1.468 0.26 1.29 0.88 1.00 51 14 0.0875

20 5.000 1.468 0.34 1.71 1.16 1.45 67

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 Okhai, Snyman, and Polleux: Wavelength dispersion phenomena observed for emitted optical radiation. . .

Table 3 (Continued).

D ¼ d Θ∕d λ
(deg/nm)
Θ2 ¼ sin −1 d Θ (rel to (rel to 580 nm)
λ (nm) Θ1 (deg) n1 n2 sin (Θ1 ) n1 sin (Θ1 ) ½n 1 sinðΘ1 Þ∕n 2 ½ðn 1 sinðΘ1 Þ∕n 2  Θ2 (deg) 580 nm) (at Si-SiO2 interface)
25 5.000 1.468 0.42 2.11 1.44 1.99 82

30 5.000 1.468 0.50 2.50 1.70 2.65

35 5.000 1.468 0.57 2.87 1.95 3.46

40 5.000 1.468 0.64 3.21 2.19 4.41

45 5.000 1.468 0.71 3.54 2.41 5.51

45 5.000 1.468 0.71 3.54 2.41 5.51

50 5.000 1.468 0.77 3.83 2.61 6.76

55 5.000 1.468 0.82 4.10 2.79 8.11

60 5.000 1.468 0.87 4.33 2.95 9.52

The values in bold indicate substantial correlation between the theoretically predicted and the experimentally derived values.

specific initial site in the structure, a specific wavelength of
propagation was chosen, a specific propagation direction
was chosen, and then the subsequent refraction phenomena
and intensity variation phenomena as they occur at a specific
interface in the structure were calculated. The process was
repeated for subsequent interfaces in the device structure
using the previously determined angular and intensity values.
The results were then graphically plotted and globularly
composed as in Figs. 6 and 7. Table 3 demonstrates some
calculation extracts from the analyses.
Acknowledgments
This work was supported, in part, by the National
Research Foundation Rated Researcher Incentive Funding
IFR2011033100025 Grant, Key International Collaboration
Grant No. KSC 69798, and the Department of Higher
Education and Training (DHET) Grant, administered by
the University of South Africa. The RF and Opto-electronics
Laboratory at ESIEE, France, is especially thanked for
supporting the experimental analyses, and facilitating the
spectroscopic analytical work presented in this article.
The intellectual property aspects associated with this work
have been protected both locally and internationally by
patents.37–40 The work presented in this article in particular
forms the subject of granted international patents, as well as
a further provisional SA patent application dated September
2016. The authors declare that they have no conflicting
interests in this regard.
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Timothy A. Okhai received his higher diploma in biomedical engi-
neering from the College of Medicine of the University of Lagos,
Nigeria, in 1997. In 2008, he was awarded a master’s degree in clini-
cal engineering at the Tshwane University of Technology in Pretoria,
South Africa, where he is also a lecturer. Currently, he is a PhD
student in electronics at the College for Science Engineering and
Technology at the University of South Africa. The author of two
book chapters, he is presently working on the development of silicon
photonic chemical and biochemical sensors for clinical applications.
His research interests include thermal ablation therapy, and the devel-
opment of silicon photonic sensors for chemical and biomedical
applications.
Lukas W. Snyman received his PhD in semiconductor physics from
the University of Port Elizabeth, South Africa, in 1987. Currently, he is
a professor at the University of South Africa in Johannesburg. To date,
he has published about 120 scientific articles, mainly in the field of
solid state physics and Si AMLEDs. He is the author of two scholarly
chapters in books, of which latest is entitled “Integrating micro-
photonic systems and MOEMS into standard silicon CMOS integrated
circuitry” (Intech 2014). He is the main inventor and coinventor of six
granted USA patents, two European, two Korean, one Chinese, and
11 granted SA patents.
Jean-Luc Polleux received his degree Diplôme d’ingénieur in micro-
electronic from ENSEIRB, Bordeaux, France, and his DEA degree in
electronics and telecommunications from the University of Bordeaux,
France (both, in 1997). In 2001, he received his PhD in the opto-
microwave field from CNAM, Paris. Currently, he is an associate pro-
fessor at ESIEE-Paris at Université Paris-Est (UPE), France, and the
joint laboratory ESYCOM. His interests involve microwave-photonics
devices and systems for radio-over-fibre applications, with special
emphasis on microwave phototransistors (SiGe/Si and InGaAs/ InP),
silicon-based integration and packaging, analogue VCSELs and
opto-microwave device modelling.
January 2019 • Vol. 58(1)