05.40.-a Fluctuation phenomena, random processes, noise, and Brownian motion (for fluctuations in superconductivity, see 74.40.+k; for statistical theory and fluctuations in nuclear reactions, see 24.60.-k; for fluctuations in plasma, see 52.25.Gj)
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This thesis treats the thermopower and other thermal effects in single quantum dots (QD) and quantum dot systems. It contributes new experimental results to the broad and active field of research on thermoelectrics in low dimensional systems. The thermopower experiments discussed in this work focus on QDs which exhibit a net spin and on tunnel-coupled double QDs (DQD). Furthermore, experiments are presented which address the realization of a QD device which extracts thermal energy from a heat reservoir and converts it into a directed charge current in a novel way.
The samples used for these investigations have been fabricated from GaAs/AlGaAs heterostructures which contain a two dimensional electron gas. Using optical and electron beam lithography, the devices have been realized by means of the top-gate technology. All experiments have been performed at low temperature. In order to create a controllable temperature difference in the samples the current heating technique has been used. These experimental basics as well as fundamentals of electric and thermoelectric transport are introduced in Part I of this thesis.
The experiments on the thermopower of a single QD are described in Part II. Essentially, they deal with the problem of how a single spin situated on a QD influences the thermoelectric properties of the system. In this context, the Kondo-effect plays a crucial role. Generally, the Kondo effect is the result of a many-body state which arises from an antiferromagnetic coupling of a magnetic impurity with the surrounding conduction electrons. Here, the magnetic impurity is represented by a QD which is occupied with an odd number of electrons so that it exhibits a net spin. For the first time the thermopower of a Kondo-QD has been studied systematically as a function of two parameters, namely the QD coupling energy and the sample temperature. Both parameters are crucial quantities for Kondo-physics to be observed. Based on these data, it is shown that the thermopower line shape as a function of QD energy is mainly determined by two competing contributions: On the one hand by the enhanced density of states around the Fermi level due to Kondo-correlations and on the other hand by thermopower contributions from the Coulomb resonances. Furthermore, the experiments confirm theoretical predictions which claim that the spectral DOS arising from Kondo-correlations shifts away from the Fermi level for those QD level configurations which are not electron-hole symmetric. Comparison with model calculations by T. Costi and V. Zlatic [Phys. Rev. B 81, 235127 (2010)] shows qualitative and partly even quantitative agreement. A finite thermovoltage at the center of the Kondo-region, which occurred in previous investigations, is also observed in the experiments presented here. It is not covered by the current theory of the Kondo effect. The dependence of this signal on temperature, coupling energy and magnetic field, which differ from non-Kondo regions, is analyzed. In order to clarify the physics behind this phenomenon further studies are desirable.
Furthermore, it is shown by variation of the QD coupling energy over a wide range that Kondo-correlations can be detected in the thermopower even in the regime of very weak coupling. In contrast, no Kondo signatures are visible in the conductance in this energy range. It is found that in the limit of weak coupling the Kondo effect causes the thermopower to exhibit a diminished amplitude in close vicinity of a conductance resonance. Subsequent filling of spin-degenerate states then leads to a thermopower amplitude modulation (odd-even-effect). Although this effect had been observed in previous studies, no connection to Kondo physics had been established in order to explain the observations.
Hence, the experiments on a single QD presented in this thesis provide unique insight into the complex interplay of different transport mechanisms in a spin-correlated QD. Moreover, the results confirm the potential of thermopower measurements as a highly sensitive tool to probe Kondo-correlations.
In Part III thermal effects are investigated in systems which contain two coupled QDs.
Such QD-systems are particularly interesting with respect to thermoelectric applications: Many proposals utilize the extremely sharp energy filtering properties of such coupled QDs and also different kinds of inter dot coupling to construct novel and highly efficient thermoelectric devices. In the present work, thermopower characterizations are performed on a tunnel-coupled DQD for the first time. The key result of these investigations is the thermopower stability diagram. Here it is found, that in such a system maximal thermopower is generated in the vicinity of the so-called triple points (TP) at which three charge states of the DQD are degenerate. Along the axis of total energy, which connects two adjacent TP, a typical thermopower line shape is observed. It is explained and modeled within an intuitive picture that assumes two transport channels across the DQD, representing the TP. For those regions which are far away from the TP, the thermopower turns out to be very sensitive to the relative configuration of the QD energies. The conductance and thermopower data are well reproduced within a model that assumes transport via molecular states. Integration of both models into one then allows model calculations for a complete stability cell in conductance and thermopower to be done.
Furthermore, experiments on two capacitively coupled QDs are presented. In these studies the focus lies on testing the feasibility of such systems for the manipulation and generation of charge currents from thermal energy. In a series of experiments it is shown that such a system of QDs can be utilized to increase or decrease a current flowing between two electron reservoirs by varying the temperature in a third reservoir. This effect is based on the cross-correlation of occupation fluctuations of the individual QDs. These are positive for certain QD energy level configurations and negative for others, which increases or decreases the charge current in the experiments, respectively. In the stability diagram this is manifested in a characteristic clover leaf shaped structure of positive and negative current changes in vicinity of the TP. All main experimental results are reproduced qualitatively in simple model calculations. Due to the close analogy between electrical and thermal conductance of a QD, this effect of thermal switching can, in principle, also be used to built a thermal transistor.
Finally, it is shown that a system consisting of two Coulomb-coupled QDs, which couple a hot electron reservoir electrostatically to two cold electron reservoirs, can be utilized as a novel device which extracts heat from its environment and converts it into a directed charge current. The idea of this heat-to-current converter (HCC) was first proposed by R. Sánchez and M. Büttiker [Phys. Rev. B 83, 085428 (2011)]. It is not only characterized by the novelty of its working principle but also by the fact, that it decouples the directions of charge current and energy flow. In the experiments presented here, such HCC-currents are identified unambiguously: For certain QD-level configurations an electric current between the two cold reservoirs is observed if the temperature in the third reservoir is increased. The direction of this current is shown to be independent of an external voltage. In contrast, the direction of the current exhibits a characteristic dependence on the tunneling coefficients of the QDs, as predicted by theory: By adjusting the thickness and the shape of the respective tunnel junctions, a charge current can be generated between two cold reservoirs, and it can even be inverted. The experimental observations are quantitatively reproduced by model calculations by R. Sánchez and B. Sothmann. Thus, the results represent direct evidence for the existence of HCC-currents. Due to the novelty of the working principle of the HCC and its relevance from a fundamental scientific point of view, the results presented here are an important step towards energy harvesting devices at the nano scale.
This thesis is concerned with the statistical physics of various systems far from thermal equilibrium, focusing on universal critical properties, scaling laws and the role of fluctuations. To this end we study several models which serve as paradigmatic examples, such as surface growth and non-equilibrium wetting as well as phase transitions into absorbing states. As a particular interesting example of a model with a non-conventional scaling behavior, we study a simplified model for pulsed laser deposition by rate equations and Monte Carlo simulations. We consider a set of equations, where islands are assumed to be point-like, as well as an improved one that takes the size of the islands into account. The first set of equations is solved exactly but its predictive power is restricted to the first few pulses. The improved set of equations is integrated numerically, is in excellent agreement with simulations, and fully accounts for the crossover from continuous to pulsed deposition. Moreover, we analyze the scaling of the nucleation density and show numerical results indicating that a previously observed logarithmic scaling does not apply. In order to understand the impact of boundaries on critical phenomena, we introduce particle models displaying a boundary-induced absorbing state phase transition. These are one-dimensional systems consisting of a single site (the boundary) where creation and annihilation of particles occur, while particles move diffusively in the bulk. We study different versions of these models and confirm that, except for one exactly solvable bosonic variant exhibiting a discontinuous transition with trivial exponents, all the others display a non-trivial behavior, with critical exponents differing from their mean-field values, representing a universality class. We show that these systems are related to a $(0+1)$-dimensional non-Markovian model, meaning that in nonequilibrium a phase transition can take place even in zero dimensions, if time long-range interactions are considered. We argue that these models constitute the simplest universality class of phase transition into an absorbing state, because the transition is induced by the dynamics of a single site. Moreover, this universality class has a simple field theory, corresponding to a zero dimensional limit of direct percolation with L{\'e}vy flights in time. Another boundary phenomena occurs if a nonequilibrium growing interface is exposed to a substrate, in this case a nonequilibrium wetting transition may take place. This transition can be studied through Langevin equations or discrete growth models. In the first case, the Kardar-Parisi-Zhang equation, which defines a very robust universality class for nonequilibrium moving interfaces, is combined with a soft-wall potential. While in the second, microscopic models, in the corresponding universality class, with evaporation and deposition of particles in the presence of hard-wall are studied. Equilibrium wetting is related to a particular case of the problem, corresponding to the Edwards-Wilkinson equation with a potential in the continuum approach or to the fulfillment of detailed balance in the microscopic models. In this thesis we present the analytical and numerical methods used to investigate the problem and the very rich behavior that is observed with them. The entropy production for a Markov process with a nonequilibrium stationary state is expected to give a quantitative measure of the distance form equilibrium. In the final chapter of this thesis, we consider a Kardar-Parisi-Zhang interface and investigate how entropy production varies with the interface velocity and its dependence on the interface slope, which are quantities that characterize how far the stationary state of the interface is away from equilibrium. We obtain results in agreement with the idea that the entropy production gives a measure of the distance from equilibrium. Moreover we use the same model to study fluctuation relations. The fluctuation relation is a symmetry in the large deviation function associated to the probability of the variation of entropy during a fixed time interval. We argue that the entropy and height are similar quantities within the model we consider and we calculate the Legendre transform of the large deviation function associated to the height for small systems. We observe that there is no fluctuation relation for the height, nevertheless its large deviation function is still symmetric.