# High-performance GaSb-based interband cascade lasers emitting at 4.7 µm grown on GaAs and Si substrates

Maeva Fagot, Daniel A Díaz-Thomas, Audrey Gilbert, Michel Ramonda, Yves Rouillard, Jean-Baptiste Rodriguez, Eric Tournié, Laurent Cerutti

► To cite this version:

Maeva Fagot, Daniel A Díaz-Thomas, Audrey Gilbert, Michel Ramonda, Yves Rouillard, et al. High-performance GaSb-based interband cascade lasers emitting at 4.7 µm grown on GaAs and Si substrates. *Optical Materials Express*, 2025, 15 (11), pp.2654. 10.1364/ome.568659. [hal-05454354](https://hal.science/hal-05454354v1)

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# High-performance GaSb-based interband cascade lasers emitting at 4.7 µm grown on GaAs and Si substrates

MAEVA FAGOT,<fnref n="1" />,<fnref n="4" /> DANIEL A. DÍAZ-THOMAS,<fnref n="1" /> AUDREY GILBERT,<fnref n="1" />

MICHEL RAMONDA,<fnref n="2" /> YVES ROUILLARD,<fnref n="1" /> JEAN-BAPTISTE

RODRIGUEZ,<fnref n="1" /> ERIC TOURNIÉ,<fnref n="1" />,<fnref n="3" /> AND LAURENT CERUTTI<fnref n="1" />,<fnref n="5" />

**Abstract:** We successfully fabricated interband cascade lasers (ICLs) emitting at 4.7 µm on GaSb, GaAs, and Si substrates, demonstrating threshold current densities between 212 and 288 A/cm<fnref n="2" /> in pulsed operation at room temperature. While ICLs on mismatched substrates exhibited higher series resistance, they showed lower thermal resistance, suggesting that reducing series resistance could improve device performance. All lasers operated in continuous-wave mode up to 30°C, and aging tests on ICLs grown on Si over 500 hours showed no performance degradation. These results confirm the tolerance of ICLs to dislocations, even at longer wavelengths.

Published by Optica Publishing Group under the terms of the [Creative Commons Attribution 4.0 License](https://creativecommons.org/licenses/by/4.0/). Further distribution of this work must maintain attribution to the author(s) and the published article's title, journal citation, and DOI.

## 1. Introduction

The mid-infrared (MIR) spectral range, extending from 2 to 20 µm, is of significant interest due to the presence of absorption lines of many relevant molecules. These features are essential for spectroscopy analysis and optical gas sensing and to cover the MIR spectrum, a variety of light sources have been developed [1]. Quantum well diode lasers are efficient in the shorter part of the MIR, operating up to 3 µm, while quantum cascade lasers (QCLs) excel in the longer wavelength range, typically beyond 5 µm [2]. In the intermediate region, between 3 and 6 µm, interband cascade lasers (ICLs) have emerged as the leading solution thanks to their low power consumption and ability to operate at high temperatures in continuous-wave mode [3]. A promising approach to fabricate gas sensors is the integration of these sources onto Si photonic integrated circuits (PICs). Silicon is widely used in the semiconductor industry, and offers well-established fabrication techniques that enable the production of high-performance, cost-effective, and compact photonic circuits [4–6].

Two main approaches are used for integrating laser devices onto PICs [7]. The first, the heterogeneous integration, involves fabricating the III-V laser structure separately on their native substrate and then bonding it to the Si substrate. This approach combines different material systems without compromising material quality, though the bonding process adds complexity to the fabrication process. While bonding techniques have enabled the integration of many kinds of III-V lasers on Si [8–10], a second approach is to grow the laser structure directly on the silicon substrate, a process known as monolithic integration. By eliminating the need for native substrates and complex bonding steps, this method enables a more scalable and potentially

<footnote n="1">¹Institut d'Electronique et des Systèmes, Université de Montpellier, CNRS, F-34000 Montpellier, France</footnote>

<footnote n="2">²Centrale de Technologie en Micro et nanoélectronique, Université de Montpellier, F-34000 Montpellier, France</footnote>

<footnote n="3">³Institut Universitaire de France (IUF), F-75005 Paris, France</footnote>

<footnote n="4">⁴maeva.fagot@umontpellier.fr</footnote>

<footnote n="5">⁵laurent.cerutti@umontpellier.fr</footnote>
cost-effective fabrication, compatible with standard silicon processing. However, it also presents significant technical challenges due to the formation of defects inherent to the III-V heteroepitaxy on Si, such as antiphase boundaries (APB) and dislocations. APBs arise from the growth of polar III-V materials on non-polar Si substrates, and introduce electrical charged paths. However, growth strategies have been developed to bury these defects [11–14]. Additionally, the large lattice mismatch between III-V and Si introduces a high density of dislocations. These defects are the main obstacle to the fabrication of high-performance and reliable laser devices. Although efforts to reduce the threading dislocation density (TDD) have improved initial threshold current in laser diodes, this value remains high enough to limit device lifetime to approximately 200 hours for a TDD of $5 \times 10^7$ cm$^{-2}$ [15,16]. One solution is to use quantum dots (QDs) in the active region, where highly reliable lasers operating at telecom wavelengths have been demonstrated [17]. However, these lasers still required a TDD reduction below $10^7$ cm$^{-2}$ to demonstrate high reliability [18].

A promising approach to overcome this challenge is to adopt alternative active zone geometries, such as those used in QCLs and ICLs. On one hand, QCLs, as unipolar devices, rely on intersubband transitions, with ultra-fast carrier relaxation mechanisms allowing laser emission [19,20]. On the other hand, ICLs exploit the type-II and type-III band alignments offered by antimonide-based materials [21,22]. We previously demonstrated that ICLs are tolerant to dislocations by simultaneously growing structures designed for operation around 3.3 µm on GaSb, GaAs and Si substrates, achieving comparable performance across all substrates [23]. Additionally, we have confirmed the practical viability of ICL technology on Si by demonstrating methane detection at 3.3 µm [24]. However, these results were obtained within the optimal performance range of ICLs [25–27]. In this work, we aim to explore whether the dislocation tolerance of ICLs can be extended to longer wavelengths, where the threshold current density starts to increase. Hill et al. previously reported 23-stages ICLs grown on GaAs substrates, emitting at 4 µm with a pulsed threshold current density of 1 kA/cm$^2$ at 260 K [28]. Extending this capability to 4.6 µm is especially significant, as this wavelength corresponds to a strong absorption line of carbon monoxide (CO), a gas of major importance for environmental and industrial monitoring [29]. To this end, we designed an ICL structure for emission at 4.6 µm and grew it on GaSb, GaAs and Si substrates. All ICLs demonstrated stable continuous-wave operation despite significant lattice mismatch.

## 2. MBE growth, structural characterizations and process

To investigate ICL performance at longer wavelengths, we first grew an active zone using the “W” type-II quantum well (QW) design (Fig. 1(a)) with a RIBER 412 solid-source MBE system equipped with As- and Sb- valved cracker cells. This structure consisted of a Ga$_{0.65}$In$_{0.35}$Sb hole QW sandwiched between two InAs electron QWs, all enclosed by 2.5-nm-thick AlSb barriers. The InAs/GaInSb/InAs active well with well thicknesses of 22 Å / 25 Å / 18 Å is engineered to emit at 4.6 µm. The GaInSb layer thickness was chosen based on the work of Knötig et al. to minimize valence intersubband absorption [30]. This structure was grown on a GaSb substrate to evaluate room-temperature (RT) photoluminescence (PL), which shows a peak emission at 4.55 µm consistent with the targeted wavelength (Fig. 1(b)).

Prior to laser growth, templates were prepared by growing a 500-nm-thick n-doped ($1 \times 10^{18}$ cm$^{-3}$) GaSb layer on n-doped GaAs and Si substrates. Figures 2(a) and 2(b) show typical electron channeling contrast image (ECCI) measured on these samples. Due to the high lattice mismatch between GaSb and GaAs (8%) and Si (12%), high threading dislocation densities (TDD) of $2 \times 10^9$ cm$^{-2}$ and $2.5 \times 10^9$ cm$^{-2}$ were observed on the template surface. No filter layers nor thermal annealing were used, which explains the high TDD observed. Atomic force microscopy (AFM) images of the surface topologies are shown in Fig. 2(c) and 2(d). They reveal a root mean square roughness (RMS) of 1.42 nm and 2.47 nm on GaAs and Si, respectively, and confirm the
<figure><img src="image_3.png" /><figcaption>**Fig. 1.** a) Schematic of the photoluminescence (PL) structure, featuring a “W” type-II QW design enclosed by AlSb barriers. b) Room-temperature PL spectrum for a PL structure grown on GaSb, designed to emit at 4.6 µm. The peaks at 1.7 µm correspond to the emission of the GaSb barriers and the dip in the spectrum corresponds to the absorption of the CO₂.</figcaption></figure>

absence of emerging APBs on the GaSb/Si surface. The GaSb/GaAs AFM image reveals twins, likely formed during the transition from As-based to Sb-based layers.

<figure><img src="image_4.png" /><figcaption>**Fig. 2.** ECC images estimating the dislocation density at the surface of GaSb templates grown on a) GaAs and b) (100) Si substrates, highlighting the defect distribution. 20 µm x 20 µm AFM images of the surface topography for GaSb on c) GaAs, revealing a spiral growth mode with twins, and d) Si, showing an APD-free surface, indicative of successful suppression of anti-phase domains.</figcaption></figure>

ICL structures were then grown simultaneously on these templates. They consisted of seven active stages designed to emit at 4.6 µm. Figure 3(a) shows the simulated band diagram of one and a half active stage calculated using the Nextnano software [31]. The layer sequence features a “W” type-II QW, with the same design as the active region described above. The hole injector consisted of 3 nm GaSb, 1 nm AlSb, 4.5 nm GaSb, and 2.5 nm AlSb. The electron injector
included five AlSb/InAs pairs, with AlSb barrier thickness of 1.2 nm and InAs QWs thicknesses of 4.2 nm, 3.3 nm, 2.7 nm, 2.3 nm and 2.2 nm. The three central QWs were n-doped with Si atoms at $5 \times 10^{18} \text{cm}^{-3}$ for carrier rebalancing [32].

<figure><img src="image_5.png" /><figcaption>**Fig. 3.** a) Simulated band structure of one and a half active stage of the interband cascade laser (ICL), illustrating the alignment of energy levels and density probabilities for an electric field of 90 kV/cm. b) Schematic representation of the ICL structure, detailing the composition and arrangement of its constituent layers.</figcaption></figure>

The growth process began with a deoxidation step conducted at 550°C, measured with an optical pyrometer, for 20 minutes. This was followed by the deposition of a 200-nm n-type GaSb buffer layer, grown at 500°C. The subsequent layers, comprising the active region, the claddings and the separate confinement heterostructures (SCH), were grown at a reduced temperature of 435°C to ensure high crystal quality and minimize interfacial mixing [33]. The active region, grown at 0.3 ML/s, is enclosed by two 500-nm-thick n-doped GaSb SCH, Te-doped to $3 \times 10^{16} \text{cm}^{-3}$ and grown at 0.6 ML/s. These layers are surrounded by n-type AlSb/InAs superlattice (SLs) claddings, as illustrated in the epitaxial structure shown in Fig. 3(b). The top and bottom claddings are 1.9 µm and 3.1 µm thick, respectively, both grown at 0.5 ML/s. The claddings have a doping gradient: the outermost layers are Si-doped to $1 \times 10^{18} \text{cm}^{-3}$, while the inner layers are doped at $3 \times 10^{17} \text{cm}^{-3}$ to minimize free-carrier absorption near the active region.

The crystalline properties of the structures were evaluated using high-resolution X-ray diffraction (HR-XRD) and the resulting patterns for the different samples are presented in Fig. 4(a). Two distinct sets of satellite peaks were observed: the more intense peaks correspond to the periodicity of the superlattice claddings, while the less intense peaks are associated with the periodicity of the active zone. From these periodicities, the precise thicknesses of the claddings and the active region can be determined and are found to be consistent across all structures grown on different substrates (Table 1). The HR-XRD pattern for the structure grown on GaSb exhibit sharp and intense satellite peaks, indicative of high crystalline quality. In contrast, the structures grown on GaAs and Si show broadened satellite peaks, attributed to the high density of dislocations disrupting the crystal periodicity.

AFM measurements after the ICL growth reveal RMS surface roughness values of 2.31 nm for the ICLs on GaAs and 2.48 nm on Si, significantly higher than the 0.29 nm observed on GaSb (Fig. 4(b)–4(d)). This increase in surface roughness on mismatched substrates is consistent with the presence of dislocations [34,35]. ECCI was used to estimate the dislocation density for ICLs on GaAs and Si, with a TDD of approximately $3.3 \times 10^8 \text{cm}^{-2}$ on both GaAs (Fig. 4(e)) and on
<figure><img src="image_6.png" /><figcaption>**Fig. 4.** a) Comparison of the HR-XRD scans for ICLs grown on GaSb, GaAs and Si substrates, highlighting the differences in crystal quality. (b-d) 2 µm x 2 µm AFM images showing the surface morphology of ICLs on b) GaSb, c) GaAs and Si d), illustrating variations in surface roughness. (e, f) ECCI images estimating the dislocation density in ICLs on e) GaAs and (f) Si substrates.</figcaption></figure>

<table><caption>**Table 1.** Summary of the TDD, RMS roughness and cladding and active zone periods for ICLs grown on various substrates determined by HR-XRD<sup>a</sup></caption><thead><tr><th></th><th>Aimed thickness</th><th>ICL on GaSb</th><th>ICL on GaAs</th><th>ICL on Si</th></tr></thead><tbody><tr><td>TDD</td><td></td><td>/</td><td>3.3 × 10<sup>8</sup> cm<sup>-2</sup></td><td></td></tr><tr><td>RMS roughness</td><td></td><td>0.29 nm</td><td>2.31 nm</td><td>2.48 nm</td></tr><tr><td>Cladding period</td><td>4.73 nm</td><td>4.74 ± 0.1 nm</td><td>4.72 ± 0.1 nm</td><td>4.69 ± 0.2 nm</td></tr><tr><td>Active region period</td><td>40.5 nm</td><td>39.3 ± 0.4 nm</td><td>41 ± 2 nm</td><td>41 ± 3 nm</td></tr></tbody></table>

Si (Fig. 4(f)), one decade lower than before ICL growth. The long white stripes observed in Fig. 4(e) likely correspond to twins propagated from the GaSb/GaAs template.

To evaluate the performance of the ICL structures on the three different platforms, laser devices were fabricated using standard UV photolithography. The mesas were defined employing Cl-based inductively-coupled plasma reactive-ion etching (ICP-RIE), which were etched down to the bottom cladding layer. A hard-baked layer of AZ1518 photoresist was applied to ensure effective isolation and protection. The top and bottom electrical contacts were fabricated using 20-nm Ti and 400-nm Au layers, deposited by electron beam evaporation on both the mesa and

<footnote><sup>a</sup>The uncertainty, provided by X'pert Epitaxy, reflects the measurement accuracy of the mean period between the active region fringes.</footnote>
the bottom cladding layer. The ridge widths were defined as 100 µm and 8 µm, and the lasers were cleaved into 2-mm-long Fabry-Perot cavities, with the facets left untreated. Finally, the lasers were mounted episide-up onto TiPtAu-coated AlN submounts using indium soldering.

### 3. Device performance and discussion

In this study, tens of lasers were fabricated and tested on each substrate. A comparison of the light-current-voltage (L-I-V) characteristics at 20°C of the structures provides several insights. Broad-area ICLs on GaSb, GaAs and Si demonstrated threshold current densities ($J_{th}$) of 212, 246 and 288 A/cm², respectively. These values are consistent with state-of-the-art ICLs grown on native substrates within the same wavelength range at room-temperature. On GaSb, Canedy et al. achieved a $J_{th}$ of 220 A/cm² at 4.77 µm [36], Knötig et al. reported 247 A/cm² at 4.38 µm [30], and Petrović et al. demonstrated 242 A/cm² at 5.2 µm [37]. On InAs, Yang et al. obtained 290 A/cm² at 4.58 µm [38], Li et al. reported 247 A/cm² at 4.6 µm [39], and Xie et al. demonstrated 260 A/cm² at 4.44 µm [40]. Based on the threshold current density, the corresponding threshold voltages of the present devices were estimated to be 3.12 V, 4.0 V and 6.0 V on GaSb, GaAs and Si, respectively. These values correspond to voltage efficiencies of 55%, 43% and 29%, which remain below those reported in the literature [37,38,40].

L-I-V characteristics of 8 µm x 2 mm lasers tested under pulsed operation at 20°C, with a 1% duty cycle at a frequency of 10 kHz, are presented in Fig. 5(a). In pulsed mode, ICLs grown on GaAs and Si demonstrated nearly identical threshold currents ($I_{th}$) of 51 mA and 53 mA, only higher than the 41 mA measured for ICLs on GaSb. However, as previously observed for ICLs at 3.3 µm [23], the series resistance ($R_s$) is higher for devices grown on Si (7.6 Ω) and GaAs (5.9 Ω) than on GaSb (4.3 Ω). This confirms that the elevated series resistance on GaAs and Si is a general occurrence, also present at shorter wavelengths. Investigation is ongoing to determine the origin of this resistance.

Figure 5(b) shows the continuous-wave (CW) performance of the lasers at 20°C and reveals a major difference. Indeed, the $R_s$ remains higher for devices on Si (8.2 Ω) and GaAs (6.6 Ω) than on GaSb (3.2 Ω), naturally limiting the maximum optical output power due to higher Joule heating. However, unlike at shorter wavelengths, the ICL on GaSb exhibits a $I_{th}$ of 66 mA, while those on GaAs and Si have higher values of 76 mA and 94 mA, respectively. It suggests that the operating mode strongly influences the threshold current on mismatched substrates, probably due to the thermal effects during continuous operation. The insert of Fig. 5(b) shows the emission spectra of the ICLs under a CW injection current of 150 mA. ICLs on GaSb and GaAs emit at wavelengths between 4.64 and 4.72 µm, while ICLs on Si emit at slightly shorter wavelengths, between 4.60 and 4.67 µm. Nevertheless, all three structures emit within the same wavelength range, close to the targeted emission wavelength of 4.6 µm.

Thermal characterizations under pulsed operation were performed over a range of temperatures from 20°C to 80°C. Devices grown on GaSb operated up to 80°C, which was limited by the experimental setup, while those on GaAs and Si reached 70°C. These results are comparable to those reported by Xie et al. for hybrid devices emitting at 4.4 µm on InAs, which operated in pulsed mode up to 105°C [40].

This allowed the determination of the characteristic temperature ($T_0$) and the thermal resistance ($R_{th}$), which respectively quantify the device sensitivity to temperature and its ability to dissipate heat from the active region. The threshold current as a function of the operating temperature is plotted in Fig. 5(c) and reveals two distinct linear regimes. Up to 50°C, the ICLs exhibit a $T_0$ of approximately 42 K which is the state-of-the-art for these wavelengths [30,41]. However, above this temperature, the $T_0$ decreases significantly, reaching 28 K for ICL grown on GaSb and 24 K and 21 K for those on GaAs and Si, respectively. This behavior suggests that the lasers become more sensitive to temperature above 50°C, probably due to enhanced carrier leakage and increased Auger effect [42,43]. The thermal resistance of the laser devices can be obtained using
<figure><img src="image_7.png" /><figcaption>Fig. 5. a) Light-current-voltage (L-I-V) characteristics of 8 µm x 2 mm ICLs grown on GaSb (red), GaAs (blue) and Si (black), measured under CW operation at 20°C. Insert: Emission spectra obtained at 20°C under a CW injection current of 150 mA. b) L-I-V characteristics of the same ICLs, measured at 20°C in pulsed operation with a duty cycle of 1% and a frequency of 10 kHz. c) Threshold current as a function of the heat-sink temperature, measured in pulsed operation, for narrow-ridge ICLs grown on GaSb, GaAs and Si substrates. d) Evolution of the threshold current (blue) and the output power (red) during a 500-hours aging at 25°C for an 8 µm x 2 mm ICL on Si, operated under a CW injection current of 160 mA.</figcaption></figure>

the equation defined as [44]:

$$R_{th} = \frac{\Delta T}{P_{diss}}$$

where ΔT represents the temperature rise in the active layer, and $P_{diss} = U_{op} \times I_{op} - P_{op}$ is the power dissipated in CW operation at 20°C ($P_{op}$ represents the optical output power and is negligible here).

By identifying the temperature in pulsed operation at which the threshold current is equal to the value measured at 20°C in CW operation, and considering the power dissipated in CW mode, the $R_{th}$ values were determined to be 89, 82 and 80 K/W for ICLs grown on GaSb, GaAs and Si, respectively. These results suggest that ICLs grown on Si and GaAs exhibit lower thermal resistance compared to those on GaSb, likely due to the higher thermal conductivity of these substrates. Moreover, since all devices – including those grown on GaSb – are mounted epside-up, heat dissipation is less efficient for ICLs on GaSb as reflected by the higher thermal resistance.

Nonetheless, the limited improvement in $R_{th}$ for devices grown on GaAs and Si, despite the higher thermal conductivities of these substrates, is primarily attributed to the AlSb/InAs claddings. In superlattices, the thermal conductivity is lower than in bulk materials because the
succession of interfaces adds significantly to the overall resistance of the layer in the growth direction [45]. To fully exploit the superior thermal properties of GaAs and Si substrates, it is therefore necessary to optimize the bottom cladding layers, as their thickness strongly limits heat dissipation.

Thus, despite the reduction in thermal resistance, the performance of ICLs on both GaAs and Si remains limited by their higher series resistance. This indicates that further optimization of the series resistance could enable superior performance for ICLs on GaAs and Si, thanks to their thermal properties.

Finally, the electro-optical properties of the ICL on Si were measured continuously for 500 hours under a CW injection current of 160 mA at 25°C (Fig. 5(d)). This temperature was selected since the devices operated up to 30°C, consistent with the results of Petrovic et al. at 5.2 µm, where narrow-ridge ICLs operated in CW up to 41°C [37]. However, their devices employed electroplated gold on the top contact to improve heat dissipation as well as facet coatings to reduce threshold, whereas the facets of the present ICLs remain uncoated. The variations in threshold current (blue) and output power (red) observed during the first half of the measurement are artefacts. After readjusting the probes used for current injection, the performance was stabilized, with no degradation of the performance until the end of the study. This result highlights the tolerance of ICLs to dislocations even at longer emission wavelengths, showing their potential for integration with photonic waveguides into compact gas sensors [46].

## 4. Summary

In summary, this work demonstrated the remarkable dislocation tolerance of interband cascade lasers (ICLs) operating at 4.7 µm. The laser structure was simultaneously grown on GaSb, GaAs and Si substrates, enabling a direct comparison of device performance in both continuous-wave (CW) and pulsed operation. In pulsed operation, the ICLs on all three substrates displayed similar behavior, with state-of-the-art threshold currents on GaSb, GaAs and Si. However, higher series resistance values were observed on the mismatched substrates, and variations in threshold currents appear in CW operation.

By analyzing temperature-dependent L-I-V characteristics in both operating modes, the thermal resistance of each structure was estimated to 89, 82 and 80 K/W for GaSb, GaAs and Si substrates, respectively. Consequently, reducing the series resistance of the devices on GaAs and Si would drastically improve the ICL performance. Furthermore, a 500-hour aging test on an ICL grown on Si revealed no degradation in threshold current or output optical power, underscoring the reliability of ICLs. These results highlight the promise of ICLs for developing compact and efficient gas sensors operating at longer wavelengths, such as those required for carbon monoxide detection.

**Funding.** Agence Nationale de la Recherche (ANR-11-EQPX-0016, ANR-21-ESRE-0026); Région Occitanie Pyrénées-Méditerranée (LASIDO project); Agence de l'innovation de Défense; Bpifrance (HyQuality Project DOS0188007/00).

**Disclosures.** The authors have no conflict to disclose.

**Data availability.** The data that support the findings of this study are available from the corresponding author upon reasonable request.

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