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3/12/2015

3.5.1 Deformation Potential Theory

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Subsections
3.5.1.1StrainInducedConductionBandSplitting
3.5.1.2StrainInducedDegeneracyLiftingatthe Point
3.5.1.3StrainInducedValenceBandSplitting

3.5.1DeformationPotentialTheory
BardeenandShockley[165]originallydevelopedthedeformationpotentialtheory.HerringandVogt
[166]generalizedthistheory.BirandPikus[161]studiedvarioussemiconductorsviagrouptheoryand
showedhowtocalculatestraineffectsonthebandstructurewithdeformationpotentials.Ashort
introductionintothedeformationpotentialtheoryisgivensubsequently.
ThedeformationpotentialtheoryintroducesanadditionalHamiltonian

,thatisattributedtostrain

anditseffectsonthebandstructure.ThisHamiltonianisbasedonfirstorderperturbationtheoryandits
matrixelementsaredefinedby

(3.15)

denotesthedeformationpotentialoperatorwhichtransformsundersymmetryoperationsas
secondranktensor[167]and
describesthe
straintensorcomponent.Thesubscripts
denotethematrixelementoftheoperator

in

.Duetothesymmetryofthestraintensorwith

respectto and ,alsothedeformationpotentialoperatorhastoobeythissymmetry


andthuslimitsthenumberofindependentdeformationpotentialoperatorstosix.
Inthecaseofcubicsemiconductorstheedgesoftheconductionbandandthevalencebandarelocated
onsymmetrylines.Thesesymmetriesarereproducedintheenergybandstructureandinthebasisstates.
Furthermore,thesymmetryofthebasisstatesallowstodescribethedeformationpotentialoperatorofa
particularbandviatwoorthreedeformationpotentialconstants[166].
Although,theoreticallythedeformationpotentialconstantscanbecalculatedviatheempiricalpseudo
potentialmethodorbyabinitiomethods,itismoreconvenienttofitthedeformationpotentialsto
experimentalresultsobtainedbyelectrical,optical,microwavetechniques,orbyanalyzingstressinduced
absorptionedges.Eventhough,theoreticalpredictionsandmeasurementsmatchquitewell,deformation
potentialsinliteratureandfoundbydifferentmethodsdeviatefromeachother[168].

3.5.1.1StrainInducedConductionBandSplitting
Cubiccrystallsexhibitastraininducedenergyshiftforthenondegenerateenergylevelsofthe
conductionband.Alongthe symmetrylineitissufficienttodescribethedeformationpotential
operators
asscalarsbyoneortwoindependentconstants.Theenergyshiftsoftheconduction
bandedgeofvalleysalongthe
and
directionsisdeterminedbytwoindependent
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3.5.1 Deformation Potential Theory

deformationpotentialconstants3.1[169]:
(3.16)

describestheuniaxialand
.

thedilatationdeformationpotentialconstantsforvalleysofthetype

denotestheunitvectorparalleltothe vectorofvalley .The

conductionband

minimumvalleyshiftcanbedeterminedfromasingledeformationpotentialconstant
(3.17)

Viathetworelationsfromabovethevalleysplittingfromuniaxialstressalongarbitrarydirectionscanbe
calculated.

3.5.1.2StrainInducedDegeneracyLiftingatthe

Point

Additionallytostraininducedenergyshiftsofenergylevelsoftheconductionbandedges,therecanalso
beapartiallyorcompleteliftingofdegeneracyfordegeneratebands,causedbythereductionof
symmetry.Duetothespecialsymmetryofthediamondstructure(threeglidereflectionplanesat
,
and
),thelowesttwoconductionbands
and
touchatthe
zoneboundary

.Shearstrain

duetostressalong

reducesthesymmetryofthediamond

crystalstructureandproducesanorthorhombiccrystal.Theglidereflectionplane
bytheshearstraincomponentandthusthedegeneracyofthetwolowestconductionbands
atthesymmetrypoints
biaxiallystrained

isremoved
and

islifted[161,170].Itshouldbementionedthatin

layersgrownon

alongafourfoldrotationaxis

substratesandforuniaxiallystrained/stressed

theglidereflectionsymmetryispreserved.

BirandPikusfoundfromk.ptheory,thatwhenthedegeneracyatthezoneboundary islifted,a
relativelylargechangeintheenergydispersionoftheconductionbandminimumlocatedclosetothis
pointarises[161].Thiseffectwasexperimentallyprovedfor byHenselandHasegawa[170],who
measuredthechangeineffectivemassforstressalong
,andbyLaude[171],whoshowedthe
effectviatheindirectexcitonspectrum.
Therefore,inordertotaketheliftingofthedegeneracyofthetwolowestconductionbands
atthe

points

and

intoaccount,(3.16)hastobeadapted[170]

(3.18)

where

denotesanewdeformationpotential,

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3.5.1 Deformation Potential Theory

(3.19)

Thesolutionsoftheeigenvalueproblemlooklike:
(3.20)

whichshowsthatatthe

points

(3.16))plusanadditionalsplittingof
dependenceonshearstrain

thebandshiftsbyanamountof

(likebeforein

,whichliftsthedegeneracy.(3.19)showstheproportional

forthesplitting

(3.21)

Avalueof

eVhasbeenpredictedbyHenselforthesheardeformationpotential

Laude[171]confirmedthisvaluebyhismeasurementof

[170].

eVviatheindirectexcitonspectrumof

.
Thesplittingisalreadystronglypronouncedforshearstrain
the

.Duetotheliftingofthedegeneracy

conductionbandisdeformedclosetothesymmetrypoints

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(Fig.3.2).

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3.5.1 Deformation Potential Theory

Figure3.2:Energydispersionoftheconductionbands
zoneboundary

pointalong

.For

and

theconductionbandsare

degenerateatthezoneboundary.Introductionofshearstrain
degeneracyandopensupagap.Theenergyseparation
becomeslargerwithincreasingstrain
lowerconductionband

nearthe

liftsthis
betweenthebands

.Atthesametimethetwominimaofthe

moveclosertothezoneboundarywithrisingstrain

,untiltheymergeatthezoneboundaryandstaythereforfurtherincreasing
strain.
i
Anonvanishingshearstraincomponent

hasthefollowingeffectsontheenergydispersionofthe

lowestconductionband:
Thebandedgeenergyofthevalleypairalong
otherfourvalleysalong

and

Theeffectivemassofthevalleypairalong
Theconductionbandminimaalong
withincreasing

directionshiftsdownwithrespecttothe

changeswithincreasing

movetothezoneboundary

.
pointsat

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3.5.1 Deformation Potential Theory

Figure:3.3Energydispersionofthetwolowestconductionbandsatthezone
boundaries
and
.Thebandseparationof
unstrained

attheconductionbandedge

isdenotedby

.Contrarytotheconductionbandsalong
and

theconductionbandsalong

arenotaffectedbyshearstrain

Fordifferingstrains(

),theconductionbandminimaalongthe

axesare

differentintheirenergies,causingarepopulationbetweenthesixconductionbandvalleys.Thiskindof
effectisnotcoveredwith(3.16),duetothenegligenceofpossibledegeneracyliftingsbyshearstrainand
byignoringapossiblerepopulationofenergystates.
Themodelpresentedshowsnochangeintheconductionbandsnearthezoneboundaries
and
forashearcomponent
(Fig.3.3).However,shear
componentslike

or

liftthedegeneracyat

or

Applyingadegeneratek.ptheoryatthezoneboundary point[161,170]enablesananalytical
descriptionforthevalleyshiftalongthe direction.Shearstrain
causesanenergyshiftbetween
theconductionbandvalleysalong

andthevalleysalong

.Thisshiftisdescribedby

(3.22)

isadimensionlessparameterand

denotesthebandseparationbetweenthelowest

twoconductionbandsattheconductionbandedge
(3.23)

denotesthepositionofthebandedgeintheunstrainedlattice.

3.5.1.3StrainInducedValenceBandSplitting
Causedbythedegeneracyatthemaximumofthevalencebandsthedeformationpotentialisdifferent
thanthatoftheconductionbands.Thedeformationpotentialoperators
arenolongerscalarsand
havetobeexpressedas
matrices.Usingsymmetriesthesixindependentoperatorscanbe
describedviathreeindependententries,commonlynamed
ofeigenfunctions[172].Forthebasis

or
,with

,relatedtotheappliedset
denotingthespinstate,the

perturbationHamiltoniantakesthefollowingform:

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3.5.1 Deformation Potential Theory

(3.24)

denotesthe

matrix

(3.25)

Inthecaseofthevalencebandthedescriptionofthestraininducedshiftsoftheheavyhole,lighthole,
andthesplitoffbandaremorecomplex[169].

Footnotes
...constants3.1
neglectingstraininducedsplittingofthedegenerateconductionbands

and

atthe

point

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