abstract: There has been recent interest in demonstrating solar cells which approach the detailed-balance or thermodynamic efficiency limit in order to establish a model system for which mass-produced solar cells can be designed. Polycrystalline CdS/CdTe heterostructures are currently one of many competing solar cell material systems. Despite being polycrystalline, efficiencies up to 21 % have been demonstrated by the company First Solar. However, this efficiency is still far from the detailed-balance limit of 32.1 % for CdTe. This work explores the use of monocrystalline CdTe/MgCdTe and ZnTe/CdTe/MgCdTe double heterostructures (DHs) grown on (001) InSb substrates by molecular beam epitaxy (MBE) for photovoltaic applications. Undoped CdTe/MgCdTe DHs are first grown in order to determine the material quality of the CdTe epilayer and to optimize the growth conditions. DH samples show strong photoluminescence with over double the intensity as that of a GaAs/AlGaAs DH with an identical layer structure. Time-resolved photoluminescence of the CdTe/MgCdTe DH gives a carrier lifetime of up to 179 ns for a 2 µm thick CdTe layer, which is more than one order of magnitude longer than that of polycrystalline CdTe films. MgCdTe barrier layers are found to be effective at confining photogenerated carriers and have a relatively low interface recombination velocity of 461 cm/s. The optimal growth temperature and Cd/Te flux ratio is determined to be 265 °C and 1.5, respectively. Monocrystalline ZnTe/CdTe/MgCdTe P-n-N DH solar cells are designed, grown, processed into solar cell devices, and characterized. A maximum efficiency of 6.11 % is demonstrated for samples without an anti-reflection coating. The low efficiency is mainly due to the low open-circuit voltage (V_oc), which is attributed to high dark current caused by interface recombination at the ZnTe/CdTe interface. Low-temperature measurements show a linear increase in V_oc with decreasing temperature down to 77 K, which suggests that the room-temperature operation is limited by non-radiative recombination. An open-circuit voltage of 1.22 V and an efficiency of 8.46 % is demonstrated at 77 K. It is expected that a coherently strained MgCdTe/CdTe/MgCdTe DH solar cell design will produce higher efficiency and V_oc compared to the ZnTe/CdTe/MgCdTe design with relaxed ZnTe layer. / Dissertation/Thesis / Doctoral Dissertation Electrical Engineering 2014

abstract: GaAs single-junction solar cells have been studied extensively in recent years, and have reached over 28 % efficiency. Further improvement requires an optically thick but physically thin absorber to provide both large short-circuit current and high open-circuit voltage. By detailed simulation, it is concluded that ultra-thin GaAs cells with hundreds of nanometers thickness and reflective back scattering can potentially offer efficiencies greater than 30 %. The 300 nm GaAs solar cell with AlInP/Au reflective back scattering is carefully designed and demonstrates an efficiency of 19.1 %. The device performance is analyzed using the semi-analytical model with Phong distribution implemented to account for non-Lambertian scattering. A Phong exponent m of ~12, a non-radiative lifetime of 130 ns, and a specific series resistivity of 1.2 Ω·cm2 are determined. Thin-film CdTe solar cells have also attracted lots of attention due to the continuous improvements in their device performance. To address the issue of the lower efficiency record compared to detailed-balance limit, the single-crystalline Cd(Zn)Te/MgCdTe double heterostructures (DH) grown on InSb (100) substrates by molecular beam epitaxy (MBE) are carefully studied. The Cd0.9946Zn0.0054Te alloy lattice-matched to InSb has been demonstrated with a carrier lifetime of 0.34 µs observed in a 3 µm thick Cd0.9946Zn0.0054Te/MgCdTe DH sample. The substantial improvement of lifetime is due to the reduction in misfit dislocation density. The recombination lifetime and interface recombination velocity (IRV) of CdTe/MgxCd1-xTe DHs are investigated. The IRV is found to be dependent on both the MgCdTe barrier height and width due to the thermionic emission and tunneling processes. A record-long carrier lifetime of 2.7 µs and a record-low IRV of close to zero have been confirmed experimentally. The MgCdTe/Si tandem solar cell is proposed to address the issue of high manufacturing costs and poor performance of thin-film solar cells. The MBE grown MgxCd1-xTe/MgyCd1-yTe DHs have demonstrated the required bandgap energy of 1.7 eV, a carrier lifetime of 11 ns, and an effective IRV of (1.869 ± 0.007) × 103 cm/s. The large IRV is attributed to thermionic-emission induced interface recombination. These understandings can be applied to fabricating the high-efficiency low-cost MgCdTe/Si tandem solar cell. / Dissertation/Thesis / Doctoral Dissertation Electrical Engineering 2015

abstract: Sb-based type-II superlattices (T2SLs) are potential alternative to HgCdTe for infrared detection due to their low manufacturing cost, good uniformity, high structural stability, and suppressed Auger recombination. The emerging InAs/InAsSb T2SLs have minority carrier lifetimes 1-2 orders of magnitude longer than those of the well-studied InAs/InGaSb T2SLs, and therefore have the potential to achieve photodetectors with higher performance. This work develops a novel method to measure the minority carrier lifetimes in infrared materials, and reports a comprehensive characterization of minority carrier lifetime and transport in InAs/InAsSb T2SLs at temperatures below 77 K. A real-time baseline correction (RBC) method for minority carrier lifetime measurement is developed by upgrading a conventional boxcar-based time-resolved photoluminescence (TRPL) experimental system that suffers from low signal-to-noise ratio due to strong low frequency noise. The key is to modify the impulse response of the conventional TRPL system, and therefore the system becomes less sensitive to the dominant noise. Using this RBC method, the signal-to-noise ratio is improved by 2 orders of magnitude. A record long minority carrier lifetime of 12.8 μs is observed in a high-quality mid-wavelength infrared InAs/InAsSb T2SLs at 15 K. It is further discovered that this long lifetime is partially due to strong carrier localization, which is revealed by temperature-dependent photoluminescence (PL) and TRPL measurements for InAs/InAsSb T2SLs with different period thicknesses. Moreover, the PL and TRPL results suggest that the atomic layer thickness variation is the main origin of carrier localization, which is further confirmed by a calculation using transfer matrix method. To study the impact of the carrier localization on the device performance of InAs/InAsSb photodetectors, minority hole diffusion lengths are determined by the simulation of external quantum efficiency (EQE). A comparative study shows that carrier localization has negligible effect on the minority hole diffusion length in InAs/InAsSb T2SLs, and the long minority carrier lifetimes enhanced by carrier localization is not beneficial for photodetector operation. / Dissertation/Thesis / Doctoral Dissertation Electrical Engineering 2016

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A questão da produtividade das atividades de marketing é um antigo debate da disciplina, porém ganhou destaque nos anos 1990 a partir de uma conjuntura que propiciou questionamentos sobre a eficácia e eficiência dos departamentos de marketing das empresas. Argumentou-se que o marketing deveria ir além das métricas tradicionais e explicitar as consequências de marketing para todos os stakeholders. Nesse sentido, os conceitos de customer equity e customer lifetime value têm se mostrado promissores em fazer a conexão marketing-finanças a partir de uma série de estudos iniciados nos anos 1990. Desde então foram elaboradas inúmeras modelagens a fim de mensurar a contribuição das ações de marketing empiricamente. De fato, evidências apontam para uma real contribuição de marketing dentro da empresa, seja pelo valor da marca, da clientela, da satisfação, lealdade entre outros. No entanto, a diversidade de modelos pode significar um entrave na padronização de cálculo e não existem pesquisas que estudem o impacto do modelo escolhido nos resultados da estimação nem sua implicação para tomada de decisão. A presente tese visou investigar até que ponto existe modelo dependência na estimação do customer equity e customer lifetime value, já que os resultados impactam diretamente na estratégia a ser utilizada pela gerência e, consequentemente, no desempenho da empresa A partir da classificação dos modelos foram comparados aqueles chamados de determinísticos, um grupo de modelos com características semelhantes e implementação simplificada. Os resultados indicam que, no caso da utilização do customer equity para avaliação financeira da empresa a estimação apresenta grande variabilidade, o que indica modelo dependência e a necessidade de aprofundamento metodológico, principalmente em negócios com alta heterogeneidade de margens e retenções. O ciclo de vida do cliente, por sua vez apresenta modelo dependência no que diz respeito a estratégia gerencial para maximizar o mesmo, sendo a seguinte: nos modelos de projeção infinita a retenção de clientes apresenta “prêmio” crescente no ciclo de vida esperado, enquanto que margens de contribuição tem peso maior em ambientes com retenção menor que 50% aproximadamente. Modelos com projeção finita, no entanto, não apresentam essa característica, sendo a retenção sempre a causar maior impacto marginal no valor do ciclo de vida esperado. Esses resultados fornecem evidências para concluirmos que existe modelo dependência na estimação de tais métricas. / The marketing productivity is an old debate in the field and has gained substantial attention since 1990’s as a product of a context that raised questions about the real contribution of marketing, its efficiency and efficacy. Managers argued that marketing should demonstrate its effects beyond traditional metrics and making them available to all business’ stakeholders. In this sense, customer equity and customer lifetime value has been used to make the connection between marketing and finance by 1990’s until now. In fact, research has shown that marketing contributes to firm value by elevating brand equity, customer loyalty and satisfaction, customer equity, among others. However, the large number of customer equity and customer lifetime models can be a difficulty on finding standard methodology, and there are no studies that compare model’s impact on results. This study aims to investigate the dependency of the models in estimating customer equity and customer lifetime value and its consequence on strategy adoption by managers. Starting from a classification proposal, a group of deterministic models were chosen to be compared. Results show that using customer equity for valuation purposes is model dependent, since models present great estimation variability, especially in a heterogeneous context. Customer lifetime value does produce divergent strategies and has model dependency as well: on models of infinite projection retention rates have increasing effect on expected customer lifetime values, but margins are preferred until a retention threshold of fifty percent. This does not occur within a model with finite projection, which retention rates has always more impact than margins. The sum of this results offer evidence that, indeed, model dependency on estimating customer equity and customer lifetime value exists.

A gestão de clientes é um processo que envolve a tomada de decisões estratégicas, que influenciam a composição do portfólio de clientes da companhia, e operacionais, que afetam o relacionamento dos clientes com a empresa no dia a dia. O framework sugerido nesta tese propicia a integração dessas duas perspectivas, permitindo aos gestores alocarem melhor os recursos de marketing, por possibilitarem (a) o incremento da eficiência da carteira de clientes, a partir da sua otimização, e (b) a identificação dos clientes mais propensos a gerarem lucros futuros, com base na modelagem de customer lifetime value (CLV) desenvolvida. A abordagem de otimização do portfólio de clientes foi elaborada para auxiliar os gestores a definirem os segmentos que devem ser alvo dos investimentos de marketing e tem como objetivo indicar a composição da carteira de clientes que proporcionará a rentabilidade, a diversificação do risco e a lucratividade desejadas pelos acionistas. A abordagem sugerida é uma adaptação para o marketing da teoria financeira do portfólio. Foram incluídas restrições específicas para a área de gestão de clientes que asseguram a exequibilidade dos portfólios recomendados, tanto em relação à necessidade de aquisição de clientes ou de redução da participação dos segmentos na carteira, quanto em relação à manutenção da lucratividade da empresa. Ademais, foram incorporadas opções de estimação do retorno, tais como a inclusão da tendência à série com base na modelagem SUR, além de serem avaliadas a utilização de duas proxies para o risco, a variância e o Conditional Value at Risk. De acordo com o framework de gestão de clientes proposto, a implementação das decisões estratégicas é viabilizada a partir da integração da análise dos resultados obtidos pela otimização com a avaliação proporcionada pelo modelo de CLV sugerido. Este, além de englobar a evolução do comportamento do cliente ao longo do relacionamento da empresa, considera o retorno e a matriz de probabilidade de troca de segmento de maneira individualizada. A heterogeneidade da matriz de Markov foi alcançada a partir da combinação convexa da matriz de transição geral com a matriz personalizada de cada cliente, possibilitando, assim, a priorização de clientes pertencentes a um mesmo segmento. O framework sugerido foi aplicado na base de clientes de uma grande empresa que atua nacionalmente na indústria de serviços financeiros. Após a constatação de que os segmentos podem gerar diferentes retornos e representar distintos níveis de risco para a companhia, foi feita a comparação dos resultados dos portfólios recomendados com o realizado. Os portfólios sugeridos desempenharam melhor de maneira consistente em termos de lucratividade e de eficiência, medida a partir do sharpe ratio. Em relação ao modelo de CLV, os resultados foram comparados com os obtidos a partir do modelo de Pfeifer & Carraway (2000), utilizado como ponto de partida para o seu desenvolvimento. As modificações incorporadas, além de possibilitarem a individualização por cliente, aumentaram a precisão da previsão dos valores individuais e a qualidade do ordenamento, mantendo a capacidade de avaliação do valor da base. Para resumir, foi proposto um framework de gestão de clientes que inclui a avaliação do risco, possibilitando aos gestores uma visão holística do negócio e particular de cada cliente. / Customer management is a process that involves strategic decision-making, which influence the composition of the customer portfolio, and operational decision making, which affect the relationship of each customer with the company. The proposed framework provides the integration of the strategic and operational perspectives, empowering managers to better allocate marketing resources as it enables (a) the increase of the efficiency of the customer portfolio, through its optimization, and (b) the identification of the customers that are more likely to bring profit in the future, through the customer lifetime value (CLV) model developed. The customer portfolio optimization method was built to help managers to define the customer segments that should be the target of their marketing investments. Its purpose is to indicate the customer portfolio composition that will provide the return, profitability and risk diversification desired by shareholders. The suggested approach is an adaptation to marketing of financial portfolio theory. In this way, customer management specific constrains were included to ensure the applicability of the recommended portfolios in terms of either the necessity of acquiring new customers or reducing the importance of a given segment in the portfolio as well as in terms of maintaining the company’s profitability. Furthermore, options of estimating return were incorporated such as the inclusion of the trend in the time series based SUR modeling as well as the optimizations were evaluated considering two proxies for risk, variance and Conditional Value at Risk. According to the proposed framework, the implementation of the strategic decisions concerning the changes needed in the customer portfolio become possible through the integration of the results of the optimization with the estimation of the value of each customer provided by the CLV model developed. In this model, besides accounting for the evolution of the customer behavior throughout the duration of his relationship with the company, we also consider, for each customer, his individual return and his individual transition matrix. The heterogeneity of the Markov matrix was reached with a convex combination of the general transition matrix and the personalized matrix of each customer. It, therefore, enables managers to priorize customers of the same segment. The suggested framework was applied to the customer database of a large national company from the financial services industry. Once evidenced that the customer segments can generate different returns and can have different levels of risk for the company, we compared the results of the recommended with the current. The portfolios suggested by the optimization performed consistently better in terms of profitability and efficiency, measured through sharpe ratio. Concerning the CLV model developed, we compared the results with Pfeifer & Carraway (2000) model, which was used as the start point for our model. The improvements implemented not only allowed the estimation of CLV at the individual level, but also increased the precision of the predictions for the customer lifetime values and for the customer ranking, maintaining the quality of the customer equity forecast. To sum up, our proposed framework which includes risk assessment enables marketing managers to have a holistic vision of their customer portfolio and to drilldown into a particular vision of each customer.

A Eletromigração (EM) nas interconexões de metal em um chip é um mecanismo crítico de falhas de confiabilidade em tecnologias de escala nanométrica. Os trabalhos na literatura que abordam os efeitos da EM geralmente estão preocupados com estes efeitos nas redes de distribuição de potência e nas interconexões entre as células. Este trabalho aborda o problema da EM em outro aspecto, no interior das células, e aborda especificamente o problema da eletromigração em interconexões de saída, Vdd e Vss dentro de uma célula padrão onde há poucos estudos na literatura que endereçam esse problema. Até onde sabe-se, há apenas dois trabalhos na literatura que falam sobre a EM no interior das células. (DOMAE; UEDA, 2001) encontrou buracos formados pela EM nas interconexões de um inversor CMOS e então propôs algumas ideias para reduzir a corrente nos segmentos de fio onde formaram-se buracos. O outro trabalho, (JAIN; JAIN, 2012), apenas cita que a EM no interior das células padrão deve ser verificada e a frequência segura das células em diferentes pontos de operação deve ser modelada. Nenhum trabalho da literatura analisou e/ou modelou os efeitos da EM nos sinais dentro das células. Desta forma, este é o primeiro trabalho a usar o posicionamento dos pinos para reduzir os efeitos da EM dentro das células. Nós modelamos a eletromigração no interior das células incorporando os efeitos de Joule heating e a divergência da corrente e este modelo é usado para analisar o tempo de vida de grandes circuitos integrados. Um algoritmo eficiente baseado em grafos é desenvolvido para acelerar a caracterização da EM no interior das células através do cálculos dos valores de corrente média e RMS. Os valores de corrente computados por esse algoritmo produzem um erro médio de 0.53% quando comparado com os valores dados por simulações SPICE. Um método para otimizar a posição dos pinos de saída, Vdd e Vss das células e consequentemente otimizar o tempo de vida do circuito usando pequenas modificações no leiaute é proposto. Para otimizar o TTF dos circuitos somente o arquivo LEF é alterado para evitar as posições de pino críticas, o leiaute da célula não é alterado. O tempo de vida do circuito pode ser melhorado em até 62.50% apenas evitando as posições de pino críticas da saída da célula, 78.54% e 89.89% evitando as posições críticas do pino de Vdd e Vss, respectivamente Quando as posições dos pinos de saída, Vdd e Vss são otimizadas juntas, o tempo de vida dos circuitos pode ser melhorado em até 80.95%. Além disso, nós também mostramos o maior e o menor tempo de vida sobre todos as posições candidatas de pinos para um conjunto de células, onde pode ser visto que o tempo de vida de uma célula pode ser melhorado em até 76 pelo posicionamento do pino de saída. Além disso, alguns exemplos são apresentados para explicar porque algumas células possuem uma melhora maior no TTF quando a posição do pino de saída é alterada. Mudanças para otimizar o leiaute das células são sugeridas para melhorar o tempo de vida das células que possuem uma melhora muito pequena no TTF através do posicionamento dos pinos. A nível de circuito, uma análise dos efeitos da EM é apresentada para as diferentes camadas de metal e para diferentes comprimentos de fios para os sinais (nets) que conectam as células. / Electromigration (EM) in on-chip metal interconnects is a critical reliability failure mechanism in nanometer-scale technologies. Usually works in the literature that address EM are concerned with power network EM and cell to cell interconnection EM. This work deals with another aspect of the EM problem, the cell-internal EM. This work specifically addresses the problem of electromigration on signal interconnects and on Vdd and Vss rails within a standard cell. Where there are few studies in the literature addressing this problem. To our best knowledge we just found two works in the literature that talk about the EM within a cell. (DOMAE; UEDA, 2001) found void formed due to electromigration in the interconnection portion in a CMOS inverter and then proposes some ideas to reduce the current through the wire segments where the voids were formed. The second work, (JAIN; JAIN, 2012), just cites that the standard-cell-internal-EM should be checked and the safe frequency of the cells at different operating points must be modeled. No previous work analyzed and/or modeled the EM effects on the signals inside the cells. In this way, our work is the first one to use the pin placement to reduce the EM effects inside of the cells. In this work, cell-internal EM is modeled incorporating Joule heating effects and current divergence and is used to analyze the lifetime of large benchmark circuits. An efficient graph-based algorithm is developed to speed up the characterization of cell-internal EM. This algorithm estimates the currents when the pin position is moved avoiding a new characterization for each pin position, producing an average error of just 0.53% compared to SPICE simulation. A method for optimizing the output, Vdd and Vss pin placement of the cells and consequently to optimize the circuit lifetime using minor layout modifications is proposed. To optimize the TTF of the circuits just the LEF file is changed avoiding the critical pin positions, the cell layout is not changed. The circuit lifetime could be improved up to 62.50% at the same area, delay, and power because changing the pin positions affects very marginally the routing. This lifetime improvement is achieved just avoiding the critical output pin positions of the cells, 78.54% avoiding the critical Vdd pin positions, 89.89% avoiding the critical Vss pin positions and up to 80.95% (from 1 year to 5.25 years) when output, Vdd, and Vss pin positions are all optimized simultaneously. We also show the largest and smallest lifetimes over all pin candidates for a set of cells, where the lifetime of a cell can be improved up to 76 by the output pin placement. Moreover, some examples are presented to explain why some cells have a larger TTF improvement when the output pin position is changed. Cell layout optimization changes are suggested to improve the lifetime of the cells that have a very small TTF improvement by pin placement. At circuit level, we present an analysis of the EM effects on different metal layers and different wire lengths for signal wires (nets) that connect cells.