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Solid-State Electronics
Textbook:
“Semiconductor Physics and Devices”
By Donald A. Neamen, 1997
Reference:
“Advanced Semiconductor Fundamentals”
By Robert F. Pierret 1987
“Fundamentals of Solid-State Electronics”
By C.-T. Sah, World Scientific, 1994
Homework: 0%
Midterm Exam: 60%
Final Exam: 40%
Solid-State Electronics 1 Instructor: Pei-Wen Li

Chap. 1 Dept. of E. E. NCU
Contents
Chap. 1 Solid State Electronics: A General Introduction

Chap. 2 Introduction to Quantum Mechanics
Chap. 3 Quantum Theory of Solids
Chap. 4 Semiconductor at Equilibrium
Chap. 5 Carrier Motions:
Chap. 6 Nonequilibrium Excess Carriers in Semiconductors
Chap. 7 Junction Diodes　

Chap 1. Solid State Electronics: A General
Introduction
Introduction
Classification of materials
Crystalline and impure semiconductors
Crystal lattices and periodic structure
Reciprocal lattice

Introduction
Solid-state electronic materials:

– Conductors, semiconductors, and insulators,
A solid contains electrons, ions, and atoms, ~1023/cm3.
⇒ too closely packed to be described by classical Newtonian mechanics.
Extensions of Newtonian mechanics:
– Quantum mechanics to deal with the uncertainties from small distances;
– Statistical mechanics to deal with the large number of particles.

Classifications of Materials
According to their viscosity, materials are classified into solids, liquid,

and gas phases.
Solid Liquid Gas

Diffusivity Low Medium High
Atomic density High Medium Low
Hardness High Medium Low
Low diffusivity, High density, and High mechanical strength means

that small channel openings and high interparticle force in solids.

Classification Schemes of Solids
Geometry (Crystallinity v.s. Imperfection)

Purity (Pure v.s. Impure)
Electrical Classification (Electrical Conductivity)
Mechanical Classification (Binding Force)

Geometry
Crystallinity
– Single crystalline, polycrystalline, and amorphous

Geometry
Imperfection
– A solid is imperfect when it is not crystalline (e.g., impure) or its atom are
displaced from the positions on a periodic array of points (e.g., physical defect).
– Defect: (Vacancy or Interstitial)
– Impurity:

Purity
Pure v.s. Impure

Impurity:
– chemical impurities:a solid contains a variety of randomly located foreign atoms,
e.g., P in n-Si.
– an array of periodically located foreign atoms is known as an impure crystal with a
superlattice, e.g., GaAs
Distinction between chemical impurities and physical defects.

Electrical Conductivity
Material type Resistivity Conduction Electron Examples

(Ω-cm) density (cm-3)
Superconductor 0 (low T) 1023 Sn, Pb

0 (high T) Oxides
Good Conductor 10-6 – 10-5 1022 – 1023 metals: K, Na, Cu, Au
Conductor 10-5 – 10-2 1017 – 1022 semi-metal: As, B,

Graphite
Semiconductor 10-2 – 10-9 106 – 1017 Ge, Si, GaAs, InP
Semi-insulator 1010 – 1014 101 – 105 Amorphous Si
Insulator 1014 – 1022 1 – 10 SiO2, Si3N4,

Mechanical Classification
Based on the atomic forces (binding force) that bind the atom together,
the crystals could be divided into:
– Crystal of Inert Gases (Low-T solid):
Van der Wall Force: dipole-dipole interaction
– Ionic Crystals (8 ~ 10 eV bond energy):
Electrostatic force: Coulomb force, NaCl, etc.
– Metal Crystals
Delocalized electrons of high concentration, (1 e/atom)
– Hydrogen-bonded Crystals ( 0.1 eV bond energy)
H2O, Protein molecules, DNA, etc.

Binding Force
Bond energy is a useful parameter to provide a qualitative gauge on

whether
– The binding force of the atom is strong or weak;
– The bond is easy or hard to be broken by energetic electrons, holes, ions, and
ionizing radiation such as high-energy photons and x-ray.
In semiconductors, bonds are covalent or slightly ionic bonds. Each
bond contains two electrons—electron-pair bond.A bond is broken
when one of its electron is removed by impact collision (energetic
particles) or x-ray radiation, —dangling bond.

Semiconductors for Electronic Device Application
For electronic application, semiconductors must be crystalline and

must contain a well-controlled concentration of specific impurities.
Crystalline semiconductors are needed so the defect density is low.
Since defects are electron and hole traps where e--h+ can recombine
and disappear, short lifetime.
The role of impurities in semiconductors:
1. To provide a wide range of conductivity (III- B or V-P in Si).
2. To provide two types of charge carriers (electrons and holes) to
carry the electrical current , or to provide two conductivity types,
n-type (by electrons) and p-type (by holes)
Group III and V impurities in Si are dopant impurities to provide
conductive electrons and holes. However, group I, II, and VI atoms
in Si are known as recombination impurities (lifetime killers)when
their concentration is low.

Crystal Lattices
A crystal is a material whose atoms are situated periodically on

interpenetrating arrays of points known as crystal lattice or lattice
points.
The following terms are useful to describe the geometry of the
periodicity of crystal atoms:
– Unit cell; Primitive Unit Cell
– Basis vectors a, b, c ; Primitive Basic vectors
– Translation vector of the lattice; Rn = n1a +n2b +n3c
– Miller Indices

Basis Vectors
The simplest means of representing an atomic array is by translation.

Each lattice point can be translated by basis vectors, â, b̂ , ĉ.
Translation vectors: can be mathematically represented by the basis

vectors. Rn = n1 â + n2 + n3 ĉ, where n1, n2, and n3 are integers.

Unit Cell
Unit cell: is a small volume of the crystal that can be used to represent
the entire crystal. (not unique)
Primitive unit cell: the smallest unit cell that can be repeated to form
the lattice. (not unique) Example: FCC lattice

Miller Indices
To denote the crystal directions and planes for the 3-d crystals.
Plane (h k l)
Equivalent planes {h k l}
Direction [h k l]
Equivalent directions <h k l>

Miller Indices
To describe the plane by Miller Indices

– Find the intercepts of the plane with x, y, and z axes.
– Take the reciprocals of the intercepts
– Multiply the lowest common denominator = Mliller indices

Example Use of Miller Indices
Wafer Specification (Wafer Flats)

3-D Crystal Structures
In 3-d solids, there are 7 crystal systems (1) triclinic, (2) monoclinic, (3)
orthorhombic, (4) hexagonal, (5) rhombohedral, (6) tetragonal, and (7)
cubic systems.

3-D Crystal Structures
In 3-d solids, there 14 Bravais or space lattices.
N-fold symmetry:
⇒6-fold symmetry
With 2π/n rotation, the
crystal looks the same!
Basic Cubic Lattice
Simple Cubic (SC), Body-Centered Cubic (BCC), and Face-Centered

Cubic (FCC)

Surface Density
Consider a BCC structure and the (110) plane, the surface density is
found by dividing the number of lattice atoms by the surface area;
Surface density = 2 atoms
(a1 )(a1 2 )

Diamond Structure (Cubic System)
Most semiconductors are not in the 7 crystal systems mentioned above.

Elemental Semiconductos: (C, Si, Ge, Sn)
lattice constant a
v 1 1 1 v 1 1 1
a = (− , ,− ), b = ( , ,− )
4 4 4v 4 4 4
v
a •b 1 θ=109.4o
θ = cos −1 v v ,θ = cos −1( ) = 109.4o
a || b | 3
1 1 1
1 1 1 ( , ,− )
(0,0,0)
( − , ,− ) 4 4 4
4 4 4
The space lattice of diamond is fcc. It is composed of two fcc lattices
displaced from each other by ¼ of a body diagonal, (¼, ¼, ¼ )a

Diamond Structure
Or the diamond could be visualized by a bcc with four of the corner

atoms missing.

Zinc Blende Structure (Cubic system)
Compound Semiconductors:
(SiC, SiGe, GaAs, GaP, InP, InAs, InSb, etc)
– Has the same geometry as the diamond structure except that zinc blende crystals
are binary or contains two different kinds of host atoms.

Wurzite Structure (Hexagonal system)
Compound Semiconductors
(ZnO, GaN, ALN, ZnS, ZnTe)
– The adjacent tetrahedrons in zinc blende structure are rotated 60o to give the
wurzite structure.
– The distortion changes the symmetry: cubic →hexagonal
– Distortion also increase the energy gap, which offers the potential for optical device
applications.

Reciprocal Lattice
Every crystal structure has two lattices associated with it, the crystal
lattice (real space) and the reciprocal lattice (momentum space).
The relationship between the crystal lattice vector ( aˆ , bˆ, cˆ ) and
reciprocal lattice vector ( Aˆ , Bˆ , Cˆ ) is
ˆ ˆ
ˆA = 2π bxcˆ ; Bˆ = 2π cˆxaˆ ; Cˆ = 2π aˆxb
aˆ ⋅ bˆxcˆ aˆ ⋅ bˆxcˆ aˆ ⋅ bˆxcˆ
The crystal lattice vectors have the dimensions of [length] and the
vectors in the reciprocal lattice have the dimensions of [1/length],
which means in the momentum space. (k = 2π/λ)
A diffraction pattern of a crystal is a map of the reciprocal lattice of the
crystal.

Example
Consider a BCC lattice and its reciprocal lattice (FCC)
Similarly, the reciprocal lattice of an FCC is BCC lattice.

Chap 2. Introduction to Quantum Mechanics
Principles of Quantum Mechanics

Schrödinger’s Wave Equation
Application of Schrödinger’s Wave Equation
Homework

Introduction
In solids, there are about 1023 electrons and ions packed in

a volume of 1 cm3. The consequences of this highly
packing density :
– Interparticle distance is very small: ~2x10-8 cm.
⇒the instantaneous position and velocity of the particle are no longer
deterministic. Thus, the electrons motion in solids must be
analyzed by a probability theory.
Quantum mechanics ⇔Newtonian mechanics
Schrodinger’s equation: to describe the position probability of a
particle.

Introduction
– The force acting on the j-th particle comes from all the other 1023-1
particles.
– The rate of collision between particles is very high, 1013
collisions/sec
⇒average electron motion instead of the motion of each electron at a
given instance of time are interested. (Statistical Mechanics)
equilibrium statistical mechanics:
Fermi-Dirac quantum-distribution ⇔Boltzmann classical distribution

Principles of Quantum Mechanics
Principle of energy quanta

Wave-Particle duality principle
Uncertainty principle

Energy Quanta
Consider a light incident on a surface of a material as shown below:
Classical theory: as long as the intensity of light is strong enough

⇒photoelectrons will be emitted from the material.
Photoelectric Effect: experimental results shows “NOT”.
Observation:
– as the frequency of incident light ν < νo: no electron emitted.
– as ν > νo:at const. frequency, intensity↑, emission rate↑, K.E. unchanged.
at const. intensity, the max. K. E. ∝ the frequency of incident light.
Quanta and Photon
Planck postulated that thermal radiation is emitted from a heated

surface in discrete energy called quanta. The energy of these quanta is
given by
E = hν, h = 6.625 x 10-34 J-sec (Planck’s constant)
According to the photoelectric results, Einstein suggested that the
energy in a light wave is also contained in discrete packets called
photon whose energy is also given by E = hν.
The maximum K.E. of the photoelectron is Tmax = ½mv2 = hν - hνo
The momentum of a photon, p = h/λ

Wave-Particle Duality
de Broglie postulated the existence of matter waves. He suggested that

since waves exhibit particle-like behavior, then particles should be
expected to show wave-like properties.
de Broglie suggested that the wavelength of a particle is expressed as
λ = h /p, where p is the momentum of a particle
Davisson-Germer experimentally proved de Broglie postulation of
“Wave Nature of Electrons”.

Davisson-Germer Experiment
Consider the experimental setup below:
Observation:
– the existence of a peak in the density of scattered electrons can be
explained as a constructive interference of waves scattered by the periodic
atoms.
– the angular distribution of the deflected electrons is very similar to an
interference pattern produced by light diffracted from a grating.

Conclusion
In some cases, EM wave behaves like particles (photons) and

sometimes particles behave as if they are waves.
⇒Wave-particle duality principle applies primarily to SMALL particles,
e.g., electrons, protons, neutrons.
For large particles, classical mechanics still apply.

Uncertainty Principle
Heisenberg states that we cannot describe with absolute accuracy the

behavior of the subatomic particles.
1. It is impossible to simultaneously describe with the absolute accuracy
the position and momentum of a particle.
∆p ∆x ≥ ħ. (ħ = h/2π = 1.054x10-34 J-sec)
2. It is impossible to simultaneously describe with the absolute accuracy
the energy of a particle and the instant of time the particle has this
energy. ∆E ∆t ≥ ħ
The uncertainty principle implies that these simultaneous
measurements are in error to a certain extent. However, ħ is very small,
the uncertainty principle is only significant for small particles.

Schrodinger’s Wave Equation
Based on the principle of quanta and the wave-particle duality

principle, Schrodinger’s equation describes the motion of electrons in a
crystal.
1-D Schrodinger’s equation,
− h 2 ∂ 2 Ψ ( x, t ) ∂Ψ ( x, t )
⋅ + V ( x ) Ψ ( x , t ) = j h
2m ∂x 2 ∂t
Where Ψ(x,t) is the wave function, which is used to describe the
behavior of the system, and mathematically can be a complex quantity.
V(x) is the potential function.
Assume the wave function Ψ(x,t) = ψ(x)φ(t), then the Schrodinger eq.
Becomes − h2 ∂ 2ψ ( x) ∂φ (t )
φ (t ) + V ( x)ψ ( x)φ (t ) = jhψ ( x)
2m ∂x 2 ∂t

Schrodinger’s Wave Equation
− h 2 1 ∂ 2ψ ( x) 1 ∂φ (t )
+ V ( x ) = j h =E
2m ψ ( x) ∂x 2
φ (t ) ∂t
where E is the total energy, and the solution of the eq. is
and the time-indep. Schrodinger equation can be written as φ (t ) = e − j ( E / h )t
∂ 2ψ ( x) 2m
+ 2 ( E − V ( x))ψ ( x) = 0
∂x 2 h
The physical meaning of wave function:
– Ψ(x,t) is a complex function, so it can not by itself represent a real
physical quantity.
– |Ψ2(x,t)| is the probability of finding the particle between x and
x+dx at a given time, or is a probability density function.
– |Ψ2(x,t)|= Ψ(x,t) Ψ*(x,t) =ψ(x)* ψ(x) = |ψ(x)|2 -- indep. of time

Boundary Conditions
∞ 2
1. ∫−∞
ψ ( x) dx = 1
since |ψ(x)|2 represents the probability density function, then for a
single particle, the probability of finding the particle somewhere is
certain.
If the total energy E and the potential V(x) are finite everywhere,
2. ψ(x) must be finite, single-valued, and continuous.
3. ∂ψ(x)/∂x must be finite, single-valued, and continuous.

Applications of Schrodinger’s Eq.
The infinite Potential Well
In region I, III, ψ(x) = 0, since E is finite and a particle cannot

penetrate the infinite potential barriers.
In region II, the particle is contained within a finite region of space and
V = 0. 1-D time-indep. Schrodinger’s eq. becomes
∂ 2ψ ( x) 2mE
+ 2 ψ ( x) = 0
∂x 2 h
the solution is given by
2mE
ψ ( x) = A1 cos Kx + A2 sin Kx, where K =
h2
Infinite Potential Well
Boundary conditions:
1. ψ(x) must be continuous, so that ψ(x = 0) = ψ(x = a) = 0
⇒A1 = A2sinKa ≡ 0 ⇒ K = nπ/a, where n is a positive integer.
∞ 2
a 2
2. ∫−∞ ψ ( x ) dx = 1 ⇒ ∫ A2
2
sin
0
2
Kxdx = 1 ⇒ A2 =
a
So the time-indep. Wave equation is given by
2 nπx
ψ ( x) = sin( ) where n = 1,2,3...
a a
The solution represents the electron in the infinite potential well is in a
standing waveform. The parameter K is related to the total energy E,
therefore, h 2 n 2π 2
E = En = where n is a positive integer
2ma 2

Infinite Potential Well
That means that the energy of the particle in the infinite potential well
is “quantized”. That is, the energy of the particle can only have
particular discrete values.

The Step Potential Function
Consider a particle being incident on a step potential barrier:
In region I, V = 0,
And the general solution of this equation is
∂ 2ψ 1 ( x) 2mE
+ 2 ψ 1 ( x) = 0
∂x 2
h
2mE
ψ 1 ( x) = A1e jK x + B1e − jK x ( x ≤ 0) where K1 =
1 1
h2
In region II, V = Vo, if we assume E < Vo, then
∂ 2ψ 2 ( x) 2m
− (Vo − E )ψ 2 ( x) = 0
2 2
∂x h
The Step Potential Function
The general solution is in the form

2m(Vo − E )
ψ 2 ( x) = A2e − K 2 x + B2e + K 2 x ( x ≥ 0) where K 2 =
h2
Boundary Conditions:
– ψ2(x) must remain finite, ⇒B2 ≡ 0 ⇒ ψ 2 ( x) = A2e − K 2 x ( x ≥ 0)
– ψ(x) must be continuous, i.e., ψ1(x = 0) = ψ2(x = 0) ⇒A1+B1 = A2
– ∂ψ(x)/ ∂x must be continuous, i.e., ∂ψ 1 =
∂ψ 21 ⇒ jK1 A1 − jK1 B1 = − K 2 A2
∂x x =0 ∂x x =0
A1, B1, and A2 could be solved from the above equations.

The Potential Barrier
Consider the potential barrier function as shown:

Assume the total energy of an incident particle
E < Vo, as before, we could solve the
Schrodinger’s equations in each region, and obtain
ψ 1 ( x) = A1e jK x + B1e − jK x
1 1
ψ 2 ( x) = A2e K 2 x + B2e − K 2 x 2mE 2m(Vo − E )

where K1 = and K =
ψ 3 ( x) = A3e jK x + B3e − jK x
2
1 1
h2 h2
We can solve B1, A2, B2, and A3 in terms of A1 from boundary
conditions:
– B3 = 0 , once a particle enters in region III, there is no potential
changes to cause a reflection, therefore, B3 must be zero.
– At x = 0 and x = a, the corresponding wave function and its first
derivative must be continuous.

The Potential Barrier
The results implies that there is a finite probability that a particle will
penetrate the barrier, that is so called “tunneling”.
The transmission coefficient is defined by T = A3 ⋅ A *
3
A1 ⋅ A1*
If E<<Vo,  E  E
T ≅ 16 1 −  exp(− 2 K 2 a )
 Vo  Vo 
This phenomenon is called “tunneling” and it violates classical
mechanics.

One-Electron Atom
Consider the one-electron atom potential function due to the coulomb

attraction between the proton and electron: V (r ) = − e
2
4πε o r
Then we can generalize the Schrodinger’s eq. to 3-D in spherical

coordinates:
1 ∂ 2 ∂ψ 1 ∂ 2ψ 1 ∂ ∂ψ 2mo
⋅ ( r ) + ⋅ + ⋅ (sin θ ⋅ ) + ( E − V (r ))ψ = 0
r 2 ∂r ∂r r 2 sin 2 θ ∂φ 2 r 2 sin 2 θ ∂θ ∂θ h2
Assume the solution to the equation can be written as

ψ (r ,θ , φ ) = R(r ) ⋅ Θ(θ ) ⋅ Φ(φ )
Then the solution Φ is of the form, Φ = ejmφ, where m is an integer.

One-Electron Atom
Similarly, we can generate two additional constants n and l for the

variables θ and r. n, l, and m are known as quantum numbers (integers)
n = 1,2,3,...
l = n − 1, n − 2, n − 3,...,0 , each set of quantum numbers corresponds to a
m = l , l − 1,...,0 quantum state which the electron may occupy.
The solution of the wave equation is designated by ψnlm. For the lowest
energy state (n=1, l=0, m=0),
3/ 2
1 1
ψ 100 = ⋅   e − r / ao where ao = 0.529 angstrom
π  ao 
− mo e 4
The electron energy E is quantized, En =
(4πε o )2 2h 2 n 2

One Electron Atom
The probability density function, or the probability of finding the

electron at a particular distance form the nucleus, is proportional to
ψ100ψ*100 and also to the differential volume of the shell around the
nucleus.
The electron is not localized at a given radius.

Homework
2.1
2.15
2.23

Chap 3. Introduction to Quantum Theory of
Solids
Allowed and Forbidden Energy Bands
k-space Diagrams
Electrical Conduction in Solids
Density of State Functions
Statistical Mechanics
Homework

Preview
Recall from the previous analysis that the energy of a bound electron is
quantized. And for the one-electron atom, the probability of finding the
electron at a particular distance from the nucleus is not localized at a
given radius.
Consider two atoms that are in close proximity to each other. The
wave functions of the two atom electrons overlap, which means that
the two electrons will interact. This interaction results in the discrete
quantized energy level splitting into two discrete energy levels.

Formation of Energy Bands
Consider a regular periodic arrangement of atoms in which each atoms

contains more than one electron. If the atoms are initially far apart, the
electrons in adjacent atoms will not interact and will occupy the
discrete energy levels.
If the atoms are brought closer enough, the outmost electrons will
interact and the energy levels will split into a band of allowed energies.

Formation of Energy Bands

Kronig-Penny Model
The concept of allowed and forbidden energy levels can be developed

by considering Schrodinger’s equation.
Kronig-Penny Model

Kronig-Penny Model
The Kronig-Penny model is an idealized periodic potential

representing a 1-D single crystal.
We need to solve Schrodinger’s equation in each region.
To obtain the solution to the Schrodinger’s equation, we make use of
Bloch theorem. Bloch states that all one-electron wave functions,
involving periodically varying potential energy functions, must be of
the form, ψ(x) = u(x)ejkx, u(x) is a periodic function with period (a+b)
and k is called a constant of the motion.
The total wave function Ψ(x,t) may be written as Ψ(x,t) = u(x)ej(kx-(E/ħ)t).
In region I (0 < x < a), V(x) = 0, then Schrodinger’s equation becomes
d 2u1 ( x) du ( x) 2mE
+ 2 jk 1 − (k 2 − α 2 )u1 ( x) = 0 , α 2 ≡ 2
dx dx h

Kronig-Penny Model
The solution in region I is of the form,

u1 ( x) = Ae j (α − k ) x + Be − j (α + k ) x for 0 < x < a
In region II (-b < x < 0), V(x) = Vo, and apply Schrodinger’s eq.
d 2u 2 ( x) du ( x) 2m V
+ 2 jk 2 − (k 2 − β 2 )u2 ( x) = 0 , β 2 ≡ α 2 − o2 o
dx dx h
The solution for region II is of the form,
u2 ( x) = Ce j ( β − k ) x + De − j ( β + k ) x for -b < x < 0
Boundary conditions:
u1 (0) = u 2 (0) ⇒ A + B − C − D = 0
du1 du2
= ⇒ (α − k )A − (α + k )B − (β − k )C + (β + k )D = 0
dx x =0 dx x =0
u1 (a) = u2 (−b) ⇒ Ae j (α − k ) a + Be − j (α + k ) a − Ce − j ( β − k ) b − De j ( β + k ) b = 0
du1 du2
= ⇒ (α − k )Ae j (α − k ) a − (α + k )Be − j (α + k ) a − (β − k )Ce − j ( β − k )b + (β + k )De j ( β + k )b = 0
dx x=a dx x=−b
Kronig-Penny Model
There is a nontrivial solution if, and only if, the determinant of the
coefficients is zero. This result is
− 1 ≤ f (ξ ≡ E / Vo ) =
(
− α2 + β2 )
(sin αa )(sin βb) + (cos αa )(cos βb) = cos k (a + b) ≤ 1
2αβ
The above equation relates k to the total energy E (through α) and the
potential function Vo (through β). The allowed values of E can be
determined by graphical or numerical methods.

Kronig-Penny Model
Recall -1≤cosk(a+b)≤1, so E-values which cause f(ξ) to lie in the range

-1≤ f(ξ) ≤1 are the allowed system energies.—
The ranges of allowed energies are called energy bands; the excluded
energy ranges (|f(ξ)|≥1) are called the forbidden gaps or bandgaps .
The energy bands in a crystal can be visualized by

Energy 4
3
2
1

E-k Diagram

k-space Diagram
Consider the special case for which Vo = 0, (free particle case)

⇒ cosα(a+b) = cosk(a+b), i.e., α = k,
1
2m( mv 2 )
2mE 2 p ,where p is the particle momentum
⇒α = = = =k
h2 h2 h and k is referred as a wave number.
We can also relate the energy and momentum as E = k2ħ2/2m

E-k diagram
More interesting solution occur for E < Vo (β = jγ), which applies to

the electron bound within the crystal. The result could be written as
γ 2 −α 2
(sin αa )(sinh γb) + (cos αa )(cosh γb) = cos k (a + b)
2αγ
Consider a special case, b→0, Vo →∞, but bVo is finite, the above eq.
becomes sin αa mV ba  
P' + cos αa = cos ka, P ' ≡  o

αa  h2

The solution of the above equation results in a band of allowed
energies.

E-k diagram
sin αa
Consider the function of f (αa) = P' + cos αa graphically,
αa

E-k diagram
E-k diagram could be generated from the above figure.
This shows the concept of the allowed energy bands for the particle
propagating in the crystal.
Reduced k-space

Electrical Conduction in Solids
the Bond Model
Energy Band
E-K diagram of a semiconductor

Drift Current
If an external force is applied to the electrons in the conduction band

and there are empty energy states into which the electrons can move,
electrons can gain energy and a net momentum.
n
The drift current due to the motion of electrons is J = −e∑ vi
i =1
where n is the number of electrons per volume and vi is the electron
velocity in the crystal.

Electron Effective Mass
The movement of an electron in a lattice will be different than that of

an electron in free space. There are internal forces in the crystal due to
the positively charged ions or protons and electrons, which will
influence the motion of electrons in the crystal. We can write
Ftotal = Fext + Fint = ma
Since it is difficult to take into account of all of the internal forces, we
can write F = m* a
ext
m* is called the effective mass which takes into account the particle
mass and the effect of the internal forces.

Effective mass, E-k diagram
Recall for a free electron, the energy and momentum are related by
p 2 h 2k 2 dE h 2 k hp 1 dE p
E= = ⇒ = = ⇒ = =v
2m 2m dk m m h dk m
– So the first derivative of E w.r.t. k is related to the velocity of the particle.
In addition, d 2E h2 1 d 2E 1
= ⇒ 2 =
dk 2 m h dk 2 m
– So the second derivative of E w.r.t. k is inversely proportional to the mass
of the particle.
In general, the effective
mass could be related to
1 1 d 2E
=
m* h 2 dk 2

Effective mass, E-k diagram
m* >0 near the bottoms of all band; m* <0 near the tops of all bands
m* <0 means that, in response to an applied force, the electron will accelerate
in a direction opposite to that expected from purely classical consideration.
In general, carriers are populated near the top or bottom band edge in a
semiconductor—the E-k relationship is typically parabolic and, therefore,
d 2E
= constant ...E near E edge
dk 2
thus carriers with energies near the top or bottom of an energy band typically
exhibit a CONSTANT effective mass
Concept of Hole

Extrapolation of Concepts to 3-D
Brilliouin Zones: is defined as a Wigner-Seitz cell in the reciprocal lattice.
Γ point: Zone center (k = 0) ⇒ (0 0 0 )

X point: Zone-boundary along a <1 0 0 >
2π
direction ⇒ a (1,0,0) 6 symmetric points
(1 0 0) (-1 0 0) (0 1 0) (0 -1 0) (0 0 1) (0 0 -1)
L point: Zone-boundary along a <1 1 1>
direction ⇒ 2π ( 1 , 1 , 1 ) 8 symmetric points
a 2 2 2
Γ, X, and L points are highly symmetric ⇒ energy stable states ⇒ carriers

accumulate near these points in the k-space.

E-k diagram of Si, Ge, GaAs

Energy Band
Valence Band:
– In all cases the valence-band maximum occurs at the zone center, at k = 0
– is actually composed of three subbands. Two are degenerate at k = 0,
while the third band maximizes at a slightly reduced energy.
The k = 0 degenerate band with the smaller curvature about k = 0 is called
“heavy-hole” band, and the k = 0 degenerate band with the larger
curvature is called “light-hole” band. The subband maximizing at a
slightly reduced energy is the “split-off” band.
– Near k = 0 the shape and the curvature of the subbands is essentially
orientation independent.

Energy Band
Conduction band:
– is composed of a number of subbands. The various subbands exhibit
localized and abssolute minima at the zone center or along one of the
high-symmetry diirections.
– In Ge the conduction-band minimum occurs right at the zone boundary
along <111> direction. ( there are 8 equivalent conduction-band minima.)
– The Si conduction-band minimum occurs at k~0.9(2π/a) from the zone
center along <100> direction. (6 equivalent conduction-band minima)
– GaAs has the conduction-band minimum at the zone center directly over
the valence-band maximum. Morever, the L-valley at the zone boundary
<111> direction lies only 0.29 eV above the conduction-band minimum.
Even under equilibrium, the L-valley contains a non-negligible electron
population at elevated temp. The intervalley transition should be taken
into account.

Metal, Semiconductor, and Insulator
Insulator Semiconductor Metal

The k-space of Si and GaAs
Direct bandgap: the valence band maximum and the conduction band
minimum both occur at k = 0. Therefore, the transition between the
two allowed bands can take place without change in crystal momentum.
Constant-Energy Surfaces
A 3-D k-space plot of all the allowed k-values associated with a given
energy E. The geometrical shapes, being associated with a given
energy, are called constant-energy surfaces (CES).
Consider the CES’s characterizing the conduction-band structures near
Ec in Ge, Si, and GaAs.
(a) Constant-energy surfaces (b) Ge surface at the

Brillouin-zone boundaries.
Constant-Energy Surfaces of Ec
For Ge, Ec occurs along each of the 8 equivalent <111> directions; a

Si conduction band minimum, along each of 6 equivalent <100>
directions. For GaAs, Ec is positioned at the zone center, giving rise to
a single constant-energy surface.
For energy slightly removed from Ec:
E-Ec ≈ Ak12+Bk22+Ck32,
where k1, k2, k3 are k-space coordinates measured from the center of a band
minimum along principle axes.
For example: Ge, the k1, k2, k3 coordinate system would be centered at the
[111] L-point and one of the coordinate axes, say k1-axis, would be directed
along the kx-ky-kz [111] direction.
For GaAs, A = B = C, exhibits spherical CES;
For Ge and Si, B=C, the CES’s are ellipsoids of revolution.

Effective Mass
In 3-D crystals the electron acceleration arising from an applied force

is analogously by dv 1
= * ⋅F
dt m
 mxx−1 mxy−1 mxz−1 
where 1  −1 −1 −1
 1 ∂2E
−1
m = 2 ..i, j = x, y , z
=  m yx m yy m yz  ij
h ∂ki ∂k j
m *  −1 −1 −1 
 mzx mzy mzz 
2A
For GaAs, E − Ec = A(k x2 + k y2 + k z2 ) , so mij = 0 if i≠j, and mxx−1 = m −yy1 = mzz−1 =
h2
therefore, we can define mii=me*, that is the the effective mass tensor reduces
to a scalar, giving rise to an orientation-indep. equation of motion like that of a
classical particle. h2
⇒ E − Ec = 2
(k x + k y + k z )
2 2
2m 2
e

Effective Mass
For Si and Ge: E-Ec = Ak12+B(k22+k32)

so mij = 0 if i≠j, and mxx−1 = 2 A2 , myy−1 = mzz−1 = 2 B2
h h
Because m11 is associated with the k-space direction lying along the
axis of revolution, it is called the longitudinal effective mass ml*.
Similarly, m22 = m33, being associated with a direction perpendicular to
the axis of revolution, is called the transverse effective mass mt*.
h2 2 h2
⇒ E − Ec = k1 + ( k 2
2 + k 2
3 )
2ml2
2mt
2

Effective Mass
The relative sizes of ml* and mt* can be deduced by inspection of the Si
and Ge constant-energy plots.
 length of the elliosoid 
 
m 
*
along the axis of revolution 
l
= 
m*
max. width of the ellipsoid
t
 
 perpendicu lar to the axis of revolution 
For both Ge and Si, ml* > mt*. Further, ml*/mt* of Ge > ml*/mt* of Si.
The valence-band structure of Si, Ge, and GaAs are approximately
spherical and composed of three subbands. Thus, the holes in a given
subband can be characterized by a single effective mass parameter, but
three effective mass (mhh*, mlh*, and mso*) are required to characterize
the entire hole population. The split-off band, being depressed in
energy, is only sparsely populated and is often ignored.

Effective Mass measurement
The near-extrema point band structure, multiplicity and orientation of

band minima, etc. were all originally confirmed by cyclotron
resonance measurement.
Resonance experiment is performed in a microwave resonance
cavity at temperature 4K. A static B field and an rf E-field
oriented normal to B are applied across the sample. The carriers
in the sample will move in an orbit-like path about the direction
of B and the cyclotron frequency ωc = qB/mc. When the B-field
strength is adjusted such that ωc = the ω of the rf E-field, the carriers
absorb energy from the E-field (in resonance). ⇒m= qB/ωc
Repeating the different B-field orientations allows one to separate out the
effective mass factors (ml* and mt*)

Effective Mass of Si, Ge, and GaAs

Density of State Function
To calculate the electron and hole concentrations in a material, we

must determine the density of these allowed energy states as a function
of energy.
Electrons are allowed to move relatively freely in the conduction band
of a semiconductor but are confined to the crystal.
To simulate the density of allowed states, consider an appropriate
model: A free electron confined to a 3-D infinite potential well, where
the potential well represents the crystal.
The potential of the well is defined as
V(x,y,z) = 0 for 0<x<a, 0<y<a, 0<z<a, and V(x,y,z) = ∞ elsewhere
Solving the Schrodinger’s equation, we can obtain
2mE 2 π 
2
⇒ 2 2
= k = k x + k y + k z = (nx + n y + nz ) 2 
2 2 2 2
h2 a 
The volume of a single quantum state is Vk =(π/a)3, and the differential

volume in k-space is 4πk2dk
Therefore, we can determine the density of quantum states in k-space
 1  4πk dk k dk 3
2 2
as
gT (k )dk = 2  = 2 ⋅a
  π 
8 3
π
 
a
– The factor, 2, takes into account the two spin states allowed for each
quantum state; the next factor, 1/8, takes into account that we are
considering only the quantum states for positive values of kx, ky, and kz.

2mE
Recall that k2 =
h2
We can determine the density of states as a function of energy E by
4π 3
gT ( E )dE = ⋅ ( 2 m ) 2
⋅ E ⋅ dE ⋅ a 3
h 3
Therefore, the density of states per unit volume is given by

4π 3
gT ( E )dE = ⋅ ( 2 m ) 2
⋅ E ⋅ dE
h 3
Extension to semiconductors, the density of states in conduction band

is modified as 4π 3
gc (E) =
* 2
⋅ (2mn ) ⋅ E − Ec
h 3
and the density of states in valence band is modified as

4π 3
gv (E) = ⋅ ( 2 m *
p ) 2
⋅ E − Ev
h 3

mn* and mp* are the electron and hole density of states effective masses.
In general, the effective mass used in the density of states expression
must be an average of the band-structure effective masses.
Density of States Effective Mass
Conduction Band--GaAs: the GaAs conduction band structure is

approximately spherical and the electronss within the band are
characterized by a single isotropic effective mass, me*, ⇒ mn* = me*...GaAs
Conduction Band--Si, Ge: the conduction band structure in Si and Ge
is characterized by ellipsoidal energy surfaces centered, respectively,
at points along the <100> and <111> directions in k-space.
mn* = 6 3 (ml*mt*2 ) 3 ...Si
2 1
mn* = 4 3 (ml*mt*2 ) 3 ...Ge

2 1
Valence Band--Si, Ge, GaAs: the valence band structures are al

characterized by approximately spherical constant-energy surfaces
(degenerate). * *
[
m p = (mhh ) + (mlh )
*
3
2
3
2
]
2
3

Density of States Effective Mass

Statistics Mechanics
In dealing with large numbers of particles, we are interested only in the

statistical behavior of the whole group rather than in the behavior of
each individual particle.
There are three distribution laws determining the distribution of
particles among available energy states.
Maxwell-Boltzmann probability function:
– Particles are considered to be distinguishable by being numbered for 1 to
N with no limit to the number of particles allowed in each energy state.
Bose-Einstein probability function:
– Particles are considered to be indistinguishable and there is no limit to the
number of particles permitted in each quantum state. (e.g., photons)
Fermi-Dirac probability function:
– Particles are indistinguishable but only one particle is permitted in each
quantum state. (e.g., electrons in a crystal)

Fermi-Dirac Distribution
Fermi-Dirac distribution function gives the probability that a quantum

state at the energy E will be occupied by an electron.
1
f (E) =
E −E F
1 + exp( )
kT
the Fermi energy (EF) determine the statistical distribution of electrons

and does not have to correspond to an allowed energy level.
At T = 0K, f(E < EF) = 1 and f(E >EF ) = 0, electrons are in the lowest
possible energy states so that all states below EF are filled and all states
above EF are empty.

Fermi-Dirac Distribution, at T=0K

Fermi-Dirac Distribution
For T > 0K, electrons gain a certain amount of thermal energy so that
some electrons can jump to higher energy levels, which means that the
distribution of electrons among the available energy states will change.
For T > 0K, f(E = EF) = ½

Boltamann Approximation
Consider T >> 0K, the Fermi-Dirac function could be approximated by

1  − ( E − EF ) 
f (E) = ≈ exp  
E −E F  kT 
1 + exp( )
kT
which is known as the Maxwell-Boltzmann approximation.

Homework
3.5
3.8
3.16

Chap 4. Semiconductor in Equilibrium
Carriers in Semiconductors
Dopant Atoms and Energy Levels
Extrinsic Semiconductor
Statistics of Donors and Acceptors
Charge Neutrality
Position of Fermi Energy

Equilibrium Distribution of Electrons and Holes
The distribution of electrons in the conduction band is given by the

density of allowed quantum states times the probability that a state will
be occupied.
n( E ) = g c ( E ) f ( E )
The thermal equilibrium conc. of electrons no is given by

∞
no = ∫ g c ( E ) f ( E )
Ec
Similarly, the distribution of holes in the valence band is given by the
density of allowed quantum states times the probability that a state will
not be occupied by an electron.
p ( E ) = g v ( E )[1 − f ( E )]
And the thermal equilibrium conc. Of holes po is given by
Ev
po = ∫ g v ( E )[1 − f ( E )]
−∞

Equilibrium Distribution of Electrons and Holes

The no and po eqs.
Recall the thermal equilibrium conc. of electrons

∞
no = ∫ g c ( E ) f ( E )
Ec
Assume that the Fermi energy is within the bandgap. For electrons in
the conduction band, if Ec-EF >>kT, then E-EF>>kT, so the Fermi
probability function reduces to the Boltzmann approximation,
[−( E − EF )]
f ( E ) ≅ exp
kT
Then
no = ∫
∞ (
4π 2mn* )
32
 − ( E − EF ) 
E − Ec exp 
 2πmn* kT 
dE = 2 
32
 − ( Ec − E F ) 
exp 
 
h3    
2
Ec kT  h  kT
32
 2πmn* kT 
We may define N c = 2 h 2  , (at T =300K, Nc ~1019 cm-3), which
 
is called the effective density of states function in the conduction band
The no and po eqs.
The thermal equilibrium conc. of holes in the valence band is given by

Ev
po = ∫ g v ( E )[1 − f ( E )]
−∞
For energy states in the valence band, E<Ev. If (EF-Ev)>>kT,
[−( E F − E )]
1 − f ( E ) ≅ exp
Then, kT
po = ∫
Ev (
4π 2m p)
* 32
 − ( EF − E ) 
Ev − E exp 
 2πm*p kT 
dE = 2 
32
 − ( E F − Ev ) 
exp 
   
h3    
−∞ 2
kT  h  kT
32
 2πm*p kT 
We may define N v = 2 h 2  , (at T =300K, Nv ~1019 cm-3), which
 
is called the effective density of states function in the valence band

nopo product
The product of the general expressions for no and po are given by

 − ( Ec − E F )   − ( E F − Ev )   − Eg 
no po = N c exp  ⋅
 v N exp   = N N
c v exp  kT 
 kT   kT   
⇒ for a semiconductor in thermal equilibrium, the product of no and po is
always a constant for a given material and at a given temp.
Effective Density of States Function

Intrinsic Carrier Concentration
For an intrinsic semiconductor, the conc. of electrons in the conduction

band, ni, is equal to the conc. of holes in the valence band, pi.
The Fermi energy level for the intrinsic semiconductor is called the
intrinsic Fermi energy, EFi.
For an intrinsic semiconductor,
32
 2πmn* kT   − ( Ec − E Fi )   − ( Ec − E Fi ) 
no = ni = 2 
 exp   = N c exp  
   
2
 h  kT kT
32
 2πm*p kT   − ( E Fi − Ev )   − ( E Fi − Ev ) 
po = pi = 2  exp   = N exp  
 h2   kT 
v
 kT 
 
 − Eg 
⇒ n = N c N v exp 
2
i , where E g is the bandgap energy
 kT 
For an given semiconductor at a constant temperature, the value of ni is
constant, and independent of the Fermi energy.

Intrinsic Carrier Conc.
Commonly accepted values

of ni at T = 300 K
Silicon ni = 1.5x1010 cm-3
GaAs ni = 1.8x106 cm-3
Germanium ni = 1.4x1013 cm-3

Intrinsic Fermi-Level Position
For an intrinsic semiconductor, ni = pi,

− ( Ec − E Fi ) − ( EFi − Ev )
⇒ N c exp[ ] = N v exp[ ]
kT kT
1 3 Nv 1 3 m*p
⇒ E Fi = ( Ec + Ev ) + kT ln( ) = ( Ec + Ev ) + kT ln( * )
2 4 Nc 2 4 mn
Emidgap =(Ec+Ev)/2: is called the midgap energy.
If mp* = mn*, then EFi = Emidgap (exactly in the center of the bandgap)
If mp* > mn*, then EFi > Emidgap (above the center of the bandgap)
If mp* < mn*, then EFi < Emidgap (below the center of the bandgap)

Dopant and Energy Levels

Acceptors and Energy Levels

Ionization Energy
Ionization energy is the energy required to elevate the donor electron

into the conduction band.

Adding donor or acceptor impurity atoms to a semiconductor will

change the distribution of electrons and holes in the material, and
therefore, the Fermi energy position will change correspondingly.
Recall − (E − E ) − (E − E )
   
ni = N c exp  c Fi
 = N v exp 
Fi v

 kT   kT 
 − ( Ec − E F )   − ( Ec − EFi ) + ( EF − EFi ) 
no = N c exp   = N c exp  
 kT   kT 
 − ( E F − Ev )   − ( E F − E Fi ) + ( Ev − EFi ) 
po = N v exp   = N v exp  
 kT   kT 
 E − E Fi   − ( E F − E Fi ) 
⇒ no = ni exp  F  and p o = ni exp  
 kT   kT 

When the donor impurity atoms are added, the density of electrons is
greater than the density of holes, (no > po) ⇒ n-type; EF > EFi
When the acceptor impurity atoms are added, the density of electrons
is less than the density of holes, (no < po) ⇒ p-type; EF < EFi

Degenerate and Nondegenerate
If the conc. of dopant atoms added is small compared to the density of

the host atoms, then the impurity are far apart so that there is no
interaction between donor electrons, for example, in an n-material.
⇒nondegenerate semiconductor
If the conc. of dopant atoms added increases such that the distance
between the impurity atoms decreases and the donor electrons begin to
interact with each other, then the single discrete donor energy will split
into a band of energies. ⇒EF move toward Ec
The widen of the band of donor states may overlap the bottom of the
conduction band. This occurs when the donor conc. becomes
comparable with the effective density of states, EF ≥ Ec
⇒degenerate semiconductor

Degenerate and Nondegenerate

Statistics of Donors and Acceptors
The probability of electrons occupying the donor energy state was

given by N
nd = d
, g : degeneracy factor
1 E − EF
1 + exp( d )
g kT
where Nd is the conc. of donor atoms, nd is the density of electrons
occupying the donor level and Ed is the energy of the donor level. g =2
since each donor level has two spin orientation, thus each donor level
has two quantum states.
Therefore the conc. of ionized donors Nd+ = Nd –nd
Similarly, the conc. of ionized acceptors Na- = Na –pa, where
Na
pa = , g = 4 for the acceptor level in Si and GaAs
1 E F − Ea
1 + exp( )
g kT
Complete Ionization
If we assume Ed-EF>> kT or EF-Ea >> kT (e.g. T= 300 K), then

 − ( Ed − E F ) 
nd ≈ 2 N d exp   ⇒ N d+ = N d − nd ≅ N d
 kT 
 − ( E F − Ea ) 
pa ≈ 4 N a exp   ⇒ N a− = N a − pa ≅ N a
 kT 
that is, the donor/acceptor states are almost
completely ionized and all the donor/acceptor
impurity atoms have donated an electron/hole
to the conduction/valence band.

Freeze-out
At T = 0K, no electrons from the donor state are thermally elevated

into the conduction band; this effect is called freeze-out.
At T = 0K, all electrons are in their lowest possible energy state; that is
for an n-type semiconductor, each donor state must contain an electron,
therefore, nd = Nd or Nd+ = 0, which means that the Fermi level must be
above the donor level.

Charge Neutrality
In thermal equilibrium, the semiconductor is electrically neutral. The

electrons distributing among the various energy states creating
negative and positive charges, but the net charge density is zero.
Compensated Semiconductors: is one that contains both donor and
acceptor impurity atoms in the same region. A n-type compensated
semiconductor occurs when Nd > Na and a p-type semiconductor
occurs when Na > Nd.
The charge neutrality condition is expressed by
no + N a− = po + N d+
where no and po are the thermal equilibrium conc. of e- and h+ in the
conduction band and valence band, respectively. Nd+ is the conc. Of
positively charged donor states and Na- is the conc. of negatively
charged acceptor states.

Compensated Semiconductor

If we assume complete ionization, Nd+ = Nd and Na- = Na, then

ni2
no + N a = po + N d , recall po =
ni2 no
no + N a = + N d ⇒ no − ( N d − N a )no − ni2 = 0
2
nn
⇒ no
(N − N a ) +
= d
 Nd − Na 
2
  + ni
2
2  2 
If Na = Nd = 0, (for the intrinsic case), ⇒no = po

If Nd >> Na, ⇒no = Nd
If Na > Nd, ⇒ po (N − N d ) +
= a
 Na − Nd 
2
  + ni is used to
2
2  2 
calculate the conc. of holes in valence band


Position of Fermi Level
The position of Fermi level is a function of the doping concentration

and a function of temperature, EF(n, p, T).
Assume Boltzmann approximation is valid, we have
− ( Ec − E F )
 and p = N exp − (E F − Ev ) 
no = N c exp 
 kT  o v  kT 
N  N 
⇒ Ec − E F = kT ln c  and EF − Ev = kT ln v 
 no   po 
n  p 
or E F − E Fi = kT ln o  and EFi − Ev = kT ln o 
 ni   ni 

EF(n, p, T)

EF(n, p, T)

Homework
4.18
4.20
4.24

Chap 5. Carrier Motion
Carrier Drift
Carrier Diffusion
Graded Impurity Distribution
Hall Effect
Homework

Carrier Drift
When an E-field (force) applied to a semiconductor, electrons and

holes will experience a net acceleration and net movement, if there are
available energy states in the conduction band and valence band. The
net movement of charge due to an electric field (force) is called “drift”.
Mobility: the acceleration of a hole due to an E-field is related by
* dv
F = mp = qE
dt
If we assume the effective mass and E-field are constants, the we can
obtain the drift velocity of the hole by
eEt
vd = * + vi ∝ t , E
mp
where vi is the initial velocity (e.g. thermal velocity) of the hole and t is
the acceleration time.

Mobility
E=0
In semiconductors, holes/electrons are involved in collisions with
ionized impurity atoms and with thermally vibration lattice atoms. As
the hole accelerates in a crystal due to the E-field, the velocity/kinetic
energy increases. When it collides with an atom in the crystal, it lose s
most of its energy. The hole will again accelerate/gain energy until is
again involved in a scattering process.

Mobility
If the mean time between collisions is denoted by τcp, then the average
drift velocity between collisions is
 eτ cp  vdp eτ cp
vd =  *  E ≡ µ p E µp = = *
 m  E mp
p  
where µp (cm2/V-sec) is called the hole mobility which is an important
parameter of the semiconductor since it describes how well a particle
will move due to an E-field.
Two collision mechanisms dominate in a semiconductor:
– Phonon or lattice scattering: related to the thermal motion of atoms; µL ∝T-3/2
– Ionized impurity scattering: coulomb interaction between the electron/hole and the
ionized impurities; µI ∝T3/2/NI., N I = N d + N a : total ionized impurity conc. ↑, µI ↓
+ −
If T↑, the thermal velocity of hole/electron ↑⇒carrier spends less time in the
vicinity of the impurity. ⇒ less scattering effect ⇒ µI ↑

Mobility
Electron mobility Hole mobility

Drift Current Density
If the volume charge density of holes, qp, moves at an average drift

velocity vdp, the drift current density is given by
Jdrfp = (ep) vdp = eµppE.
Similarly, the drift current density due to electrons is given by
Jdrfn = (-en) vdp = (-en)(-µnE)=eµnnE
The total drift current density is given by Jdrf = e(µnn+µpp) E

Conductivity
The conductivity σ of a semiconductor material is defined by Jdrf ≡ σ E,

so σ= e(µnn+µpp) in units of (ohm-cm)-1
The resistivity ρ of a semiconductor is defined by ρ ≡ 1/ σ

Resistivity Measurement
Four-point probe measurement
V
ρ = 2πs Fc ; Fc : correction factor
I

Velocity Saturation
So far we assumed that mobility is indep. of E-field, that is the drift

velocity is in proportion with the E-field. This holds for low E-filed. In
reality, the drift velocity saturates at ~107 cm/sec at an E-field ~30
kV/cm. So the drift current density will also saturate and becomes
indep. of the applied E-field.

Velocity Saturation of GaAs
For GaAs, the electron drift velocity reaches a peak and then decreases
as the E-field increases. ⇒negative differential mobility/resistivity,
which could be used in the design of oscillators.
This could be understood by considering the E-k diagram of GaAs.

Velocity Saturation of GaAs
In the lower valley, the density of state effective mass of the electron
mn* = 0.067mo. The small effective mass leads to a large mobility. As
the E-field increases, the energy of the electron increases and can be
scattered into the upper valley, where the density of states effective
mass is 0.55mo. The large effective mass yields a smaller mobility.
The intervalley transfer mechanism results in a decreasing average
drift velocity of electrons with E-field, or the negative differential
mobility characteristic.

Carrier Diffusion
Diffusion is the process whereby particles flow from a region of high

concentration toward a region of low concentration. The net flow of
charge would result in a diffusion current.

Diffusion Current Density
The electron diffusion current density is given by Jndif = eDndn/dx,

where Dn is called the electron diffusion coefficient, has units of cm2/s.
The hole diffusion current density is given by Jpdif = -eDpdp/dx,
where Dp is called the hole diffusion coefficient, has units of cm2/s.
The total current density composed of the drift and the diffusion
current density.
1-D J = enµ n E x + epµ p E x + eDn dn − eD p dp
dx dx
or 3-D J = enµ n E x + epµ p E x + eDn∇n − eD p ∇p

Graded Impurity Distribution
In some cases, a semiconductors is not doped uniformly. If the

semiconductor reaches thermal equilibrium, the Fermi level is constant
through the crystal so the energy-band diagram may qualitatively look
like:
Since the doping concentration decreases as x increases, there will be a

diffusion of majority carrier electrons in the +x direction.
The flow of electrons leave behind positive donor ions. The separation
of positive ions and negative electrons induces an E-field in +x
direction to oppose the diffusion process.
Induced E-Field
dφ d ( E /( −e)) 1 dE
The induced E-field is defined as E x = − = − Fi
= Fi
dx dx e dx
that is, if the intrinsic Fermi level changes as a function of distance
through a semiconductor in thermal equilibrium, an E-field exists.
If we assume a quasi-neutrality condition in which the electron
concentration is almost equal to the donor impurity concentration, then
 E − Ei   N d ( x) 
no ≈ ni exp  F  ≈ N d ( x ) ⇒ E F − Ei = kT ln  
 kT   ni 
d ( EF − Ei ) d (− Ei ) kT dN d ( x)
⇒ = =
dx dx N d ( x) dx
 kT  1 dN d ( x)
⇒ E x = − 
 e  N d ( x) dx
So an E-field is induced due to the nonuniform doping.

Einstein Relation
Assuming there are no electrical connections between the

nonuniformly doped semiconducotr, so that the semiconductor is in
thermal equilibrium, then the individual electron and hole currents
must be zero. dn
⇒ J n = 0 = enµ n E x + eDn
dx
Assuming quasi-neutrality so that n ≈ Nd(x) and
dN d ( x)
J n = 0 = eN d ( x) µ n E x + eDn
dx
 kT  1 dN d ( x) dN d ( x)
⇒ 0 = −en µ n N d ( x)  + eDn
 e  N d ( x) dx dx
kT Dn
⇒ =
- - - -Einstein relation
µn e D p kT
Similarly, the hole current Jp = 0 ⇒ =
µp e
Einstein Relation
Einstein relation says that the diffusion coefficient and mobility are not
independent parameters.
Typical mobility and diffusion coefficient values at T=300K

(µ = cm2/V-sec and D = cm2/sec)
µn Dn µp Dp
Silicon 1350 35 480 12.4
GaAs 8500 220 400 10.4
Germaium 3900 101 1900 49.2

Hall Effect
The hall effect is a consequence of the forces that are exerted on

moving charges by electric and magnetic fields.
We can use Hall measurement to
– Distinguish whether a semiconductor is n or p type
– To measure the majority carrier concentration
– To measure the majority carrier mobility

Hall Effect
A semiconductor is electrically connected to Vx and in turn a current Ix

flows through. If a magnetic field Bz is applied, the electrons/holes
flowing in the semiconductor will experience a force F = q vx x Bz in
the (-y) direction.
If this semiconductor is p-type/n-type, there will be a buildup of
positive/negative charge on the y = 0 surface. The net charge will
induce an E-field EH in the +y-direction for p-type and -y-direction for
n-type. EH is called the Hall field.
In steady state, the magnetic force will be exactly balanced by the
induced E-field force. F = q[E + v x B] = 0 ⇒ EH = vx Bz and the Hall
voltage across the semiconductor is VH = EHW
VH >0 ⇒ p-type, VH < 0 ⇒ n-type

Hall Effect
VH = vx W Bz, for a p-type semiconductor, the drift velocity of hole is

Jx Ix I B I B
vdx = = ⇒ VH = x z ⇒ p = x z
ep (ep )(Wd ) epd edVH
I x Bz
for a n-type, n=−
edVH
Once the majority carrier concentration has been determined, we can
calculate the low-field majority carrier mobility.
For a p-semiconductor, Jx = epµpEx. ⇒ µ p = IxL
epVxWd
For a n-semiconductor,
IxL
⇒ µn =
enVxWd

Hall Effect
Hall-bar with “ear” van deer Parw configuration

Homework
5.14
5.20

Chap 6. Nonequilibrium Excess Carriers in
Semiconductor
Carrier Generation and Recombination
Continuity Equation
Ambipolar Transport
Quasi-Fermi Energy Levels
Excess-Carrier Lifertime
Surface Effects

Nonequilibrium
When a voltage is applied or a current exists in a semiconductor device,

the semiconductor is operating under nonequilibrium conditions.
Excess electrons/holes in the conduction/valence bands may be
generated and recombined in addition to the thermal equilibrium
concentrations if an external excitation is applied to the semiconductor.
Examples:
1. A sudden increase in temperature will increase the thermal
generation rate of electrons and holes so that their concentration will
change with time until new equilibrium reaches.
2. A light illumination on the semiconductor (a flux of photons) can
also generate electron-hole pairs, creating a nonequilibrium condition.

Generation and Recombination
In thermal equilibrium, the electrons are continually being thermal

generated from the valence band (hereby holes are generated) to
conduction band by the random thermal process.
At the same time, electrons moving randomly through the crystal may
come in close proximity to holes and recombine. The rate of
generation and recombination of electrons/holes are equal so the net
electron and hole concentrations are constant (independent of time).

Excess Carrier Generation and Recombination
When high-energy photons are incident on a semiconductor, electron-

hole pairs are generated (excess electrons/holes) ⇒ the concentration
of electrons in the conduction band and of holes in the valence band
increase above their thermal-equilibrium value. n = no +δn, p = po+ δp
where no/po are thermal–equilibrium concentrations, and δn/δp are the
excess electron/hole concentrations. np ≠ nopo = ni2 ( nonequilibrium)
For the direct band-to-band generation, the generation rates (in the unit
of #/cm3-sec) of electrons and holes are equal; gn’ = gp’ (may be
functions of the space coordinates and time)

An electron in conduction band may “fall down” into the valence band
and leads to the excess electron-hole recombination process.
Since the excess electrons and holes recombine in pairs so the

recombination rates for excess electrons and holes are equal, Rn’ = Rp’.
(in the unit of #/cm3-sec). ⇒ δn(t) = δp(t)
The direct band-to-band recombination is spontaneous, thus the
probability of an electron and hole recombination is constant with time.
Rn’ = Rp’ ∝ the electron and hole concentration.
Recombination Process
Band-to-Band: direct thermal recombination.

This process is typically radiative,
with the excess energy released
during the process going into the
production of a photon (light)
R-G Center: Induced by certain impurity atoms or crystal defects.
Electron and hole are attracted to the
R-G center and lead to the annihilation
of the electron-hole pair.
Or a carrier is first captured at the R-G
site and then makes an annihilating
transition to the opposite carrier band.
This process is indirect thermal recombination (nonradiative).
Thermal energy (heat) is released during the process (lattice
vibrations, phonons are produced)

Recombination via Shallow Levels:

—induced by donor or acceptor sites.
At RT, if an electron is captured at a donor site,
however, it has a high probability of being re-emitted into
the conduction band before completing the recombination
process. Therefore, the probability of recombination via
shallow levels is quite low at RT.
It should be noted that the probability of observing shallow-
level processes increases with decreasing system temperature.
Recombination involving Excitons:
It is possible for an electron and a hole to become bound
together into a hydrogen-atom-like arrangement which
moves as a unit in response to applied forces. This coupled
e-h pair is called an “exciton”. The formation of an exciton
can be viewed as introducing a temporary level into the bandgap slightly
above or below the band edge.
Recombination involving Excitons: Recombination involving excitons is a

very important mechanism at low temperatures and is the major light-
producing mechanism in LED’s.
Auger Recombinations:
In a Auger process, band-to-band recombination
at a bandgap center occurs simultaneously with
the collision between two like carriers. The
energy released by the recombination or trapping
subprocess is transferred during the collision to
the surviving carrier. Subsequently, this high
energetic carrier “thermalizes”-loses energy
through collisions with the semiconductor lattice.
Auger recombination increases with carrier concentration, becoming very
important at high carrier concentration. Therefore, Auger recombination
mmust be considered in treating degenerately doped regions (like solar cell,
junction lasers, and LED’s)

Generation Process
Band-to-Band generation:
R-G center generation:
Photoemission from band gap centers:

Generation Process
Impact-Ionization:
An e-h pair is produced as a result of the
energy released when a highly energetic
carrier collides with the crystal lattice. The
generation of carriers through impact ionization
routinely occurs in the high e-filed regions of
devices and is responsible for the avalanche
breakdown in pn junctions.

Momentum Consideration
In a direct semiconductor where the k-

values of electrons and holes are all
bunched near k = 0, little change is
required for the recombination process
to proceed. The conservation of both
energy and crystal momentum is readily
met by the emission of a photon.
In a indirect semiconductor, there is

a large change in crystal momentum
associated with the recombination
process. The emission of a photon
will conserve energy but cannot
simultaneously conserve momentum.
Thus for band-to-band recombination
to proceed in an indirect semiconductor a phonon must be emitted coincident
with the emission of a photon.
Low-level injection: the excess carrier concentration is much less than

the thermal equilibrium majority carrier concentration, e.g., for a n-
type semiconductor, δn = δp << no.
High-level injection: δn ≈ no or δn >> no
For a p-type material (po >> no) under low-level injection, the excess
carrier will decay from the initial excess concentration with time;
δn(t ) = δn(t = 0)e −t /τ n0
where τn0 is referred to as the excess minority carrier lifetime (τn0 ∝1/p0)
δn(t )
and the recombination rate of excess carriers Rn’ = Rp’=
τ n0
For a n-type material (no >> po) under low-level injection,
− t / τ pn 0 Rn’ = Rp’= δp (t )
δp (t ) = δp (t = 0)e
τ p0

Continuity Equations
Consider a differential volume element in which a 1-D hole flux, Fp+ (#

of holes/cm2-sec), is entering this element at x and is leaving at x+dx.
So the net change in hole concentration per unit time is

+
∂p ∂Fp p
=− + gp − ----continuity equation for holes
∂t ∂x τ pt
Similarly, the continuity equation for electron flux is
∂n ∂Fn− n
=− + gn −
∂t ∂x τ nt

Ambipolar Transport
If a pulse of excess electrons and holes are created at a particular point

due to an applied E-field, the excess e-s and h+s will tend to drift in
opposite directions. However, any separation of e-s and h+s will induce
an internal E-field and create a force attracting the e-s and h+s back.
The internal E-field will hold the pulses of excess e -s and h+s together,
then the electrons and holes will drift or diffuse together with a single
effective mobility or diffusion coefficient. This is so called “ambipolar
diffusion” or “ambipolar transport”.
Fig. Show the above situation

Ambipolar Transport

Ambipolar Transport

Quasi-Fermi Levels
At thermal-equilibrium, the electron and hole concentrations are

functions of the Fermi level by
 E − E Fi   E Fi − E F 
no = ni exp  F  and p o = ni exp  kT 
 kT   
Under nonequilibrium conditions, excess carriers are created in a
semiconductor, the Fermi energy is strictly no longer defined. We may
define a quasi-Fermi level, EFn, for electrons and a quasi-Fermi level,
EFp, for holes that apply for nonequilibrium. So that the total electron
and hole concentrations are functions of the quasi-Fermi levels.
 E − EFi   E Fi − EF 
no + δn = ni exp  Fn  and p o + p = ni exp  kT 
 kT   

Quasi-Fermi Levels
For a n-type semiconductor under thermal equilibrium, the band

diagram is
Under low-level injection, excess carriers are created and the quasi-
Fermi level for holes (minority), EFp, is significantly different from EF.

Excess-Carrier Lifetime
An allowed energy state, also called a trap, within the forbidden

bandgap may act as a recombination center, capturing both electrons
and holes with almost equal probability. (it means that the capture
cross sections for electrons and holes are approximately equal)
Acceptor-type trap:
– it is negatively charged when it contains an electron and it is neutrall when it does
not contain an electron.
Donor-type trap:
– it is positively charged when empty and neutral when filled with an electron

Shockley-Read-Hall Theory of Recombination
Assume that a single recombination center exists at an energy Et within

the bandgap. And there are four basic processes that may occur at this
single trap.
Process 1: electron from the
conduction band captured by an
initially neutral empty trap.
Process 2: electron emission from a
trap into the conduction band.
Process 3: capture of a hole from the
valence band by a trap containing an
electron.
Process 4: emission of a hole from a
neutral trap into the valence band.

In Process 1: the electron capture rate (#/cm3-sec):

Rcn = CnNt(1-fF(Et))n
Cn=constant proportional to electron-capture cross section
Nt = total concentration in the conduction band
n = electron concentration in the conduction band
fF(Et)= Fermi function at the trap energy
For Process 2: the electron emission rate (#/cm3-sec):
Ren = EnNtfF(Et)
En=constant proportional to electron-capture cross section Cn
In thermal equilibrium, Rcn = Ren, using the Boltzmann approximation
for the Fermi function,
 − ( E c − Et ) 
En = n 'Cn = N c exp  C
In nonequilibrium, excess electrons exist, kT  n
[ ]
Rn = Rcn − Ren = Cn N t n (1 − f F ( Et ) − n ' f F ( Et ) )

In Process 3 and 4, the net rate at which holes are captured from the
valence band is given by R p = C p N t [pf F ( Et ) − p ' (1 − f F ( Et )) ]
 − ( Et − E v ) 
p ' = N v exp  
 kT
In semiconductor, if the trap density is not too large, the excess
electron and hole concentrations are equal and the recombination rates
of electrons and holes are equal.
Cn n + C p p '
⇒ f F ( Et ) =
Cn ( n + n ' ) + C p ( p + p ' )
CnC p N t (np − ni2 )
and Rn = R p = ≡R
Cn ( n + n ' ) + C p ( p + p ' )
In thermal equilibrium, np = ni2 ⇒ Rn = Rp = 0

Surface Effects
Surface states are functionally equivalent to R-G centers localized at

the surface of a material. However, the surface states (or interfacial
traps) are typically found to be continuously distributed in energy
throughout the semiconductor bandgap.

Surface Recombination Velocity
As the excess concentration at the surface becomes smaller than that in

the bulk, excess carriers from the bulk region diffuse toward the
surface where they recombine, and the surface recombination velocity
increases.
An infinite surface recombination velocity implies that the excess
minority carrier concentration and lifetime are zero.

Homework
6.14
6.17
6.19

Chap 7. P-N junction
P-N junction Formation

Fermi Level Alignment
Built-in E-field (cut-in voltage)
Homework

P-N junction
P-Semiconductor N-Semiconductor
EC EC
EFi EF
EFi
EF
EV EV
P-Semiconductor
EC N-Semiconductor
EC
EFi
EF EF
EFi
EV
EV
P-N Junction
P-Semiconductor
EC N-Semiconductor
EC
EFi
EF EF
EFi
EV
EV
Depletion region

Hetero-Junction
Semiconductor B
Semiconductor A
EC
EC
EFi EF
EF EFi
EV
EV
∆EC < 20 meV EC ∆EC ~0.15 eV

Relaxed Si0.7Ge0.3
Strained Si0.8Ge0.2 Strained Si
bulk Si Eg ~ 1.08 eV
Eg ~ 1.0 eV Eg ~ 0.88 eV
Eg = 1.17 eV EV
∆EV ~ 0.15 eV ∆EV ~ 0.05 eV
Type I Alignment Type II Alignment

Quantum Well
Electron
Confinement
∆EC ~ 0.02 eV ∆EC ~0.18 eV

Strained Si0.3Ge0.7
relaxed Si0.7Ge0.3 Strained Si
Eg ~ 0.72 eV
Eg = 1.08 eV Eg = 0.88 eV
∆EV ~ 0.48 eV ∆EV ~0.34 eV
Hole
Confinement
Strained Si1-xGex Strained Si
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
Relaxed Si1-xGex Relaxed Si1-xGex
misfit dislocation misfit dislocation
bulk Si bulk Si


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Solid-State Electronics

Solid-State Electronics 1 Instructor: Pei-Wen Li

 Chap. 1 Solid State Electronics: A General Introduction

Solid-State Electronics 2 Instructor: Pei-Wen Li

Solid-State Electronics 3 Instructor: Pei-Wen Li

 Solid-state electronic materials:

Solid-State Electronics 4 Instructor: Pei-Wen Li

 According to their viscosity, materials are classified into solids, liquid,

Solid Liquid Gas

Hardness High Medium Low

 Low diffusivity, High density, and High mechanical strength means

Solid-State Electronics 5 Instructor: Pei-Wen Li

 Geometry (Crystallinity v.s. Imperfection)

Solid-State Electronics 6 Instructor: Pei-Wen Li

Solid-State Electronics 7 Instructor: Pei-Wen Li

Solid-State Electronics 8 Instructor: Pei-Wen Li

 Pure v.s. Impure

Solid-State Electronics 9 Instructor: Pei-Wen Li

Material type Resistivity Conduction Electron Examples

Superconductor 0 (low T) 1023 Sn, Pb

Good Conductor 10-6 – 10-5 1022 – 1023 metals: K, Na, Cu, Au

Conductor 10-5 – 10-2 1017 – 1022 semi-metal: As, B,

Semiconductor 10-2 – 10-9 106 – 1017 Ge, Si, GaAs, InP

Semi-insulator 1010 – 1014 101 – 105 Amorphous Si

Insulator 1014 – 1022 1 – 10 SiO2, Si3N4,

Solid-State Electronics 10 Instructor: Pei-Wen Li

Solid-State Electronics 11 Instructor: Pei-Wen Li

 Bond energy is a useful parameter to provide a qualitative gauge on

Solid-State Electronics 12 Instructor: Pei-Wen Li

 For electronic application, semiconductors must be crystalline and

Solid-State Electronics 13 Instructor: Pei-Wen Li

 A crystal is a material whose atoms are situated periodically on

Solid-State Electronics 14 Instructor: Pei-Wen Li

 The simplest means of representing an atomic array is by translation.

 Translation vectors: can be mathematically represented by the basis

Solid-State Electronics 15 Instructor: Pei-Wen Li

Solid-State Electronics 16 Instructor: Pei-Wen Li

Solid-State Electronics 17 Instructor: Pei-Wen Li

 To describe the plane by Miller Indices

Solid-State Electronics 18 Instructor: Pei-Wen Li

 Wafer Specification (Wafer Flats)

Solid-State Electronics 19 Instructor: Pei-Wen Li

Solid-State Electronics 20 Instructor: Pei-Wen Li

 In 3-d solids, there 14 Bravais or space lattices.

 Simple Cubic (SC), Body-Centered Cubic (BCC), and Face-Centered

Solid-State Electronics 22 Instructor: Pei-Wen Li

Solid-State Electronics 23 Instructor: Pei-Wen Li

 Most semiconductors are not in the 7 crystal systems mentioned above.

Solid-State Electronics 24 Instructor: Pei-Wen Li

 Or the diamond could be visualized by a bcc with four of the corner

Solid-State Electronics 25 Instructor: Pei-Wen Li

Solid-State Electronics 26 Instructor: Pei-Wen Li

Solid-State Electronics 27 Instructor: Pei-Wen Li

Solid-State Electronics 28 Instructor: Pei-Wen Li

 Consider a BCC lattice and its reciprocal lattice (FCC)

 Similarly, the reciprocal lattice of an FCC is BCC lattice.

Solid-State Electronics 29 Instructor: Pei-Wen Li

 Principles of Quantum Mechanics

Solid-State Electronics 1 Instructor: Pei-Wen Li

 In solids, there are about 1023 electrons and ions packed in

Solid-State Electronics 2 Instructor: Pei-Wen Li

Fermi-Dirac quantum-distribution ⇔Boltzmann classical distribution

Solid-State Electronics 3 Instructor: Pei-Wen Li

Chap. 1 Solid State Electronics: A General Introduction

Solid-state electronic materials:

According to their viscosity, materials are classified into solids, liquid,

Low diffusivity, High density, and High mechanical strength means

Geometry (Crystallinity v.s. Imperfection)

Pure v.s. Impure

Bond energy is a useful parameter to provide a qualitative gauge on

For electronic application, semiconductors must be crystalline and

A crystal is a material whose atoms are situated periodically on

The simplest means of representing an atomic array is by translation.

Translation vectors: can be mathematically represented by the basis

To describe the plane by Miller Indices

Wafer Specification (Wafer Flats)

In 3-d solids, there 14 Bravais or space lattices.

Simple Cubic (SC), Body-Centered Cubic (BCC), and Face-Centered

Most semiconductors are not in the 7 crystal systems mentioned above.

Or the diamond could be visualized by a bcc with four of the corner

Consider a BCC lattice and its reciprocal lattice (FCC)

Similarly, the reciprocal lattice of an FCC is BCC lattice.

Principles of Quantum Mechanics

In solids, there are about 1023 electrons and ions packed in

Principle of energy quanta

Consider a light incident on a surface of a material as shown below:

Classical theory: as long as the intensity of light is strong enough

Planck postulated that thermal radiation is emitted from a heated

de Broglie postulated the existence of matter waves. He suggested that

Consider the experimental setup below:

In some cases, EM wave behaves like particles (photons) and

Heisenberg states that we cannot describe with absolute accuracy the

Based on the principle of quanta and the wave-particle duality

The infinite Potential Well

In region I, III, ψ(x) = 0, since E is finite and a particle cannot

Consider a particle being incident on a step potential barrier:

The general solution is in the form

A1, B1, and A2 could be solved from the above equations.

Consider the potential barrier function as shown:

Consider the one-electron atom potential function due to the coulomb

Then we can generalize the Schrodinger’s eq. to 3-D in spherical

Assume the solution to the equation can be written as

Similarly, we can generate two additional constants n and l for the

The probability density function, or the probability of finding the

The electron is not localized at a given radius.

Consider a regular periodic arrangement of atoms in which each atoms

The concept of allowed and forbidden energy levels can be developed

The Kronig-Penny model is an idealized periodic potential

The solution in region I is of the form,

Recall -1≤cosk(a+b)≤1, so E-values which cause f(ξ) to lie in the range

Consider the special case for which Vo = 0, (free particle case)

More interesting solution occur for E < Vo (β = jγ), which applies to

E-k diagram could be generated from the above figure.

the Bond Model

If an external force is applied to the electrons in the conduction band

The movement of an electron in a lattice will be different than that of

Brilliouin Zones: is defined as a Wigner-Seitz cell in the reciprocal lattice.