Homework 2

1. Problem.
Using Eq. (158) (page 96) of the Notes and using the values for the k · p parameters A, B , and C listed there
for Si and Ge, calculate the effective masses for the heavy- and light-hole bands along the [100], [110] and
[111] directions.
Solution.
a. Along the [100] direction we have k = k(1, 0, 0). Inserting into Eq. (158):

h̄2 k2
E100 (k) = (A ± B) . (1)
2m
Note that I have reversed the sign of the energy, measuring kinetic energies. Thus, all masses will be negative
electron masses, corresponding to positive hole masses. Since the effective mass along a given direction is
defined as (see the equation after Eq. (180) on page 104 of the Notes)

1 1 ∂ 2E
= 2 , (2)
m∗ h̄ ∂k 2

we have from Eq. (1):

∗ m
m = . (3)
A±B
With the parameters given in the Notes (from Ridley’s text, p. 32), we have:

mhh = 0.34 , mlh = 0.19 (Si) , (4)

and
mhh = 0.21 , mlh = 0.05 (Ge) . (5)

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 √
b. Along the [110] direction we have k = (k/ 2)(1, 1, 0). Inserting into Eq. (120):

h̄2 k2 2 2 1/2
E110 (k) = [A ± (B + C /4) ] . (6)
2m
Then:
m
m∗ = . (7)
A ± (B 2 + C 2 /4)1/2
so that:
mhh = 0.60 , mlh = 0.16 (Si) , (8)
and
mhh = 0.37 , mlh = 0.04 (Ge) . (9)
√
c. Finally, along the [111] direction we have k = (k/ 3)(1, 1, 1) and

h̄2 k2
E111 (k) = [A ± (B 2 + C 2 /3)1/2 ] . (10)
2m
Then:
∗ m
m = . (11)
A ± (B 2 + C 2 /3)1/2
so that:
mhh = 0.72 , mlh = 0.15 (Si) , (12)
and
mhh = 0.48 , mlh = 0.04 (Ge) . (13)

2. Problem.
Using the approximate k · p nonparabolic correction, Eq. (159), assuming γ(k) = h̄2 k2 /(2m∗ ), derive the

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 expression for the group velocity as a function of k to first-order in the nonparabolicity parameter α.
Solution.
From the definition of the group velocity (page 105 of the notes)


1 dE h̄k h̄2 k2 h̄k
v = = 1 + α ≈ [1 + 2 αE(k)] , (14)
h̄ dk m∗ m∗ m∗

the last step being valid to first order in α.

3. Problem.
In order to derive the ‘envelope equation’, Eq. (179), we have assumed that the potential varies slowly enough to
render inter-band coupling negligible. An important exception to this assumptions is given by electrons tunneling
from the top of the valence band to the bottom of the conduction band when we apply to the semiconductor an
electric field sufficiently strong. This is called ‘Zener’ ( or ’band-to-band’) tunneling and this process represents
an important cause of breakdown in heavily-doped junctions.
a. Using the WKB approximation outlined in the first Homework assignment, assuming a constant effective
mass for the valence band, conduction band, and also inside the gap (yes, it has a meaning, ask me if you would
like to know), calculate the tunneling probability
  d 
T (E) = exp −2 κ(x) dx , (15)
0

where κ(x) = {2m∗ [V (x) − E]}1/2 /h̄ is the imaginary component of the electron wavevector in the gap.
Assume a field E = 105 V/cm, a gap of 1.42 eV (appropriate for GaAs) and an effective mass of 0.063 m0 ,
where m0 = 9.1 × 10−31 Kg is the free electron mass. Use the help provided by the figure below.
b. Repeat the calculation for InAs (m∗ = 0.031m0, Egap = 0.36 eV).
c. If you have time, plot T (E) for GaAs and InAs as a function of E in the range 5 × 104 -2 × 106 V/cm.

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 ENERGY

CONDUCTION BAND
Egap

electron tunneling

VELENCE
BAND
x
0 d
Solution.
Setting the sero of the energy scale at the top of the valence band at x = 0 in the figure, V (x) = Egap − eEx,
and d = Egap /(eE), so that κ(x) = [2m∗ (Egap − eEx)]1/2 /h̄. Therefore:

  Egap /(eE) 
2(2m∗ )1/2
T (E) = exp − [Egap − eEx]1/2 dx . (16)
h̄ 0

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Let’s change the integration variable to y = Egap − eEx:

   
 Egap  3/2
2(2m∗)1/2 1/2 4(2m )∗ 1/2
Egap 
T (E) = exp − y dy = exp − . (17)
h̄eE 0  3eh̄E 

Now it’s just a matter of plotting the function T . Note how the smaller gap of InAs renders the tunneling
probability exponentially larger.

100

TUNNELING PROBABILITY (arb. units) 10–10

InAs
10–20

10–30 GaAs

10–40

10–50 5 6 7 8 9 2 3 4 5 6 7 8 9 2
105 106
ELECTRIC FIELD (V/cm)

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TUNNELING PROBABILITY (arb. units)
0.5

0.4

0.3

0.2

0.1 InAs
GaAs (x106)
0.0
0.0 0.5 1.0 1.5 2.0
ELECTRIC FIELD (MV/cm)

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