Recap

Si crystal (1022 atoms/cm3)

energy

energy

conduction band
empty
Energy gap, Eg=1.1 eV
filled
Valence band
4 x 1022 states/cm3

Recap
Actual band structure

calculated by quantum mechanics

allowed band
Forbidden band
band gap, EG
allowed band

Recap

Quantitative discussion
Determine the relation between energy of electron(E), wave number (k)

(x,t)= exp ( j(kx-t))

Relation of E and k for free electron
E

h 2k 2
E =
2m

K-space diagram
Continuous value of E
k

Recap

E-k diagram for electron in quantum well

h2 2
E =
n
2m L
h 2k 2
E =
2m
2

k = n
L

En=3

E
En=2
En=1
x=0

x=L

k
/L 2/L

E-k diagram for electron in crystal?

The Kronig-Penney Model

4

Recap

The Kronig-Penney Model

e2
V (r ) =
4 0 r

Periodic potential
V0
II
Potential
well

II

II

II

-b
tunneling

II

Determine a relationship between k, E and V0

Wave function overlap

Recap
Schrodinger equation (E < V0)
Region I

2 I ( x)
2
+

I ( x) = 0
2
x

Region II

2 II ( x)
2

II ( x) = 0
2
x

2 =
2 =

2mE
h2

2m(V0 E )
h2

Potential periodically changes

Bloch theorem

V ( x) = V ( x + L)
Wave function
amplitude

( x) = U ( x)e jkx

k; wave number [m-1]

Phase of the wave

U ( x) = U ( x + L)
6

Recap
Boundary condition

U I (0) = U II (0)

Continuous wave function

U I (a ) = U II (b)

U I (0) = U II (0)
'

'

U I (a ) = U II (b)
'

'

Continuous first derivative

Recap
From Schrodinger equation, Bloch theorem and boundary condition

2 2
sinh( b) sin(a ) + cosh( b) cos(a ) = cos(kL)
2
B  0, V0 

Approximation for graphic solution

mV0ba sin(a)
+ cos(a) = cos(ka)

2
h a

sin(a)
P
+ cos(a ) = cos(ka)
a
'

mV0ba
P =
h2
'

Gives relation between k, E(from ) and V0

8

Recap
Left side

f (a ) = P '

sin(a)
+ cos(a )
a

Right side

f (a ) = cos(ka)
Value must be
between -1 and 1

Allowed value of a

Recap

2 mE
h2
2h 2
E=
2m

2 =

Plot E-k

Discontinuity of E

10

Recap
Right side

f (a ) = cos(ka) = cos(ka + 2n ) = cos(ka 2n )

Shift 2

11

Recap
From the Kronig-Penney Model (1 dimensional periodic potential function)

Allowed energy band

Forbidden energy band
Allowed energy band
Forbidden energy band
Allowed energy band

First Brillouin zone

12

Electrical condition in solids

1. Energy band and the bond model

energy

conduction band
Energy gap, Eg=1.1 eV

Valence band

Breaking of covalent bond

Generation of positive and negative charge
13

E versus k energy band

conduction band

Valence band

T=0K

T>0K

When no external force is applied, electron and empty state distributions are
symmetrical with k
14

2. Drift current

Current; diffusion current and drift current
When Electric field is applied

dE = F dx = F v dt
Electron moves to higher empty state

E
E

No external force

k
n

Drift current density,

J = e i

[A/cm3]

i =1

n; no. of electron per unit volume in the conduction band

15

3. Electron effective mass

Electron moves differently in the free space and in the crystal (periodical potential)

Fext + Fint = ma
External forces
(e.g; Electrical field)

Internal forces
(e.g; potential)

mass

acceleration
Internal forces
(e.g; potential)

Fext = m*a
External forces
(e.g; Electrical field)

Effective mass

acceleration

Effect of internal force

16

From relation of E and k

h 2k 2
E =
2m
d 2E h2
=
2
dk
m
Mass of electron, m

h2
m=
d 2E

2
dk

E versus k curve

Curvature of E versus k curve

Considering effect of internal force (periodic potential)

m from eq. above is effective mass, m*

17

E versus k curve
E

Free electron

Electron in crystal B
Electron in crystal A
k

Curvature of E-k depends on the medium that electron moves in
Effective mass changes
m*A > m

Ex; m*Si=0.916m0, m*GaAs=0.065m0

> m*B

m0; in free space

18

4. Concept of hole

Electron fills the empty state

Positive charge empty the state

Hole

19

Microelectronics I : Introduction to the Quantum Theory of Solids

When electric field is applied,

hole

electron

Hole moves in same direction as an applied field

20

Metals, Insulators and semiconductor

103

10-8

Insulator

Metal

Semiconductor

Conductivity,
( s/m)

Conductivity; no of charged particle (electron @ hole)

carrier

1. Insulator
e
empty

Conduction
band

Big energy gap, Eg

full

No charged particle can contribute to a

drift current

Eg; 3.5-6 eV

Valence
band
21

2. Metal
Partially
e filled

Many electron for

conduction

full

No energy gap

3. Semiconductor
T> 0K
Almosteempty

Conduction
band

Eg; on the order of 1 eV

e full
Almost

Conduction band; electron

Valence band; hole

Valence
band
22

Extension to three dimensions

1 dimensional model (kronig-Penney Model)

1 potential pattern

[110]
direction
Different direction
Different potential patterns
[100]
direction
E-k diagram is given by a function of the direction in the crystal
23

E-k diagram of Si

Energy gap; Conduction band minimum
valence band maximum
Eg= 1 eV

Indirect
Indirect bandgap;
Maximum valence band and minimum
conduction band do not occur at the same k

Not suitable for optical device application

(laser)

24

Microelectronics I : Introduction to the Quantum Theory of Solids

E-k diagram of GaAs

Eg= 1.4 eV

Direct band gap

suitable for optical device application

(laser)

Smaller effective mass than Si.

(curvature of the curve)

25

26

How do electrons and holes populate the bands?

 Probability of Occupation (Fermi Function) Concept

Now that we know the number of available states at each energy,
then 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.

f (E) =

1
( E E f ) / kT

1+ e

Ef Fermi energy (average energy in the crystal)

k Boltzmann constant (k=8.61710-5eV/K)
T Temperature in Kelvin (K)

 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.

Fermi function applies only under equilibrium conditions, however, is
universal in the sense that it applies with all materials-insulators,
semiconductors, and metals.

27

Fermi-Dirac distribution: Consider T 0 K

f ( E > EF ) =

1
= 0
1 + exp (+)

f ( E < EF ) =

1
= 1
1 + exp ()

For E > EF :

For E < EF :

EF

f(E)

28

Microelectronics I :approximation
Introduction to the Quantum Theory of Solids
Boltzmann

When E-EF>>kT

f F (E)

1
E EF
exp

kT

Maxwell-Boltzmann approximation

Approximation is valid in this range

29

Fermi-Dirac distribution: Consider T > 0 K

If E = EF then f(EF) =
If

E EF + 3kT

then

E EF
exp
>> 1
kT

Thus the following approximation is valid:

( E EF )
f ( E ) = exp

kT

i.e., most states at energies 3kT above EF are empty.

If

E EF 3kT

then

E EF
exp
<< 1
kT

E EF
f ( E ) = 1 exp

kT
So, 1 f(E) = Probability that a state is empty, decays to zero.
Thus the following approximation is valid:
So, most states will be filled.
kT (at 300 K) = 0.025eV, Eg(Si) = 1.1eV, so 3kT is very small in
comparison.

30

How do electrons and holes populate the bands?

 Probability of Occupation (Fermi function) Concept

( EE f ) / kT

If E Ef +3kT
e

1 and f (E) e

( EE f ) / kT

Consequently, above Ef +3kT the Fermi function or filled-state probability 31

decays exponentially to zero with increasing energy.

32

How do electrons and holes populate the bands?

Example

The probability that a state is filled at the

conduction band edge (Ec) is precisely
equal to the probability that a state is
empty at the valence band edge (Ev).
Where is the Fermi energy locate?

33

Solution
The Fermi function, f(E), specifies the probability of electron occupying
states at a given energy E.
The probability that a state is empty (not filled) at a given energy E is
equal to 1- f(E).

f ( EC ) = 1 f ( EV )
f ( EC ) =
EC EF
kT

1+ e( EC EF )/ kT
=

EV EF
kT

1 f ( EV ) = 1
EF =

( EV EF ) / kT

1+ e

1+ e( EF EV )/ kT

EC + EV
2

34

How do electrons and holes populate the bands?

 Probability of Occupation Concept

The density of electrons (or holes) occupying
the states in energy between E and E + dE is:
g c ( E ) f ( E ) dE

Electrons/cm3 in the conduction band

between E and E + dE (if E Ec).

g v ( E ) f ( E ) dE

Holes/cm3 in the conduction band

between E and E + dE (if E Ev).

Otherwise
35

Current flow in semiconductor

Number of carriers (electron @ hole)

How to count number of carriers,n?

Assumption; Pauli exclusion principle
If we know
1. No. of energy states

2. Occupied energy states

Density of states (DOS)

The probability that energy states is

occupied
Fermi-Dirac distribution function

n = DOS x Fermi-Dirac distribution function

36

Density of states (DOS)

4 (2m)
g (E) =
3
h

3/ 2

A function of energy

As energy decreases available quantum states decreases

Derivation; refer text book

37

Q.
Calculate the density of states (for electron) per unit volume with energies between 0 and 1 eV
Solution
1eV

N=

g ( E )dE
0

4 (2m)3 / 2
=
h3

1eV

E dE

4 (2 9.11 10 31 )3 / 2 2
19 3 / 2
=
(
1
.
6

10
)
34 3
(6.625 10 )
3
= 4.5 10 21 states / cm3

38

Microelectronics I : Introduction to the Quantum Theory of Solids

Extension to semiconductor
Our concern; no of carrier that contribute to conduction (flow of current)
Free electron or hole

1. Electron as carrier
Can freely moves

T> 0K

Conduction
band

Valence
band

Ec
Ev

Electron in conduction band contribute to conduction

Determine the DOS in the conduction band

39

4 (2m)
g (E) =
3
h

3/ 2

E EC

Energy

Ec

40

1. Hole as carrier
e

Conduction
band

Valence
band

Ec
Empty
state

Ev

freely
moves

hole in valence band contribute to conduction

Determine the DOS in the valence band

41

4 (2m)
g (E) =
3
h

3/ 2

Ev E

Energy
Ev

42

Q1;
Determine the total number of energy states in Si between Ec and Ec+kT at T=300K

Solution;

4 (2mn )3 / 2
g=
h3

Ec + kT

E EC dE

Mn; mass of electron

Ec

4 (2mn )3 / 2 2
3/ 2
(
)
=
kT

h3
3
4 (2 1.08 9.1110 31 )3 / 2 2
19 3 / 2
=
(
0
.
0259

1
.
6

10
)

34 3
(6.625 10 )
3
= 2.12 1019 cm 3
43

Q2;
Determine the total number of energy states in Si between Ev and Ev-kT at T=300K

Solution;

g=

4 (2m p ) 3 / 2
h

Ev

Ev kT

Ev E dE

Mp; mass of hole

4 (2m p )3 / 2 2
3/ 2
=
(
kT
)

h3
3
4 (2 0.56 9.1110 31 )3 / 2 2
19 3 / 2
=
(
0
.
0259

1
.
6

10
)

34 3
(6.625 10 )
3
= 7.92 1018 cm 3
44

How do electrons and holes populate the bands?

 Probability of Occupation Concept

45

Metals vs. Semiconductors

 Allowed electronic-energy states g(E)
Fermi level Ef immersed in the
continuum of allowed states.

The Fermi level Ef is at an intermediate energy

between that of the conduction band edge and that
of the valence band edge.

Ef
Ef

Metal

Semiconductor
46

How do electrons and holes populate the bands?

 Typical band structures of Semiconductor
E

g ( E) (EEc)

1/2

[1f(E)]

Ec+
For
electrons

CB

Ec
number of states
per unit energy per
unit volume

EF

A re a =

probability of
occupancy of a
state

EF

( E ) dE

n E (E )
c

number of electrons per unit energy

per unit volume, The area under
nE(E) vs. E is the electron
concentration.
E

Ev

(E )

For holes
A re a = p
VB
fE)
0
g (E)
Energy band
diagram

Density of states

Fermi-Dirac
probability
function

(E ) o r p

(E )

g(E) X f(E)
Energy density of electrons in the CB

47

= n

Q;
Assume that EF is 0.30 eV below Ec. Determine the probability of a states being
occupied by an electron at Ec and at Ec+kT (T=300K)
Solution;
1. At Ec

1
EC ( EC 0.3eV )
1+

kT

1
=
0.3
1+

0
.
0259

= 9.32 10 6
f =

2. At Ec+kT

1
E + 0.0259 ( EC 0.3eV )
1+ C

kT

1
=
0.3259
1+

0.0259
= 3.43 10 6
f =

Electron needs higher energy to be at higher energy states. The probability of

electron at Ec+kT lower than at Ec
48

1
f F (E) =
E EF
1 + exp

kT

electron

Hole?
The probability that states are being empty is given by

1
1 f F (E) = 1
E EF
1 + exp

kT

49

unfilled

conduction band
energy gap
Valence band
Filled

50