Handout 29

Optical Transitions in Solids, Optical Gain, and

Semiconductor Lasers

In this lecture you will learn:

• Electron-photon Hamiltonian in solids

• Optical transition matrix elements
• Optical absorption coefficients
• Stimulated absorption and stimulated emission
• Optical gain in semiconductors
• Semiconductor heterostructure lasers

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Interactions Between Light and Solids

The basic interactions between light and solids cover a wide variety of topics
that can include:

• Interband electronic transitions in solids

• Intraband electronic transitions and intersubband electronic transitions

• Plasmons and plasmon-polaritons

• Surface plasmons

• Excitons and exciton-polaritons

• Phonon and phonon-polaritons

• Nonlinear optics

• Quantum optics

• Optical spintronics

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

1
 Fermi’s Golden Rule: A Review
Consider a Hamiltonian with the following eigenstates and eigenenergies:

Hˆ o  m  E m  m  m  integer
Now suppose a time dependent externally applied potential is added to the
Hamiltonian:

Hˆ  Hˆ o  Vˆ e  it  Vˆ e it

Suppose at time t = 0 an electron was in some initial state k:  t  0    p

Fermi’s golden rule tells that the rate at which the electron E
absorbs energy  from the time-dependent potential
and makes a transition to some higher energy level is
given by:
2 
 E m  E p   
2
W  p     m Vˆ  p
 m
The rate at which the electron gives away energy  E
to the time-dependent potential and makes a transition
to some lower energy level is given by:

2 
 E m  E p   
2
W  p     m Vˆ  p
 m
ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Optical Transitions in Solids: Energy and Momentum Conservation

For an electron to absorb energy from a photon E
energy conservation implies:

   
 
E m kf  E n ki   Intraband

Final Initial Photon
energy energy energy
Interband
Momentum conservation implies: 
   k
 kf   ki  q

Final Initial Photon Intraband

momentum momentum momentum

Note that the momentum conservation principle is stated in terms of the crystal
momentum of the electrons. This principle will be derived later.

Intraband photonic transitions are not possible:

For parabolic bands, it can be shown that intraband optical transitions cannot satisfy
both energy and momentum conservation and are therefore not possible

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

2
 Electromagnetic Wave Basics
Consider an electromagnetic wave passing through a solid with electric field
given by:    
E r , t    nˆ Eo sinq . r   t 
The vector potential associated with the field is:
  
  Ar , t    E   E 
E r , t     Ar , t   nˆ o cosq . r   t  q
t 
 
 nˆ Ao cosq . r   t 

H
The divergence of the field is zero:
   
 . E r , t    . Ar , t   0

The power per unit area or the Intensity of the field is given by the Poynting vector:

       E2  2 Ao2 o o
I  S r , t   E r , t   H r , t   qˆ o  qˆ  
2 2
 n
The photon flux per unit area is:

I  Ao2
F 
 2
ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Electron-Photon Hamiltonian in Solids

Consider electrons in a solid. The eigenstates (Bloch functions) and eigenenergies
satisfy:


Hˆ o  n ,k  E n k  n ,k
where:
 
Pˆ . Pˆ
Hˆ o 
2m

 Vlattice rˆ 
In the presence of E&M fields the Hamiltonian is:

ˆ
H

  
 
Pˆ  eA rˆ , t
2
 Vlattice rˆ


   
Ar , t   nˆ Ao cosq . r   t 
2m
 
Pˆ . Pˆ

2m


 Vlattice rˆ 
e ˆ  ˆ
2m
P . A r ,t    e  ˆ
2m
A r , t . Pˆ   
 e2  
2m
   
 
A rˆ , t . A rˆ , t

ˆ
 Ho 
e ˆ  ˆ
2m
 
P . A r ,t 
e  ˆ
2m
A r ,t . P  ˆ
Assume small

 Hˆ o 
e  ˆ
m
  
A r , t . Pˆ
 
Provided:  . Ar , t   0
 ˆ  ˆ
e Ao  e iq . r  i  t  e  iq . r  i  t  
 
 Hˆ o  nˆ  Pˆ
2m
ECE 407 – Spring 2009 – Farhan Rana – Cornell University

3
 Optical Interband Transitions in Solids


Hˆ o  n ,k  E n k  n ,k E
   
e Ao  e iq . rˆ  i  t
e  iq . rˆ  i  t  
  ˆ
Hˆ  Hˆ o  P . nˆ
2m
Comparison with:
Hˆ  Hˆ o  Vˆ e  it  Vˆ e it Interband
gives:
    
iq . rˆ   iq . rˆ  k
e Aoe e Aoe
Vˆ  Pˆ . nˆ
Vˆ  Pˆ . nˆ 
2m 2m ki
Suppose at time t = 0 the electron was sitting
 in the
valence band with crystal momentum k i :

 t  0    v ,k
i

The transition rate to states in the conduction band is given by the Fermi’s
golden rule:
2
   Ec kf   Ev ki    
 2  
W k i    c ,k Vˆ  v ,k
 kf f i

The summation is over all possible final states in the conduction band that have the
same spin as the initial state. Energy conservation is enforced by the delta function.

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Optical Matrix Element

2
   Ec kf   Ev k i    
 2  
W k i    c ,k Vˆ  v ,k
 kf f i

2
2  eAo  2
 Ec kf   Ev ki    
 ˆ   
     c ,k e iq . r Pˆ . nˆ  v ,k
  2m  kf f i

E
Now consider the matrix element:

 ˆ 
 c ,k e iq . r Pˆ . nˆ  v ,k
f i
3  
   
 *
 d r  c ,k f r   e iq . r
Pˆ . nˆ  v ,k r  Interband
i
       
3   ik f . r *  
r  e iq . r Pˆ . nˆ e ik i . r uv ,k r 
 k
 d r e u c ,k f

 
    0 i
     
  d 3 r e  ik f r  e iq . r e ik i . r Pˆ  ki . nˆ uv ,k r 
.r * 
u c ,k f
i
      
  
  d 3 r e  ik f r  e iq . r e ik i . r Pˆ . nˆ uv ,k r 
.r * 
u c ,k f
i
Rapidly
varying in
Slowly space
varying in
space
ECE 407 – Spring 2009 – Farhan Rana – Cornell University

4
 Optical Matrix Element
E
 
iq . rˆ

 c ,k e Pˆ . nˆ  v ,k 
f i
      
3  
 ikf . r *
r  e iq . r e ik i . r Pˆ . nˆ uv ,k r 

 d re u c ,kf
i
   
 
 
i k i q  k f . R j 3 *    
r  Pˆ . nˆ uv ,k r 
Interband

 e d r u c ,kf 
i k
Rj j - th primitive cell
   
 
 
i k i q  k f . R j 3    
u *c ,kf r  Pˆ . nˆ uv ,k r 
 e d r i
Rj any one primitive cell
3    
 N k   d r u *c ,kf r  Pˆ . nˆ uv ,k r  N = number of
i q , k f i
any one primitive cell primitive cells in the
3 *  
ˆ  crystal
  k  
i q , k f
 d r u c ,kf r  P . nˆ uv ,ki r 
entire crystal

  k   Pcv . nˆ
i q , k f

Interband momentum matrix element

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Crystal Momentum Selection Rule

2 2
 2  eAo    
   Ec k f   Ev k i    
 ˆ
W k i      c ,k e iq . r Pˆ . nˆ  v ,k
  2m  kf f i

2
2  eAo    
 Ec k f   Ev k i    
2
    Pcv . nˆ  k  
  2m  kf i q , k f
E
2
2  eAo    
 
  2m 

2
  
Pcv . nˆ  Ec k i  q  Ev k i      
Crystal Momentum Selection Rule:

We have the crystal momentum selection rule: 

Interband
   
kf  k i  q k

The wave vector of the photons is very small since

the speed of light is very large

Therefore, one may assume that:

  Optical transitions are
kf  k i vertical in k-space

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

5
 Transition Rates per Unit Volume
E
2
2  eAo  
       
 2  
W k i    Pcv . nˆ  Ec ki  Ev ki  
  2m 
 

Generally one is not interested in the transition rate for any one W k i

particular initial electron state but in the number of transitions Interband

happening per unit volume of the material per second 

k

ki
The upward transition R rate per unit volume is obtained by
summing over all the possible initial states per unit volume
weighed by the occupation probability of the initial state and
by the probability that the final state is empty:
E

     
2   
R      W k i fv k i 1  fc ki
V ki 
R
If we assume, as in an intrinsic semiconductor, that the
valence band is full and the conduction band is empty of 
Interband
electrons, then: 
k
 
2 
R      W ki
V ki 
2
2  eAo 
     
2  2  
    Pcv . nˆ  Ec k i  Ev k i  
V ki   2m 
ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Transition Rates per Unit Volume E

2
2  eAo  
     
2 2  
R       Pcv . nˆ  Ec k i  Ev k i  
V k i   2m  R
 2 
d 3ki 2  eAo  
     
2   Interband
 2  3   2m 
Pcv . nˆ  Ec ki  Ev ki   
FBZ 2    k

2 
2  eAo  d 3k i
     
 2  
   Pcv . nˆ 2   Ec k i  Ev k i  
FBZ 2 
  2m  3

2 
2  eAo  d 3k
   
 2  
   Pcv . n ˆ 2   Ec k  Ev k  
FBZ 2 
  2m  3

Joint density of states

The integral in the expression above is similar to the density of states integral:

 2k 2


Suppose: Ec k  Ec 
2me
 32
d 3k
  
 1  2me 
Then: g3D E   2    E c k  E    E  Ec
FBZ 2 
3
2 2   2 

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

6
 Transition Rates per Unit Volume and Joint Density of States
2 
2  eAo  d 3k
 Ec k   Ev k    
 2  
R      Pcv . nˆ 2 
  2m  FBZ 2  3

 2k 2  2k 2




Suppose: Ec k  Ec  Ev k  Ev  Reduced
2me 2mh effective mass
2k 2  1 1   2k 2
 
 
Then: E c k  E v k  E c  Ev      E g 
2  me mh  2mr
2 32
2  eAo   2 1  2 mr 
R      Pcv . nˆ     E g E
  2m  2 2   2 

R   Joint density of states

R

Interband

k

Eg 
ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Transition Rates per Unit Volume

2 32 E
2  eAo   2 1  2 mr 
R      Pcv . nˆ     E g
  2m  2 2   2 
R
The power per unit area or the Intensity of the E&M wave is:

Interband
 2 Ao2 
I k
2
2 32
2  e   2I   2 1  2mr 
R        Pcv . nˆ     E g
  2m    2  2 2   2 

E
Interband Momentum Matrix Elements:
Recall the result from homework 7:
 2
1  1 1  4 Pcv . nˆ
     2 Eg
m r  me m h  m Eg 
k
The above result assumed diagonal isotropic conduction
and valence bands and also that no other bands are
present, and is therefore oversimplified

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

7
 Momentum Matrix Elements
In bulk III-V semiconductors with cubic symmetry, the average value of the
momentum matrix element is usually expressed in terms of the energy Ep as,
 2 mE p
Pcv . nˆ 
6
Note that the momentum matrix elements are independent of the direction of light
polarization!

Parameters at 300K GaAs AlAs InAs InP GaP

Ep (eV) 25.7 21.1 22.2 20.7 22.2

Transition Rates per Unit Volume and the

Absorption or Loss Coefficient
Because of transitions photons will be lost from the E&M wave traveling inside the
solid. This loss will result in decay of the wave Intensity with distance travelled:

 I  x   e  x I  x  0 
I x  I x  R I  x  x 
   I  x 
dx
 I  x  x   I  x    x I  x 
x x  x
Loss coefficient or absorption coefficient
ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Transition Rates per Unit Volume and Loss Coefficient

E
 I  x  x   I  x    x I  x 
The wave power loss (per unit area) in small distance x is
R
x I(x)

I x  I  x  x 
Interband
R 
k

x x  x
The wave power loss in small distance x must also equal:  R x

Therefore:
 R   x    x I
 R   2
 e   2   2 1  2mr 
32
      2     Pcv . nˆ  2    E g
I  2m     2
2   
2 32
e   2 1  2 mr 
  Pcv . nˆ  2    E g
 m   o n c 2
2   
Values of () for most semiconductors can range from a few hundred cm-1 to
hundred thousand cm-1

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

8
 Loss Coefficient of Semiconductors

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Direct Bandgap and Indirect Bandgap Semiconductors

1  1 1 
  
mr  mh me 

If me approaches -mh ,
then mr becomes very
large
32
Then,   mr 
also becomes very
large

Direct bandgap Direct bandgap

(Direct optical transitions) (Indirect phonon-assisted transitions)

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

9
 Stimulated Absorption and Stimulated Emission
Throwing back in the occupation factors one can write more generally:
2 
d 3k
2  eAo 
        
 2    
R      Pcv . nˆ 2  f k 1  fc k  Ec k  Ev k  
3 v
  2m  FBZ 2 
Stimulated Absorption:
The process of photon absorption is called stimulated absorption (because, quite
obviously, the process is initiated by the incoming radiation or photons some of which
eventually end up getting absorbed)

An incoming photon can also cause the reverse

E
process in which an electron makes a downward
transition

Stimulated This reverse process is initiated by the term in

absorption
 Hamiltonian that has the e it time dependence:

k
Hˆ  Hˆ o  Vˆ e  it  Vˆ e it
ˆ    ˆ
e Aoe iq . r ˆ e Aoe  iq . r ˆ
Vˆ  P . nˆ Vˆ  P . nˆ
2m 2m

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Stimulated Emission and Spontaneous Emission

Following the same procedure as for stimulated absorption, one can write the rate
per unit volume for the downward transitions as:
2 
d 3k
2  eAo 
        
 2    
R      Pcv . nˆ 2  f k 1  fv k  Ec k  Ev k  
3 c
  2m  FBZ 2 
Stimulated Emission:
In the downward transition, the electron gives off its energy to the electromagnetic
field, i.e. it emits a photon! The process of photon emission caused by incoming
radiation (or by other photons) is called stimulated emission.

Spontaneous Emission:
Electrons can also make downward transitions even in the absence of any incoming
radiation (or photons). This process is called spontaneous emission.
E E

 
  
Stimulated k Spontaneous k
emission  emission

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

10
 Stimulated Absorption and Stimulated Emission
The net stimulated electronic transition rate is the difference between the
stimulated emission and stmulated absorption rates:
2 
d 3k
R    R   
2  eAo 
 

Pcv . ˆ
n
2
2  
   
 
fv k  fc k  Ec k  Ev k         
  2m  FBZ 2 3

And the more accurate expression for the loss coefficient is then:

 R    R  
   
I
2 
d 3k
e
 
 
Pcv . nˆ
2
2  fv k   fc k   Ec k   Ev k    
 m   o n c FBZ 2 
3

E E

Stimulated
Stimulated
absorption
 emission  
 
k k


ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Optical Gain in Semiconductors

2 
d 3k
    
e

 
Pcv . nˆ
2
2  fv k   fc k   Ec k   Ev k    
 m   o n c FBZ 2 3

Note that the Intensity decays as: I  x   e  x I  x  0  E

What if  were to become negative? Optical gain !!

    0  R    R   

A negative value of  implies optical gain (as opposed to k
optical loss) and means that stimulated emission rate
exceeds stimulated absorption rate

Optical gain is possible if:

   
 
fv k  fc k  0 for Ec k  Ev k    
   
 
 fc k  fv k  0 for Ec k  Ev k    
ECE 407 – Spring 2009 – Farhan Rana – Cornell University

11
 Optical Gain in Semiconductors
Optical gain is only possible in non-equilibrium situations when the electron and
hole Fermi levels are not the same

Suppose:
   
  1 E
fc k  f Ec k  Efe  
1  e Ec k  E fe  KT
   
  1
fv k  f Ev k  Efh 
1  e Ev k  E fh  KT


  Efe
 
Ec k  Ev k  

Then the condition for optical gain at frequency  is: 

k
 
     
f Ec k  Efe  f Ev k  Efh  0
Efh
 
 
 Efe  Efh  Ec k  Ev k
 Efe  Efh  

The above is the condition for population inversion (lots of electrons in the
conduction band and lots of holes in the valence band)

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Optical Gain in Semiconductors

The loss coefficient is a function of frequency:
2 
d 3k
e
     
 
Pcv . nˆ
2
2  fv k   fc k   Ec k   Ev k    
 m   o n c FBZ 2 
3

   E

Efe
Net Loss
0 
Net Gain  k
Eg Efh
Increasing electron-hole
density (n = p)

Optical gain for frequencies for which:

E g    Efe  Efh

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

12
 Semiconductor PN Heterojunctions
Ec 2 Ec 2
Ef Ec 1
N-doped Ef P-doped PN heterojunction

Ef
Ev 2 Ev 1 Ev 2

PN heterojunction
P-doped in equilibrium
Ef Ef

N-doped

Ev 2
Electron and hole Fermi level
splitting
EfL PN heterojunction
EfL  EfR  eV P-doped in forward bias
N-doped EfR

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

Semiconductor Heterostructure Lasers

A Heterostructure Laser (Band Diagram) A Ridge Waveguide Laser Structure
Non-equilibrium electron and hole populations
can be sustained in a forward bias pn junction metal

electrons
stimulated and
spontaneous
emission
Efe
photons

P-doped
N-doped
Efh

holes
Efe  Efh  
 eV  

All lasers used in fiber optical communications

are semiconductor lasers

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

13
 Semiconductor Heterostructure Lasers

Wire bond
Semiconductor actual laser
laser chip (the long strip)

fiber

A commercial packaged
semiconductor laser

ECE 407 – Spring 2009 – Farhan Rana – Cornell University

14