ECE3080-L-4-Density of States Fermi Energi

Lecture 4
Density of States and Fermi Energy Concepts
Reading:
(Cont’d) Notes and Anderson2 sections 2.8-2.13
Georgia Tech ECE 3080 - Dr. Alan Doolittle

How do electrons and holes populate the bands?
Density of States Concept
In lower level courses, we state that “Quantum Mechanics” tells us that the
number of available states in a cubic cm per unit of energy, the density of states,
is given by:
mn* 2mn* ( E  Ec )
gc (E)  , E  Ec
 
2 3
m*p 2m*p ( Ev  E )
gv (E)  , E  Ev
 2 3
 Number of States 
 
unit   
3
cm
eV

Density of States Concept
Thus, the number of states per cubic centimeter between

energy E’ and E’+dE is
g c (E’ )dE if E’  E c and ,
g v (E’ )dE if E’  E v and ,
0 otherwise
Georgia Tech
But where does it come from? ECE 3080 - Dr. Alan Doolittle
Where Does the Density of States Concept come from?
Approach:
1. Find the smallest volume of k-space that can hold an electron. This will turn out to
be related to the largest volume of real space that can confine the electron.
2. Next assume that the average energy of the free electrons (free to move), the fermi
energy Ef, corresponds to a wave number kf. This value of kf, defines a volume in
k-space for which all the electrons must be within.
3. We then simply take the ratio of the total volume needed to account for the average
energy of the system to the smallest volume able to hold an electron ant that tells
us the number of electrons.
4. From this we can differentiate to get the density of states distribution.

Derivation of Density of States Concept
First a needed tool: Consider an electron trapped in an energy well with infinite potential barriers.
Recall that the reflection coefficient for infinite potential was 1 so the electron can not penetrate the
barrier.
  2

   2  V    E
 2m 
2 2
  E  0
2m x 2
2
 k 2  0
x 2
General Solution :  ( x )  A sinkx   B coskx 

2 2mE 2k 2
where k   or E 
  2
2m
Boundary Conditions :
 ( 0)  0  B  0
n
 (a)  0  Asin ka   0  k  for n  1,  2,3...
a
 nx  n 2 2  2
n ( x )  An sin  and E n  After Neudeck and Pierret Figure 2.4a
Georgia Tech  a  2ma 2 ECE 3080 - Dr. Alan Doolittle
What does it mean?
 nx  n 2 2  2
n ( x )  An sin  and E n 
 a  2ma 2
A standing wave results from

the requirement that there be a
node at the barrier edges (i.e.
BC’s: (0)=(a)=0 ) . The
wavelength determines the
energy. Many different possible
“states” can be occupied by the
electron, each with different
energies and wavelengths.
Georgia Tech After Neudeck and Pierret Figure 2.4c,d,e ECE 3080 - Dr. Alan Doolittle
What does it mean?
 nx  n 2 2  2
n ( x )  An sin  and E n 
 a  2ma 2
Solution for much larger “a”. Note:
offset vertically for clarity.
Recall, a free particle has E ~k2.
Instead of being continuous in k2, E is
discrete in n2! I.e. the energy values
(and thus, wavelengths/k) of a
confined electron are quantized (take
on only certain values). Note that as
the dimension of the “energy well”
increases, the spacing between
discrete energy levels (and discrete k
values) reduces. In the infinite
crystal, a continuum same as our free
particle solution is obtained.
After Neudeck and Pierret Figure 2.5

We can use this idea of a set of states in a confined space ( 1D well region) to derive the
number of states in a given volume (volume of our crystal).
Consider the surfaces of a volume of semiconductor to be infinite potential barriers (i.e.
the electron can not leave the crystal). Thus, the electron is contained in a 3D box.
 2 2 
    V    E
 2 m 
2  2
  E  0
2m x 2
2 2 2

   k 2
0
x 2 y 2 z 2
...for 0  x  a, 0  y  b, 0  z  c
2 2mE 2k 2
where k   or E 
  2
2m
After Neudeck and Pierret Figure 4.1 and 4.2

Using separation of variables...
2 2 2
(1)    k 2
0
x 2
y 2
z 2
(2)  ( x, y , z )  x ( x )y ( y ) z ( z )
Inserting (2) into (1) and dividing by (2) we get...
1  2 x ( x ) 1  y ( y ) 1  2 z ( z )
2
   k 2
0
x ( x ) x 2
y ( y ) y 2
z ( z ) z 2
Since k is a constant for a given energy, each of the three terms on the left side must
individually be equal to a constant.
1  2 x ( x ) 1  2
y ( y ) 1  2 z ( z )
 k x  0,
2
 k y  0,
2
 k z2  0
x ( x ) x 2
y ( y ) y 2
z ( z ) z 2
where k 2  k x2  k y2  k z2
So this is just 3 equivalent 1D solutions which we have already done...

Cont’d...  ( x, y , z )  x ( x ) y ( y ) z ( z )
 ( x, y , z )  A sink x x  sin k y y sin k z z 
n x n y n
where k x  , ky  , k z  z , for n  1,  2,3...
a a a
 2  2  n x2 n y n z2 
2
and E nx, ny, nz   

2m  a 2 b 2 c 2 
Each solution (i.e. each  kz
combination of nx, ny, nz) c
results in a volume of “k-
space”. If we add up all
possible combinations, we
would have an infinite
solution. Thus, we will only 
consider states contained in a
0 b
“fermi-sphere” (see next ky
page).
kx 
a
Cont’d...
 2 k 2f
Ef   defines a momentum value for the average electron energy E f
2m
       
3
Volume of a single state “cube”: Vsingle state          
 a  b  c   V 
“fermi-sphere”: Vfermi-sphere    k 3f 
4
Volume of a
3 
A “Fermi-Sphere” is “V” is the physical

defined by the volume of the
number of states in crystal where as all
k-space necessary to other volumes used
hold all the electrons here refer to volume
needed to add up to in k-space. Note
the average energy that: Vsingle-state is the
of the crystal smallest unit in k-
(known as the fermi space. Vsingle-state is
energy). required to “hold” a
single electron.

Cont’d...
       
3
k-space volume of a single state “cube”: Vsingle state          
 a  b  c   V 
4 
k-space volume of a “fermi-sphere”: Vfermi-sphere    k 3f 
3 
4 3 
Number of filled states   k f  V k3
1 1 1
2 x  x  x    3  
V fermi  sphere 3
N
f
in a fermi-sphere: Vsin gle state 2 2 2   3 2
 4
V 
Correction for Correction for redundancy in
allowing 2 electrons counting identical states resulting
per state (+/- spin) from +/- nx, +/- ny, +/- nz.
Specifically, sin(-)=sin(+) so the
state would be the same. Same as
counting only the positive octant in
fermi-sphere.

Cont’d...
1
Number of filled states Vk 3
 3 N  2 3
N  k f   
f
in a fermi-sphere: 3 2
 V 
2
 3 N  2 3
 2

 3 n 
2
 2 k 2f  V 
2 2 3
Ef    Ef  where n is the electron density
2m 2m 2m
Ef varies in Si from 0 to ~1.1 eV as n varies from 0 to ~5e21cm-3
3
V k 3f  V  2mE  2
Thus, N   2  2 
3 2  3   

Cont’d... 3
V k 3f  V  2mE  2
N   2  2 
3 2  3   
Finally, we can define the density of states function:
 dN 
 
G(E)  # of states per energy per volume   dE 
V
 3  V  2mE  12  2m 
  2  2   2  
 2  3      
G(E) 
V
m 2m
G(E)  E
 23
Applying to the semiconductor we must recognize m m* and
since we have only considered kinetic energy (not the potential
energy) we have E  E-Ec
m * 2m *
G(E)  E  Ec
Georgia Tech
 23 ECE 3080 - Dr. Alan Doolittle
Probability of Occupation (Fermi Function) Concept
Now that we know the number of available states at each energy, how
do the electrons occupy these states?
We need to know how the electrons are “distributed in energy”.
Again, Quantum Mechanics tells us that the electrons follow the
“Fermi-distribution function”.
1
f (E)  ( E  EF )
where k  Boltzman cons tan t , T  Temperature in Kelvin
1 e kT
and E F  Fermi energy (~ average energy in the crystal )
f(E) is the probability that a state at energy E is occupied

1-f(E) is the probability that a state at energy E is unoccupied
At T=0K, occupancy is “digital”: No occupation of states above EF and

complete occupation of states below EF
At T>0K, occupation probability is reduced with increasing energy.
f(E=EF) = 1/2 regardless of temperature.

At T=0K, occupancy is “digital”: No occupation of states above EF and

complete occupation of states below EF
At T>0K, occupation probability is reduced with increasing energy.
f(E=EF) = 1/2 regardless of temperature.
At higher temperatures, higher energy states can be occupied, leaving more
lower energy states unoccupied (1-f(E)).
1
f (E)  ( E  EF )
1 e kT
+/-3 kT T=10 K,
1.20 3 kT 3 kT
kT=0.00086 eV
3 kT 3 kT
T=300K,
1.00
kT=0.0259
Ef=0.55 eV
0.80 T=450K,
f(E)
For E < (Ef-3kT): kT=0.039

0.60
f(E) ~ 1-e-(E-Ef)/kT~1 For E > (Ef+3kT):
0.40
f(E) ~ e-(E-Ef)/kT~0
0.20
0.00
0 0.2 0.4 0.6 0.8 1 1.2
E [eV]
But where did we get the fermi distribution function?
Consider a system of N total electrons spread between S allowable states. At each energy, Ei,
we have Si available states with Ni of these Si states filled.
We assume the electrons are indistinguishable1.
Constraints for electrons:
(1) Each allowed state can accommodate at most, only one electron (neglecting
spin for the moment)
(2) N=Ni=constant; the total number of electrons is fixed
(3) Etotal=EiNi; the total system energy is fixed
1A simple test as to whether a particle

is indistinguishable (statistically
invariant) is when two particles are
interchanged, did the electronic
configuration change?
Georgia Tech After Neudeck and Pierret Figure 4.5 ECE 3080 - Dr. Alan Doolittle
How many ways, Wi, can we arrange at each energy, Ei, Ni indistinguishable electrons into
the Si available states. E i
Si or
Wi  Ei
Si  N i ! N i ! or
Ei
When we consider more than one level (i.e. all i’s) the number of ways we can arrange the
electrons increases as the product of the Wi’s .
Ei+2
Si Ei+1
W   Wi  
i i S i  N i  ! N i ! Ei
If all possible distributions are equally likely, then the probability of obtaining a specific distribution is
proportional to the number of ways that distribution can be constructed (in statistics, this is the
distribution with the most (“complexions”). For example, interchanging the blue and red electron would
result in two different ways (complexions) of obtaining the same distribution. The most probable
distribution is the one that has the most variations that repeat that distribution. To find that maximum,
we want to maximize W with respect to Ni’s . Thus, we will find dW/dNi = 0. However, to eliminate the
factorials, we will first take the natural log of the above...
lnW    ln Si !  ln Si  N i !  lnN i !
i
... then we will take d(ln[W])/dNi=0. Before we do that, we can use Stirling’s Approximation to
eliminate the factorials.
Using Stirling’s Approximation, ln(x!) ~ (xln(x) – x) so that the above becomes,
ln W    ln S i !  ln S i  N i !  ln N i !
i

ln W    S i ln S i   S i  S i  N i  ln S i  N i   S i  N i   N i ln N i   N i
i
Collecting like terms,

ln W    S i ln S i   S i  N i  ln S i  N i   N i ln N i 
i
Now we can maximize W with respect to Ni’s . Note that since d(lnW)=dW/W when dW=0,
d ln W   ln W 
   ln Si  N i   1  ln N i   1
d(ln[W])=0.
dN i i N i i
d ln W    ln S i  N i   1  ln N i   1dN i

i
To find the maximum, we set the derivative equal to 0... d x ln  x 

Where we have used  ln x   1
dx
  Si 
(4) d ln W   0   ln  1 dN i
i   Ni 
From our original constraints, (2) and (3), we get...
N
i
i N   d N   0
i
i
E N
i
i i  E total   E d N   0
i
i i
Using the method of undetermined multipliers (Lagrange multiplier method) we multiply the
above constraints by constants – and – and add to equation 4 to get ...
   d N   0
i
i
   E d N   0
i
i i

  Si  
d ln W   0   ln  1    Ei  dN i
i   Ni  
 Si 
which requires that ln  1    Ei  0 for all i
 Ni 
This final relationship can be solved for the ratio of filled states, Ni per states available Si ...
S 
ln i  1    Ei  0
 Ni 

S 1
f ( Ei )  i 
N i 1  e  Ei
in the case of of semiconductors, we have
EF 1
 - and  
kT kT
S 1
f ( Ei )  i 
N i 1  e  Ei  EF  kT

Probability of Occupation
We now have the density of states describing the density of

available states versus energy and the probability of a state
being occupied or empty. Thus, the density of electrons (or
holes) occupying the states in energy between E and E+dE
is:
Electrons/cm3 in the conduction g c (E) f(E) dE if E  E c and ,
band between Energy E and E+dE
Holes/cm3 in the valence band g v (E)[1 - f(E)] dE if E  E v and ,

between Energy E and E+dE
0 otherwise

Band Occupation

Intrinsic Energy (or Intrinsic Level)
Ef is said to equal …Equal

Ei (intrinsic numbers of
energy) when… electrons and
holes

Additional Dopant States
Intrinsic:
Equal number
of electrons
and holes
n-type: more
electrons than
holes
p-type: more
holes than
electrons

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Lecture 4

Density of States and Fermi Energy Concepts

Georgia Tech ECE 3080 - Dr. Alan Doolittle

Georgia Tech ECE 3080 - Dr. Alan Doolittle

Thus, the number of states per cubic centimeter between

Georgia Tech ECE 3080 - Dr. Alan Doolittle

General Solution :  ( x )  A sinkx   B coskx 

A standing wave results from

After Neudeck and Pierret Figure 2.5

2 2 2

After Neudeck and Pierret Figure 4.1 and 4.2

So this is just 3 equivalent 1D solutions which we have already done...

Georgia Tech ECE 3080 - Dr. Alan Doolittle

and E nx, ny, nz   

A “Fermi-Sphere” is “V” is the physical

Georgia Tech ECE 3080 - Dr. Alan Doolittle

Georgia Tech ECE 3080 - Dr. Alan Doolittle

Ef varies in Si from 0 to ~1.1 eV as n varies from 0 to ~5e21cm-3

Georgia Tech ECE 3080 - Dr. Alan Doolittle

and E F  Fermi energy (~ average energy in the crystal )

f(E) is the probability that a state at energy E is occupied

At T=0K, occupancy is “digital”: No occupation of states above EF and

Georgia Tech ECE 3080 - Dr. Alan Doolittle

At T=0K, occupancy is “digital”: No occupation of states above EF and

For E < (Ef-3kT): kT=0.039

1A simple test as to whether a particle

Collecting like terms,

d ln W    ln S i  N i   1  ln N i   1dN i

To find the maximum, we set the derivative equal to 0... d x ln  x 

Georgia Tech ECE 3080 - Dr. Alan Doolittle

We now have the density of states describing the density of

Holes/cm3 in the valence band g v (E)[1 - f(E)] dE if E  E v and ,

Georgia Tech ECE 3080 - Dr. Alan Doolittle

Georgia Tech ECE 3080 - Dr. Alan Doolittle

Ef is said to equal …Equal

Georgia Tech ECE 3080 - Dr. Alan Doolittle

Georgia Tech ECE 3080 - Dr. Alan Doolittle

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