基于刻蚀衍射光栅的芯片光谱仪研究
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摘要
芯片实验室(lab-on-a-chip)是近年来国际科学界的一个热点研究方向。其研究目标是在一个芯片上实现传统生化实验室中由复杂贵重的设备所完成的对各种样品的分析检测功能,以实现样品分析的便携化,高效化,低成本化。对样品进行光谱分析是检测样品组分和浓度的重要方法,因此,将光谱仪芯片化是芯片实验室研究的重要内容。芯片光谱仪的结构选择多种多样,其中,随着波分复用技术的发展而逐渐成熟的平面集成波导光栅(包括阵列波导光栅和刻蚀衍射光栅)由于具有插入损耗低,波长通道间隔小,易于实现大通道数目,制作成本低等优点,成为了一种极具潜力的光谱分析结构。本文中,我们利用刻蚀衍射光栅,基于氮氧化硅波导平台,对与CMOS工艺相兼容,工作于硅吸收边1100nm波长以下光波段的亚纳米高分辨率光谱仪进行了设计、制作以及测试等整个工程体系的研究。
文章首先介绍了平面集成光波导的理论基础,包括对二维平板波导模式进行分析的射线理论与电磁波理论,用于波导内部或波导之间模式耦合的耦合模理论。此外,介绍了用于精确计算光在波导中的模场分布和传播过程的数值仿真方法,包括有限差分法,有限元法和束传播方法、
接着,文章介绍了用于设计刻蚀衍射光栅光栅结构的一点法,二点法和三点法,对光场在光栅中传播过程进行模拟的标量衍射理论以及用于计算光场耦合效率的重叠积分方法。同时,详细讨论了光栅结构参数与光谱仪性能参数之间的关系,提供了对光栅结构进行优化设计的思路和方法。此外,针对常用刻蚀衍射光栅基光谱仪要取得大光谱分析范围的困难,提出了一种利用光栅的频谱周期性,工作于跨衍射级次的分立波长区间高分辨率芯片光谱仪,使得刻蚀衍射光栅在保持自由光谱范围不变的情况下,扩大了光谱分析的范围,与此同时依然维持有高分辨率以及不变的输出波导或者光电探测器阵列的个数。并以植物监控领域的应用为例,设计了一种工作波长区间分别为680nm-690nm和735nm-745nm,且波长通道间隔为0.2nm的刻蚀衍射光栅芯片光谱仪。
然后,针对可见光波段光谱分析的需求,文章采用氮氧化硅材料,基于刻蚀衍射光栅,详细研究了工作于小于硅材料吸收带1100nm波段的小尺寸高分辨率芯片光谱仪。将高折射率差刻蚀衍射光栅芯片光谱仪的研究视野从SOI材料转到了氮氧化硅材料,从常用红外通信波段,转到了可见光波段和近红外波段。对刻蚀衍射光栅的结构参数设计进行了仿真和优化,研究优化出一套完整的氮氧化硅基芯片光谱仪制作工艺流程,特别是对氮氧化硅生长和氮氧化硅二氧化硅深刻蚀工艺进行了研究和优化创新,提出了双掩膜深刻蚀氮氧化硅二氧化硅的方法,提高了刻蚀的垂直度和光滑度。此外,还开发出一套芯片光谱仪的测试装置。最终研制出拥有121个通道,工作于从830nm到855nm,通道间隔为0.25nm的芯片光谱仪。
紧接着,在氮氧化硅基刻蚀衍射光栅芯片光谱仪的基础上,提出了一种利用SOI基底,在刻蚀衍射光栅输出面直接集成MSM探测器阵列的光电子集成芯片光谱仪。研究了MSM光电探测器的原理以及其与波导进行耦合的方法,设计优化了MSM探测器阵列的参数,开发出一整套有源无源集成且CMOS工艺兼容的芯片光谱仪的制作工艺,包括硅刻蚀,平坦化等,搭建了一套有源无源集成芯片的测试平台。所制得的光电子集成芯片光谱仪在从838nm到853nm的波长范围内,获得了波长通道间隔为0.494nm的29个通道输出,通道非均匀性小于1.5dB。
最后,文章进行了总结并对下一步芯片光谱仪的研究工作作了展望。
Lab-on-a-chip is currently a hot research topic among the scientific society. The research objective is to realize the sample detection and analysis on a small, low cost and effective chip to replace the traditional expensive and cumbersome instrument in biological and chemical laboratories. Spectral analysis is a major way to analyze the sample composition, therefore, to make spectrometer-on-a-chip is an important research issue in lab-on-a-chip. Many structures can be chosen for the on-chip spectral analysis. Among them, planar waveguide grating, including Etched diffraction grating (EDG) and arrayed waveguide grating (AWG), has the advantage of low insertion loss, small wavelength channel spacing, easiness to scale up to large counts of waveguides, low fabrication cost and so on. Planar waveguide grating was gradually matured along with the fast development of wavelength division multiplexing technology and it is a very potential one for making commercial-use spectrometer-on-a-chip. In this thesis, we design, fabricate and characterize a series of CMOS compatible spectrometer-on-a-chip based on silicon oxynitride (SiON) waveguide platform with Etched diffraction grating working below1100nm, which is the absorption edge of silicon material.
The thesis starts from the theoretical background of planar integrated waveguide, including the ray theory and electromagnetic theory for the analysis of two-dimensional planar waveguide, and the mode coupling theory used for analyzing the mode coupling inside a waveguide or between waveguide. Besides, numerical simulation method, used for the calculation of mode field distribution and propagation in a waveguide, is introduced in the thesis, including finite differentiation method (FDM), finite element method (FEM), and beam propagation method (BPM).
Also introduced are the one-stigmatic method, two-stigmatic mehod and three-stigmatic method used for the design of grating structure in Etched diffraction grating, along with the scalar diffraction theory for the simulation of light propagation in the grating, and the overlap integral method for calculating the mode coupling efficiency between waveguides. The relationship between the grating structure parameters and the spectrometer performance parameters are discussed in detail in the thesis, which provide an efficient instruction to design the grating structure with optimization. By pointing out the difficulty to obtain large spectral analysis range and high spectral resolution at the same time with the common design method, The dissertation introduces a cross-order high resolution spectrmeter on a chip with a separated wavelength band based on the frequency periodicity of the Etched diffraction grating. It can be used in the occassion that fluorescence spectra detection at multi wavelength bands is required, a practical EDG based spectrometer-on-a-chip is designed, with a separated wavelength band of680nm～690nm and735nm～745nm and a wavelength channel spacing of0.2nm.
After that, an EDG based spectrometer-on-a-chp on SiON waveguides working below1100nm is demonstrated. The detailed design process was introduced. Some key restrictions of fabrication for high performance spectrometer-on-a-chip are throughly studied, including photo-lithography, SiON thin film growth and the deep etching of SiON and SiO2waveguides. The56-channel spectrometer-on-a-chip is characterized with our self-established test platform and measurement results are obtained and discussed.
We further analyze the theoretical background of metal-semiconductor-metal (MSM) photodetector and the coupling structure between waveguide and photodetector, and integrate MSM photodetector array with EDG microspectrometer on SOI wafer by CMOS compatible fabrication process. The measurement results show that, the29wavelength channel operating from838nm to853nm has a channle spacing of0.494nm, a3dB channel bandwidth of0.4nm and a channel nonuniformity of1.5dB.
In the end. the thesis is summarized and the future research work is planned.
文章首先介绍了平面集成光波导的理论基础,包括对二维平板波导模式进行分析的射线理论与电磁波理论,用于波导内部或波导之间模式耦合的耦合模理论。此外,介绍了用于精确计算光在波导中的模场分布和传播过程的数值仿真方法,包括有限差分法,有限元法和束传播方法、
接着,文章介绍了用于设计刻蚀衍射光栅光栅结构的一点法,二点法和三点法,对光场在光栅中传播过程进行模拟的标量衍射理论以及用于计算光场耦合效率的重叠积分方法。同时,详细讨论了光栅结构参数与光谱仪性能参数之间的关系,提供了对光栅结构进行优化设计的思路和方法。此外,针对常用刻蚀衍射光栅基光谱仪要取得大光谱分析范围的困难,提出了一种利用光栅的频谱周期性,工作于跨衍射级次的分立波长区间高分辨率芯片光谱仪,使得刻蚀衍射光栅在保持自由光谱范围不变的情况下,扩大了光谱分析的范围,与此同时依然维持有高分辨率以及不变的输出波导或者光电探测器阵列的个数。并以植物监控领域的应用为例,设计了一种工作波长区间分别为680nm-690nm和735nm-745nm,且波长通道间隔为0.2nm的刻蚀衍射光栅芯片光谱仪。
然后,针对可见光波段光谱分析的需求,文章采用氮氧化硅材料,基于刻蚀衍射光栅,详细研究了工作于小于硅材料吸收带1100nm波段的小尺寸高分辨率芯片光谱仪。将高折射率差刻蚀衍射光栅芯片光谱仪的研究视野从SOI材料转到了氮氧化硅材料,从常用红外通信波段,转到了可见光波段和近红外波段。对刻蚀衍射光栅的结构参数设计进行了仿真和优化,研究优化出一套完整的氮氧化硅基芯片光谱仪制作工艺流程,特别是对氮氧化硅生长和氮氧化硅二氧化硅深刻蚀工艺进行了研究和优化创新,提出了双掩膜深刻蚀氮氧化硅二氧化硅的方法,提高了刻蚀的垂直度和光滑度。此外,还开发出一套芯片光谱仪的测试装置。最终研制出拥有121个通道,工作于从830nm到855nm,通道间隔为0.25nm的芯片光谱仪。
紧接着,在氮氧化硅基刻蚀衍射光栅芯片光谱仪的基础上,提出了一种利用SOI基底,在刻蚀衍射光栅输出面直接集成MSM探测器阵列的光电子集成芯片光谱仪。研究了MSM光电探测器的原理以及其与波导进行耦合的方法,设计优化了MSM探测器阵列的参数,开发出一整套有源无源集成且CMOS工艺兼容的芯片光谱仪的制作工艺,包括硅刻蚀,平坦化等,搭建了一套有源无源集成芯片的测试平台。所制得的光电子集成芯片光谱仪在从838nm到853nm的波长范围内,获得了波长通道间隔为0.494nm的29个通道输出,通道非均匀性小于1.5dB。
最后,文章进行了总结并对下一步芯片光谱仪的研究工作作了展望。
Lab-on-a-chip is currently a hot research topic among the scientific society. The research objective is to realize the sample detection and analysis on a small, low cost and effective chip to replace the traditional expensive and cumbersome instrument in biological and chemical laboratories. Spectral analysis is a major way to analyze the sample composition, therefore, to make spectrometer-on-a-chip is an important research issue in lab-on-a-chip. Many structures can be chosen for the on-chip spectral analysis. Among them, planar waveguide grating, including Etched diffraction grating (EDG) and arrayed waveguide grating (AWG), has the advantage of low insertion loss, small wavelength channel spacing, easiness to scale up to large counts of waveguides, low fabrication cost and so on. Planar waveguide grating was gradually matured along with the fast development of wavelength division multiplexing technology and it is a very potential one for making commercial-use spectrometer-on-a-chip. In this thesis, we design, fabricate and characterize a series of CMOS compatible spectrometer-on-a-chip based on silicon oxynitride (SiON) waveguide platform with Etched diffraction grating working below1100nm, which is the absorption edge of silicon material.
The thesis starts from the theoretical background of planar integrated waveguide, including the ray theory and electromagnetic theory for the analysis of two-dimensional planar waveguide, and the mode coupling theory used for analyzing the mode coupling inside a waveguide or between waveguide. Besides, numerical simulation method, used for the calculation of mode field distribution and propagation in a waveguide, is introduced in the thesis, including finite differentiation method (FDM), finite element method (FEM), and beam propagation method (BPM).
Also introduced are the one-stigmatic method, two-stigmatic mehod and three-stigmatic method used for the design of grating structure in Etched diffraction grating, along with the scalar diffraction theory for the simulation of light propagation in the grating, and the overlap integral method for calculating the mode coupling efficiency between waveguides. The relationship between the grating structure parameters and the spectrometer performance parameters are discussed in detail in the thesis, which provide an efficient instruction to design the grating structure with optimization. By pointing out the difficulty to obtain large spectral analysis range and high spectral resolution at the same time with the common design method, The dissertation introduces a cross-order high resolution spectrmeter on a chip with a separated wavelength band based on the frequency periodicity of the Etched diffraction grating. It can be used in the occassion that fluorescence spectra detection at multi wavelength bands is required, a practical EDG based spectrometer-on-a-chip is designed, with a separated wavelength band of680nm～690nm and735nm～745nm and a wavelength channel spacing of0.2nm.
After that, an EDG based spectrometer-on-a-chp on SiON waveguides working below1100nm is demonstrated. The detailed design process was introduced. Some key restrictions of fabrication for high performance spectrometer-on-a-chip are throughly studied, including photo-lithography, SiON thin film growth and the deep etching of SiON and SiO2waveguides. The56-channel spectrometer-on-a-chip is characterized with our self-established test platform and measurement results are obtained and discussed.
We further analyze the theoretical background of metal-semiconductor-metal (MSM) photodetector and the coupling structure between waveguide and photodetector, and integrate MSM photodetector array with EDG microspectrometer on SOI wafer by CMOS compatible fabrication process. The measurement results show that, the29wavelength channel operating from838nm to853nm has a channle spacing of0.494nm, a3dB channel bandwidth of0.4nm and a channel nonuniformity of1.5dB.
In the end. the thesis is summarized and the future research work is planned.
引文
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