Optoelectronics 2010 Ch05

5-1 K5
5 Optical Processes in Semiconductors: 22/03/2010
Optisch induzierte Polarisation

Eines Molekls
Polarized Atomic Dipole in Optical Field
Blue Silicon Carbide Light Emitting Diode LED
Representation of band-to-band transitions in Semiconductors
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Electronics Laboratory: Optoelectronics and Optical Communications 22.03.2010
5-2 K5
Goals of the chapter:
Design of optical SC-devices (Laser, Photodetectors, optical amplifiers, etc.) depends critically on the calculation of the
carrier transition rates R, the rate-equations of carriers and photons and the optical gain g(,n)
Nonclassical description of the motion of bound electrons in the static force fields of the atomic nucleus
or crystal lattice and a oscillating light wave
The equation of motion and polarization has to be described in a quantized 2-energy level material system
by a quantum mechanical model based on the perturbed time dependent Schrdinger-equation
The description of the interaction between light field and a 2-energy band Semiconductor needs an
extension of the discrete 2-level concepts to continuum-to-continuum, resp. band-to-band optical
transitions
Methods for the Solution:

The classical model for electron motion r(t) of electrons-on-springs will be replaced by the time-dependent
Schrdinger-equation (TSE) for a harmonic oscillator providing a statistical expectation value r(t)
The quantum mechanical equation of motion of the expectation value r(t) of bound or quasi-free charges
in atoms and SC will be obtained for weak optical fields.
Perturbation-theory leads to the Transition-Rates R and a realistic microscopic susceptibilities
(,n2,n1) depending on the of charge carriers densities n1, n2 in the lower and upper levels
The quantum-mechanical analysis shows for carrier inversion n2>n1 optical gain g(opt) occurs
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5 Optical Processes in Semiconductors:

Introduction:
The classical dipole oscillator model electrons on springs breaks down for
a) the quantized energy exchange between atom and light field,
b) the microscopic force constant and the relation to carrier state occupancy, that is:
the spring force constant kDP and the damping D of the dipole motion are not physically defined
Realization of a positive >0, resp. <0 to obtain optical gain is not obvious?
Carrier motion in a atomic system with discrete quantized energy levels E2 and E1 and
Distribution of carriers n2, n1 occupying these levels influence the optical gain g ?
Separation of transparent and absorbing spectral regions of SC
Goal: Semi-classical QM-Theory of the atomic oscillator and a light field with
- a classical optical field and
- a quantum mechanical (QM) description of the microscopic, induced dipole motion
by an optical field
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Step 1: Einstein-Theory of optical transitions

Phenomenological semi-classical description of optical processes in a quantized 2-level medium by the so
called Einstein-Rate-equation formalism of optical transitions (Einstein 1905)
Step 2: Quantum mechanical model of optical transitions

Quantum mechanical model for the dipole-oscillator (perturbation theory) (~1930)
Relation between microscopic material parameters and the quantum mechanical susceptibility
Condition for optical gain in atoms and SC and the concept of pumping and carrier inversion
Extension of the 2-level-interaction to band-to-band transitions in SCs
calculation of optical gain / absorption spectrum g(,n) in SC as a function of carrier density n, p.
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What are the concepts for a solution from a QM viewpoint ?:
A) Stationary Eigenstates:
Consider an electrons moving in the attractive and repulsive static potential field V(r) of an individual atom or a
crystal lattice without an optical field.
Quantization of motion defines static discrete energy eigenstates I(r,t), with energy eigenvalues Ei
(assumed dipole-free)
The matter wave functions I(r,t) fulfill the
time-independent Schrdinger equation (SE):
p2
H ( x,t ) = + qV ( x ) ( x,t ) = E ( x,t )
2m
Solving the Schrdinger Eigenvalue problem Ej (energy eigenvalue), j (energy eigenfunction) with j=Ej/ and E2>E1
V(x) is the potential of the atomic electric force field

p is the momentum operator
m is the mass of the particle
H is the Hamilton operator
Generic stationary Solution:

i ( x,t ) = ui ( x ) e jit = ui ( x ) e jEi / t
General solution :
( x,t ) = Ci i ( x,t )
i
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with the normalizations:
= i i = 1
Ci = 1
2
i = Ci*
i = Ci
Interpretation of the Ci:
The coefficient Ci = Ci Ci i is proportional to the probability of finding the system in the state i ( x,t ) with the energy
2 *
Ei.
B) Time dependence Eigenstate occupation

Perturbation of the static potential field V(r) by a superposed harmonic optical field (E, H, )
with its dynamic potential Vopt(r,t)
Definition: weak perturbation the optical field is much weaker than the static atomic field, Vatom >>Vopt
QM-interaction between N quantized 2-level system (E2,E1) (level E2 with N2 electrons, level E1 with N1 electrons) and a
2 EEM
classical, non-quantized optical harmonic EM-field (E, H) of spectral energy-density W(), W ( ) = Vol
The interaction changes of the occupation probabilities

(N2(t)/N , N1(t)/N) of the 2-level system by photon absorption or emission, resp. transitions between levels combined
with an energy exchange due to the EM-forces of the light field
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Quantum mechanical perturbation analysis: time-dependent SE
p2
H ( x,t ) = + qVatom ( x ) + qVopt ( x,t ) ( x,t ) = i ( x,t )
2 m t
Materie
static potential oscillating potential of the EM-field (opt)
E2
2
EM-Feld
up- / down transitions EM-field:
klassisch
E1 1 E ,
0
Assumed dynamic solution ( x,t ) :

a superposition of static solutions 1 ( x,t ) ; 2 ( x,t ) with time-dependent coefficients Ci(t)
( x,t ) = C1 ( t ) 1 ( x,t ) + C2 ( t ) 2 ( x,t ) = C1 ( t ) u1 ( x ) e j1t + C2 ( t ) u2 ( x ) e j2t
C1(t), C2(t) are now time-functions

( x,t ) describes the quantized system completely in its interaction with the optical field !
Calculation of the time dependent expectation values of the variables of the atomic system relevant for optical
properties:
x ( t ) ; P ( t ) ; ( ) ; N 2 ( t ) ; N1 ( t ) etc.
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5.1 Quantum mechanical model of the dipole-oscillator

5.1.1 Semi-classical model for absorption and gain
Optical Absorption and Amplification
The classical, mechanical model breaks down describing photon emission- and absorption properties and provides no clue
for amplification and energy quantization.
only the frequency dependence of the refractive index far away from the atomic resonance is well described
(with phenomenological parameters)
The classical, mechanical Lorentz-model is based on:

1. classical description of optical fields with continuous E- und H-field variables and a spectral field-energy density
2 Energy
W ( ) =
V
2. it neglects the particle aspect of the optical field, the quantization E=hv of the field
and the particle concept of the photon
3. the atomic harmonic oscillator, described by the coordinate x(t) of the charge separation
of the dipole and its system energy E (potential and kinetic) as continuous observables
of the Newton equation of motion.
The model does not describe:

1. Optical Gain and Absorption 2. Optical spontaneous emission
Extension to the semi-classical quantum mechanical-model:
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5.1.2 Interaction of a EM-field with a discrete 2-level system
Introduction: (Lit. Loudon)
The optical field is represented by a classical, not quantized field H(r,t), E(r,t) description by Maxwells equations
The medium response and its microscopic electrodynamics with respect to energy quantization E1, E2 under
interaction with the optical field E(t) (QM-description of the equation of motion for the electron position x(t))
description of expectation value of <x(t)> of the QM-dipole by the time-dependent Schrdinger equation
Atomic 2-level systems (E1, E2 , N1, N2) which interact with an optical EM-field (, E, H) exchange energy resulting in a
change of the occupation probability of the of the electrons, resp. in a change of the electron numbers N1, N2.
The goal is to calculate the time evolution of N1(t) and N2(t) for an idealized 2-level atom and the formation of an atomic
dipole p(t) under the influence of the harmonic optical field E ( r,t ) , H ( r,t ) .
Strong interaction only close to the atomic transition frequency 21 = ( E2 E1 ) /
Quantum mechanical 2-Level-System -eV(x) Energy E

as a model: (quantitative description, QM >1930)
1-electron-atom-model with 3 ( x ) , E3 (3. excited state)
(no collision processes infinite state-lifetime)
2 discrete sharp energy-levels E1 and E2 (E1<E2)
E2 2 ( x ) ,N 2 ,E2 2.excited state
The 2 energy levels are Eigenvalues E1 und E2 of the
Transition 21
1-D time independent Schrdinger-equation
E1
for the electron in the stationary, parabolic potential V(x) 1 ( x ) , N1 ,E1 1.ground state
of the nucleus: x
Energy-Levels of a harmonic Oscillator (electron in a parabolic potential V(x)= -kx2 , no light field)
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Stationary state without optical field: Time independent Schrdinger-Equation
The matter wave (x,t) representing the probabilistic motion of a particle of constant total Energy E=Etot (kinetic and potential) in a
stationary electrostatic potential V(x) is a solution (eigenfunction) with the energy eigenvalue E of:
p2
H ( x, t ) = ( H kin + H pot ) ( x, t ) = + qV ( x ) ( x, t ) = E ( x, t ) H=Hamilton (Energy)-Operator
2m
Stationary Schrdinger equation with time-invariant potential V(x)
p2
H = + qV ( x ) = Hamilton Operator ( of the time-independent potential V ( x ) of the positive nucleus )
2m
2
p=j = impulse operator ; p 2 = 2
x x2
E = total energy = potential and kinetic energy
V ( x ) = time-independent potential of the nucleus
q = charge of the particle (-e)
( x,t ) = Eigenfunction of the matter wave
with the time-space-dependent Eigenfunctions ( x,t ) = u ( x ) e jt = u ( x ) e jE / = t ,

resp. spatial term u ( x ) and Energy Eigenvalues E as solutions :
p2
H ui ( x ) = + qV ( x ) ui ( x ) = Ei ui ( x,) with ui ( x ) = spatial Eigenfunction and Eigenvalue Ei
2m
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Eigenfunction are a complete orthonormal set i ( = orthogonal and normalized ) :

+
(without proof)
ui u j = u*i u j dx = ij with : ii = 1 , ij = 0 if i j

E1 : 1 ( x,t ) = u1 ( x ) e jE1 / t
Standing wave with the oscillation frequency 1=E1 /
E2 : 2 ( x,t ) = u2 ( x ) e jE2 / t
Standing wave with the oscillation frequency 2 = E2 /
( x, t ) = C1 1 ( x, t ) + C2 2 ( x, t ) C1, C2 = constant
General solution: 2 2 2 2
C1 and C1 are the probabilities of finding the system at E1 or E 2 ; C1 + C1 = 1
(x,t) describes the statistical behaviour of the electron in the potential field V(x) with constant total Energy E.
*=II2 is interpreted as probability density of finding the electron at the position x, if normalized to: * dx = 1.
the statistical expectation value <x> for the space variable x of the particle is (probability of finding the particle at x) :
+ +
( x,t ) x ( x,t ) u ( x) x u ( x)

x = dx = dx =
N u x u
Definition

BRA KET
of BRA KET
notation
we will use x to describe the dipole
p = e x etc.
the stationary solutions (x,t) are, in order to be stationary (E=const.), non-radiating, resp. free of a dipole moment.
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Definition of bra-ket notation:
expectation value <f> of an observable f(x) of a QM-system is defined as:
+
a ( x,t ) f ( x ) b ( x,t )

f = dx =
N a f b
Notation
Non-stationary states with a perturbing optical field: Time dependent Schrdinger-Equation

It is expected that the nonstationary state with an interacting optical field changes the occupation probabilities
ICj(t)I2 by exciting or de-exciting charge carriers by optically induced state transitions between energy states Ei, Ej.
the coefficients Ci(t) become time functions

State transitions will be described by transition probabilities r and transitions rates R of
charge carriers
G G G G
Electron dynamics in an optical EM-field ( E ( r ,t ) , H ( r ,t ) ): Felektrisch FLorentz
G G z
The optical EM-field exerts forces F ( r ,t ) on the moving electron v
e -
G G
a) time-dependent electrostatic force Felektrisch = eE ( x,t ) = e Vopt ( x,t ) = ? E
x pi(t)=-eri(t)
and + x
G G G
b) time-dependent magnetic force FLorentz = e0 v H
y
producing energy exchange and state transitions
G G
F
In most cases we can neglect the H-field because elektrisch >> FLorentz
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Schematic representation of basic interactions of a 2-level system and an optical field:
Photon Absorption Spontaneous Photon-Emission Stimulated Photon-Emission
e e e
excited
state
Energy E
Exciting photon
In out
hv=E2-E1
out in
ground Stimulated Photon
state
h h h
4
(Electron-Hole-Pair Generation) (Electron-Hole-Pair Annihilation)

Photon-Annihilation Photon-Generation
e-transition from: E1 E2 E2 E1 E2 E1
EM-Radiation field changes occupation probabilities by level-transitions
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What are the transition rates R and how do they depend on the optical field ?
In historical order:
1) Einstein Theory: (A. Einstein, 1905 without QM)

The 2-level system exchanges energy with the EM-field of frequency only if the photon energy E==E2-E1 (resonance)
1) electrons in the ground state E1 absorb a photon and make an up-ward transition to the excited (upper) state E2.
2) electrons in the excited state E2 make a down-ward transition to the ground state E1 emitting an incoherent
spontaneous photon or emit a coherent stimulated photon, if a stimulating field is present.
3) Stimulated absorption and emission are proportional to the energy density of the optical field, the probabilities of
the occupation of the initial state and the final state being empty.
Definition: Transition-Pair (E2, E1) = initial and final state:

The initial and final state (E2 and E1) of an atom form a local transition pair. In isolated atoms the occupation of a level
means that the other level is necessarily empty and available for a transition.
Details see p.5-16.
2) Quantum Mechanics: (after ~1930)

The motion of the bound electron in an optical field (where the energy E of the 2-level system is not constant) is described by the matter
wave (x,t) of the electron in the time dependent potential V(x,t) = V(x) + Vopt(t).
The time-dependent EM-forces induce a microscopic dipole extracting (attenuation) or transferring

(amplification) energy from or to the field depending on the relative phase.
the energy-exchange excites electron transition from the ground to the excited state and vice versa if the
optical frequency opt is close to the transition frequency 21.
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Time-dependent Schrdinger equation with the time-dependent Hamilton-Operator Hww(x,t) of the optical field:

H ( x ) + H ww ( x,t ) ( x,t ) = jh ( x,t ) time-dependent Schrdinger equation
t
p2
H ( x) = + qV ( x ) Static Energy-Operator H ( x ) for the interaction with the positive charge of the nucleus V ( x )
2m
HWW ( x,t ) = ? time-dependent Energy-Operator for the interaction electron - optical field
( how does the EM energy of the electron in the optical field formally enter H ww )
Task: find the time-dependent solution (x,t) for Hww(t) of the harmonic optical field E(t) of the form (weak perturbation assumption):
( x, t ) = C1 ( t ) 1 ( x, t ) + C2 ( t ) 2 ( x, t ) C1 ( t ) , C2 ( t ) = time dependent
C1 ( t ) and C1 ( t ) are the time-dependent probabilities of finding the system at E1 or E 2 at a time t ; C1 ( t ) + C1 ( t ) = 1
2 2 2 2
The solution-Ansatz for weak perturbation is a time-dependent superposition of the stationary solutions.
the occupation probabilities IC(t)I2 of the levels become time dependent due to the energy exchange with the field.
Details in Chap.5.4.1.1 ,
first we consider the classical Einstein-Theory:
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5.1.3 Einstein-Theory of the optical transition in 2-level systems

(see lit: Loudon)
Concept: Phenomenological theory of A. Einstein (1905).

Light fields and matter interact by EM-field induced stimulated and spontaneous level-transitions in 2-level
atomic systems by photon emission and absorption at the transition frequency.
The transition modify the occupation probabilities pi of the energy levels Ei in the atomic system (rate
equations).
1) Transition Postulate:
Matter is built from quantized 2-level systems (transition pairs) representing atoms undergoing interaction with a classical
optical wave.
Interaction with the EM-field induces upward or downward transition between the levels (absorption, emission).
The - or -transitions between levels i and j are described by changes occupation probability ICi(t)I2 and ICj(t)I2:
a) Definition : Transition Probability rij (i j)

change of level occupation probability pj per unit time in a single 2-level system
2
rij = p j / t = C j / t i = int ial state ; j = final state
b) Transition Rates Rij (ij)

change of the particle density Nj in state Ej per unit time and volume of a collection of atomic density N
2
Rij = 2 N j / t V = rij N i = rij N Ci
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Describing the occupation probability of state i of the transition as
pi ( t ) = Ci ( t )
2
we get for the 2-level system E2 and E1 with
C2 ( t ) and C1 ( t ) C2 ( t ) + C1 ( t ) = 1
2 2 2 2
fulfilling
2
C j (t ) Ci ( t )
2
rij = = i= initial state, j= final state

t t
and obtain for the transition rate of Ni identical pairs

2
C j (t ) Ci ( t )
2
Rij = N i = Ni Ni=density of transition pairs ij, resp. atoms

t t
2) Spontaneous emission Postulate:

For thermodynamic reasons or due to the additional quantization of the optical field (zero-point energy) spontaneous
emission transitions (downward transitions) are possible without an exciting optical field.
Spontaneous emission is spatially isotropic.
3) Stimulated emission Postulate:

The stimulated emitted photon induced by an external field has the same frequency , phase and propagation direction
(wave number) k as the stimulating photon.
The two photons are indistinguishable.
Stimulated emission results in a coherent amplification of the EM-field.

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5.1.3.1 Transition rates Rij between discrete energy levels in atoms

Goal:
We want to relate the up and down transition rate R12, R21 and R21,spont to the properties of the spectral energy density
W(), resp. W(E) or photon density sph of the optical field and the densities of the available transition pairs N1 (level E1 for
up-ward transitions) and N2 (level E2 for up-ward transitions).
Ni is the occupation density of level Ei.
Definition: spectral energy density W() (SED)

Optical broad-band fields E(r,t), H(r,t) are characterized in the frequency domain by their cycle averaged spectral energy
density W()
2 E 2 E
W ( ) = ; W (E = ) = with the relation : W ( ) = W ( E ) (SED)
V E V
{
For a monochromatic, harmonic optical fields (as an ideal case): E ( t ) = E0 cos (t ) = Re e
+ jopt t
} = E / 2(e
0
+ jopt t
+e
jopt t
)
W()
the SED W() becomes a -function (1-sided spectrum):
1 0 E02
W ( ) = ED = ( opt ) = s ph ( opt ) E0 sph
2 2

using the concept of the photon as a energy quantum E=opt and the photon density sph
0
At Einsteins time lasers producing quasi-ideal monochromatic fields (cos-field) did not exist. Only optical broadband (thermal)
sources characterized by W() were available.
So it was natural to formulate the dependence of the transition probability rij related to W().
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a) Graphical representation of the transition rates for a discrete 2-level system:
We consider N identical atomic 2-level systems with a atom density N and a occupation density n2 for the N upper level 2
(-pairs) and a occupational density n1 (-pairs) for the N lower level 1.
Therefore N=n1 + n2.
N states at E2 occupied with a density n2

Rate of stimulated absorption R12 = R12,abs = n1 = r12 n1
E2 n2 zzz t
n2
Rate of stimulated emission R21 = R21,stim = n2 = r21n2
N t
R12 R21

R21, netto Rate of spontaneous emission R21,spont = n2 = r21,spont n2
t
E1 n1 zzzzzz Net-Rate of stimulated Emission R21,net = R21 R12 = r21n2 r12 n1
n1 (net down-ward transition, defines gain if >0)
N states at E1 occupied with
N
a density n1
Resulting in a total particle rate in (+) and out(-) flow for N levels at E2 occupied with n2 electrons:
Rate-Equation
n2 n
= R21,stim + R12,abs R21,spont = r21n2 + r12 n1 r21,spont n2 = 1 = rate of inflowing particles rate of the outflowing particles
t t
n1
= + R21,stim R12,abs + R21,spont = + r21n2 r12 n1 + r21,spont n2
t
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Relations between transition rates R and W, n1 and n2:
We are looking for a relation of the rates Rij=rijNi between energy levels Ei Ej and
1) the electron occupation density ni=Nfi of the levels Ei and the occupation probability function f(Ei)
(fi = f(Ei)= occupation probability function of level Ei , eg. Boltzmann- or Fermi-distribution)
2) the total transition pair (corresponding initial and final state) or atomic density N and
3) the SED W() or W(E) of the exciting optical field
4) the values and microscopic dependence of transition probabilities rij
A. Einstein proposed in 1905 based on plausible arguments the following

assumptions for the transition probabilities rij and the transition rates Rij (which will be proven quantum mechanically later):
1) the transition probability r for a 2-level transition pair (1,2) is postulated as:
r21=B21W(21) stimulated Emission 2 1

r12=B12W(21) stimulated Absorption 1 2 A. Einstein postulates 21=(E2-E1)/ transition frequency
rspont=A21 spontaneous Emission into all modes 2 1
the transition probabilities rij of the stimulated processes are related by the Einstein-coefficient Bij to
( ) ( )
spectral energy density W E ji , resp.W ji assuming an optical field with a spectral density much broader than
the sharp atomic transitions.
The spontaneous transition probability Aji is independent of the photon field.
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Remark:
W ( E ji ) is the energy of the light field per unit volume and energy, W ( ji ) is the energy of the light field per unit volume and frequency !
W ( E ji ) =W ( ji ) and B(E) = B()
2) the transition rate Rij (ij) for atomic 2-level systems:

- Rij is proportional to ni the carrier density of the occupied Start-levels Ei (resp. transition pair density)
- Rij is proportional to W(21) the spectral energy density
- for atoms all final states Ej of a transition pair with density nj are per definition unoccupied, nj=N-ni.
3) level occupation probability functions fi(Ei) for a transition-pair:
fi(Ei) is the occupation probability function that the level i is occupied by an electron.
Per definition: fj=(1-fi)= probability that state j is empty
Transition Rates:
1) Stimulated Emission 2 1:
R21,stim = W B21n2 = W B21 Nf 2 for isolated atoms
B21 is the Einstein-coefficient for stimulated Emission.
W() B21 is the transition probability per excited energy state at E2
2) stimulated Absorption 12 :
R12,abs = W B12 n1 = W B12 N f1 for isolated atoms
B12 is the Einstein-coefficient for stimulated Absorption
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3) spontaneous Emission 21 per mode:
R21,spont = A21n2 = A21 N f 2 for isolated atoms
A21 is the Einstein-coefficient for spontaneous Emission
4) net stimulated Rate R21,netto 2 1:

R21,net = R21,stim R12,abs = R21,net = W ( B21n2 B12 n1 ) = WB21 Nf 2 WB12 Nf1 for isolated atoms
n1 = density of the transition pairs with the electron in the ground state E1 (Valence band)
n2 = density of the transition pairs with the electron in the excited state E2 ( Conduction band)
N = density of all atomic transition pairs, resp. density of the atoms
f1 = occupation probability for an electron in the ground state E1 (eg. Boltzmann or Fermi-Function)
f2 = occupation probability for an electron in the excited state E2 (eg. Boltzmann orFermi-Function)
Condition for optical amplification and population inversion:

The net-rate of stimulated emission (difference between stimulated Emission und Absorption) must be R21,net >0, in
order that the photon density in the optical field is increased optical gain g is possible.
For B12=B21 the occupation probability of the upper energy level 2 must be larger than the lower level 1:
POPULATION INVERSION n2 =Nf2> n1=Nf1 , f2(E2)>f1(E1)
Important Remark:
In thermal equilibrium with the thermal blackbody radiation at a finite temperature T the electrons are distributed according to a
Boltzmann-Distribution with n2<<n1.
This means that no gain is possible in thermally excited materials.
Electrons have to be pumped or transferred actively to the upper level to create population inversion by non-equilibrium
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5.1.3.2 Concept of thermodynamic equilibrium, optical pumping and population inversion

Problem:
Is it possible to establish a population inversion n2>n1, resp. amplification R21,net>0 by optical absorption in a 2-
level system to pump the upper level?
Introducing a 2-level system with an atom density N in an optical field of a resonant spectral energy density W(21) leads to a
change in the level population densities n1 and n2 until a stationary state is reached when the down- and up-ward transition
rates are equal and no change in n1 and n2 occurs any more
no optical population inversion is possible in a 2-level system.
n2 / t = n1 / t = 0 equilibrium
R12 = R21 + Rspont equilibrium condition (rate equation)
by insertion of the expressions for the rates R gives:

W B12 n1 = W B21n2 + A21n2
with n1 + n2 = N
W B12 ( N n2 ) = W B21n2 + A21n2 ntransparency
W B12 N = (W ( B21 + B12 ) + A21 ) n2

W
W B12 N
n2 = ; n1 = N n2
(W ( B21 + B12 ) + A21 )
Absorption N2<N/2 Transparency N2~N/2
B12
for W n2 = N < N / 2 resp. R21 < R12
B12 + B21
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The rate of absorption is always larger than the rate of stimulated emission, therefore
a simple 2-level system optically pumped by a light field remains always absorbing or at most becomes
transparent (n2=n1).
No population inversion (n2>n1) or gain can be reached by optical pumping at the transition frequency !
The same formalism as above can be used for the

Thermal Boltzmann equilibrium with the blackbody radiation: W() = bb() (see chap.5.2.1)
In reality a 2-level system with no external light field W=0 must be in equilibrium with the always present black body radiation
with the spectral energy density bb() and exhibit an electron distribution according to a Boltzmann-distribution, where
n1>>n2 , resp.
n2 / n1 = exp ( ( E2 E1 ) / kT )
The resulting relationship was used by A. Einstein to relate the constant A to B
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Optical population inversion in a 3-Niveau-System:

Reaching optical amplification g>0 in a 2-level system requires: R21,stim > R12 ,abs resp. R21,net > 0 resp. n2 > n2 ,transp > N / 2
To enforce a population inversion, resp. inverting the population in a 2 1 transition (21) by an optical pump
field Wpump(pump) such that n2 > n2,transp > n1 it is necessary to introduce a 3rd level for artificially injecting carriers in
level E2 without removing them by stimulated emission of the pump light again.
Establishment of such a non-equilibrium (Inversion) n2 > n2,transp is called Pumping or Inversion of the medium
Optical pumping of a 3-level system:

The simplest way to achieve population inversion between level E2 and E1 is the introduction of a third, lower level E0
pump=20=(E2-E0)/ Pump level

2: n2
21=(E2-E1)/ (active transition 1-2) A21 (B12)

Wactive=0
1: n1 ~0
and 20> 21 B20
A20 A10
B02 Ideally the transition 1 0
n1 +n2 + no=N
0: n0 occurs infinitively fast (r10 , n1=0)
meaning level 1 is always empty !
Assumptions:
- active optical transitions (eg. gain) occur only between 1 2
- optical pumping take place between 0 2
- the transition probability r10 (empty 1-level)
- A20 should be small
______________________________________________________________________________________________________________________________
5-26 K5
Calculation of the equilibrium rates between the 3 levels leads to:
Lasing transition: 2-1 (without lasing W12 =0), pump transition: 0-2 (pump)

static : = 0 ; n0 + n1 + n2 + = N = density of atoms ; W12 = 0
t
level 2 : W pump B20 ( n0 n2 ) n2 ( A20 + A21 ) = 0
level 1 : A21n2 A10 n1 = 0 condition for inversion n2 > n1 0
n2 A10
= >1 10 < 21
n1 A21
replacing n0 and n1
W pump B20 N N N
0 < n2 = < < and n1 = n2 A21 / A10 < n2
A A21 2
W pump B20 21 + 2 + ( A20 + A21 ) +2
A10 A10
Depending on the optical and electrical properties of the gain-medium the inversion of transition 2 1 is realized by:
a) absorption of pump-light of a shorter wavelength than the active transition
(many solid state lasers, Er-doped fiber amplifiers etc.)
b) Injection of carriers by an electrical current in forward biased pn-diodes (SC-Diode Lasers)
c) Ionization in gases (eg. HeNe-Gas Laser)
______________________________________________________________________________________________________________________________
5-27 K5
5.1.4 Stimulated Emission Rate R21,net and Optical Amplification g

Goal:
Relation between gain and optical transition rate g R21,net
Stimulated emission generates temporal and spatial coherent photons (, k, ) which amplify the stimulating light field.
Relation between the net stimulated emission rate R21 or the carrier densities difference n2-n1 and the
gain constant g(R21,net) = g(n2,n1)=dI/dx/I.
Relation between the susceptibility ( n2-n1) for the wave-picture.
Wave representation as a photon stream: (necessary for coupling to transition rates)

The optical field is represented as coherent superposition of elementary wave packets with an energy quantum
In analogy to the electrical current a photon flux density (intensity) can be associated to a current of photons
with the photon density sph which propagate with the group velocity vgr (particle picture of light)
Relation between photon density sph and field amplitude E=E0cos(t) for a harmonic TE plane wave sph E0
1
energy density : w = E0 E0* = s ph E0 = 2 s ph / = E ( s ph )
2
or from the int ensity I :
1
1 1 2 1 vgr =

I = S = E H = E0 E0 = E = wvgr = s ph vgr E0 = 2 s ph / ; = 0 r
2 2 0 2 0 0
with the spectral energy density : ( 1 sided )
1
W ( ) = w ( opt ) = E 0 E0 * ( opt ) = opt s ph ( opt )
2
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5-28 K5
Relation between the energy density w and the photon density sph of an optical field:
classical energy density of optical EM-fields Graphical representation of photon-flux through a volume element:
1
a) electric energy density DE E
2 dVol
b) magnetic energy density 1 BH
2
h sph
c) cycle and spatially averaged energy density photon inflow vgr photon outflow
W 2
of an harmonic optical field w = = E0
V 2 z
d) intensity (Pointing-Vector) H photon
generation / destruction
I = S = 1 / 2 E H = wvgr = n ph vgr
x dx x+dx
x
w E02 y dx nph = Photon density = sph

associated photon density: n ph = s ph = =
2 E = electrical field strength
H = magnetic field strength
S = Pointing-vector
w=energy density
______________________________________________________________________________________________________________________________
5-29 K5
Calculation of the relation g(Rstim(n2,n1)):
the net-rate of stimulated emission R21,net changes the photon density sph in transit. Depending R21,net> or <0
optical amplification g or attenuation will result.
The optical field with photon density sph(x,t), resp. intensity I(x,t)=sph(x,t)vgr travels with vgr in the x-direction through a thin
layer x of amplifying medium in time t.
The medium increasing its intensity by I, resp sph. z
sph Photon generation / annihilation

x
sph R21,netto sph + sph R21,netto
y h
Photon Photon I I + I
inflow outflow sph
x x + x
t=x/vgr
R21,net
From the definition of the attenuation : x dx x+dx

I 1
= I ( x ) = I ( 0 ) e x
using this definition of : >0 means absorption, <0 gain !
x I
because the intensity I=sphvgr is proportional sph, we write:

I s
I ( x + x ) = I ( x ) + I I ( x ) I ( x ) x ph

s ph ( x + x ) = s ph ( x ) + s ph s ph ( x ) s ph ( x )x
s ph
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5-30 K5
To travel through the layer x and increase its intensity by I, resp. s ph the wave needs the time t:
t = x / vgr
during the time t the wave increases its photon density by s ph = R21,netto t of stimulated photons:
s ph
s ph = R21,netto t = ( R21 R12 ) t = s ph ( x ) x = s ph ( x ) vgr t = s ph ( x ) g vgr t
= R21,netto / ( s ph ( x ) vgr ) = g
Important relation ship to connect fields and rates: g R21
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5-31 K5
5.2 Spontaneous emission in 2-Level Systems

(see lit. Coldren, Yariv)
Goal:
To determine 2 relations between the 3 Einstein-coefficients A, B21, B12 we can use the thermodynamic equilibrium
situation between a
2-level system and the
Blackbody-Radiation with a spectral power density W(E)=bb(E) (obtained from thermodynamics) and
a carrier distribution obeying the Boltzmann-distribution (see Physik II, 2.Sem.)
Finally there is still one unknown remaining, eg. B which can only be determined only from a quantum mechanical
description of atomic polarization or experimentally from an absorption measurement.
5.2.1 Spontaneous Emissions-Processes

R21,spont Spontaneous-Emission-Postulate
The spontaneous transition of an excited QM-system without external optical disturbance into the lower energy-level has no
classical equivalent.
This can only be understood by QM if also the optical field is quantized into a harmonic oscillator
(2.quantization, zero-point fluctuations of an optical mode)
Spontaneous emission is a necessary process to explain that an optical 2-level system perturbed by an external optical
field (resulting in non-equilibrium carrier densities n2+n2 and n1+n1 with n= carrier disturbance) can relax back to
equilibrium (Bolzmann-distribution) after switching off the disturbance.
Spontaneous emission is a thermodynamic necessity to establish equilibrium

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5-32 K5
5.2.2 Thermodynamic equilibrium: quantized atomic system blackbody radiation

Following A. Einstein we consider the rate equations for the electrons of a 2level system in thermodynamic equilibrium
(Boltzmann) with the known blackbody EM-radiation field with a spectral energy density BB() inside a 2-level
blackbody of temperature T. The carrier distribution obeys Boltzmann distribution.
Idea: In thermodynamic equilibrium the spectral energy density is W = BB and the electron densities n2 and n1 obey Boltzmann-statistics.
In equilibrium the transition rates between levels 2 1 and 1 2 must be equal:
R21 ( BB ) + R21,spont = R12 ( BB ) bb = ?
Spectral mode mode and energy BB density of blackbody-radiation: (without proof, see Physik II)
We obtain the spectral energy density BB of blackbody radiation by counting the EM-modes inside a Volume V and multiplying the
spectral mode density mode with the average number of thermal photons per mode n and the photon energy E. n=refractive index.
BB ( E ) = mode ( E ) n ( E ) E
dn
1 + ( E / n)
8 n E
3 3
dE 8 n3 E 3 1 ds ph,BB hv
BB ( E ) = 3 3 = energy density BB ( E )
h c exp ( E / kT ) 1 h3c 3 exp ( E / kT ) 1 dE
no dispersion
of n mode E n volume V
dn
1 + ( E / n)
8 n E
3 3
dE ds hv
BB ( v ) = 2 3 = ph,BB energy density BB ( v )
h c exp ( E / kT ) 1 dv
E=hv= energy of blackbody radiation photons n= refractive index of blackbody

T= temperature of the blackbody h= Plank constant
______________________________________________________________________________________________________________________________
5-33 K5
For the derivation of the BB we made use of:
Spectral blackbody mode density:
8 n3 E 2 d n 8 n3 E 2 d 2 N mode
mod e ( E ) = 1 + ( E / n ) d E h3c 3 = d E dVol blackbody-mode density
h 3c 3
I
8 n3v 2 d 2 N mode
mod e ( v ) =
c3 d v dVol
Photon-occupation n ( E ) per mode in thermal equilibrium:
In thermal equilibrium each mode i carries according to the Bose-Einstein-Statistic for photons ni photons.
Bose-Einstein-Statistic:
1
ni ( Ei ) = << 1 occupation probability of mode i with photons ofenergy Ei = i
exp ( Ei / kT ) 1 Ei >>kT
Therefore we get BB ( E ) = mode ( E ) ni Ei
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5-34 K5
5.2.3 Relation between the Einstein-coefficients A21, B21 and B12

Example: atomic 2-level transition pairs
In the thermodynamic equilibrium with the spectral energy density BB of the thermal radiation:
1) total emission rate = total absorption rate

A21 n2 + B21 n2 BB = B12 n1 BB A21n2 = spont. photon emission rate into all vacuum modes with density bb
2) Boltzmann-equilibrium of the level occupation for n2, n1

n2 E
= exp 21 ; E 21 = E 2 E1
n1 kT
insertion of the ratio of n2/n1 leads to:
A21 / B21 8 n3 E21 3
1
BB ( E21 ) = = = mod e ( E21 ) n21 E21
E21 hc3 3
exp ( E21 / kT ) 1
( B12 / B21 ) exp 1 E
kT mod e 21
n21
Comparision of the coefficients on both sides of the equation results in:
B21 = B12 = B
8 n 3 E21
3
8 n 3 h v 3
A = B(E) 3 3 = B (v) 3 = B mode ( E ) E Relation between Einstein-coefficients
h c c B and A
for energy density for enery density
per energy E per frequency v
______________________________________________________________________________________________________________________________
5-35 K5
Important remark:
The relations are valid at a particular energy difference E21=E2-E1 of a particular mode.
The coefficient A which is the inverse of a spontaneous carrier lifetime A = 1 / spont ( Ei ) is the Einstein coefficient for the
spontaneous emission into all modes of free space. (also not only lasing modes or resonator modes, see spont. emission
factor in chap.6)
Considering the ratio between the net stimulated rate and the spontaneous rate:
(measure for the ease to invert the material)
R21,net = R21 R12 = B ( n2 n1 ) opt
8 n 3 h v 3
R21,spont = An2 = B 3 n2
c
In thermal equilibrium opt ( E21 ) = bb ( E21 ) = mod e ( E21 ) n21 E21 we have the following magnitude-relation of the net stimulated
and spontaneous rates:
R21,net 1
= = n << 1 if E = hv > kT and n2 << n1
R21,spont exp ( E / kT ) 1
kT~26meV@300K, hv~1eV E/kT~40
R21,spont >> R21,stim , R12,abs Thermal Radiation Source
Conclusion:
Systems in thermodynamic equilibrium (eg. lamps) do virtually not emit coherent, resp. stimulated radiation (Rstim << Rspont).
Only for LASERs, excited by pumping into a strong non-equilibrium state (inverted) with n2>n1 , optical gain and coherent
radiation becomes possible and dominant.
Optical gain is more difficult to achieve at short wavelengths (microwave Masers have been invented before optical Lasers).
______________________________________________________________________________________________________________________________
5-36 K5
Relation between the Einstein coefficient B and the attenuation :
A direct experimental measurement of A or B is difficult, however we will show that there is a simple relation ship between the
Einstein coefficients and the attenuation .
-L
The attenuation , describing the decrease of the optical beam intensity I(L)=I(0)e with propagation distance L in the
medium of known absorption state, is relatively easy to measure.
Assuming a weak monochromatic optical field (close to thermal equilibrium) with the spectral energy density:
W ( ) = s ph hv ( 0 ) R21,net = B ( n2 n1 ) s ph
We have already shown that and R21,netto are related by:

( E ) = R21,net ( E ) / ( s phvgr ) = s ph hv B ( n2 n1 ) / ( s phvgr ) = hv B ( n2 n1 ) / vgr
h
Using a weak optical beam for attenuation measurements, which does not disturb the equilibrium Boltzmann population:
n2 E n2 n1 n n E with known N=atoms / unite volume

= exp 21 2 1 = exp 21 1
n1 kT n1 n ~ N N kT
1
vgr 1 v 1
B ( E ) = ( E ) = ( E ) gr ; E2 E1 = hv
hv ( n2 n1 ) hv E
N exp 21 1
kT
From the measurement of with known atom density N and group velocity vgr we obtain B and also A.
______________________________________________________________________________________________________________________________
5-37 K5
Conclusions:
The Einstein model postulates

1) the energy quantization of the medium and
2) transition rates between the states
The Einstein coefficients B12, B21 and A21 have been introduced formally as postulates and can not be related
directly to the material properties (eg. electronic potentials, eff. mass) on a microscopic level
The model allows the description of optical gain g by population inversion
The spontaneous emission is a quantum-mechanical phenomenon and has no classical equivalent.
However it is a thermodynamic necessity for the classical system to relax to thermal equilibrium.
The model is also capable of representing the black-body radiation, resp. the relation between A and B
______________________________________________________________________________________________________________________________
5-38 K5
5.3 Pumping and Population Inversion

Optical amplification <0 or g>0 requires a population inversion R21,net>0 n2>n1.
A population inversion can not be realized in thermodynamic equilibrium (eg. heating T).
Non-equilibrium is enforced by an influx of carriers into the higher energy level E2 PUMPING
(pumping transitions in 3- or multi-level systems).
5.3.1 Optical and electrical pumping

Inverted transition pairs are realized by Absorption of pump-light (optical pumping) in the isolating crystal matrix containing
the active atoms. The atoms must provide at least an additional 3rd energy level E3 (3-level-system), at pump<21.
For so called solid-state lasers based on active metal atoms like Nd, Er, Cr, etc. embedded in an isolating crystal matrix of eg.
Erbium in Glass, Cr in Ruby, Nd in Glass etc. there is no possibility for pumping by an electrical current or impact-ionization.
a) Optical Pumping-Scheme of a 4-level system:

It is assumed that the active atoms (often metals in
level 3 isolators) provide the atomic levels
In addition we assume that there is a very fast

3: n3
level 2 transition with a short life time r=1/ between
2: n2 levels 3 2 and 1 0.
Pump- Laser-Transition
Transition n3~0 , n1~0 , n2>0
21
03 1: n1
level 1 n0 + n1 + n2 + n3 = N
0: n0
level 0
See also Er-doped-Fiber-amplifier in chap.6.
______________________________________________________________________________________________________________________________
5-39 K5
b) Electrical Pumping: (mostly used with semiconductor based components, see chap.6)
Inversion of the excited states in the conduction and valence band of SC can be realized by optical pumping, impact
ionization, but in particular by current injection in pn-junctions.
Minority carrier-injection (electron-injection into the conduction band of a p-SC, hole-Injection into the valence band of n-
SC) is realized simply by current injection through a depletion layer of a forward biased pn-diode.
Schematic Carrier (electrons / holes) injection in forward biased PiN-Diode:
a) amplification in SC (n1<<n2):
Injection current
Elektrons (n2) in Conduction band, E2
P o Lcher (n1) in Valence band, E1
Output-wave b) attenuation in SC (n1>>n2):
Input-wave
Carrier non-equilibrium by
carrier injection
the active i-layer:
n>>n0 , p>>p0
und np>>ni2
of a forward biased diode.
______________________________________________________________________________________________________________________________
5-40 K5
Technical Realizations of optical and electrical Pumping:
1) Optical Pumping of Solid State Lasers: 3) Current-Injection-Pumping of pn-Diodes Lasers:
Nd:YAG-Laser Band diagram-Representation
Excitation of Neodymium atoms (Nd) in an YAG-crystal-matrix Inversion by minority carrier injection (chap. 6)
by Absorption of pump-light from a gas discharge lamp
ws ws = depletion layer width
Nd doped
YAG-X-tal
VD=0 , ID=0
YAG: NdxY3-xAl2O12 VD~Eg/e , ID>0

Yttrium-Aluminium-Granat
electrons
2) Gas-Discharge-Pumping (electrical pumping)
of Gas-Lasers (He-Ne) VD>Eg/e (High current-Injection)
Excitation of gas atoms (Ne) by Impact ionization in gas-discharge holes d: area if inversion
eh-
Non-equilibrium
(carrier inversion)
ID
VD
______________________________________________________________________________________________________________________________
5-41 K5
5.3.2 Carrier Rate Equations and total Spontaneous Emission

Total Spontaneous Emission Rate Rspont: (see lit. Coldren)
The Einstein coefficient A describes the spontaneous emission rate R21,spont into all modes of a particular frequency 21, in a
spectral width spont and all propagation directions in a given volume V.
Therefore an excited 2-level system can emit spontaneously

1) in all spatial directions resp. into all available optical modes mode in the a given device volume Vspont
2) at all frequencies opt of the involved active transition pairs
The total spontaneous emission rate R21,spont (appearing n the carrier rate equation) is obtained as the spontaneous emission
rate per mode R21,spon,mode (eg. the lasing mode) multiplied by the spatial mode-density mode ( ) 8 n v / c , the
3 2 3
spectral band-width spont of the total spontaneous transition and the available volume for spontaneous
emission Vspont :
fictive mode volume
R21,spont = R21,spont ,mod e mode ( ) spontVspont ( n2 A )
e
od
Vspont
dm
ide
R21,spont ,mod e = R21,spont
gu
un
(10 )
wave guide
(
with = =spontaneous emissions factor=1/ Vspont mode ( ) spont << 1 ) 4
10
5
for SC-Diode Lasers
spontaneous wave guide mode
(one often assumes as a first order approximation Vspont=Vmode) dipole
R21,spon,mode=An2 is the spontaneous emission into a single mode (eg. lasing or amplified mode)
______________________________________________________________________________________________________________________________
5-42 K5
Carrier-Rate Equations including Pumping

Concept of Rate Equations: (carrier continuity equation for particle currents per energy level)
Optical transitions produce particle currents (rates) R into and from a particular energy level Ei. Particles can also be stored
in the energy states of the energy level Ei in the volume Vactive (particle reservoir).
Rate equations are just the continuity equation for particle in an energy level (reservoir):
Temporal change of particle density dn/dt = in-flowing particle currents - out-flowing particle currents
The pump-mechanism (optical, electrical) can be accounted by the continuity equation for the carrier densities n2, n1 by the
addition of an inflowing carrier generation rate Rpump.
n2 n
= 1 = Rpump R21,net R21,spont
t t
Rate equation of the carriers in the excited state E2 and E1
Rpump Vmode
We express the optical field by the photon density sph and relate it by the gain g to
the transition rates:
R21,net = g ( n2 ,n1 ) s ph vgr

n S
Rspont = n2 / spont Rspont Rstim Vaktive
n L
= R pump g ( n2 ,n1 ) vgr s ph n2 / spont
t
Remark: the active volume for carriers Vactive and the mode volume for photons Vmode must not necessarily be equal !
______________________________________________________________________________________________________________________________
5-43 K5
Amplification and Inversion:
Static : / t = 0
R21,net ( E21 ,ntr )
g ( E21 ,ntr ) = =0 Transparency condition g 0 defines
s phvgr
ntr transparency density
Pump rate for Transparency n = ntr and R pump,tr ( n2,tr ) :

0 = R pump ,tr 0 ntr / spont with R21,net = 0
R pump,tr = ntr / spont
Conclusions:
Materials without pumping are absorbing for the wavelength of interest.
Pumping reduces the attenuation until the material becomes transparent and finally amplifying.
For low pump rates for transparency Rpump,tr

small spontaneous emission (lost photons) and small density of atoms (gives also only small gain)
small Einstein coefficient A, eg. long carrier lifetime of the excited state
______________________________________________________________________________________________________________________________
5-44 K5
5.3.3 Photon Rate Equation

Photons propagate as photon streams of density sph or are contained as standing waves in resonators.
Continuity equations per unit volume can also be formulated for in- and out-flowing photons into the propagating field of a
single optical mode i. (note that here the spontaneous emission rate per mode R21,spont,mode=R21,spont has to be used)
The photon density sph is changed by:
1) the stimulated emission (net) R21,net and
2) the spontaneous emission per mode R21,spont, mode= R21,spont ( = = spontaneous emission factor)
3) Scattering losses from the waveguide, Rloss (residual absorption, scattering)
R21, netto
Photon number Sph=sphVmode of the mode volume Vmode:
Mode i
S ph
t
( )
= R21,net + R21,spont Vactive RlossVmode :Vmode
s ph Vmode
t
(
= R21,net + R21,spont ) Vactive
Vmode
Rloss
Vactive
confinement factor
Rate equation for photon density per mode Rloss

Rloss= losses per unit length due to scattering,
different absorption mechanisms, etc.
For a 2-level system we get:
s ph
= g ( n2 ,n1 ) s phvgr + n2 / spont Rloss
t
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5-45 K5
Example:
Graphical representation of particle reservoirs and particle flow rates:
Particle transition rates between an active, pumped medium and an optical mode field
n2 , n1
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5-46 K5
5.4 Quantum Mechanics of Optical Transitions

5.4.1 Quantum-Mechanical concepts of the dynamic of bound
electrons in an optical E/M-field
What do we need beyond the Einstein-Theory ? (see lit: Loudon, Yariv)
Perturbation Theory for the motion of electrons in the potential V(x) of atomic or crystal lattice forces and a superposed
dynamic optical field (optical potential Vopt(t))
Correlation of the transition rates R or Einstein coefficients A, B to microscopic properties (eg. V(x)).
Quantum Mechanics (QM) allows the self-consistent calculation of B, resp A from first principles
Procedure of solution:
1) the classical EM light field superposes a time dependent, high frequency (f~200 THz) electrical potential Vopt(x,t) on the
static microscopic potential field V(x) of the atom or crystal lattice.
Assumption: weak perturbation Vopt(x,t)<<V(x).
2) Weak Perturbation Theory solves approximately the time-dependent Schrdinger-equation (TSE) for (x,t)
The interaction of the E(M) forces of the optical field appears as time-dependent electrical (magnetic) potential in the
time-dependent Energy (Hamilton)-Operator HWW(t): Vopt(x,t) HWW(x,t)= ?.
a) the solution (x,t) of the TSE, allows the calculation of statistical QM expectation values of:
position : x ( t ) = ( x,t ) x ( x,t ) dx dipole : p ( t ) = e x ( t ) susceptibility : ( )

C1 ( t ) ; C2 ( t ) r12 ; r21
2
b) the transitions probabilities rij = Cj between discrete atomic states
t
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5-47 K5
5.4.1.1 Time dependent Schrdinger-Equation for a 2-level system in a

optical field (perturbation theory):
Questions:
What is the electron motion <x> in a one-electron atom exposed to the EM-forces of a harmonic optical field with
frequency opt and field strengths E and (H) ?
Schematic Potential of the harmonic dipole
Assumptions: oscillator in an oscillation optical field E
The forces acting on the moving electron result from:
E(x)
1) time invariant potential field of nucleus or crystal field V(x)
jopt t
2) time variant, oscillating (with e ) EM-potential of the light field Vopt(t) -eVKern
simplified optical potential (H neglected)
using the definition -

V
E = opt ; Vopt = E (t ) x
x
E(t,x)=E0 ejopt t
Hww(t,x) = -eVopt(t)
- -
=+eE0x ejopt t + x
+ jopt t
(Note: we assume the positive time dependence e with + j ! )
t
-eVopt(x,t') Eopt(0,t') -eVopt(x,t'')
We neglect the magnetic forces for simplicity and consider only the electrical force. Eopt(0,t'')
The TSE describes the probabilistic electron motion by the wave function (r,t),
resp.by the spatial probability I(r,t)I2 of finding the electron at position x.
______________________________________________________________________________________________________________________________
5-48 K5
Time dependent Schrdinger-equation:

H ( t,x ) ( x,t ) = H pot ( x ) + HWW ( t,x ) ( x,t ) = i ( x,t ) H=Hamilton-Energy Operator, Hpot >>HWW
t
Hww(t,x) is the Hamilton-Operator of the optical field. 2 is the upper excited level, 1 is the lower ground state with E2 > E1.
Stationary solutions (Hww=0): ( discrete energy levels without the optical field)
without an optical field: HWW =0

H ( x,t ) = i ( x,t ) = E ( x,t ) time independent Schrdinger equation
t
H ( x) = E ( x)
with the two stationary solutions (eigenfunctions) and the energy-eigenvalues: E1 , E2
Eigenfunctions for H ww=0

E1 : 1 ( x,t ) = u1 ( x ) e -jE1 / h t = u1 ( x ) e -j1 t ; 1 = E1 /
E 2 : 2 ( x,t ) = u2 ( x ) e -jE2 / h t = u2 ( x ) e -j2 t ; 2 = E2 /
The solutions ui ( x ) fulfill the Orthonormalization Relations (orthogonal and normalized):
uk ( x ) ul ( x ) dx = kl uk ( x ) uk ( x ) dx = kk = 1 uk ( x ) ul ( x ) dx = kl = 0 ( without prove )

, ,
k `l
The stationary total solution for the 2-level-system is a superposition:
( x,t ) = C 1 u1 ( x ) e -j1 t + C 2 u2 ( x ) e -j2 t

2 2
with C1 + C2 = 1 , i = Ei /
______________________________________________________________________________________________________________________________
5-49 K5
Interpretation:
IC1I2, (IC2I2) is the probability of finding the electron in the state E1 (E2) resp. 1 ( x,t ) , ( 2 ( x,t )) .
C1 and C2 are constants for the stationary state, Hww=0.
System in Ground state: C1=1, C2=0 System in Excited state: C2=1, C1=0 System in Mixed state: C20, C10
5.4.1.2 Optical Perturbation calculation of the transition probability rij or transition rate Rij
1) Non-stationary solution for a harmonic perturbation HWW0:

H ( x,t ) = H pot ( x ) + HWW ( t ) ( x,t ) = i ( x,t )
t
with the postulated solution as a superpostion of the stationary ground and excited states described by C1 ( t ) , C2 ( t ) as time functions
( x,t ) = C1 ( t ) u1 ( x ) e j1 t + C2 ( t ) u2 ( x ) e j2 t
2 2
with C1 ( t ) + C2 ( t ) = 1
The perturbation of the 2-level-system by the optical field (switched on at t=0 with eg. the system initially in the ground state
IC1(0)I2=1 and IC2(t)I2=0) causes an absorption Process E1 E2 changing the occupation probabilities IC1(t)I2 and
IC2(t)I2.
For simplicity the system is at t=0 in a pure state, either at E1 (leading to absorption) or at E2 (leading stimulated emission).
______________________________________________________________________________________________________________________________
5-50 K5
Knowing C1(t), C2(t), we calculate the transition probabilities rij(t) as change of the occupation probability per unit time:
2 2
r21 = C1 ( t ) = C2 ( t ) Transition probability r21
t t
Generic solution-procedure for Ci(t):

1) insertion of the assumed solution ( x ,t ) into the TSE, then
2) we first right multiply both sides of the TSE with u*k(x) and then
3) we left multiply the TSE by ul(x) and finally
+
4) we integrate both sides by dx using the orthonormality of the static solutions ui(x) and uk(x) and the abbreviation:

ui H uk = ui H uk dx Matrixelement between the states i and k of Energy Operator H

volume
Considering only the time-dependent part of the TSE, we get ( after a simple but lengthy calculation, see appendix !) the fundamental
nonlinear and coupled 1.order differential equations of for C1(t) und C2(t):
j
C1 = C1 u1 HWW u1 + C2 u1 HWW u2 exp ( j (2 1 ) t )
t
j
C2 = C1 u2 HWW u1 exp ( j (1 2 ) t ) + C2 u2 HWW u2 Coupled Differential-Equation for C1(t) and C2(t)
t
with the definition
H kl = uk HWW ul = uk HWW ul dx Perturbation - Matrix Element
With the definition 2 1 = ( E2 E1 ) / = = 21 > 0 Transition frequency

______________________________________________________________________________________________________________________________
5-51 K5
Observe that Matrix element <ukIHwwIul> is the key parameter containing the materials parameter and the optical
perturbation with the frequency opt because Hww=Hww(E0, opt).
<ukIHwwIul> contains only the spatial parts ui(x) of the solutions (x).
2) Calculation of the Interaction Hamilton Operator HWW(x,t) for monochromatic harmonic optical fields:
We calculate the interaction hamiltonian Hww(t,x) as the time dependent potential energy - eVopt(x,t) of a bound electron in
the time dependent potential of the electrical field strength E(t) of the harmonic optical field (magnetic energy is neglected).
The matrix element Hkl. describes the atomic forces acting on the electron inducing the transition k i resp. 2 1.
Potential energy of electrons in the optical E-field (atomic nucleus at x=0):

On atomic dimension (few ) the optical field is considered spatially constant E(x,t)~E(0,t).
Vopt ( x,t ) x E ( 0,t ) x

because Felectrical ,opt ( x ) = eE ( x ) and Vopt ( x ) = E ( x ) dx = E ( 0,t ) x
HWW ( t,x ) = eVopt ( t,x ) = e x E ( 0,t ) 0
Considering only harmonic optical fields with frequency opt:

1 1
E ( t ) = E0 cos (opt t ) = E0 exp ( jopt t ) + exp ( jopt t ) = E0 e opt + cc
+ j t + jopt t
Remark: we just use the positive frequency e -term
2 2
H ww ( t ) = ex E0 cos opt t Interaction-Hamiltonian
E2 E1
The atomic resonance occurs at the transition frequency: = 12 = = 2 1 opt
Inserting Hww(t) into the differential equation for the coefficients C1(t) und C2(t) we obtain:
______________________________________________________________________________________________________________________________
5-52 K5

using H kl = uk HWW ul = uk HWW ul dx = eE0 cos opt t u k x uk Interaction Hamiltonian
Vol
and the definition : uk x ul = uk x ul dx dipole matrixelement of the transition k l
leading to : H 11 = H 22 = 0 ( because x is an odd function )
Inserting Hww and 21= in the diff. equation for Ci

t
C1 =
2
j
( ) ( )
exp j (opt ) t + exp j ( opt + ) t C2 u1 eE0 x u2

;

t
C2 =
2
j
( ) ( )
exp j ( opt + ) t + exp j ( opt + ) t C1 u2 eE0 x u1

Coupled differential equation for C1(t) and C2(t) for harmonic optical excitation
Remark: Ci(t) is determined by 21, opt and u2 eE0 x u1
For the calculation of the transition (, ) rates we will solve this diff. eq. for 2 different situations (initial conditions):
1) Switching on the field at t=0 if the system is initially either
- in the ground state 1 (C1(0)=1) absorption, upward transition or r12
- in the excited state 2 (C2(0)=1) stimulated emission, downward transition r21
3) Calculation of the photon absorption (ground state transition 1 2):

we simplify the solution for C1(t), C2(t) for a weak perturbation (only small changes from the initial condition at t=0 !) of the
system, which is assumed to be initially in the ground state.
1) Initial condition for Absorption: C1 ( 0 ) = 1 , C2 ( 0 ) = 0 ground state E2>E1

2) the changes of C1(t) and C2(t) are still small with respect to the initial state, C1(t)~1- , C2(t)~ <<1
______________________________________________________________________________________________________________________________
5-53 K5
t
With these simplification a simple integration dt' of the differential eq. for C2(t) leads to simple solution (appendix):
0
sin ( opt ) t / 2
C2 ( t ) =
2
j
(
u2 eE0 x u1 exp j ( opt ) t / 2 )
( opt ) / 2
and
1 2 sin2 ( opt ) t / 2
C2 ( t ) C2 ( t ) << 1
2 2
= 2 u2 eE0 x u1 ~ E02 Intensity I ;
( opt ) / 2
2
4

Approximation for a weak perturbation
______________________________________________________________________________________________________________________________
5-54 K5
Approximation of the evolution of the occupation probability IC2(t)I of the excited state at E2: 2
(excitation with both exactly defined optical frequency opt and transition frequency of the 2-level system, unphysical )
The occupation probability IC2(t)I2 of the excited state 2 increases resulting in absorption.
The evolution of IC2(t)I2 depends on time t and frequency detuning -opt between transition and monochromatic E-field.
only close or at resonance opt there is a substantial absorption
at resonance =opt the occupation probability of the excited state increases with t2 (experimental ~t !)
unphysical, in most experimental situations, because state energies E and photon energies hopt need to be exactly
defined over long times without any perturbation.
~t2 (opt) t
ICI2
2
~t2 IC2(t)I
1_
2
IC2(t)I resonance
IC1I2
weak
t perturbation
limit
~2/ t IC2I2
t
0
area
~2t
-opt -opt
e2 E0 2 2
at resonance = opt C2 ( t ) =
2
2
u2 x u1 t 2 increases ~t2, the width of the resonance decreases as ~2/t,
4
the area under the curve C2 ( t ) 2 increases ~2t ( constant rate at constant field).
______________________________________________________________________________________________________________________________
5-55 K5
4) Fermis Golden Rule
To get out of the dilemma we use a procedure known as Fermis Golden Rule:
The calculation contains the unphysical assumptions
1) the light field is ideal monochromatic, characterized by a -function for the SDF W() (infinite duration of the light wave !)
2) the energy levels Ei are defined exactly and characterized by a -function for the density of state function
(assuming infinite duration of atomic states no collisions, dephasing processes, etc.).
In reality the density of state function of the electrons is broadened and i shows an energy Ei uncertainty due to
the short (~0.1ps) lifetime of the state
Solution: Averaging the transition probabilities over the optical power density opt()=W()
We average the transition functions over the energy width of the optical field or the electronic states by an
integration over the frequency domain of C2(t,)
For averaging over the optical spectral width of the transition we replace the field amplitude term E02 by the spectral energy
( )
2
density opt , defined with the relation E02 / 2 = opt (opt ) ... dopt , and integrate the time-dependent probability C t,opt
weighted by opt(opt) over the finite spectral width of W()=opt() of the field:
+
e 2 2W (opt ) 2 sin 2 ( opt ) t / 2 W (opt ) 2
C2 ( t )
2
= u2 x u1 dopt = e 2 u2 x u1 t
( opt ) / 2
2 2
4 2 2

lim
opt 2 t opt

the averaged occupation probability increases linear with t leading to a constant transition probability r12 which is
proportional to the spectral energy density W()=opt().
______________________________________________________________________________________________________________________________
5-56 K5
a) the term dipole matrixelement u 2 x u1 contains the dynamic microscopic properties of the 2-level system
b) a transition with a matrix element u2 x u1 =0 is not possible and is called forbidden transition.
c) detuned transitions opt only show weak oscillations of IC(t)I2 polarization mode
Interpretation of the dipole matrix elements: uk x ul = uk x ul dx
The dipole moment <p>=-e<x> is proportional to uk x ul . For strong polarization and absorption uk x ul has to be
large, meaning that the wave functions uk and ul should reach large values at large values of x only weakly bound
electrons.
Stimulated emission proceeds in the same way but with changed initial conditions giving the same results:
C1 ( 0 ) = 0 , C2 ( 0 ) = 1 excited state as "start" state
Einsteins Coefficient with an optical field of finite spectral energy density W():
e2 1 2
From C2 ( t ) opt ( ) 2 t averaged occupation probability (linear in time t)
2
= 2 u2 x u1
4
Per definition the transition rate r12 per transition pair 1 2:
C2
2
e2 e2 2
r12 = = 2 u2 x u1
2
W ( ) = BW ( ) B ( ) = 2 u2 x u1
t 2 2
Einstein-coefficient B for stimulated transitions (Absorption)
n3 3 e2 3 2
From A = 2 3 B ( ) A= u2 x u1 = 1 / spont Einstein-coefficient A for spontaneous emission
c0 2 c03
______________________________________________________________________________________________________________________________
5-57 K5
Calculation of transition rates with a spectral energy density: (self-study)
In order to avoid the averaging by the Fermi-Golden Rule we consider that the optical field is not monochromatic but described by a
spectral power density opt(). For being able to work with Fourier-transforms we consider all signal to be time-limited (compare chap.7).
The optical field amplitude is described by a time-limited envelop-function A(t) and we consider a the situation of absorption:
time-limited field to the interval [0,T ] :
AT ( t ) jopt t
ET ( t ) =
2
e ( j t
+ e opt )
for 0 < t < T ; ET ( t ) = 0 for T < t and t < 0
Differential equation for occupation probability for absorbtion with C1 ( t ) 1: ( p.49 )
t
C2 ( t ) =
jeE ( t )
1 x 2 e + j21t =
jeA ( t )
2 (
+ j ( + )t + j ( )t
1 x 2 e 21 opt + e 21 opt )
Initial condition : C1 ( 0 ) = 1 ; C2 ( 0 ) = 0 ; 21 = ( E2 E1 ) /
T
Integrating both sides over t: dt and considering time-limited functions:
0
je T + j ( + )t
T
+ j ( )t
C 2 ( T ) C2 ( 0 ) = C2 ( T ) = 1 x 2 A ( t ) e 21 opt dt + A ( t ) e 21 opt dt =
2 0 0
+ +
je + j (21 +opt )t je + j ( )t je
C2 ( T ) = 1x2 T
A ( t ) e dt + 1 x 2 AT ( t ) e 21 opt dt = 1x2 ( AT (21 + opt ) + AT (21 opt ) ) Mixed

2 2 2 products =0
0 `0
(
Fourier Transform AT 21 +opt ) (
Fourier Transform AT 21 opt )
e2 2
C2 ( T ) =
2
4 2
1 x 2 AT ( 21 + opt ) A
T ( 21 + opt ) + AT ( 21 opt ) A
T ( 21 opt )

0
Using the relation between sectral power density and spectral amplitude density (chap.7):
2 + +
1
ET2 = ST ( )d = ET ( )ET ( ) d
if T ST ( ) T 2 = ET ( ) ET ( ) ( one sidedspectrum )
0 Tlim
0
T 2
e 2 e 2
C2 ( T ) = ( ) 1 x 2 opt ( ) T
2
( same result as Fermi Golden Rule )
2 2
1 x 2 S T =
2 2
2 2
______________________________________________________________________________________________________________________________
5-58 K5
5.4.1.3 Expectation value x(t ) and p(t ) of the dipole oscillator (field viewpoint)
Goals:
Transition rates R and their dependency on carrier density n do not describe the frequency dependent properties of
the QM dipole, in particular the expectation value of the expectation value of the susceptibility ().
(, N1, N2) ? we need to determine x() first !
Knowing C1(t) and C2(t) gives the transient mixed state ( x,t ) = C1 ( t ) u1 ( x ) e 1 + C2 ( t ) u2 ( x ) e 2 and the time
j t j t
+
dependent expectation value x(t) and p(t)= - ex(t) by the basic definition x (t ) = x = ( x,t ) x ( x,t ) dx .

C1(t) and C2(t) can be related to x(t) (Appendix 5A):
x(t ) = C1 ( t ) C2 ( t ) u2 x u1 e j(2 1 ) t + cc cc = conjugate complex part,

21= transition frequency
depending on occupation, Oscillation at 21
resp.carrier densities n1 ,n2 and opt ,Eopt
Expectation value of position x(C) of the electron of the atomic DP (only in mixed state 0 during 1-2, 2-1transition)
Graphical interpretation of the Dipole-Formation during the level transition: (see also chap. 5.4.1.5)
x(t) oscillates with transition frequency = 2 1 = ( E2 E1 ) / .
the functions C1 ( t ) C2 ( t ) of x(t) depend on the optical field by E02 and opt and are calculated from the coupled Dgl. for Ci(t)
stationary pure states have no dipoles because C1=0, C2=1 (excited state) or C1=1, C2=0 (ground state) x(t) =0.
x(t) has a well defined phase relation ship to the exciting field Eo(t)
______________________________________________________________________________________________________________________________
5-59 K5
Dipole oscillation for the transition between a symmetric ground state (u100)- and a
nonsymmetric excited state (u210) of the H-Atom:
Consider the total mixed wave function ( z,t ) and ( z,t ) , where we moved the phase factor out of the bracket expression:
2
symmetric / anti-symmetric wavefunction

( x,t ) = Ca ( t ) u100 ( x ) e ja t + Cb ( t ) u210 ( x ) e jb t

= e jb t Ca ( t ) u100 ( x ) e ( a b ) + Cb ( t ) u210 ( x ) = e jb t ' ( x,t )
j t
ground state excited state

' Phase term oscillating
with the transition
where ( x,t ) = ' ( x ,t )
2 2
frequency a-b
' ( z,t ) and ( z,t ) at times tn
2
mixed state (b)

tn = 2 n / (b a ) = nTba , n = 0,1,2,3 ... phase term e j 2 n = 1
(c)
tn ' = ( 2n + 1) / (b a ) = ( n + 1) Tba , n = 0,1,2,3...

j ( 2n +1)
phase term e = 1
+ - - +
Dipole-oscillation occur only during the transition between 100 210.
<p(tn)> <p(tn)>
The transient mixed state (z,t) is asymmetric and forms a
oscillating charge dipole <p> with the transition frequency
ba=ba
______________________________________________________________________________________________________________________________
5-60 K5
Remark:
the electron charge distribution ~ uiui* is symmetric to the nucleus for a pure state, therefore stationary pure states have no
dipole moment (fr opt=0).
The phase of the dipole relative to the exciting field depends on the relative phase of Ci resp. carrier occupation n2, n1 and the
opt. Frequency opt
Depending on the phase the dipole absorbs or emits radiation.
5.4.1.4 Dipole-Matrix-Elements for allowed and forbidden transitions

Possible Dipole-Matrix-Elements of a 2-level system:
The time invariant potential V(x) has been assumed as symmetric around x=0 for our 1-dimensional case. Therefore the
solutions u(x) are either symmetric or anti-symmetric. However the probability density uu*(x) must be symmetric.
The dipole operator x in u 2 x u1 is a asymmetric function, therefore we have 4 possibilities:
Initial state: final state: transition:
u1 symmetric - u2 symmetric forbidden, because u2 x u1 =0

u1 asymmetric - u2 asymmetric forbidden, because u2 x u1 =0
u1 symmetric - u2 asymmetric allowed, because u2 x u1 0
u1 asymmetric - u2 symmetric allowed, because u2 x u1 0
______________________________________________________________________________________________________________________________
5-61 K5
5.4.1.5 QM-calculation of the Susceptibility ()

Procedure: we show that the quantum-mechanical expectation value of x(t) leads to the same differential
equation of motion as for the classical oscillator for x(t).
The important difference is that x(t) depends on the populations n1 and n2, and the initial occupation state
leading to negative absorption, resp. gain.
For the analysis we consider the stationary harmonic solutions of the differential equation for C1(t) and C2(t) with weak
harmonic optical excitation.
Calculation of the expectation value of the dipole distance x(t), resp X() determines the quantum mechanical
Susceptibility ().
Classical mechanics: D = 0 E + P = 0 E + 0 E = 0 (1 + ) E = 0 r E (electrons on springs)
Quantum mechanics: D ( ) = 0 E + P ( ) = 0 E + eN X ( ) = 0 E + 0 ( ) E ( ) = eN / 0 X ( )
expectation values of physical observables
Solution-Procedure:
To calculate the quantum mechanical susceptibility (), we determine from the diff.eg. for C1 and C2 first an oscillator
equation of motion for x(t), resp. X() having the same form as the classical diff.eq. for x(t):
x + 02 x + D x = e / me Ex cos ( t ) classical driven oscillator with damping D and resonance frequency 0.
1) from the oscillator differential equation of x(t) we calculate (), resp. n(), k() as for x(t).
Definitions and assumptions:
______________________________________________________________________________________________________________________________
5-62 K5
Definition of position expectation value : < x >= ( x,t ) x ( x,t ) dx

E (t ) = (
E0 + jopt t
2
e )
j t
+ e opt
+j t
assuming: harmonic optical field with positive frequency e opt
E
2
(
P ( t ) = 0 0 (opt ) e opt + ( opt ) e opt
+ j t
) j t
harmonic polarization ( assumption )
( E + j t
H ww ( t ) = ex E ( t ) = ex 0 e opt + e opt
2
) j t
( x,t ) = C1 ( t ) u1 e j1 t
+ C2 ( t ) u2 e j2 t assumed solution for harmonically perturbed wavefunction
Therefore the differential equations for C1 , C2 (p. 5-42) transform to:

j C1
2
E0 e
( ) (
u2 x u1 exp j (opt ) t + exp j (opt + ) t
) C 2

with C = C
Ee
( )
j C2 0 u2 x u1 exp j (opt ) t + exp j (opt + ) t
2 ( ) C 1
t
By insertion of the of assumed solution for (x,t) into <x> we obtain:

< x >= C1 ( t ) C2 ( t ) u1 x u2 e + j t + C1 ( t ) C2 ( t ) u1 x u2 e j t
(used p.5-49)
with transition frequency: = 2 1

For the derivation of the QM-equation of motion of x(t) we evaluate the first and second derivatives < x >= <x>
t
2
and < x >= 2 < x > (see appendix Chap.5). Making use of the above differential equation for C1(t) and C2(t) gives finally an:
t
______________________________________________________________________________________________________________________________
5-63 K5
QM Oscillator-Equation of the expectation value x(t):
< x > + 2 < x > = 2

E0 e
u2 x u1
2
cos (opt t ) { C 2 ( t ) - C1 ( t )
2 2
} (without damping force!)
determines the phase of the oscillator
relative to the driving optical field
fundamental driven oscillator equation for x(t) with the self-resonance =21
{
1 C 2 ( t ) - C 1 ( t )
2 2
} 1 depends on the occupation n , n 1 2 of E1, E2 determines the phase of the DP to the driving E-field
F-transforming gives: x(t) X()=F(x(t))
X ( ) =

2 opt
2
2E0 e

u2 x u1

2
{ 2
C 2 ( t ) - C1 ( t )
2
} (frequency domain with undamped resonance at )
Remark: Incomplete solution, because we do not know the time-dependence of C(t) !
The equation simplifies (C ~ constant and known) under the assumption of

1) a weak field, that does not change the initial condition for C1 and C2 substantially during time t and
2) that the system was initially eg. in the ground state E1 (absorption process):
C 1 (t ) 1 und C 1 (t ) >> C 2 (t ) medium is absorbing { C (t )2
2
- C1 ( t )
2
} 1
Quantum mechanic equation of oscillation for the charge position <x> for ABSORPTION (C2(t)~0, C1(t)~1)
E0e
u2 x u1 cos (opt t )
2
< x > + 2 < x > = 2 undamped driven oscillator for absorption
Inphase or antiphase oscillating DP (classical situation)

______________________________________________________________________________________________________________________________
5-64 K5
2E0 e
X (opt ) =
2
2 u2 x u1 (frequency domain solution for absorption)
opt
2

The QM-equation for the harmonic oscillator <x(t)> for absorption is formally equivalent to the classical undamped dipole,
therefore all relations for the frequency dependence of the real part-() and imaginary part () of the QM-
susceptibility <> will be equal (no damping D=0).
Substitution / equivalence classical QM: (absorption)

classical: Quantum mechanical dipole:
0 = ( E2 E1 ) /
e E0 e 2
Ex 2 u2 x u1 ( absorption, gain : + )
me
D D =0 ( undamped no loss, gain )
h
Depending if the system is initially in the a) ground state (absorption) or b) excited state (emission), there is a
change in the sign of the driving field in the oscillator equation (dipole phase relative to the optical field E):
a) ground state: C1 ( 0 ) = 1, C2 ( 0 ) = 0 ( C2 ( 0 )
2
C1 ( 0 )
2
) 1 Absorption (n1~N , n2~0)
b) excited state: C1 ( 0 ) = 0, C2 ( 0 ) = 1 ( C2 ( 0 )
2
C1 ( 0 )
2
) +1 Emission (n2~N , n1~0)
the susceptibility for absorption and stimulated emission have opposite signs.
similar to the classical case =0 results in no optical gain at this level of QM-oscillator model. Only by introducing
damping we will be able to realize 0.
The necessary damping mechanism (deexcitation of excited state) by the spontaneous emission can not be introduced in
the semi-classical QM-model self-consistently ( Quantization of the optical field is required).
______________________________________________________________________________________________________________________________
5-65 K5
Relation of polarization density and transition pair densities n1, n2:
We have a transition pair density N (=atomic density) with an excited (E2) transition pair density n2 and a ground-level (E1)
density n1 , so that N=n1 + n2.
From <xi> we get the polarization density <Pi>= - ni e<xi> per type of transition pair density ni:
i (opt ) = ( + ) ni e X i (opt ) / 0 ; + gain , absorption
For a medium containing a mixture of transition pair in the ground state (n1) for absorption and the excited state (n2) for
gain with the densities n1 and n2, we get for the total polarization density the superposition (using phase change for emission
2 1 transitions):
( )
(opt ) = 1 (opt ) + 2 (opt ) = n1e X 1 (opt ) + n2 e X 2 (opt ) / 0 = e X 1 (opt ) ( n2 n1 ) / 0
The susceptibility depends on the OCCUPATION DENSITY DIFFERENCE (n2-n1) !
+jt
From the QM-oscillator equation for <x> we obtain for an assumed solution x(t)= X()e
2
( n2 n1 ) e2 u1 x u2 2
P = n1 p1 + n2 p2 = n1e X 1 (opt ,Eo ) + n2e X 2 (opt ,Eo ) = E0 = 0 (opt ) E0
2 opt
2
2
( n2 n1 ) e2 u1 x u2 2
(opt ) =
0 2 o2pt
Absorption: n2=0, n1=N
Stimulated emission: n1=N, n1=0
______________________________________________________________________________________________________________________________
5-66 K5
QM: absorption, n1=N (stimulated emission, n2=N)
2
Ne2 u1 x u2 2 Susceptibility of the undamped, Characteristic of (): n1>n2 (absorption)
' (opt ) = ( ) , lossless QM-Dipole with density
0 2 opt
2
'()
N in absorption
'' (opt ) = 0 =0
'()=0
with N = dipole density = n1 ; n2 = 0 absorption
Klassisch :
Ne2 2 opt
P = Nex ( Eo ) = + E0 = 0 ' E0
m opt
2 2
Ne2 2 stimulated
' (opt ) = + , '' = 0 emission
m 0 2 opt
2
Formal introduction of QM damping by spontaneous emission: (Appendix 5A)
Goal:
The QM-model assumed unrealistically sharp energy levels and exact optical frequency meaning infinite carrier lifetimes.
As can be seen from the differential equations for C1 and C2:
An excited system can not return to equilibrium after switching-off of the optical field (E0=0) because the is no damping term in

the diff.eq. for C1, C2 (same argument as in Einstein-model) Ci = 0 .
t
______________________________________________________________________________________________________________________________
5-67 K5
To formally introduce damping and optical gain (0) into the diff.eq. for C1, C2 we modify them by additional a damping term
(representing finite carrier lifetime ~1/):
Only the introduction of damping als the QM representation of loss and gain ! (from first principles required the
quantization of the optical field)
t
jE e
C2 = 0
2
u2 x u1
( )
exp j (opt + ) t + exp j ( opt ) t C1 C 2
( )
carrier lifetime damping of excited level E2
= A / 2 = 1 / ( 2 spont ) damping constant

The damping relaxes C2 after a disturbance (E0 0) with the time constant spont back to equilibrium Ci = Ci .
t
We repeat the previous calculation as for the undamped case to get the frequency dependence of the susceptibility () of
the damped QM-oscillator:
= ground state ( n1 ) + excited state ( n2 ) n1= transition pairs in ground state ; n2= transition pairs in excited state , n1 + n2 = N =atom density
(opt ) = Re + j Im = ' + j '' =

e2 2 (
2 2 + 2 opt
2
)
j2opt
n n
u2 x u1 ( 1 2)
0 2 ( )
+ ( 2opt )
2 2
2 + 2 opt
2
' (opt ) =
e2
u2 x u1
2 (
2 2 + 2 opt
2
) ( n1 n2 ) Positive frequencies have been
0 2 ( ) + ( 2 )
2 2
2
+ 2 2
+ j opt t
opt opt
assumed e
e2 2 Dopt
'' (opt ) =
2
u2 x u1 ( n1 n2 ) 0 Absorption <0
0 2 ( 2 2
) + ( 2 )
2
2
+
2
opt opt Gain >0
using the attenuation relation from chap. = 2 0 ''/ 2 / 1 + ' from chap.2.
______________________________________________________________________________________________________________________________
5-68 K5
Quantum mechanically susceptibility with damping
QM allows describing optical gain as a function of population inversion (n2 > n1):
n2>n1 Gain (for population inversion), >0
n2<n1 Attenuation, <0
Real- and imaginary part of the QM-susceptibility with damping
', '
n1<n2 The frequency dependence of ' ( ) , ' ' ( ) is similar to the
classical damped dipole.
n1>n2 However for population inversion n2>n1 we get ' ' ( ) 0 and
optical gain g()= - '' ( )
0 opt The detuned QM-resonance frequency is:

n1<n2
res 2 2 / <<1
= ( E2 E1 ) /
n1>n2
______________________________________________________________________________________________________________________________
5-69 K5
Conclusions:
QM showed us, that the emission of a stimulated, coherent photon becomes possible for n2>n1, because the 2-
level oscillator can be synchronized in such a way, that there is a dipole component orthogonal to the exciting
field , resp. that >0. In a classic description this was not possible (<0).
In case of the population inversion n2>n1 , then >0 and the medium produces optical gain g>0. Thus we
succeeded to relate population (n2-n1) to gain and absorption.
The stimulated global optical field E0 enforces a macroscopic synchronization of all atomic dipoles in a
medium with a phase difference according to the frequency response of (opt).
The synchronized dipoles reemit (scatter) a macroscopic dipole field, that is synchronized with the exciting field
and superimposes to a 1) amplified or attenuated (, ) and 2) phase modified (, n) total field.
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5-70 K5
Linewidth functions and reduction of maximal gain: (self-study)
For weak damping (>>) g() simplifies to a Lorenzian-shaped frequency dependence L(opt):
e2 2 D opt e2
g (opt ) ( opt ) = '' ( opt ) = L ( opt ) ( n1 n2 )
2 2
u2 x u1 ( n1 n2 ) = u2 x u1
0 2 ( ) + ( 2 )
2 2 0 2
2
2
+
2
opt opt
1 1 / 4
The width of the linewidth function L(opt) is: L ( opt ) = = ; = 2
2 1 + ( )2 / 2 ( / 2 )2 + ( )2
21 opt 21 opt
The width of linewidth function is proportional to the inverse of the spontaneous carrier lifetime spont (typ.~1ns for SC).
Additional lifetime effects such as carrier collisions leading to a dephasing of the dipole (typ. ~100fs in SC) cause much
stronger broadening and reduction of the gain by the linewidth functions.
In the following we will neglect the effect of the linewidth functions for mathematical simplicity.
Remarks:
The damping of the level populations n1 and n2 is the origin for the appearance of the imaginary part of the
susceptibility .
In the excited state the polarization is opposite to the classical polarization (1800 out of phase).
In the excited state the dipole acts as a source of radiation or as an active source of the field.
The role of the external stimulating field is to synchronize the phases of C1(t) und C2(t) in such a way, that there
results an active dipole, emitting radiation coherent to the simulating field.
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5.5 Optical band-to-band transitions in Semiconductors

In Optoelectronics active (amplifying) III-V semiconductors, such as GaAs, AlGaAs, InP, InGaAsP, GaN etc. play a key role
for optical component, therefore we will concentrate on optical processes in semiconductors (SC).
In the courses Physik II (3.Sem) and Bauelemente (4.Sem) it was demonstrated that the coupling of the atoms in the solid and
the condensation into a periodic lattice leads to:
energetic splitting of discrete energy levels of the electrons into energy-bands (Conduction-, Valenceband)
a band structure with a band gap Eg and quantized, quasi-free electron states (no localized states as in atoms)
distributed, non-localized matter waves (x,t) and quasi-free motion of the electrons in the bands
To analyze the optical gain in SC we extend the notion of discrete transition pairs from atoms to a quasi-continuum of
state-pairs distributed over energy-bands (Conduction and Valence band) of the SC.
Similar to the averaging process for the transition rate over energy spectrum of the optical field W(), we assume here a
mono-chromatic light field E0cos(ot) (typical for modern optoelectronic devices) and average the transition over the energy
state density distributions of the transition pairs continuum(E) or continuum() (C or V).
C ( E2 ,x )
Conduction band: E 2, E2
n2
density of energy states C(E2) E 2
EC
transition pair density
R12 R21 Eg r(E21)= r(C(E2), v(E1))=?
Valence band: EV
E 1, n1
density of energy states v(E1) E1 E1
V ( E1 ,x )
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Band-to-Band-Transition Rates between energy bands of semiconductors:
For SC the optical transitions occur between the densely distributed energy states Ec,i, C , j ( x ) in the C-band and the
Ev,i , V ,i ( x ) in the V-band forming transition pairs (defined by selection rules).
For the total energy interval E= E2+E1 we will prove later that a reduced transition-pair density (RTPD) r(E2-E1) can
be defined as the number of transition pairs pro unit volume and unit energy E.
In SC the electrons are quasi-free to move and the final state is not necessary empty as in atoms. The final state can be
occupied by an electron according to the Quasi-Fermi-occupation probability function fQ,c(E2), resp fQ,v(E1).
We consider incremental sub-populations n2, n1 around the energy levels at E2 and E1 and distributed in energy intervals
E2 and E1 with the individual density of state functions C(E2) and V(E1).
Generalization of Einstein-Formalism:
Conduction band Transition probability of a single transition pair Transition rate in the energy interval E with the
E 2, n2 postulated pair density r(E12)
E 2
Stimulated Emission: Stimulated Emission:
R12 R21 r21 = W B21 fC ( E2 ) (1 fV ( E1 ) ) R21 = W B21 r ( E21 ) f c ( E2 ) ( 1 f v ( E1 ) ) E
nitial , occupied final , empty
E 1, Stimulated Absorption: Stimulated Absorption:

n1
E1 r12 = W B12 fV ( E1 ) ( 1 fC ( E2 ) ) R12 = W B12 r ( E12 ) f v ( E1 ) ( 1 f c ( E2 ) ) E
Valence band
Spontaneous Emission: Spontaneous Emission:
r21,spont = A21 fC ( E2 ) ( 1 fV ( E1 ) ) R21,spont = A21 r ( E21 ) f c ( E2 ) ( 1 f v ( E1 ) ) E
______________________________________________________________________________________________________________________________
5-73 K5
Transition rates rij ~ to the density of transition pairs r occupation probability fi of initial state probability
of final to be empty 1-fj
Generalization of transition rates for non-monochromatic light fields and distributed levels:
In the general case when optical field and transition pairs are described by spectral density functions, W(E) and r(E) we
generalize the transition rates as for the example for the stimulated transition rate:
dR21 ( E21 ) = B21W ( E21 ) r ( E21 ) f c ( E2 ) ( 1 f v ( E1 ) ) dE .... dE

+
R21 ( E21 ) = B21W ( E21 ) r ( E21 ) f c ( E2 ) ( 1 f v ( E1 ) ) dE total transition rate C V

Considered the two extreme cases:

a) optical field described by a broadband spectral density function W() and a sharp discrete transition-pair density N
(E-E21) (eg. atomic states with no collision processes)
W ( E ) ; r ( E ) = N ( E E21 ) ; N = atom density
R21 ( E21 ) = B21 W ( E ) N ( E E21 ) fC ( E ) ( 1 fV ( E ) ) dE = B21 W ( E21 ) N fC ( E2 ) ( 1 fV ( E1 ) ) Einstein-Ansatz (broad band sources)
b) monochromatic optical field E(t)=E0cos(optt) described by a spectral density function W(E)=Nphopt (E- opt) and
a distributed transition-pair density r(E) (eg. bands-to-band transition in semiconductors)
0 E02
W ( E ) = N ph opt ( E opt ) = ( E opt ) ; r ( E ) ; N ph = photon density
2
R21 ( E21 ) = B21 N ph opt ( E opt ) r ( E ) fC ( E ) ( 1 fV ( E ) ) dE = N ph opt B21 r ( E21 = opt ) fC ( E2 ) ( 1 fV ( E1 ) )
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5-74 K5
c) monochromatic optical field E(t)=E0cos(optt) with W(E)=Nphopt (E- opt) and a sharp discrete transition-pair
density N (E-E21)
Here the transition rate diverges because the situation is unphysical.
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5-75 K5
5.5.1 Dipole-Matrix-Element of the transitions between energy bands

For the calculation of the transition rates between valence-continuum and conduction-continuum we have to determine
the dipole-matrix element uC x' uV between a delocalized discrete valence and a delocalized discrete conduction-band
state C , j ( x,t ) and V ,i ( x,t ) of the continuum:
continuum-to-continuum transition
( x,t )
j
v, j
E0 cos(opt t )
i
c ,i ( x,t )
In a SC the wave functions C , j ( x,t ) and V ,i ( x,t ) are extended and periodic with the lattice (lattice-modulated plane waves)
The calculation of total transition rates in SC is further complicated because the transition pairs are distributed over two
continuums in the conduction and valence bands
Summation, resp. integration over allowed band-to-band (interband) transitions
ij pairs
r
ij
Assumptions:
1) The light field is monochromatic with an amplitude E0 and a frequency opt resulting in a spectral energy density:
opt()=1/2Eo2( opt) (1-sided)
2) Wave functions in SC are non-localized Bloch-functions uj(x), having the periodicity a of the lattice.
j ( x,t ) = F j ( x ) u j ( x ) exp ( jE j t / ) resp. = 0 exp ( jk j x ) u j ( x ) exp ( jk j x ) exp ( jE j t / )
Fj(x) slow spatial envelope function, determined by the macroscopic crystal-potential (macroscopic crystal dimension L)
uj(x) fast varying, lattice-periodic Bloch-function, determined by the microscopic lattice potential (a lattice period a ~5A)
kj() crystal wave vector
0 normalization constant
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5-76 K5
Schematic representation of the wave function and e-h-dipoles in SC:
Ek extended, crystal periodic Bloch wave functions

Ej jk
Lattice-periodic potential
a = lattice period
L = macroscopic crystal dimension
3) For transitions in SC the final states are not necessarily empty, but are occupied by electrons according to the Fermi-
statistics F(E, EFQ) (in atoms the final state of an atomic transition-pair was per definition empty).
Dipole-transitions are represented as a superposition of wavefunctions C , V of the conduction- and valence-band.

lattice cell
a
Crystal-potential (schematic, period a)
Wavefunctions of conduction (e) and valence band (h)

.
- Dipol +
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5-77 K5
5.6 Basic Properties of Electrons in Semiconductors

(Recapitulation, 4.Sem. Hablbleiterbauelemente)
For the calculation of the rates of stimulated R21.netto and spontaneous R21,spont emission, as well as optical amplification g in
SC and their relation to the electron- and hole-densities n and p we review the following basic relations on
wavefunctions in conduction (valence) band c( v ) r ,kc( v ) ,t ( )

(
dispersion relation, Ec( v ) kc( v ) ) Quasi-Fermi-functions density of states Dispersion relation
effective mass meff E E E
C EC(kC)
EC2
density of states c( v ) ( E ) and EQF,c
EC
carrier densities in SC: n, p fQ,C
kC2 k
EV
EQF,v Ev(kv) EV1
V kV1
fQ,v
fQ
Density of states c(ECi), v(EVi) and carrier densities n, p in conduction- and valence-band at energy Eci and Evi
Reduced density of state-pairs r(Eij), describing the density of electrons and holes of transition pairs having the
same crystal momentum p , resp. the same propagation vector k (conservation of k of the transition) for an energy
difference Eij, resp. EV1C2 : kv(Ev1)=kc(Ec2)
The dispersion relation E(ki) for electron and holes, expressing the dependence of the quantized particle energy Ei
on its crystal momentum pi = ki , resp. wave vector ki.
The carrier occupation probability in valence- and conduction-band described by assumed Quasi-Fermi-
distribution functions fC(V)(E, EFQ) of the individual bands C, V. EFQ is the Quasi-Fermi-level of the particular band.
______________________________________________________________________________________________________________________________
5-78 K5
5.6.1 Density of states and dispersion-relation of electrons in an ideal SC

Electrons of a precise total energy E=Ekinetic + Epotential moving in the periodic potential Vlattice(r) of a crystal can be represented
quantum mechanically by a planar Bloch-wave ( r ,t ) as solution of the stationary Schrdinger equation.
Planar matter wave for a particle of energy E=hv, of mass m and a crystal momentum p=k:
E p

(
( r ,t ) = u ( r ) exp j t j r = u ( r ) e xp j t j k r ) u(r) has the periodicity of the crystal lattice (a)
To first order the motion of the electron in an energy band can be described as a quasi-free classical particle with
1) an effective mass meff,
2) a kinetic energy Ekin=E-Ec (for the electrons in the conduction band and Ekin=Ev-E for holes in the valence band) and
3) a crystal momentum p= k
Dispersion-Relation E(k) and density of states :

The kinetic energy Ekin of the electron as a quasi-free particle in the SC-crystal is related to its momentum p in the same way
p2 2 2
k
as for a free particle: Ekin = =
2meff 2meff
Bild / Formel
In analogy to classical particles there is a square law relation

between the quantized crystal momentum p, resp. k
and the quantized Ekin:
p= k k= wave vector of matter wave

=E/ = frequency of the matter wave
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5-79 K5
the kinetic energy Ekin=E-EC of the electron is positive from the conduction band edge Ec into the band
(similar for holes in the valence band)
Dispersion-Relation Ekin(k) for quantized matter waves in (1D) semiconductors:
1 C-band: c,i, Ec,i , kc,i wave vector (k) and energy (E(k)) of
Ekin ( p ) = p2 Ec(k)
the quantized conduction band state
2mn. p
2
E Conduction band
Ekin ( k ) = k 2
V-band: v,i , Ev,i , kv,i E
2mn,p EC k
Energy gap
Ekin,n = E Ec ( electrons ) EV
Ekin,p = E + Ev ( holes ) E
Valence band
mn( v ) = effective electron (hole) mass EV(k)
k=2/L
momentum quantization
Unlike a classical particle the crystal momentum p and wave vector k are quantized ( by the boundaries of the macroscopic crystal
volume Lx):
2
kx = n = nk ; n = 0 ,1,2 ,3, .... the momentum p=k is quantized equidistantly by k=2/Lx
Lx
k = kn kn1 = 2 / Lx
Therefore also the energy levels E are quantized :
2
2 2 2 2
Ekin ( kn ) = kn = 2
n n=0,1,2,3,4 ....the energy level quantization is not equidistant !
2mn ,p Lx mn ,p
The allowed energy-levels and momentums on the dispersions-relation E(k) are quasi-continuous, because k and E very small.
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5-80 K5
Occupation of states in the k-diagram: (undoped SC in thermal equilibrium Fermi-Energy EF lies in the band gap)
Temperature T=0 Temperature T>0

(Valence band completely occupied, conduction band empty) (Valence band and conduction band partially occupied)
parabolic
approximation
EF
EF
f(E,EF)
f(E,EF)
k a=lattice period
/a /a kn /a
/a
Bild
For each wave vector kn there are two associated energy-levels EC(kn) and EV(kn) in the conduction and valence
band forming a discrete transition pair (EC(kn) EV(kn))at kn.
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5-81 K5
Repetition: carrier densities in C- and V-bands:
In the course Halbleiterbauelemente (4.Sem) the number N of solution of the Schrdinger equation in k-space has been
calculated per unit volume and unit energy interval this density is called
1. Density of states (E) (DOS), resp. (k) for electrons and holes as a function of Energy
c(E), v(E) using a constant effective masse for parabolic bands
3/ 2 3/ 2
2m 2m p
C ( E ) = 4 2n E Ec , V ( E ) = 4 2 EV E
h h
describes the state density in a band at a particular energy, it does not describe the transition pair density r directly
2. Fermi-Occupation Probability of the energy level E by an electron

1
(
f E,EQF =
( )
E EQF ) / kT
, EQF=EF (Quasi-) Fermi-Energy of the corresponding band for equilibrium
1+ e
resp. Quasi-Fermi-Distribution for electrons and holes in non-equilibrium EQF,n EQF,p
1 1
fQ ,n ( E ) = ; fQ,p ( E ) =
1+ e
( E EQF ,n ) / kT 1+ e
( E EQF ,p ) / kT
3. Electrons- and Hole-Density n, p for parabolic Bands as a function of Fermi-energies

From the DOS (E) and from f(E,EQF) the carrier densities n, p are determined by integration over the corresponding band
3/ 2
4 2 mn,eff kT
EC ,Top
E EF EF EC
n= c ( E ) f c ( E ) dE =

h2
F1 / 2 V
kT
= N C ,eff F1 / 2
kT

EC
3/ 2
4 2 m p ,eff kT
EV ,Bottom
E EV EV EF Neff= effective density of states
p= v ( E ) fv ( E ) dE =

h2
F1 / 2 F
kT
= NV ,eff F1 / 2
kT

Ev

x1 / 2
with the Fermi Integral : F1 / 2 ( x, xF ) = x xF
dx
0 1+ e
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5-82 K5
4. Carrier Transport by Drift and Diffusion
n p
jn = enn E + eDn , j p = ep p E eDn
x x
Drift current Diffusion current = mobility, D=diffusion constant
Important for carrier transport in photodiodes and current-injection in Laser diodes and LEDs
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5-83 K5
Graphical representation of the density of states C, v and electron and hole occupation n, p in the
density of states diagram:
(at different temperatures T and for different positions of the Quasi-Fermi-levels EQF,C ---, EQF,V ---)
n
n electrons
E
EQF,C The carriers are mainly distributed over an energy-interval EQF,C-EC or Ev-EQF,V
EQF,C
typ. ~ a few kT determined by the
1) position of Fermi-levels EQF,C , EQF,V (band filling) relative to the bandedge EC, EV
EF
2) temperature dependence of the Fermi-functions ( E~kT temperature-smear-out)
EQF,v EQF,v
p holes
p
T=0 T=0 T>0
Ev < EQF,c=EQF,V < Ec EQF,C > Ec EQF,C > Ec

EQF,V < Ev EQF,V < Ev
Equilibrium non-equilibrrium
For equilibrium:
n p=ni2 EQF,n=EQF,p=EF
Quasi-Neutrality for undoped SC:

n=p np ni2 , EQF,n EQF,p (nonequilibrium)
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5-84 K5
5.7 Optical Transition Rates and Amplification in SC

Band-to-band Transitions in SC are continuum-to-continuum transitions and the total transition rates are obtained by an
integration over all involved allowed state-pairs (state-pair = initial + final state):
- allowed pair transition are (in most cases) energy (E) and momentum (k)-conserving
- the matrix element is determined by the Bloch-wave function for the C- and V-band
- the transition-pair density function r(E21) is given by the bandstructure (dispersion relation k()) and the density of state
functions of the C- and V-band, n(E2) and p(E1).
Goal: z Extension of the transition rate R(,n) for Band-to-Band-transitions

Calculation of the reduced transition pair density r() for parabolic conduction- and valence-bands
Determination of the spectral dependence of the transitions R()
Relation between transition rate R(n) and the carrier densities n and p ,
resp. the quasi-Fermi-levels and pump current Ipump
5.7.1 Optical Interaction between C- and V-band electrons in direct SC

Schematic Band-to-Band-Transitions with momentum (k)-conservation
We will show that the matrix element Hik between 2 discrete states out of the continuum is only non-zero (allowed) if the
transition is between 2 states with the same momentum p, resp. k
Vertical or direct transitions (in the dispersion diagram)

The common k-vectors k=kc,i= kv,i defines with the dispersion relations of the bands kc(c,i) and kv(v,j) the corresponding
transition energy Ecv,i,j(k)= Ec,i(k) - Ev,,j(k)
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5-85 K5
The k-conserving optical Band-to-Band-Transitions E2(k) E1(k) in the dispersion diagram E(k):
Individual dipole-transitions can only take place between wave functions of the same k-vector.
Postulated momentum conservation: k of start- and final state are equal (vertical transitions)
EC(k)
e
k E(k)==EC(k)-EV(k)
h EV(k)
no momentum kv kc momentum (k) kv = kc (kintial = kfinal)

conservation conservatuion
forbidden allowed
Dispersions-Diagram represents energy- and momentum-conservation:

From a k the corresponding energy difference of the pair are:
2 2
E ( k ) = = Eg + EC ( k ) + EV ( k ) = Eg + 2
k + k2 k ( ) or ( k )
2meff ,c 2meff ,v
The reduced pair state density r has to be determined separately from the densities of states c , v.
______________________________________________________________________________________________________________________________
5-86 K5
5.7.2 Direct Semiconductors

The transition rates between C- and V-band levels j and k depend essentially of the matrix-elements u j x uk .
if u j x uk = 0 then this optical transition is forbidden.
Transition energy j ( E j ) k ( Ek ) ; E jk = E j Ek = conserved by converting potential/kinetic energy into a radiation quantum:

= E j Ek Energy-conservation
During band-to-band transitions in SC the momentum of the electron-hole pair must be identical
(vertical transitions, other transitions are forbidden):
k j = kk momentum conservation
5.7.2.1 Momentum conservation in optical transitions in undoped SC

Simple calculations will show that in ideal SC:
1) the transition matrix element is large for k-conservation and small
(forbidden) for non-k-conserving transitions.
2) indirect transitions need a 3rd particle (eg. phonon) for k-conservation
low interaction probability for 3 particle interaction.
a transition is direct if the energy-minimum of the C-band and the
energy maximum of the V-band have the same k-vector
a SC with a direct optical transition (usually at k~0) is called a direct
Semiconductor (eg. AlGaAs, InGaAsP, GaN, etc. but not Si, Ge)
electrons occupy the energy minimum of the conduction band and holes occupy the maximum of the valence band with
high probability.
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5-87 K5
Allowed and forbidden transitions in SCs:
Direct, momentum conserving transitions
To proof the k-conservation we calculate the dipole matrix-element for the electron and hole wave function in the C- , resp.
V-band :
Bloch-matter wave for e and h with k vectors kc , resp. kv :
c ,k ( x ) = uc ,k ( x ) e jkc x matter wave of e in conduction-band ; EC = c
v ,k ( x ) = uv ,k ( x ) e jkv x matter wave of h in valence-band ; EV = v
E ( x ) = e j x optical wave with propagation vector = 2 / ; ( c v )
(
Not all transitions between C ,kc , j x,kc , j ,t ) V ,kv ,i ( x,kv ,i ,t ) are allowed. Allowed transitions ( uc , j x uv , j 0 ) conserve:
1. Energy conservation: opt = Ec,j Ev,i

2. Momentum conservation: kc,j = kv,i
The dipole-matrix-element of the valence-conduction band transition v c becomes for an extended polarized ( e , )
optical plane EM-wave:
( )
eE0 cos t r = eE0 Re e { (
j t r )
} =
eE0 j r jt
2
e e + cc
E (r )
Electrical plane wave : e = 0 ; r = ( x, y,z )

E ( r ) = E0 e e j r and E ( r ,t ) = E ( r ) e+ jt ; r = spatial coordinate
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5-88 K5
Electrical potential :
V ( r ,r ' ) = E0 e j r e r ' ; r ' = dipole displacment coordinate at position r
Including the distributed wave and EM-wave functions in the dipole matrix elements gives integrated over the total
crystal volume:
H 21 = c ( r ) H ww ( r ,r ',t ) v ( r ) = c ( r ) eE0 e j r e r ' v ( r ,t ) = eE0 uc x' uv
Fc = Fv =1
Matrixelement
( )
uc ( r ) e+ jkc r eE0 e j r e r ' uv ( r ) e jkv r dr = eE0 uc ( r ) uv ( r ) ( e r ' ) e
( ) dr
j kv kc + r
= eE0 uc ( e r ' ) uv
( )
crystal crystal
volume volume falls kv kc + =0
The function u(x) is periodic with the lattice-constant a and the exp-term containing [kC-kV-kopt]x oscillates with unity absolute
value in the integral and thus the volume integral over L3 averages to <uCIxIuV>=0 if [kC-kV-kopt] 0 .
k v k c + opt = 0 momentum conservation in optical transitions
momentum of a photon: momentum of a electron with the thermal energy Ek=kT:

2m e kT
opt = 2 / ; opt 10 4 cm 1 pc = k c kc 10 9 cm 1
Because the photon wave vector kopt is much smaller than the electron-momentum k c , k v >> opt we get:
kc kv Direct Optical Transition requirement
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5-89 K5
Remarks:
The matrix element in a crystal is often a function of the optical propagation direction , resp. of the polarization e of the
optical field, therefore in SC the optical properties are often non-isotropic.
The lattice constant (a~5) is much smaller than the wavelength (~1m) of the light, a<<,. The optical field is
homogenous for atomic dimensions, resp. over the lattice cell.
5.7.3 Stimulated and spontaneous transition rates in direct SC

We extended from Chap.5.5 Einsteins-transition rates to the transition probabilities and differential transition rates in E as:
Conduction band
Transition probability of a transition pair Transition rate in the energy interval E with the
E 2, n2 pair density r(E12)
E 2 Stimulated Emission:
Stimulated Emission:
R21 = W B21 r ( E21 ) f c ( E2 ) ( 1 f v ( E1 ) ) E
r21 = W B21 fC ( E2 ) ( 1 fV ( E1 ) )
R12 R21
Stimulated Absorption: Stimulated Absorption:
r12 = W B12 fV ( E1 ) ( 1 fC ( E2 ) ) R12 = W B12 r ( E12 ) f v ( E1 ) ( 1 f c ( E2 ) ) E

E 1, n1 Spontaneous Emission:
E1 Spontaneous Emission:
r21,spont = A21 fC ( E2 ) ( 1 fV ( E1 ) ) R21,spont = A21 r ( E21 ) f c ( E2 ) ( 1 f v ( E1 ) ) E
Valence band
e2
B= 2
uc x uv
2
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5-90 K5
Wave functions of electrons in bands of SC are not localized and the final state may already be occupied by a particle
according to the Fermi-statistic thus blocking the transition (because of Pauli exclusion principle):
the transition rate r12 (eg. absorption 12)

is ~ to the probability f(E1), that the start-level E1 is occupied
the transition rate r12 (eg. absorption 12) z
is ~ to the probability [1-f(E2)], that the final-level E2 is empty
rij f ( Ei ) ( 1 f ( E j ) )
{
occupied state: empty state:
eh-pair
fx = Fermi-Function of band x
Concept of the reduced density r (E ) for k-conserving pairs and the reduced
mass mr :
Concept:
For optical transitions rates with k-conservation we are interested in the number of energy-pairs (in the 2 bands) with the
same k-vector in the interval k, resp. per energy interval Es at E2(k) and E1(k) in C- and V-band.
(the density of states n and p describe only the number of energy-levels (not pairs !) per energy interval E in one band)
Definition of the Reduced Density r for transition-pairs in conduction and valence bands:
the reduced density r ( E ) is defined as number of energy level-pairs with the energy-difference E per energy
interval E where the initial and final states in the conduction and valence band have the same k-vector
______________________________________________________________________________________________________________________________
5-91 K5
The continuum-continuum transition rates R are proportional to the so defined reduced pair density r weighted by the
occupation probabilities of the initial and final state-pair.
Graphical representation of continuum continuum transitions 2 (C) 1 (V)

E 2 All N transition pairs of the momentum
2
C interval k are distributed in the total energy
interval E21:
Uebergangspaare k r ? k E21= E2+ E1
1
1
k (equidistant k-quantization) in E1 und in E2 we have N=k/k
Dispersion relation E(k):

2 2
N-states in k E2 Ec = k2 / 2mn conduction band
E2
E21
N-states in k E1
k 2 2
Ev E1 = k1 / 2m p valence band
momentum conservation: k1 = k2
Remark:
k determines (by the dispersion relation E(k)) the energy levels E2(k) and E1(k), E(k)=E2(k) E1(k) of an individual pair
______________________________________________________________________________________________________________________________
5-92 K5
Procedure for the calculation of the reduced density r:
calculate the reduced density r for direct transition (k2=k1) between E2 and E1 as a function of the known densities of
states of conduction and valence band c(E2), v(E1) and as a function of k, resp E21:
r{E21}= r{c(E2), v(E1)} = ?
The calculation of the number of transition pairs N(k) in the momentum interval k is simple, because all states are
separated by the equal momentum quantization k.
We then transform the interval k into the associated energy interval E21(k) with the help of the dispersion relation of
the C- and V-bands.
In addition we also use the fact that can also be expressed by both energy state densities
N=v(E)E1=c(E)E2 with E1(k) E1(k).
a) Calculation of the number of transition pairs N in the interval k and E:

Due to the quantization k of kn there are N pairs in the momentum interval k:
k n = nk with k = h / L (1-D case) , resp. 3 k = h / L3 (3-D-case)
N = k / k transition pairs distributed over the total energy interval E21= E2+ E1
N transition pairs are distributed in each energy interval E2 and E1 at E2 and E1.
b) Calculation of the relation between E2 , E1 , (E2-Ec) and (Ev-E1) with k and k:

k, E21, E2, E1 are related by the dispersion relation E(k)
2 2
( E2 ( k ) Ec ) = 2m k 2
and ( E1 ( k ) + Ev ) =
2m p
k2 ; differentiation by k:
n
2 2
^
E2 = k k and E1 = k k
mn mp
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5-93 K5
k k
2 2
k mn + m p
2
E21 ( k ) = E2 + E1 = + k = k
mn m p m m
n p
2 2 2 2
E21 ( k ) = E2 ( k ) E1 ( k ) = Eg + 2
k + 2
k = Eg + + k2
2mn 2m p 2mn 2m p

2
E21 ( k ) = Eg + k2 Dispersion relation for the transition pairs
2mr
mn m p
with mr = Reduced mass ( definition )
mn + m p
c) calculation of the relation between and the density of state functions n, p:

Because the number N of electron and hole states are equal in k, E21, E2, E1 it follows:
N N
N = c ( E2 ) E2 = v ( E1 ) E1 = r ( E21 ) E21 = r ( E21 )( E2 + E1 ) r ( E21 ) = =
definition of r E21 21
r r
E2 = E21 und E1 = E21
c ( E2 ) v ( E1 )
1 1 E
E21 = ( E2 + E1 ) = r + E21
c ( E 2 ) v ( E1 ) C
=1
from the equality
c ( E2 ) v ( E1 )
r ( E21 ) = = r ( E2 ,E1 ) Reduced Density ( Definition )
c ( E2 ) + v ( E1 ) (E)
if v >> c then r ( E21 ) = c ( E2 ) ( is the case for many III V SC ) V

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5-94 K5
N 2
N 3
we get with r ( E ) = for the Transition Rates R ( E ) = by generalizing to continuum (C:2) continuum (V:1)
Vol E Vol E t
2 E E2
transition with a monochromatic field W ( E21 ) = = 0 ( E ( E2 E1 ) ) :
Vol E 2
e2 E02
r ( E21 ) ( 1 fc ( E2 ) ) fv ( E1 ) = E02 B r ( E21 ) ( 1 fc ( E2 ) ) fv ( E1 )
2
R21,abs ( E21 ) = 2
uc, j x uv,0
2
( )
2
B = e2 / 2 2 uc, j x uv,0
R21,stim ( E21 ) = E02 B r ( E21 ) ( 1 fV ( E1 ) ) fC ( E2 )
R21,net ( E21 ) = E02 B r ( E21 ) ( fC ( E2 ) fV ( E1 ) )
R21,spont ( E21 ) = A r ( E21 ) ( 1 fV ( E1 ) ) fC ( E2 ) E Rspont = dR21,spont = A r ( E21 ) ( 1 fV ( E1 ) ) fC ( E2 ) dE
with = E2 E1
fv, fc are the Quasi- Fermi-functions at E1 and E2
Remark:
if (E2-E1)=E21= in a practical situation is specified, we get the corresponding k by solving a quadratic equation for E21(k).
From k we obtain E2, E1 and r(E2, E1) by using the corresponding dispersion relations of the C- and V-band.
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5-95 K5
Transform Eo to photon density sph of the momochromatic field:
Modern optoelectronic devices often operate with almost monochromatic fields compared to the energy width of the band-to-
band transitions in SC. Therefore we use discrete field-amplitudes Eo or photon densities.
2
Using w = Eo / 2 = s ph opt
1
R21,netto (opt ) = Eo B r ( f 2 f1 ) = s ph opt B r ( f 2 f1 )
2
2
1
R21 = w B r f 2 (1 f1 ) = Eo B r f 2 (1 f1 ) = s ph B r f 2 ( 1 f1 )
2
2
1
R12 = w B r f1 (1 f 2 ) = Eo B r f1 (1 f 2 ) = s ph B r f1 (1 f 2 )
2
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5.7.4 Optical Amplification and Attenuation in ideal SCs

Goals:
Combining the transition pair density r and the Fermi-functions f for the occupation probability of the energy-levels we can in
principle calculate all transition rates R (at least numerically) and their frequency dependence, determined mainly by
r() and f(EF,):
Emissions-/Absorption rates R21,net(), R21(), R12() und R21,spont() vers. resp , E21 (rates per unit volume at the optical
energy 21 or wavelength 21) as a function of
1) the Quasi-Fermi-Levels EFQc and EFQv or
2) the carrier densities n and p (to combine with the carrier rate equation !) because n=n(EFQc) and p=p(EFQv)
Amplification g() versus carrier density n or finally as a function of pump current: g(,n), resp. g(,I)
Wavelength max(n) and value of the maximal optical gain gmax(n, max)
These rates will be fundamental for the design of the characteristics of diode lasers and optical amplifiers in chap.6.
5.7.4.1 Gain spectrum g(,EQF,n, EQF,p) ; g(,n=p)

Procedure:
For the computation of the frequency dependence of g(,n=p), g(,EQF,n, EQF,p) the transition rates R21,net(E=) , R12(E) ,
R21(E) , Rspont(E), R21,spont are evaluated at
a) given optical energy E=, resp. a wavelength and
b) given quasi-Fermi-level EFQ,n, EFQ,p, resp. carrier density n(EFQ,n)=p(EFQ,p) assuming carrier neutrality
EFQ,n , EFQ,p are not independent because of the charge neutrality n=p condition (pumped undoped SC) !
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5-97 K5
Relation between optical amplification g(,n) and netto-rate of stimulated emission R21,netto(,n):
From R21,netto(,n) we obtain immediately the important spectral gain function g(,n) often used in device design.
Assuming given quasi-Fermi-energies EFQc, EFQv (with the restriction n=p) and using the fundamental relation between the gain
g(, EFQc, EFQv ) and R21,netto
1 s ph 1 s ph 1 1
g ( ) = = = R21,net = ( R21 R12 ) = g ( )
s ph x vgr s ph t vgr s ph vgr s ph
g ( ,EFQc ,EFQv ) =
s ph hv
vgr s ph
(B (E r 21 ) fc ( E2 ,EFQ ,c ) (1 fv ( E1 ,EFQ ,v ) ) B r ( E21 ) fv ( E1 ,EFQ ,v ) ( 1 fc ( E2 ,EFQ ,c ) ) )=
hv
=
vgr
(
B r ( E21 ) f c ( E2 ) f v ( E1 ) )
e2
with B ( E21 ) = 2 uc x uv , r ( E21 ) , = E21 = ( E2 E1 ) and the relation between E and E2 , E1 we express g ( ) as
2
2 0

g ( ) = g max ( E21 ) fc ( E2 ) f v ( E1 ) ; g max ( E21 ) = B r ( E21 )
vgr
> ,<0
f c ( E2 ) f v ( E1 ) defines pumping condition and parabolic or bell-shaped frequency dependence of g()
For the numerical evaluation of g() the energies E1(), resp. E2(), assuming k-conservation, are determined first followed by
the computation of f(E2) and f(E1) using the charge neutrality n=p.
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5-98 K5
From the functional dependence of g(,n) some basic conclusions about the gain-spectrum can be drawn:
Condition for amplification in SC (Bernard-Duraffourgh condition)
a) SC in thermal equilibrium (no population inversion)

In thermal equilibrium in undoped SC the Fermi level is approx. in the middle of the bandgap: E FQ ,c = E FQ ,v = E F ( Ec + Ev ) / 2
therefore fc(E2) < fv(E1) (few electrons in the C-band)
As a result g is negative and the SC is for all frequencies absorbing (attenuating), so stimulated absorption is the
dominating rate.
g ( ) = g max ( ) f c ( E2 ) f v ( E1 ) g max ( ) f v ( E1 )
e 2 2 2
with g max ( ) . u*c x uv r ( E21 ) remark: here r is the density per energy interval !
2 vgr
for E g / ( Absorption at the Bandedge )
In general we can estimate g() by considering:

[
for the term [ f c (E c ,2 ) f v (E v ,1 )] we have the following inequality: 1 < f c (E c ,2 ) f v (E v ,1 ) < 1 ]
the dependence of gmax() is dominated by r ( E ) c ( E ) = 4 ( 2meff ,c / h 2 )
3/ 2
E Eg ,
if c<< v as is the case for many III-V-SC
then g max ( ) ( E21 Eg ) / max. absorption for parabolic bands
(assuming that the matrix element is only weakly dependent on the transition energy E21)
Optical amplification is only possible if fc(E2) >fv(E1), that means [fc(E2) -fv(E1)] >1
POPULATION-INVERSION
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5-99 K5
b) Properties of the spectral dependence of optical gain g() and absorption ():
For simplicity we assume T=0.
1) Intrinsic SC at T=0 and in thermal equilibrium: n=ni, p=ni (no gain-situation)

EFQ ,c = EFQ ,v = EF Ei
g ( ) = g max ( ) f c ( E2 ) f v ( E1 ) = g max ( ) [0 1] = g max ( ) < 0 (~ E Eg )
fC(E2)-fV(E1)
E +1
-1
g(E)
g() gmax()
EF
transparency
Verstrkung
gain
f(E) E
Eg =(E-Eg)/ h
Absorption
the semiconductor absorbs at all frequencies > Eg transparency loss
Absoption becomes stronger for shorter wavelengths.
Above the bandgap wavelength the material becomes transparent.
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5-100 K5
2) Intrinsic SC at T=0 and in thermal non-equilibrium (Inversion) n>ni , p>ni but n=p (quasi-neutrality)
Assumption : EFQ ,c > EC , EFQ ,v < EV EFQ ,c EFQ ,v > E g ( degenerated SC )
transparency
g ( ) = g max ( ) f c ( E2 ) f v ( E1 )
g ( ) = gmax ( ) [ +1] = gmax ( ) for E g < E21 < E FQ ,c E FQ ,v range of amplification

g ( ) = g max ( ) [ 1] = g max ( ) for E21 > EFQ ,c EFQ ,v range of absorption
fC(E2)-fV(E1)
E +1
Eg
EFQ,c -1
EFQ,c (EFQ,c-EFQ,c)
E2 g(E)
g()
EC fc(E)
transparency Verstrkung
gain
EV E
E1 Eg =(E-Eg)/ h
EFQ,v EFQ,v Absorption
fv(E)
Quasi-Neutrality: n=p transparent I gain I losses/absorption
the SC amplifies in the frequency range Eg < < EFQ,c EFQ,v

In the frequency range > EFQ ,c EFQ ,v the SC is absorbing.
Condition for amplification in SC by Bernard-Duraffourgh

the condition Eg < < EFQ,c EFQ,v is called the amplification-condition of Bernard-Duraffourgh.
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5-101 K5
3) Intrinsic SC at T>0 and thermal non-equilibrium (population inversion):

For T0 the expression for g(,n) is smeared out due to the continuous distribution of the Fermi-function at EQF.
The following figure gives a qualitative picture of the role of the factor [ f c (E 2 ) f v (E1 )] in the expression for
g ( ) = g max ( )[ f c (E 2 ) f v (E1 )] .
Thermal broadening of g(): graphical construction of the spectral dependence of the gain g()
Band-filling and thermal broadening:
The spectral width of g(,n) is

determined by:
Filling of the bands by the carrier

density n
Temperature dependence of the Fermi-
function
Gain
g() The higher the carrier density n or the
Transparency higher the temperature T
- the broader the positive gain-spectrum
Absorption
- the smaller the peak gain
E ~kT
transparent I gain I losses/absorption

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5-102 K5
If the quasi-Fermi-levels are assumed to be known under the constraint of charge neutrality n=p, then the electron density n in
the conduction band can be determined and we will calculate the gain g(,n) vers. carrier density n.
This dependence is essential for device design and combining g with the rate-equations.
Numerical example of gain spectra g(,n) for GaAs and InGaAs at different carrier densities n=p:
n gain n gain

To achieve substantial gain in SC the
transparency carrier density ntr
must be in the range of 3-4 1018 cm-3
loss
loss
Parameter: carrier density (electron density /1018cm3) gain is narrowband: ~0.1
Remark on densities of states and quasi-Fermi-levels:

For the self-consistent calculation of g(,n) we have to eliminate the quasi-Fermi-levels EFQc(n), EFQv(p).
As EFQc, EFQv determine n and p and together with the boundary condition of quasi-neutrality in the SC n=p, the elimination
can be carried out numerically as no analytical inverse Fermi-function F1/12 exists .
EC ,Top
n= n ( E ) f n ( E ) dE = N C ,eff F1 / 2 ( ( EFQn EC ) / kT )
x1 / 2
EC
F1/2 are Fermi-integrals F1 / 2 ( x , xF ) = x xF
dx
0 1+ e
EV ,Bottom
p= p ( E ) f p ( E ) dE = NV ,eff F1 / 2 ( ( EV EFQv ) / kT )
Ev
n(EQF,C)=NC,eff F1/2([EQF,C-EC]/kT) and with the inverse function [EQF,C-EC]/kT= F1/2-1(n/ NC,eff)
p(EQF,V)= NV,eff F1/2([EV-EQF,V]/kT) and with the inverse function [EQF,V+EV]/kT= F1/2-1(p/ NV,eff)
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5-103 K5
5.7.4.2 Spontaneous Emission versus carrier density n and wavelength

a) incremental spontaneous emissions rate R21,spont into all modes
In the analysis of the thermal equilibrium with the blackbody radiation, we considered the radiation equilibrium with all
modes of the blackbody-radiation.
so the Einstein-coefficient A for discrete energy states describes the spontaneous emission rate into a all modes.
The incremental spontaneous emission rate R21,spont() for a the frequency , resp. energy E = can be calculated from
3
A( ) = B 2 2 Einstein-Relation.
c0
the spontaneous emission rate results from downward-transitions and has to be weighted by the level-occupancy (Fermi-
functions fC and fv:
3
(
R21,spont ( ) = A r ( ) . fc ( Ec,2 ) 1 fv ( Ev,1 ) ) ( )
E = B 2 2 r ( ) . fc ( Ec,2 ) 1 fv ( Ev,1 ) E
Spontaneous Emission in E
c0
b) Total spontaneous emission rate Rspont into all possible spatial and frequency modes:
The total spontaneous emission is generated isotropic in all directions by all transition pairs distributed over the whole
energy range E=spont. For the total spontaneous emission rate Rspont we have to integrate over all filled states in the
bands resp. to the carrier density n under assumption f charge neutrality n=p.
The total spontaneous emission rate Rspont enters the carrier rate-equation for n and p.
Rspont is emitted into all modes keeping in mind that Rspont >> R21,spont ,mode.

1
(
Rspont = A ( ) r ( ) . fc ( Ec,2 ) 1 fv ( Ev,1 ) d) =

R 21,spont,mode
0 DEFINITION of
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5-104 K5
For lasers also need the fraction , of spontaneous emission into a single mode R21,spont, mode:
Definition of the spontaneous emissions factor = :

mode = mode density of free space
= 1/ mode ( )Vspont d 1/ (Vspont mode ( ) spont )
spont
If A and B are approximately frequency independent, we can use for simplicity the following
life-time approximation for Rspont:

( )
Rspont = A r ( ) f c ( Ec ,2 ) 1 f v ( Ev,1 ) d n / spont Numerical Simulation of Gain- and
0 Definition of spont spontaneous emission-spectra for GaAs:
at high carriere densities spont is not really constant but depends also on n

spont = n / A r ( ) f c ( Ec ,2 ) ( 1 f v ( Ev,1 ) ) 1 / n ( not constant ! )
0

Rspont = n / spont BBM n 2 ( Bimolecular Recombination )
spont
Numerical calculation of Rspont(n) confirms a square-law dependence stim

~n2 ( n3) of the carrier density n (Bimolecular Recombination).
the spectral width spont of the spontaneous emission R21,spont() is in general larger than the width stim of stimulated
emission Rstim()
for mathematical simplicity spontaneous emission rates are often approximated by a constant carrier lifetime spont,tot.
______________________________________________________________________________________________________________________________
5-105 K5
5.7.4.3 Numerical simulations of optical gain-spectra g(,n):

The numerical simulation of g(,n) using the appropriate material parameters gives for the practically important SC like
InP (=1.3m und 1.5m) und GaAs (=0.85m) demonstrated the following generic properties:
Amplification and absorption spectrum g(,n) for GaAs: (Simulation)

With increasing carrier density n the bands are filled with carriers to higher energy levels resulting in
1) Increase of maximum gain
2) decrease of the wavelength of the maximum gain
3) increase of the width of the gain-spectrum
Gain-Spectrum vers. carrier density n Maximum Gain gmax vers. carrier density n:
gmax(n)
Band filling max-shift
Parabolic spectral approximation of g(,n): Transparency density ntr
1
g ( ,n ) g max ( n ) ,
1 + ( ( max ( n ) ) / ( n ) )
2
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5-106 K5
Linear Gain dependence for bulk semiconductors:
Simulation show that the maximum gain gmax is approximately linear dependent on the carrier density n > ntr.
gmax(max ,n) a (n ntr ) Linear approximation of max. gain in function of n
Definition: ntr = Transparency-carrier density ( g max ( max ,ntr ) 0 ) and a = differential gain a ( n ) = g max / n
at n=0 the material is absorbing with f1~1 and f2 ~0 , g(0)~ -gmax()

at n=ntr (transparency density) the material is transparent , g(ntr)=0 g(max,n)
at n>ntr the material is amplifying with f1~0 and f2 ~1 , g(n)~ +gmax()
Nonlinear gain-carrier density relation for Quantum Wells

(QW) in SCs:
gmax(n) relations show in general the nonlinear behavior (logarithmic for QWs) ntr n
of the figure below and a parabolic frequency dependence:
gmax (max ,n) g0 ln( n/ ntr )
g
Parabolic approximation of the spectral dependence of g(,n): gmax
max 2 max 2
g ( ,n ) = g max ( max ,n ) / 1 +

( )
= a n ntr / 1 +

Valid approximation because often only the gain close to the maximum is relevant ! max
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5-107 K5
Temperature dependence of the optical gain g(,n,T) in SC:
Thermal gain broadening and gain reduction
Because of the temperature T dependence of the Fermi-functions and subsequent broadening of the carrier distribution:
the spectral width of g(,n) increases with increasing temperature

the maximum gain gmax(max,n) decreases with increasing temperature (RT-operation of diode lasers was a challenge)
T=297K T=77K
Bild Temp-abhngigkeit
The broadening and reduction of the optical gain with temperature has a very detrimental effect on devices such as diode
lasers and amplifiers. It is also responsible for the high temperature sensitivity of these devices.
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5-108 K5
5.7.4.4 Rate equation for electrons and photons, electrical pumping

Concept of carrier rate equations in SCs:
Rate equations are continuity equations for particle (electrons, n , holes, p , and photons sph) currents flowing in and out
of a particle reservoir (energy bands: energy states / volume, optical resonator for photons) per unit volume.
Because each optical transition results in the generation or annihilation of a electron-hole pair in the conduction- and
valence band, we formulate the continuity or rate equation for the carrier densities n and p.
We postulate that there is an external pump mechanism (eg. carrier injection in pn-junctions) available, which pumps
electrons from the valence band up to the conduction band with a rate Rpump:
Rpump = n pump / t .
The continuity equation for n and p becomes for charge neutrality n=p:

n = + Rpump g ( ,n ) vgr s ph Rspont ( n ) = p Carrier (electron)-Rate equation (assuming Vactive=Vmode)
t t
Rspont = Rate of the total spont. emission in all modes in Volspont ; R21,spont,mode = Rate of spont. emission in a single lasing mode
( )
The stimulated emission R21,net can be related to the gain g(w,n): R21,net ,n,s ph = g ( ,n ) vgr s ph
Photon-Rate-Equation:
Because each optical transition creates (stimulated or spontaneous emission) or destroys (absorption) one photon in the
optical field (mode) we formulate the continuity equation for the photon density sph:
s ph = + R21,net + R21,spont,mode = + g ( ,n ) vgr s ph + Rspont Photon-Rate Equation for 1 optical mode

t
= is the spontaneous emission factor (<<1)
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5-109 K5
Conclusions SC:
At low electron densities n< ntr the SC is absorbing for all frequencies with > E g . This means that the
simulated absorption is dominating for g(,n)<0
At the carrier density ntr (transparency density) g(,ntr)=0 for a particular frequency . Stimulated emission almost
equals absorption therefore the SC is transparent at .
At carrier densities n>ntr there is optical gain g(,n)>0 over a limited optical frequency range ~ ( EQF ,n EQF ,n ) > > E g ,
The optical bandwidth increases with increasing n. The stimulated emission dominates.
The frequency max , where g() reaches a maximum gmax(max,n), increases with increasing n (filling the
conduction- and valence band from the bottom)
For bulk-SC gmax(max,n) increases approximately linear with (n-ntr), for Quantum-Wells ~ln(n-ntr)
______________________________________________________________________________________________________________________________
5-110 K5
Conclusions:
For the description of the interaction of the optical field with the quantized medium near resonance (amplification)
needs an quantum-mechanical treatment
The influence of the material properties on the dynamic of the dipole is described quantum-mechanically by the
dipole-matrix-element
Population inversion creates a non-classical net dipole with an out-of-phase component in anti-phase to the
exciting field and which delivers energy to the field
Populations-Inversion in quantized media allow a) optical amplification and b) generation of coherent

optical wave
The energy conservation in the interaction of optical field carrier population can be described by rate
equations for charge carriers and photons.
The polarization and the e-h-pair generation can be described by the susceptibility and the transition
probability r, resp. by the quantum-mechanical transition rate R of the carriers
QM shows that the electron-on-springs-model is an adequate description for loss-less media
Without the quantization of the optical field (photons) the spontaneous emission can not be calculated from
first principles it remains just a thermodynamic necessity for equilibrium
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5-111 K5
5.8 Population inversion by electrical pumping of pn-diodes
(optional, see Coldren)
To satisfy the condition of Bernard-Duraffourgh in SC a carrier pump mechanism is required for achieving population
inversion between electrons and holes n> ntr.
A simple, fast and efficient realization of electrical pumping is carrier injection through the depletion layer of
a forward biased pn-diode or into the I-layer of a PIN-diode.
A key benefit electrical current pumping of a pn-diode is current modulation of the light generation up to high frequencies and
with high efficiency.
5.8.1 Carrier injection and population inversion in homojunction pn-diodes

Considering a strongly forward biased GaAs-pn-diode with VD Eg/e:
electrons from the n-area (majority carriers in n+) are injected as minority carriers through the depletion layer into the p-area
in the p-area the injected electrons diffuse for a distance of a diffusion length LD,n (~2-3m) before they have mostly
recombined by spontaneous emission and reach the electron equilibrium value no,p of the p-area.
Within a diffusion length LD in the p-area adjacent to the depletion layer we have np(x)>>no,p,. There is a local carrier non-
equilibrium (np>>ni2).
Because the electrons in the conduction band and the holes in the valence band are not in equilibrium, the distribution of
electrons and holes is described by 2 separate Quasi-Fermi-distributions characterized by 2 different Quasi-Fermi-levels
EFQ,n and EFQ,p.
with: EFQ,n EFQ ,p eVD

Same arguments hold for hole-injection from the p-area into the n-region.
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5-112 K5
The external diode voltage VD separates the quasi-Fermi-levels in the depletion-layer
Carrier injection in forward biased pn-diodes:
Equilibrium VD=0 EF=EFQn=EFQv
Region of gain
p Sperrschicht n
EQF,n
EFn
EFp EQF,p High injection VD~Eg/e (forward polarized) EFQn-EFQv~eVD
eUD
Area of non-equilibrium carrier injection
e-Injektion h-Injektion
Ln Lp
Considering the inversion condition by Bernard-Duraffourg, VD must fulfill:
eVD EQF ,n EQF ,p > E2 E1 = E21 = > E g
Under this condition the material on both sides of the depletion layer is inverted within about one diffusion length L
and can be optically amplifying g>0 resp. (n>ntr).
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As long as there is no strong light field, which is amplified by stimulated emission, the injected minority carriers recombine
only by spontaneous emission with a carrier-lifetime spont (approximation):
n n
= Rspont
t spont
it is obvious that for a given diode current I the diffusion length L must be a minimum in order to achieve a minority carrier
density n (or p) or an optical gain g(n,p) as heigh as possible.
For simple homojunction-pn-diodes the diffusion length LD is as a material parameter in the order of a few m leading to very
high current densities for population inversion (~ several 10kA/cm2), resp. for achieving a certain optical gain g(n).
Quasi-Neutrality Condition in SCs:

We will saw that in the electrical pumping of SCs by carrier injection in pn-diodes:
The application of a forward diode voltage determines the separation of the quasi-Fermi-levels EQF,n and EQF,p
eVD= (EQF,c - EQF,v)
VD also causes a very strong carrier-injection and current flow through the diode
It is assumed that at the high carrier injection levels, the minority carrier density is comparable to the majority carrier density.
The carrier density is so high, so that there can be 1) no internal E-field or as an equivalent statement 2) the active area must
be electrically neutral requiring:
Quasi-Neutrality Condition for undoped SC:

n= p
With the help of this equation it is possible to determine the positions of the quasi-Fermi-levels for a given VD.
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5-114 K5
5.8.2 Materials properties of direct Semiconductors (optional)
The crystal structure and composition of compound SC determines the bandstructure and thus the optical and electronic
properties. Thus the composition of binary, ternary, quaternary crystals is used to control:
1) Bandgap Eg Emission-wavelength g (direct Q indirect SC)
2) Bandgap Eg , Electron Affinity Heterostructure-barriers, EC, EV
3) Refractive index n Waveguides
AlxGa1-xAs-compound crystal: Bandgap Eg vers. lattice constant a for ternary compound crystals:
(group III-element: Ga, Al group V-element: As)
o binary
---- ternary
In ternary AlGaAs-crystal
a fraction of Ga-atom is
replaced by Al-atoms.
Refractive index n of AlxGa1-xAs vers. Al-concentration:

The Al-concentration x is used to control the refractive index of AlxGa1-xAs.
Because the lattice constant of AlxGa1-xAs does not change with composition x the layers are
automatically
crystallographically lattice matched
InGaAs and InGaAsP are only for a precise composition lattice-matched to InP-substrates
(difficult growth) !
______________________________________________________________________________________________________________________________

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5-1 K5

5 Optical Processes in Semiconductors: 22/03/2010

Optisch induzierte Polarisation

Polarized Atomic Dipole in Optical Field

Blue Silicon Carbide Light Emitting Diode LED

Representation of band-to-band transitions in Semiconductors

Goals of the chapter:

Methods for the Solution:

5 Optical Processes in Semiconductors:

Separation of transparent and absorbing spectral regions of SC

Step 1: Einstein-Theory of optical transitions

Step 2: Quantum mechanical model of optical transitions

time-independent Schrdinger equation (SE):

V(x) is the potential of the atomic electric force field

Generic stationary Solution:

Interpretation of the Ci:

B) Time dependence Eigenstate occupation

The interaction changes of the occupation probabilities

Assumed dynamic solution ( x,t ) :

( x,t ) = C1 ( t ) 1 ( x,t ) + C2 ( t ) 2 ( x,t ) = C1 ( t ) u1 ( x ) e j1t + C2 ( t ) u2 ( x ) e j2t

C1(t), C2(t) are now time-functions

5.1 Quantum mechanical model of the dipole-oscillator

The classical, mechanical Lorentz-model is based on:

The model does not describe:

Extension to the semi-classical quantum mechanical-model:

Quantum mechanical 2-Level-System -eV(x) Energy E

with the time-space-dependent Eigenfunctions ( x,t ) = u ( x ) e jt = u ( x ) e jE / = t ,

Eigenfunction are a complete orthonormal set i ( = orthogonal and normalized ) :

Non-stationary states with a perturbing optical field: Time dependent Schrdinger-Equation

the coefficients Ci(t) become time functions

Schematic representation of basic interactions of a 2-level system and an optical field:

Photon Absorption Spontaneous Photon-Emission Stimulated Photon-Emission

(Electron-Hole-Pair Generation) (Electron-Hole-Pair Annihilation)

EM-Radiation field changes occupation probabilities by level-transitions

1) Einstein Theory: (A. Einstein, 1905 without QM)

Definition: Transition-Pair (E2, E1) = initial and final state:

Details see p.5-16.

2) Quantum Mechanics: (after ~1930)

The time-dependent EM-forces induce a microscopic dipole extracting (attenuation) or transferring

first we consider the classical Einstein-Theory:

5.1.3 Einstein-Theory of the optical transition in 2-level systems

Concept: Phenomenological theory of A. Einstein (1905).

a) Definition : Transition Probability rij (i j)

b) Transition Rates Rij (ij)

we get for the 2-level system E2 and E1 with

rij = = i= initial state, j= final state

and obtain for the transition rate of Ni identical pairs

Rij = N i = Ni Ni=density of transition pairs ij, resp. atoms

2) Spontaneous emission Postulate:

3) Stimulated emission Postulate:

The two photons are indistinguishable.

Stimulated emission results in a coherent amplification of the EM-field.

5.1.3.1 Transition rates Rij between discrete energy levels in atoms

Definition: spectral energy density W() (SED)

N states at E2 occupied with a density n2

A. Einstein proposed in 1905 based on plausible arguments the following

r21=B21W(21) stimulated Emission 2 1

W ( E ji ) =W ( ji ) and B(E) = B()

2) the transition rate Rij (ij) for atomic 2-level systems:

4) net stimulated Rate R21,netto 2 1:

Condition for optical amplification and population inversion:

5.1.3.2 Concept of thermodynamic equilibrium, optical pumping and population inversion

by insertion of the expressions for the rates R gives: