Examination

Physics of semiconductors and their nanostructures

WS 2013/14 Prof. Dr. J. J. Finley

Thursday, 20.02.2014

10:30-12:00 – 90 minutes

MW0001 – Gustav Niemann Hörsaal

Family name: ___________________ First (given) name: _______________________

Matriculation number: ______________ Row /seat number: _______________________

IMPORTANT: ANSWER A MAXIMUM OF 5 QUESTIONS (~18 mins / question)

Please indicate here with an X which questions you would like to be graded

GRADED? Points Graded by:

Question 1 (20 pts)
Question 2 (20 pts)
Question 3 (20 pts)
Question 4 (20 pts)
Question 5 (20 pts)
Quetsion 6 (20 pts)
TOTAL

Important information:

Mobile phones and other electronic devices must be switched off during the examination.

You are permitted to bring a non-programmable calculator and a single DIN-A4 sheet (written on
both sides) into the examination.

Solutions must be written clearly in a comprehensible way, all results that are written down without
explanation / derivation will be ignored.

This question booklet consists of 13 pages (excluding this one)

Please hand in your answer booklet and this question booklet at the end of the examination.

Fundamental constants:
Elementary electric charge 𝑒 = 1.6 ∙ 10!!"  C

!
Boltzmann constant 𝑘! = 1.38 ∙ 10!!"
!

!
Reduced Planck constant ℏ= = 1.05 ∙ 10!!"  Js
!!

Mass of the free electron 𝑚! = 9.11 ∙ 10!!"  kg

Question 1 – Crystal structures of semiconductors

(a) Testing fundamental knowledge

i. In which crystal structure does silicon crystallise and what is the un-
derlying lattice type called for this crystal structure? (2 points)
ii. Sketch the conventional unit cell of a silicon lattice with a lattice con-
stant 𝑎 (1-point) and write down the direct lattice vectors and mark
on your sketch. (2-points)
iii. How many atoms are there in the lattice basis? (1 point)
iv. Qualitatively explain why the atoms in the silicon lattice are tetrahe-
drally co-ordinated in space (2-points)  

The Zincblend (ZB) and Wurzite (WZ) crystal structures occur very often for com-
pound semiconductors (e.g. GaAs, InP – ZB and GaN, ZnO- WZ)

(b) Name the major difference between a ZB lattice and the crystal structure
explored in part (a) of this question for silicon (1-point)

(c) The figure above shows the conventional (dashed lines) and primitive (bold
line) unit cells of the WZ crystal lattice. Explain the fundamental difference
between the symmetry of the WZ and ZB crystal structures paying special
attention to the spatial arrangement of the bonds around each atom
(2-points)

The group-III Nitrides (like GaN,  𝐸! = 3.2 eV, 𝜖! =9.7) are polar materials and fre-
quently crystallise in the WZ crystal form. As such, a spontaneous polarization

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 twice as many phonon modes in the WZ| structure
q = 0.16 A when
B | + 0.035 | A
comparing theBerechnen
length ofSiethe
die primitive unit cellsdes
spontane Polarisation inMateria
[0001]
How can the dichte
phonon dispersion
pro Volumen ergibt.of the WZ structure
phonon dispersion of the
– Vergleichen SieZB
diesestructure?
mit dem Literaturwert von Psp =
can occur along the c-axis due to the polar nature of the atomic bonds and a 𝑐/𝑎
– Wie groß ist das daraus resultierende elektrische Feld
c) In
ratio that is non-ideal (i.e.the III-Nitrides
not the a spontaneous
same as in a perfect WZ lattice) polarization exists du
– Ab welcher Feldstärke kann es durch Verkippung der
the c-axis, theValenz-
polar incharacter of thekommen?
das Leitungsband atomic bond and
(d) Why in a polar material can the ratio 𝑐/𝑎 be non-ideal? (1-point)

The figure on the right shows a section of the GaN (WZ) crystal
lattice and the tetrahedral arrangements of 4x N-atoms around a
central Ga-atom. The bond length along the so-called c-axis (𝑅! )
and the lattice constants 𝑎 and 𝑐 are given by 𝑅! =  0.1954 nm,
 
𝑎   =  0.3189 nm and 𝑐   =  0.5185 nm, respectively.

(e) Use these values to calculate the bond length 𝑅! and the bond angles 𝛼
and 𝛽 for the GaN lattice (see figure) (2-points)
Figure 1: Structure of the Ga-N tetr
1
Consider now the tetrahedron on the above figure to be a Ga-atom in the centre
Estimate the size of the spontaneous polarization for G
and ¼ of a N-atom in each of the 4 corners. Using the Pauling electronegativity for
a simple point charge model.
the Ga and N-atoms (𝜒!" = 1.6 and 𝜒! = 3.0) the electric dipole moment of the
- The
tetrahedron can be estimated. Thebond
dipole length along
moment of the
each of thec-axis
chemicalRbonds
1 and the latti
between two atoms is given Rby1𝑝  == 1.954
  ∆𝑞   ·  𝑒   Å,
·  𝑑  ,awhere
= 3.189
𝑒 is theÅelementary
and c =charge
5.185 Å. Use
length
and 𝑑 the bond length. Here, 𝛥𝑞 is aR 2 and for
measure the“charge
bonddisplacement”,
angles ↵ and i.e. the for the Ga
polar nature of the bond and in a parameterized form is given by the expression
- Consider now the tetrahedron with a Ga-atom in t
!
𝛥𝑞/𝑒 = 0.16 𝜒!" – 𝜒! + 0.035
of𝜒!"
the – 𝜒!4 corners. Using the electronegativity
   
moment of the tetrahedron can be estimated ( G
(f) How many dipoles exist per conventional unit cell of the WZ lattice and
moment of a chemical bond between two atoms is
what is the volume of the conventional unit cell? (2-points)
(g) Calculate the spontaneous polarization 𝑃𝑠𝑝 (= dipole moment / volume)
p =of q · e · d,
2
the GaN crystal and compare it with the literature value 𝑃𝑠𝑝 =  0.029 C/m
 
where e denotes the elementary charge and d the
(3-points)
charge displacement given by
(h) What is the electric field strength in the crystal that results from this polari-
zation?
q = 0.16 | Ga
(1-point) N| + 0.035

Calculate the spontaneous polarization Psp of the

literature value Psp = 0.029 C/m2 .

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Question 2 – Electronic bandstructure of semiconductors

(a) Testing fundamental knowledge

i. Make two sketches that show the electronic band structure of un-
doped silicon and GaAs in k-space labelling the most important fea-
tures of the conduction and valence band structure and the high
symmetry points of the Brillouin Zone. (3-points)
ii. Add quantitative detail to your sketches from part (i) by;
• Labelling the fundamental energy gaps and specifying their
typical sizes in eV. (1-point)
• Giving typical numbers for effective masses in the conduc-
tion and valence bands. (2-points)
iii. Explain qualitatively why three valence bands exist in most semicon-
ductor materials and account for their relative energetic ordering in
both silicon and GaAs. (2-points)

(b) Electronic structure in quantum confined nanostructures: By replacing Ga-

atoms in a GaAs crystal with Al-atoms can create the ternary random alloy
AlxGa(1-x)As. AlxGa(1-x)As has a different bandstructure compared with GaAs
i. Why is the material combination GaAs-AlGaAs frequently used to
realize quantum-confined nanostructures? (1-point)

ii. Make a sketch of the relative energies of the CB minima at the X, Γ

and L points in the Brillouin zone in an AlxGa(1-x)As crystal as a func-
tion of the Al-content (x) in the crystal. (3-points)

iii. Add to your sketch the relative energy of the VB maximum as a func-
tion of (𝑥) and explain qualitatively why the energy gaps vary in the
way they do as a function of Al-content. (2-points)

Techniques such as molecular beam epitaxy (MBE) can be used to create a 2D

“quantum well” (QW) heterostructure consisting of a 10nm thick layer of GaAs em-
bedded in an AlGaAs matrix.

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 iv. Sketch the spatial dependence of the CB and VB edges in such a
QW system and explain why GaAs-AlGaAs are frequently used.
(2-points)

v. Quantum confinement effects modify the electronic structure and the

density of states in such a 2D heterostructure. Sketch the 2D dis-
persion relations (𝐸(𝑘)) of the resulting 2D-electron subbands that
appear in the conduction band and explain why the confinement en-
ergy 𝛥𝐸! ∝ (1/𝑤 ! ), where 𝑤 is the width of the quantum well.
(2-points)

vi. Sketch the density of the of states for the electronic structure of such
a GaAs quantum well and calculate the Fermi energy when the car-
rier density introduced by doping is 𝑛 = 2×10!! cm-2 (𝑚!∗ = 0.068𝑚!
for GaAs) (2-points)

  4  
Question 3 – Equilibrium carrier statistics in intrinsic semiconductors

(a) Testing fundamental knowledge

i. On a common vertical energy axis sketch the density of states in the
conduction (𝐷! (𝐸)) and valence (𝐷! (𝐸)) bands of an intrinsic direct
gap, bulk semiconductor like GaAs. Be sure to mark on your sketch
the valence (𝐸! ) and conduction band (𝐸! ) edges, the position of the
electron chemical potential at thermal equilibrium (𝐸! ) and the form
of the Fermi function 𝑓(𝐸) at 𝑇 ≠ 0 (2-points)

ii. Add to your sketch and the energy distributions of electrons 𝑛(𝐸) and
holes 𝑝(𝐸) in the conduction and valence bands, respectively.
(1-point)

iii. Explain when and why the occupation of band states can be de-
scribed using Boltzmann statistics? (2-points)

When Boltzmann statistics can be applied the free-carrier density of

electrons (𝑛! ) and holes (𝑝! ) at thermal equilibrium in a semiconductor
!! !!! !! !!!
are given by 𝑛! = 𝑁!  𝑒𝑥𝑝   − !! !
 and 𝑝! = 𝑁!  𝑒𝑥𝑝   − !! !
, re-
∗ !/!
!!!!/! !! !
spectively, where 𝑁!/! = 2 ℏ
.

iv. Explain the physical meaning of the quantities 𝑁!/! explaining which
effective mass 𝑚!∗ should be used for the silicon CD minimum and
show that the Fermi level is pinned to the midpoint of the gap for
𝑇 = 0K. (3-points)
v. Show that the electron chemical potential will shift towards the con-
duction band at elevated temperature for most semiconductors and
explain why this happens? (2-points)

(b) For the narrow bandgap semiconductor InSb the energy gap at 300K is
𝐸!!""! = 0.18 eV, increasing to 𝐸!!! = 0.235 eV at 4.2K and the density of

  5  
 ∗
states mass in the conduction (valence) band is 𝑚!∗ = 0.014  𝑚! (𝑚!! =
0.43  𝑚! )

i. Explain qualitatively why the energy gap increases with reducing

temperature (1-point)

ii. Given that we can approximate the temperature dependence of the

bandgap by 𝐸! (𝑇) = 𝐸! (0𝐾) + 𝛾𝑇, determine 𝛾 and then find the po-
sition of the Fermi level within the bandgap at 10K, 100K and 300K,
assuming that Boltzmann statistics can always be used.
(4-points)
iii. Calculate the temperature for which Boltzmann statistics are no-
longer applicable? (3 points)

iv. Qualitatively explain why Boltzmann statistics fail at high tempera-

tures? (2-points)

  6  
Question 4 – Doping of Semiconductors and Extrinsic Carrier Statistics

In this question we are going to explore the doping of semiconductors and the use
of doping to modify the equilibrium carrier density of a semiconductor crystal.

(a) Testing fundamental knowledge (14-points)

i. Describe the effective mass hydrogenic picture of shallow donor
states in silicon and produce a sketch of energetic position of shallow
donor and acceptor levels relative to the CB and VB edges. Give
typical numbers for the binding energies and the size of the 1𝑠-
wavefunction for shallow hydrogenic impurity. (4-points)
ii. In a real silicon crystal the binding energies of donors typically devi-
ate from expectations of a simple hydrogenic model. Explain qualita-
tively why these deviations occur. (1-point)
iii. Sketch the temperature dependence of the free-electron density in
an n-type semiconductor plotted on semi-logarithmic plot versus an
inverse temperature scale. Distinguish between three different tem-
perature regimes of your plot; high temperature, intermediate tem-
perature and low temperatures. (3-points)
iv. Add to your plot relative position of the Fermi energy within the
bandgap as a function of temperature. (3-points)
v. What is meant by the term “compensation” and how would you de-
tect its presence in a semiconductor? (3-points)

(b) We now consider an n-type silicon crystal doped with phosphorous and
partially compensated with a small concentration of boron. Due to the 3-
different electronic configurations that can exist for a donor (ionised 𝑁!! ,
neutral with spin-up/spin-down electron 𝑁!! ) the fraction of neutral donors at
!! !!!
!
!! ! !"#
!! !
thermal equilibrium is !!
  = !! !!! and 𝑁!! = 𝑁! − 𝑁!! , where 𝐸! is
!!! !"# !! !

the energy of the donor level on an absolute energy scale.

i. Explain why we can consider all the acceptors to be “ionized” (i.e.

𝑁!! = 𝑁! ) at thermal equilibrium in this compensated n-type semi-
conductor (𝑛 ≫ 𝑁! ) ? (1-point)

  7  
 ii. Considering that the condition of charge neutrality 𝑛 + 𝑁!! = 𝑝 + 𝑁!!
must always be satisfied show that the temperature dependence of
!!
the Fermi level is given by  𝐸! 𝑇 = 𝐸! − (𝐸! /2) + 𝑘! 𝑇  𝑙𝑛 !!!
 for the
!! !! !!!
situation when and 𝑛 ≫ !
𝑒𝑥𝑝 − !! !
(4-points)

iii. Use this expression to calculate the position of the Fermi level below
the conduction band edge, for 𝑁! = 4×10!" 𝑐𝑚!! for silicon for which
!!∗ !/! ! !/!
𝑁! = 2.5×10!" 𝑐𝑚!!   !!
  !""!
and 𝑚!∗ = 1.063  𝑚!

(1-point)

  8  
Question 5 – Carrier Transport and Cyclotron Resonance

Carrier transport in semiconductors can be described by the so-called Boltzmann

transport equation that describes the steady state change of the carrier distribution
function 𝑓! due to the impact of the external perturbations and scattering. The
Boltzmann transport equation is:

𝑑𝑓 𝜕𝑓! 𝜕𝑟 𝜕𝑓! 𝜕𝑘 𝜕𝑓!

= . + . +
𝑑𝑡 𝜕𝑟 𝜕𝑡 𝜕𝑘 𝜕𝑡 𝜕𝑡 !"#$$

(a) Testing fundamental knowledge (11-points)

i. The third term (marked in green) represents the impact on the distribu-
tion function of carrier scattering processes. Explain qualitatively the
meaning of the first two terms of the Boltzmann transport equation,
marked in blue in the above equation. (2-points)

ii. Make a sketch of the carrier mobility (𝜇 [cm2/Vs]) in a typical bulk sem-
iconductor as a function of temperature and state the temperature de-
pendencies of 𝜇(𝑇) at low and high temperatures. (2-points)

iii. Which carrier scattering process limits the carrier mobility at low tem-
peratures in semiconductors? Explain qualitatively the temperature
dependence of the mobility limited by this scattering process.
(3-points)
iv. At high temperatures scattering from phonons limit the carrier mobility.
Explain on a qualitative level the mechanisms by which electrons cou-
ple to acoustic and optical phonons and explain whether the different
scattering processes are elastic / inelastic. (4-points)

(b) In a cyclotron resonance experiment a semiconductor sample (e.g. Si) is ir-

radiated with an RF microwave field of constant frequency 𝜔!" that is po-

larized to be perpendicular to a static magnetic field 𝐵. Maximum absorp-

tion of the microwave field is obtained for magnetic field strengths such that

  9  
 𝜔!" = 𝜔! is fulfilled, where 𝜔! = 𝑒𝐵/𝑚! is the cyclotron frequency. The
semi-classical equation of motion describing the motion of a quasi-free
!!
conduction band electron in a such a magnetic field is 𝑚∗ !" = −𝑒(𝑣×𝐵).
The k-space surfaces of constant energy in the conduction band of silicon
are depicted schematically on figure (a) below. Each of these constant en-
ergy surfaces are rotation ellipsoids and defined by relations of the form
! !! !
ℏ! !!! !! !
𝐸 𝑘 = !! ∗
!!
+ !!∗
, where 𝑚! is the free electron mass.
!

(a) Constant energy surfaces in silicon, (b) Typical cyclotron resonance data recorded from silicon
at a microwave frequency of 24 GHz.

i. Using the Ansatz 𝑣 = 𝑣! . exp(𝑖𝜔𝑡) show that the “cyclotron mass” 𝑚! =

!! !! !!
𝑒𝐵/𝜔! is given by 𝑚! = (!!! !! !!!! !! !!!! !! )
 , where 𝑚! are the eigenvalues

𝑚! 0 0
of the conduction band effective mass tensor 𝑚∗ = 0 𝑚! 0 and 𝐵!
0 0 𝑚!
are unit-vectors along the principal axes of 𝑚∗ (4-points)

ii. Figure (b) shows the result of a typical cyclotron resonance experiment
measured at liquid helium temperatures (4K) and for 𝜔!" /2𝜋 = 24 GHz.
• Explain qualitatively the origin of the four peaks observed (2-points)
• Why do you think they have a different linewidth? (1 point)

  10  
 iii. Why does one typically have to make cyclotron resonance measurements
at low temperatures, what would happen to the resonance features in (e) at
elevated temperature? (2-points)

  11  
Question 6 – Optical processes in semiconductors

(a) Testing fundamental knowledge

a. Name and qualitatively explain possible mechanisms responsible for
the interaction of electromagnetic radiation with a GaAs crystal in the
following three frequency ranges (wavelength, frequency, energy);
i. Microwave (𝜆=10cm, ~3GHz, 12µeV)
ii. Mid-infra red (𝜆=10µm, 29THz, 124meV)
iii. Visible (𝜆=0.6µm, 500 THz, 2eV) (6-points)

b. The figure below shows the room temperature wavelength depend-

ence of the reflectivity measured from five InSb crystals that are n-
doped at a level of 3.5×10!" , 6.2×10!" , 1.2×10!" , 2.8×10!" and
4.0×10!" cm-3

Reflectivity of n-type InSb crystals (redrawn from W. G. Spitzer and H. Y. Fan, Phys. Rev. 106, 882 (1957))

i. Label the curves on the above figure in terms of increasing doping

density. (1-point)
ii. Explain the form of the curves in the above figure. (Hints: for the
most highly doped crystal make a sketch of the wavelength depend-
ence of the real (𝜖! ) and imaginary (𝜖! ) parts of the dielectric func-
tion. Make sure that you quantitatively label your axes and explain

  12  
 why the reflectivity becomes very large at longer wavelengths.
(3-points)

iii. Given that the static dielectric constant of InSb is 𝜖! =16 Make an es-
timate the electron effective mass in InSb (𝑚!∗ ) from the data shown
in the above figure. (2-points)

(b) Explain qualitatively why interband (VBàCB) optical transitions are “dipole
allowed” in most semiconductor materials. (2-points)

(c) The figure below shows the measured spectrum of the absorption coeffi-
cient for a GaAs crystal from the UV through the visible and into the near IR
spectral range

i. Explain why the onset of absorption occurs close to 𝐸! = 1.4 eV and

discuss the form of the absorption spectrum for photon energies in
the vicinity of the bandgap? (2-points)
ii. Explain the origin of the peak-like structures in the absorption spec-
trum at photon energies around e.g. ~3eV and ~4.6eV.
(1-point)
iii. Sketch the form of the absorption spectrum you would expect from a
GaAs-AlGaAs quantum well at low temperatures and explain the fea-
tures on your sketch. (3-points)

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