Photons in

Semiconductors
Energy Bands &
Charge Carriers 01
Semiconductor
Material 02
TABLE OF 04 Generation,
Injection &
Electron & Hole
Concentration 03 CONTENTS Recombination

05 PN Junctions

06 Interaction of
Photons with
 Semiconductors
o A semiconductor is a solid material that has
electrical conductivity in between a conductor and
an insulator.

o Semiconductors can be used as optical detectors,

sources (light-emitting diodes and lasers),
amplifiers, waveguides, modulators, sensors, and
nonlinear optical elements.
01
Energy Bands & Charge
Carriers
The solution of the Schrödinger equation for the electron energy in the
periodic potential created by the atoms in a crystal lattice, results in a
splitting of the atomic energy levels and the formation of energy
bands.

E2’ Conduction band

E21

E1’ Valence band

ATOM
SOLID
Each band contains a large number of finely separated discrete energy
levels that can be approximated as a continuum.
The valence and conduction bands are separated by a “forbidden”
energy gap of width Eg bandgap energy

Unfilled Conduction band

bands

Bandgap
E
Filled
Valence band
bands
Materials with a large energy gap (>3eV) are insulators, those for
which the gap is small or nonexistent are conductors,
semiconductors have gaps roughly in the range 0.1 to 3 eV
 ev ev
Si GaAs
Conduction band Conduction band
5 5
E E
g g
1.1ev 1.42ev
0 0

y
Energ
y
Energ

Valence band Valence band

-5 -5

-10 -10

-15 -15
(a) (b)

Figure 15.1-1 Energy bands: (a) in Si, and (b) in GaAs

• In the absence of thermal excitations, the valence band is
completely filled and the conduction band is completely empty.
Thus, the material cannot conduct electricity.

• As the temperature increases, some electrons will be thermally

exited into the empty conduction band, result in the creation of a
free electron in the conduction band and a free hole in the
valence band.
 Conduction band

Electron energy E

Electron Hole Bandgap energy Eg

Valence band

Figure 15.1-2 Electrons in the conduction

band and holes in the valence band at T>0.
 Energy Momentum

p is the magnitude of the momentum

p
k

k is the magnitude of the wavevector
associated with the electron’s wavefunction
m0 is the electron mass
 E
The energy of an
electron in the

Eg=1.1ev Si conduction band

K
depends not only on
the magnitude of its
[111] [100]
E
momentum, but also
on the direction in
which it is traveling in
Eg=1.42ev GaAs the crystal
K

[111] [100]

Figure 15.1-3 Cross section of the E-K function for Si and GaAs
along the crystal directions [111] and [100].
Effective mass

Near the bottom of the conduction band, the E-k relation may be
approximated by the parabola

2k 2 2k 2
E  Ec  E  Ev 
2mc 2mv

Ec,Ev: the energy at the bottom of the conduction band and at the
top of the valence band
mc,mv: effective mass of the electron in the conduction band and
the hole in the valence band

The effective mass depends on the crystal orientation and the

particular band under consideration
 E

Direct- and indirect-gap Eg=1.1ev

K
Si

semiconductors

[111] [100]
E

The direct-gap
semiconductors such as
Eg=1.42ev
GaAs are efficient photon K
GaAs

emitters, while the indirect-

gap counterparts are not.
[111] [100]

Figure 15.1-4 Approximating the E-K diagram at the bottom of the conduction band and
at the top of the valence band of Si and GaAs by parabols.
 2
Semiconductor Material
Semiconducting materials

Si: widely used for making photon detectors but not useful
for fabricating photon emitters due to its indirect
bandgap.

GaAs, InP GaN etc.: used for making photon detectors

and sources.

Ternary and quaternary semiconductors: AlxGa1-xAs,

InxGa1-xAsyP1-y etc.
tunable bandgap energy with variation of x and y.
Semiconducting materials

AlxGa1-xAs is lattice matched

to GaAs, means it can be grown
on the GaAs without introducing
strains.

Solid and dashed curves

represent direct-gap and
indirect-gap compositions
respectively.

We can see that a material may

have direct bandgap for one
mixing ratio x and an indirect
bandgap for a different x.
Doped semiconductors

Dopants: alter the concentration of mobile charge carriers

by many orders of magnitude.

n-type: predominance of mobile electrons

n  p
p-type: predominance of holes

p  n
3
Electron and Hole Concentration
Density of states
The density of states describes the number of states at each
energy level that are available to be occupied.

Density of states near band edges

(2mv )3/ 2
v ( E )  ( E  E )1/ 2
, E  Ec
2 
2 3 v
E E

E Rc(E)

Ec Ec
Ec

Eg

Ef Ef Ef
Rv(E)

K
Density of states
(a) (b) (c)
Figure 15.1-7 (a) Cross section of the E-K diagram (e.g., in the direction of the K1 component with K2
and K3 fixed). (b) Allowed energy levels (at all K). (c) Density of states near the edges of the
conduction and valence bands. Pc(E)dE is the number of quantum states of energy between E and
E+dE, per unit volume, in the conduction band. P(E) has an analogous interpretation for the valence
 Probability of occupancy

Under the condition of thermal equilibrium, the probability that a

given state of energy E is occupied by an electron is determined by
the Fermi function.

1
f (E) 
exp[( E  E f ) / k BT ]  1

Ef: Fermi level, the energy level for which the probability of occupancy is 1/2.

f(E) is not itself a probability distribution, and it does not integrate to unity;
rather it is a sequence of occupation probabilities of successive energy levels.
 E E
T>0K T=0K
f(E)

Ec Ec Ec

Ef Eg Ef Ef

Ev Ev Ev
1-f(E)

0 0.5 1 f(E) 0 0.5 1 f(E)

Figure 15.1-8 The Fermi function f(E) is the probability that an energy level E is filled with an
electron; 1-f(E) is the probability that it is empty. In the valence band, 1-f(E) is the probability
that energy level E is occupied by a hole. At T=0K, f(E)=1 for E<Ef, and f(E)=0 for E>Ef, i.e.,
there are no elctrons in the conduction band and no holes in the valence band.
The Fermi E E
level is above
the middle of
the bandgap

Ec n(E)
E ED
Donor level Ef

Ev p(E)

0 1 f(E) Carrier
concentration
Figure 15.1-10 Energy-band diagram, Fermi function f(E), and concentrations of
mobile electrons and holes n(E) and p(E) in an n-type semiconductor.
The Fermi E E
level is
below the
middle of
the
bandgap Ec p(E)
E

Acceptor level
EA Ef
Ev n(E)

0 1 f(E) Carrier
concentration

Figure 15.1-11 Energy-band diagram, Fermi function f(E), and concentrations

of mobile electrons and holes n(E) and p(E) in an p-type semiconductor
 Exponential approximation of the Fermi function

n( E )   c ( E ) f ( E )

p ( E )  v ( E )[1  f ( E )]

When the Fermi level lies within the bandgap, but away from its edges
by an energy of at least several times , the equations above gives:

Ec  E f E f  Ev Eg
n  N c exp( ) p  N v exp( ) np  N c N v exp( )
k BT k BT k BT
 
n   n( E )dE
Ec

Ev
p   p ( E )dE


N c  2(2 mc k BT / h 2 )3/ 2

N v  2(2 mv k BT / h 2 )3/ 2
Law of mass action
Eg 2 k BT 3 Eg
np  N c N v exp( )  4( 2
) (mc mv ) exp( 
3/ 2
)
k BT h k BT
is independent of the location of the Fermi level

Thus for intrinsic semiconductor

Eg
We have ni  ( N c N v ) 1/ 2
exp(  )
k BT
Therefore the law of mass action can be written as:

np  n 2
i
4
Generation, Recombination and
Injection
Thermal equilibrium requires
that the process of generation
of electron-hole pairs must be
accompanied by a
simultaneous reverse
process of deexcitation,.

The electron-hole
recombination, ocurs when
an electron decays from the
conduction band to fill a hole
in the valence band.
Generation and recombination in thermal equilibrium
• Radiative recombination: the energy released take the form of an emitted
photon.

• Nonradiative recombination: transfer of the energy to lattice vibrations or to

another free electron.

Recombination may also occur indirectly via traps or defect centers, they can act
as a recombination center if it is capable of trapping both the electron and the hole,
thereby increasing their probability of recombining.

rate of combination= np
ε(cm3/s) a parameter that depends on the characteristics of the material
Electron-hole injection
Define G0 as the rate of recombination at a given temperature:

G0 = n0 p0
Now let additional electron-hole pairs be generated at a steady rate R

A new steady state:

G0 +R= np As n  n0  n, p  p0  p

n 1
We get: R= With 
  [(n0  p0 )  n]

τ: the electron-hole recombination lifetime

For an injection rate such that n n0  p0

1

 (n0  p0 )

In a n-type material, where n0>>p0,the recombination lifetime τ ≈ 1/εno is

inversely proportional to the electron concentration.
Similarly, for p-type material, τ ≈ 1/εp0.
This simple formulation is not applicable when traps play an important
role in the process.
Internal quantum efficiency
The internal quantum efficiency ηi is defined as the ratio of the radiative
electron-hole recombination rate to the total recombination.

It determines the efficiency of light generation in a semiconductor

material.

r r   nr
i    
  r   nr  r  r   nr
1
For low to moderate injection rates, r 
 r (n0  p0 )
Internal quantum efficiency
εr τr τnr τz ηi
(cm3/s)
Si 10-15 10ms 100ns 100ns 10-5
GaAs 10-30 100ns 100ns 50ns 0.5
The radiative lifetime for Si is orders of magnitude larger than its overall
lifetime, mainly due to its indirect bandgap, result in a small internal
quantum efficiency

On the other hand, direct bandgap material as GaAs, the decay is largely
via radiative transitions, consequently larger internal quantum efficiency,
useful for fabricating light-emitting devices.
5
PN Junctions
Homojunctions: junctions between differently doped
regions of a semiconductor material

The p-n junction

Heterojunctions: junctions between different
semiconductor materials
 P-type n-type

Electron energy

Ef
Ef
concentration

P n
Carrier

n P

position
Figure 15.1-15 Energy levels and carrier concentrations of a p-type and n-type semiconductor before contact.
Figure 15.1-16 A p-n junction in thermal
equilibrium at T>0K. The depletion-
layer, energy-band diagram, and
concentrations (on a logarithmic scale)
of mobile electrons n(x) and holes p(x)
are shown as functions of position x.
The built-in potential difference V0
corresponds to an energy eV0, where e
is the magnitude of the electron charge.
1. The depletion layer contains only the fixed charges, the
thickness of the depletion layer in each region is inversely
proportional to the concentration of dopants in the region.

2. The fixed charges created a built-in field obstructs the diffusion

of further mobile carriers.

3. A net built-in potential difference V0 is established.

4. In thermal equilibrium there is only a single Fermi function for

the entire structure so that the Fermi levels in the p- and n-
regions must align.

5. No net current flows across the junction.

Energy-band and carrier
concentrations in a
forward-biased p-n
junction.
The biased junction
Forward biased
A misalignment of the Fermi levels in the p- and n-regions
Net current i=isexp(eV/kBT)-is

Reverse biased
Net current ≈-is as V is negative in exp(eV/kBT) and |V|>>kBT/e

eV
i  is [exp( )  1]
k BT

Acts as a diode with a current-voltage characteristic

The p-i-n junction diode

Made by inserting a layer of intrinsic (or lightly doped)

semiconductor material between the p- and n-type region.

The depletion layer penetrates deeply into the i-region.

Large depletion layer: small junction capacitance thus fast

response

Favored over p-n diodes as photodiodes with better

photodetection efficiency
 The p-i-n junction diode

A p-i-n diode has the depletion layer penetrates deeply into the i-region
Heterojunctions

Junctions between different semiconductor materials are called

heterojunctions.

P P n
energy
Electron

Eg1 Eg2 Eg3

They can provide substantial improvement in the performance of

electronic and optoelectronic devices
Junctions between materials of different bandgap create localized jumps in the energy-band
diagram

energy
Electron
Eg1 Eg2 Eg3

Electron energy

Ef

A potential energy discontinuity provides a barrier that can be useful in preventing selected charge
carriers from entering regions where they are undesired.

This property used in a p-n junction can reduce the proportion of current carried by minority carriers, and
thus to increase injection efficiency
Discontinuities in the energy-band diagram created by two
heterojunctions can be useful for confining charge carriers to a
desired region of space

Heterojunctions are useful for creating energy-band discontinuities

that accelerate carriers at specific locations

Semiconductors of different bandgap type can be used in the same

device to select regions of the structure where light is emitted and
where light is absorbed

Heterojunctions of materials with different refractive indices create

optical waveguides that confine and direct photons.
Quantum Wells and Super-lattices

When the Heterostructures layer thickness is comparable to, or smaller than,

the de Broglie wavelength of thermalized electrons (≈50 nm in GaAs), the
energy-momentum relation for a bulk semiconductor material no longer
applies.

A quantum well is a double heterojunction structure consisting of an ultrathin

(≤50 nm) layer of semiconductor material whose bandgap is smaller than that
of the surrounding material.

The sandwich forms conduction- and valence band rectangular potential wells
within which electrons in the conduction-band well and holes in the valence-
band well are confined.
(a) Geometry of the quantum-well structure. (b) Energy-level diagram for electrons
and holes in a quantum well. (c) Cross section of the E-k relation in the direction of k 2
or k3. The energy subbands are labeled by their quantum number q 1 = 1,2,... The E-k
relation for bulk semiconductor is indicated by the dashed curves.
The energy levels Eq in one-dimensional infinite rectangular well are
determined by Schrodinger equation:

The energy-momentum relation:

2k 2
E  Ec  Eq1  , q1  1, 2,3,...,
2mc
where k is the magnitude of a two-dimensional k = (k2, k3) vector in the y-z plane

For the quantum well, k1 takes on well-separated discrete values. As a result, the
density of states associated with a quantum-well structure differs from that
associated with bulk material.
In a quantum-well structure the density of states is obtained from the
magnitude of the two-dimensional wavevector (k2, k3)

 mc
   2 d , ............E  Ec  Eq1
c ( E )   1
0, ...................E  E  E
 c q1

q1  1, 2,...,
quantum-well structure exhibits a substantial density of states at its
lowest allowed conduction-band energy level and at its highest allowed
valence-band energy level
Multiquantum Wells and Superlattices
Multiple-layered structures of different semiconductor materials that
alternate with each other are called multiquantum-well (MQW) structures

A multiquantum-well structure fabricated

from alternating layers of AlGaAs and GaAs
 Quantum Wires and Quantum Dots

The density of states in different confinement configurations: (a) bulk; (b) quantum well;
(c) quantum wire; (d) quantum dot. The conduction and valence bands split into
overlapping sub-bands that become successively narrower as the electron motion is
restricted in more dimensions.
A semiconductor material that takes the form of a thin wire of rectangular cross
section, surrounded by a material of wider bandgap, is called a quantum-wire
structure

2k 2
E  Ec  Eq1  Eq 2 
2mc
 2 (q1 / d1 ) 2  2 (q2 / d 2 )2
Eq1  , Eq 2  , q1 , q2  1, 2,...,
2mc 2mc
Density of states

 (1/ d1d 2 )(mc1/ 2 / 2 )

 , .....E  Ec  Eq1  Eq 2
 c ( E )   ( E  Ec  Eq1  Eq 2 ) 1/ 2


0, .......................................otherwise
.q1 , q2  1, 2,...,
In a quantum-dot structure, the electrons are narrowly confined in all three
directions within a box of volume d1d2d3.

E  Ec  Eq1  Eq 2  Eq 3
 2 (q1 / d1 )2
Eq1  ,
2mc
 2 (q2 / d 2 )2
Eq 2  ,
2mc
 2 (q3 / d3 )2
Eq 3 
2mc
q1 , q2 , q3  1, 2,...,
Quantum dots are often called artificial atoms.
6
Interaction of Photons
with Electron and Holes
Mechanisms leading to absorption and emission
of photons in a semiconductor:

1. Band-to-Band (Inter-band) Transitions.

2. Impurity-to-Band Transitions.
3. Free-Carrier (Intraband) Transitions
4. Phonon Transitions
5. Excitonic Transitions.
Examples of absorption and emission of photons in a semiconductor. (a) Band-
to-band transitions in GaAs can result in the absorption or emission of photons
of wavelength  g  hc0 / Eg  0.87  m. (b) The absorption of a photon of
wavelength A  hc0 / E A  14  m results in a valence-band to acceptor-level
transition in Hg-doped Ge (Ge:Hg). (c) A free-carrier transition within the
conduction band.
Examples of absorption and emission of photons in a semiconductor. (a) Band-
to-band transitions in GaAs can result in the absorption or emission of photons
of wavelength  g  hc0 / Eg  0.87  m . (b) The absorption of a photon of
wavelength A  hc0 / E A  14  m results in a valence-band to acceptor-level
transition in Hg-doped Ge (Ge:Hg). (c) A free-carrier transition within the
conduction band.
For photon energies greater than the bandgap energy Eg,
the absorption is dominated by band-to-band transitions

Absorption edge:
The spectral region where the material changes from being
relatively transparent to strongly absorbing

Direct-gap semiconductors have a more abrupt absorption

edge than indirect-gap materials
 Photon Emission Is Unlikely in an Indirect-Gap
Semiconductor ！

Photon emission in
an indirect-gap
semiconductor

The recombination of an electron near the bottom of the conduction band with a hole near the top
of the valence band requires the exchange of energy and momentum. The energy may be carried
off by a photon, but one or more phonons are required to conserve momentum. This type of
multiparticle interaction is unlikely.
Rates of Absorption and Emission
the probability densities of a photon of energy hn being emitted
or absorbed by a semiconductor material in a direct band-to-
band transition are mainly determined by three factors:

Occupancy probabilities

Transition probabilities

Density of states
Occupancy Probabilities
Emission condition: A conduction-band state of energy E2 is
filled (with an electron) and a valence-band state of energy E 1 is
empty (i.e., filled with a hole)

Absorption condition: A conduction-band state of energy E2

is empty and a valence-band state of energy E1 is filled.

The probabilities are determined from the appropriate

Fermi functions f c ( E ) and f v ( E ) associated with the
conduction and valence bands of a semiconductor in quasi-
equilibrium
The probability f e ( ) that the emission condition is
satisfied for a photon of energy hv is:

f e ( )  f e ( E2 )[1  fv ( E1 )]

The probability f a ( ) that the absorption condition is

satisfied is :

f a ( )  [1  f c ( E2 )] f v ( E1 )
Transition Probabilities

Satisfying the emission/absorption occupancy condition

does not assure that the emission/absorption actually takes
place.
These processes are governed by the probabilistic laws of
interaction between photons and atomic systems

Transition Cross Section:

 2
 ( )  g ( )
8 r
 Probability density for the spontaneous emission:

1
Psp ( )d  g ( )d
r

Probability density for the stimulated emission:

2
Wi ( )d  v ( ) d  v g ( ) d
8 r

If the occupancy condition for absorption is satisfied, the

probability density for the absorption is also fit this formula
Overall Emission and Absorption Transition
Rates of Spontaneous Emission 、 Stimulated Emission and
Absorption ：
1
rsp ( )   ( ) fe ( )
r
2
rst ( )  v  ( ) fe ( )
8 r
2
rab ( )  v  ( ) f a ( )
8 r

the occupancy probabilities f e (v) and f a (v) is determined by the

quasi-Fermi levels Efc and Efv
Refractive Index

The ability to control the refractive index of a semi-conductor is important

in the design of many photonic devices

Semiconductor materials are dispersive and the refractive index is

dependent on the wavelength

The refractive Index is related to the absorption coefficient inasmuch as

the real and imaginary parts of the susceptibility must satisfy the Kramers-
Kronig relations. The refractive index also depends on temperature and
on doping level
Refractive Indices of Selected Semiconductor Materials at T = 300 K for Photon
Energies Near the Bandgap Energy of the Material hv  Eg