Fundamentals of Semiconductor Physics and Devices

573
Copyright 1997. World Scientific. All rights reserved. May not be reproduced in any form without permission from the publisher, except fair uses permitted under U.S. or
Chapter 7
Semiconductor junctions
under non-equilibrium
conditions
The treatment of semiconductor junctions above was limited to conditions

of thermodynamic equilibrium. In this chapter, non-equilibrium states of
these junctions will be explored. Such states occur when the junctions are
subjected to various external perturbations, which can include the applica-
tion of an electric voltage, irradiation with light, exposure to pressure, or the
introduction of a temperature gradient. Here, we limit our considerations to
the application of a voltage and irradiation with light, because they are by
far the most important perturb at ions generating non-equili br ium conditions
in semiconductor junctions. In sections 7.1 and 7.2 we treat the pn-junction
subject to an external voltage. The interaction with light is considered in
section 7.2. The influence of a voltage on a metal-semiconductor junction
forms the subject of section 7.3, and in section 7.4 we examine voltage effects
on an insulator-semiconductor junction.
In the introduction to Chapter 6, we pointed out that perturbation of the
equilibrium state of a semiconductor junction provides the basic mechanism
of operation for most semiconductor devices. Examination of the effects of
an applied voltage and interaction with light for such junctions therefore con-
stitutes an exploration of the physical principles of a number of such devices.
In section 7.1, the devices involved are rectifying semiconductor diodes, the
applicable copyright law.
bipolar transistor and tunnel diode; in section 7.2 the photodiode, the so-
lar cell and the semiconductor injection laser. Section 7.3 deals with the
metal-semiconductor rectifier, and section 7.4 with the field effect transis-
tor. In this preview of the content of the present chapter, it is worthwhile
to note that we have omitted perturbation of the equilibrium of semicon-
ductor heterojunctions. There are two reasons for this omission. The first
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5 74 Chapter 7. Semiconductorjunctions under non-equilibrium conditions
concerns conventional semiconductor devices. Although heterojunctions are

used in many of them, in none do they play a decisive role for the operation
of the device. They mainly just improve its operation as, for example, in
the case of an injection laser using a quantum well instead of a homogeneous
material region as active layer. The second reason concerns devices whose
principle of operation actually relies on heterojunctions. As an example, we
recall the High Electron Mobility Transistor (HEMT) mentioned in Chap-
ter 6 which utilizes the %dimensional electron gas of the quantum well at a
GaAs/(Al,Ga)As interface. While the (A1,Ga)As alloy region is n-doped to
provide the electrons for the 2-dimensional gas, the GaAs well region itself
is undoped to avoid carrier scattering by ionized donors which would lower
the mobility. The detailed treatment of such quantum devices which, with a
few exceptions (the HEMT among them), are currently subject to research
would exceed the framework of this book as an introduction to the principles
of the semiconductor physics and devices. Therefore, we omit them here.
Readers interested in quantum devices will find an overview in a recently
published monograph (Kelly, 1995).
Restricting external perturbations to the application of a voltage and
irradiation by light means that devices which are sensitive to physical influ-
ences other than electricity and light, like pressure, temperature, chemical
concentrations or magnetic fields, are ruled out. Such devices can convert
non-electric signals into electrical signals. They are called semiconductor
sensors. One of them, the photodetector, which involves the conversion of
light, will be treated in section 7.2.
7.1 pn-junction in an external voltage

The application of an external voltage ( s e e Figure 7.1) causes the free charge
carriers of the pn-junction, which originally had been in global thermody-
namic equilibrium, to be driven into a global non-equilibrium state. To
start, it is important to clarify how this state can be adequately described.
It turns out that the understanding of non-equilibrium states used above,
which rests on the concept of local equilibrium and a spatially varying chem-
ical potential p ( x ) , must be modified in an important respect if applied to
biased pn-junctions.
Local equilibrium means, in particular, that a local chemical potential
p ( x ) exists for the entire system of free carriers, including both electrons
and holes. That this can no longer hold when a voltage is applied to the pn-
junction is easily understood. Indeed, on that side of the junction where the
potential energy of electrons is raised by the applied voltage, the electron
concentration will decrease compared to the unbiased case. On the same
side, the potential energy of the holes is necessarily lowered and their con-
Account: ns145102
7.1. pn-junction in an external voltage 575
Figure 7.1: pn-junction under an

applied voltage.
centration is raised in the presence of the voltage. In view of the relations

( 6 . 5 ) between p ( 2 ) and the carrier concentrations n ( z ) , p ( z ) , this means
that, on the above considered side of the pn-junction, the chemical potential
of the electrons must be lower, and that of the holes must be higher than
for the unbiased junction. In any case, the chemical potential p n of elec-
trons differs from the chemical potential pP of holes provided - and this is
an essential restriction - these potentials exist at all.
In order to clarify whether they do exist or not, we recall that the chem-
ical potential is defined as a parameter of an equilibrium distribution func-
tion. By assuming different chemical potentials for electrons and holes, the
energy distributions of these carriers within their respective bands are sup-
posed to be in equilibrium. Only the distribution of carriers between the
bands does not correspond to an equilibrium state if the chemical poten-
tials are different. This assumption is justified if the processes which tend
to establish equilibrium proceed much faster among electrons in the same
band than among electrons in different bands. In the first case one has en-
ergy relaxation of the carriers in their respective bands. The characteristic
energy relaxation time is typically of the order of magnitude lo-'' s. In
the second case one has capture or recombination with a characteristic time
typically of the order of magnitude lo-' s, i.e. 100 times larger than the
energy relaxation time. In such circumstances it is reasonable to assume
that the two types of carriers are in equilibrium with respect to the energy
distribution within their respective bands, even if no equilibrium exists with
respect to their distribution between these bands. The assumption of sepa-
rate chemical potentials for electrons and holes is also justified under these
conditions.
At a pn-junction, both chemical potentials are functions p n ( 2 ) and pP(;c)
of position. These functions must be determined separately in conjunction
with the electric potential cp(z). We first solve for cp(z), and later for the two
chemical potentials. The concentrations n ( z ) of electrons and p(z) of holes
needed in these calculations are, by definition of the separate local chemical
potentials, given by the relations
5 76 Chapter 7. Semiconductor junctions under non-equilibrium conditions
7.1.1 Electrostatic potential profile

Formally, the presence of an external voltage U manifests itself in a change
of the potential drop across the pn-junction, which in equilibrium was the
diffusion voltage U g , to the new value
Here, the external voltage U , as usual, is counted as positive if it leads to a

decrease of the potential energy of a positive charge carrier at z = +m as
compared to x = -m. That the diffusion voltage does not contribute to the
voltage balance in a closed circuit containing the pn-junction was already
explained in section 6.1.
The calculation of the electrostatic potential p(z) at an unbiased p n -
junction was based upon the Poisson equation (5.19) and the Schottky ap-
proximation, which was used to eliminate the free charge carrier concen-
trations n ( z ) and p ( z ) from this equation. If one also assumes complete
ionization of the donors and acceptors in the space charge region, as done
in section 6.1, then the chemical potential does not explicitly appear in
the Poisson equation. It is only through the boundary conditions, strictly
speaking through the diffusion voltage U g , that the electrostatic potential
function depends on chemical potential in the p- and n-regions. Whether
the Schottky approximation retains validity or not in the presence of an ex-
ternal voltage must indeed be examined. If one repeats the reasoning used
to justify this approximation in section 6.1 for the unbiased case, then it is
readily seen that there are no changes, except that the diffusion voltage U D
has to be replaced by U D - U . From this we may conclude that the Schottky
approximation in the presence of an external voltage is applicable provided
holds and the doping concentrations N A and N D are of comparable size. For
positive U equation (7.4) is not always satisfied. It becomes critical when
U approaches the diffusion voltage, and is definitely invalid when U > UD.
For negative external voltages, condition (7.4) may in fact be valid even if
it does not hold in the absence of an external voltage. If it is valid in the
unbiased case, then it is even better satisfied in the presence of a negative
voltage. In the following we will assume that condition (7.4) is fulfilled and
that the doping concentrations N A , N D are comparable. Then the Schottky
Account: ns145102
junction on applied voltage U , -$,,

measured in units of U D . Sym-
metric doping with N A = N D = 1.0 -
10l6 ~ r n -is~ assumed. The
static dielectric constant is that 95 -
of Si (E = 12.1).
approximation is applicable, as are the concepts of the depletion and bulk

regions which were introduced in the context of an unbiased pn-junction. In
conjunction with this, all the results of section 6.1 remain valid in regard to
the potential function cp(z), except that U D must be replaced everywhere
by U D - U . For the potential values at the boundaries of the space charge
region, we have
and the width w of the space charge region is given by
In the presence of a negative voltage of 100 V , doping concentration N D =

N A = 1OI6 ~ r n -(using
~ silicon values for E and U D ) the space charge width
w is about 4 p a . For U = U D , w formally takes the value zero, i.e., no
depletion region exists at all. This signifies that the Schottky approximation
breaks down (see Figure 7.2).
The calculation of the two chemical potentials p"(z) and p p ( x ) for elec-
trons and holes, respectively, is more complicated than that of the electric
potential. It requires simplifications which are only understandable if one
already has a qualitative understanding of the nature of current transport
through the pn-junction. We will now address this point.
7.1.2 Mechanism of current transport through a pn-junction

That an applied voltage causes current flow through a pn-junction, is obvi-
ous. Less evident, however, is the manner in which it happens. Far from the
nominal transition at z = 0, one may assume that current transport does not
Account: ns145102
5 78 Chapter 7. Semiconductorjunctions under non-equilibrium conditions
a1 u-0 Cl u>o
0 0 0 0 . .
0 0 0 0 0 0 0 0
0 0 0 0 0 . 0 0
0 0 0 0 0 0
+ l o o o 0 /. . . . ( ~
0 0 0 9 0 . 0 4 0 0 0-0 .to 0 .
c
+ ~ o o o o ( . . . .
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 -0 0 0-0 .to 0 o c
Figure 7.3: Mechanism of current flow through a pn-junction, a) pn-junction with-

out voltage, b) Injection of minority carriers by applying a (positive) voltage, c)
Recombination of the injected minority carriers with available majority carriers,
d) Refilling of the emptied band states by majority carriers from the bulk region.
There a majority charge carrier current flows.
differ from that in an infinite semiconductor sample, i.e. the current in the
p-region will be carried mainly by holes, and that in the n-region mainly by
electrons. In this matter, one has the peculiar situation that a hole current
in the left part of the junction passes over into an electron current in the
right part of the junction. The mechanisms which can realize such a tran-
sition are the recombination and generation of electron-hole pairs, whence
we may conclude that the latter processes should play an important role in
current flow through the pn-junction.
In our further considerations we assume CJ > 0. In order for recombina-

tion to occur, non-equilibrium carriers must be available. These appear in
the p-region in consequence of the fact that electrons move over from the n-
region to the p-region because their potential energy in the n-region is lifted
under the applied voltage by the amount eU. Therefore they overcome the
potential barrier between the n- and p-regions more easily. This transfer
of carriers across a potential barrier is called injection In the p-region the
electrons are minority charge carriers. Therefore we have an injection of mi-

nority charge carriers into thep-region. An analogous process takes place on
the n-side of the junction. There, holes from the p-region move over into the
n-region, so that one has an injection of minority holes. These relationships
are illustrated in Figure 7.3. The injected minority carriers (Figure 7.3b)
recombine with the already present majority carriers (Figure 7 . 3 ~ ) . The
7.1. pn-junction in an external voltage 5 79
states in the bands which become unoccupied in this way will be filled by
majority carriers from the bulk regions of the junction (Figure 7.3d), where
majority carrier currents therefore flow. The magnitudes of these currents
are determined by the speeds of the injection and recombination processes.
In the stationary state both speeds must be equal - all carriers which are
injected must recombine, and all carriers which recombine must have been
previously injected.
If one reverses the sign of the voltage, corresponding to U < 0, then one
has extraction of minority charge carriers instead of injection, and generation
instead of recombination. Since extraction and generation processes consume
energy, in contrast to injection and recombination wherein energy is released,
one must expect the current through the pn-junction to be much smaller for
U < 0 than for U > 0. This is in fact the case, as we will formally prove
below.
The above mechanism for current transport through a pn-junction will
now be formulated quantitatively. The total current density j ( x ) consists,
according to formula (5.85)) of the electron current density jn(x) and the
hole current density jp(x). For the two current constituents the continuity
equations (5.20) and (5.21) hold. In the present case, the generation term
is zero, and the annihilation term is determined by recombination. In the
stationary state one obtains
djp
- = -eR(x).
dx
where R ( z ) represents the recombination rate given by equation (5.61).
Adding (7.7) and (7.8), it follows that the total current density j ( x ) is free
of sources and must be spatially constant, so that
j(x) = j n ( 2 ) + jp(x) zz j = const. (7.9)

We consider a particular position X I in the p-region and another particular
position x2 in the n-region. The fact that the total current density j is
const ant yields
(7.10)
Integration of equation (7.7) provides the result
(7.11)
Combining (7.10) and (7.11)) we have
Account: ns145102
580 Chapter 7. Semiconductor junctions under non-equilibrium conditions
(7.12)
Setting
(a) 21 = -oo,z2 = +m, we find
(7.13)
On the other hand, considering
(b) z1 = x p , z 2 = zn, it follows that
j =j n ( 4 +jp(zn) +e /XP
X,
d 4 z ) . (7.14)
We will later see that, under certain conditions, the two minority charge
carrier contributions jn(-oo) and jp(+oo) in (7.13) can be approximately
neglected. The same holds for the recombination contribution in (7.14).
Consequently, equation (7.13) means that the total current, in its essence,
represents a recombination current. Alternatively, in formula (7.14) the total
current is seen to be the sum of the minority carrier currents at the two space
charge boundaries. There, they are determined by the injection of minority
carriers. The total current represents, therefore, an injection current. The
two interpretations are equivalent, but they emphasize different aspects of
the total current.
With these considerations concerning the mechanism of the current trans-
port, we are sufficiently prepared to calculate the spatial profiles of the chem-
ical potentials of the two types of carriers.
7.1.3 Chemical potential profiles for electrons and holes

We first calculate the charge carrier concentrations n ( z ) and p ( z ) . Once
they are known, the chemical potentials follow immediately from relations
(7.1) and (7.2). Since the current is due to recombination of injected non-
equilibrium minority carriers in the bulk regions, we will restrict our con-
siderations to these carrier concentrations in particular. The space charge

region will therefore be omitted initially. Moreover, we will use the fact that
the relative change of the majority carrier concentrations caused by injection
is substantially smaller than the corresponding relative change of the minor-
ity carrier concentrations. For the majority carrier concentrations in the
bulk regions, the values without injection, i.e. without an applied voltage,
can be used. This means that
Account: ns145102
n(x) = n, for 2 > x,, (7.15)
p(z) = p p for x < xp. (7.16)

The minority carrier concentrations in the bulk regions are calculated from
the combined diffusion-recombination equations (5.81) and (5.87). To solve
these equations uniquely, boundary conditions are required, in the case of
electrons at -m and xp,and in the case of holes at x n and +oo. For n(-m)
and p(00) the equilibrium values
apply. The concentrations at the boundaries of the space charge region

may be taken from relations (6.15) for n ( z ) and p ( z ) . Of course, the latter
expressions were written down for equilibrium conditions, but they provide
approximately correct values for n ( z p ) and p(x,) even when a voltage is
applied. The only change to be made is the replacement of [cp(zn)- ( p ( z p ) ]
by U D - U instead of by UD. It follows that
-e(UD-u)/kT = eU/kT
n(q,) = n,e npe , (7.18)
(7.19)
For U = 0, the values n ( x p ) and p(;cn) are the minority carrier concen-
trations np and p , in equilibrium. If U > 0, the factor multiplying n p in
(7.18), and the factor multiplying p , in (7.19) is larger than 1, i.e., the
minority carrier concentrations exceed the values they would have in the
absence of an external voltage. This is the formal expression of the injec-
tion of minority charge carriers. How effective injection is can be recognized
through the following estimate. With U = 0.25 V and T = 300 K we obtain
exp(eU/kT) M elo M 2 x lo4. This is to say that the small voltage of 0.25 V
suffices to increase the minority carrier concentrations by more than 10000.
The steady state solutions of the diffusion-annihilation equations (5.90)
for n(x) and (5.97) for p ( z ) , under the respective boundary conditions (7.15),
(7.16) and (7.17), are given by
P(X) =P, + [~(z,) - P,I~-(x-x*)lLp , > ", (7.21)

where L , and L, are the diffusion lengths of, respectively, electrons and
holes. For positive external voltages one has n ( x p ) > n, and p(x,) > p,.
Account: ns145102
Figure 7.4: Lineup of the quasi Fermi levels of a pn-junction under an applied
voltage, (a) flow direction (U > 0 ) , (b) blocking direction (U < 0)). Dashed curves
correspond to the unbiased pn-junction. In the space charge region interpolated
values are used. The decay of the quasi Fermi levels in the two bulk regions is
drawn greatly exaggerated.
This means that in the two bulk regions, both minority carrier concentrations
are larger than their respective equilibrium values np and p,. The chemical
potential p n ( z ) of the electrons in the pregion, is therefore shifted to higher
energies with respect to its equilibrium value, and that of the holes in the
n-region is shifted to lower values. The same holds for the pertinent non-
equilibrium electrochemical potentials
E F ( ~ =) p n ( x ) - ecp(x), E;(X) = p P ( z )- ecpG), (7.22)

which are also referred to as quasi Fermi levels. In Figure 7.4a the spatial
variation of the two quasi Fermi levels is shown schematically, together with
the valence and conduction band profiles.
For a negative voltage U < 0 one has n ( z p ) < np and p ( z n ) < p,.
The chemical potential of electrons in the p-region therefore lies below the
equilibrium value, and that of the holes in the n-region lies above it. The
same is true again for the quasi Fermi levels (see Figure 7.4b). The elevation
or depression of these levels in the bulk regions is effective up to a distance

from the depletion region which roughly equals the diffusion length of the
pertinent minority carrier. In the depletion region between the two bulk
regions, we cannot make such statements, or any others, because the above
consideration excludes this region. Fortunately, the diffusion lengths are,
as a rule, an order of magnitude larger than the width of the space charge
Account: ns145102
region (see section 5.4), so that this lack of knowledge is not important. The
space charge regions function solely as potential barriers over which non-
equilibrium carriers are injected. The spatial expansion of the barriers can
be neglected in a first approximation.
7.1.4 Dependence of current density on voltage

We can now carry out the calculation of the total current density through
a pn-junction without difficulty, starting from the relations derived for the
recombination current density (expression 7.13, method a) and for the injec-
tion current density (expression 7.14, method b). Both methods must lead to
the same result. Formally, it would therefore suffice to consider only one of
them. We will study both to demonstrate explicitly that the recombination
current (7.13) and the injection current (7.14) are in fact identical.
Method a
From the qualitative discussion of current flow through the pn-junction in
subsection 7.1.2, we know that the currents at -co and +co do not differ
from the currents in an infinite p or n-type semiconductor. This means,
in particular, that the minority carrier currents at -00 and +co are neg-
ligibly small. In regard to the remaining integral in (7.13), recombination
processes in the bulk regions to the left and right of the depletion region
contribute significantly only up to depths which roughly equal the diffusion
lengths of the minority carriers - only there do the concentrations of these
carriers differ substantially from their equilibrium values, so it is only there
that recombination occurs. The diffusion lengths are, as has already been
mentioned, generally much larger than the width of the depletion region.
Taking advantage of this magnitude relation, we neglect the contribution of
the depletion region to the integral in equation (7.13), whence we obtain,
approximately,
(7.23)
The recombination rate R is given by relations derived above in section 5.2.

According to formula (5.64), in the presence of a small excess concentration
A n ( x ) of electrons (here, of electrons in the p-region), we have
(7.24)
and according to formula (5.66), in the presence of a small excess concentra-

tion A p ( z ) of holes (here, such in the n-region), the corresponding relation
is
Account: ns145102
(7.25)
with rn and rp given by (5.65) and (5.67) as minority carrier lifetimes of

electrons and holes, respectively. For An(.) and A p ( x ) we employ relations
(7.20) and (7.21) in the form
~ p ( x=) b ( x n ) - pnle-(z-xJ'Lp, xn < 2. (7.27)

Substituting these formulas in equations (7.24), (7.25) and (7.23) and using
relations (7.18) for n ( x p ) and (7.19) for p ( x n ) , we obtain
j = js(e
eUlkT - 1) (7.28)
with
(7.29)
The same result is obtained if one proceeds in accordance with method b,

which will be verified below.
Method b
In equation (7.14) for j we again neglect the recombination integral over the
depletion region. The minority carrier current densities j n ( z p )and j p ( x n )at
the boundaries of the depletion region follow from the general phenomeno-
logical equations (5.100) and (5.101), wherein the electric field strength has
to be set zero since the electric potential is constant in the bulk regions.
The charge carrier concentrations n ( x ) and p ( x ) are taken from expressions
(7.20) and (7.21), yielding
(7.31)
Adding these equations and applying relations (7.18) and (7.19), the expres-
sion (7.28) follows for j with
(7.32)
The two expressions (7.32) and (7.29) for j , are identical, since Ln =
(see equation 5.95) and L, = fi
(see equation 5.99).
Account: ns145102
Figure 7.5: Current-voltage char-

acteristic of a pn-diode made of Ge.
Note the different voltage scales for
forward and reverse biasing. For ex-
tremely large negative voltages, the
diode undergoes electrical break-
down. (After Seeger, 1973.)
With this observation, the task of calculating the current through a pn-
junction under an applied voltage is completely solved, within the framework
of the conditions and approximations set forth above. We will now discuss
the results. The current-voltage characteristic (7.28) is extremely non-linear.
It exhibits the expected asymmetry with respect to a change of the sign of
voltage U . For a positive U of a few tenths of a Volt, j is several orders of
magnitude larger than j,, while for a negative U of same absolute value, j
approaches - j , (see Figure 7.5). The current density j,, which cannot be
surpassed at even larger negative voltages, is called the saturation current
density. To estimate the size of this current density in the case of Si, we
assume typical values for L,,p of 10 pm and for 7n,pof lo-' s. For the
minority carrier concentrations, we obtain, from np = n?/NA and p, =
n!/ND with ni = lo1' cm-3 and N A = N D = 1OI6 cmV3, the values np =
p, = lo4 c ~ L - Using
~. e = 1.6 x 10-lgA s, it follows that j, 10-l' A/cmz.
The saturation current density is therefore extremely small. Thus, for U < 0
practically no current flows, the pn-junction blocks the current flow. One
says that it is reverse biased or biased in blocking direction, The biasing
U > 0 refers to the forward bias or Bow direction because the current density
in this direction is orders of magnitude larger than j, as we have seen above.
The pn-junction operates as an electrical rectifier. It is called a rectifyingpn-
diode in this context. In Figure 7.5 a measured current-voltage characteristic
of a pn-diode made of Ge is shown.
7.1.5 Bipolar transistor

The pn-junction has important application in the bipolar transistor. This
device consists either of two n-regions, which are separated by a p-region, or
of two p-regions separated by an n-region (see Figure 7.6). In the first case
one speaks of an npn-transistor, and in the second case of a pnp-transistor.
Account: ns145102
Figure 7.6: Bipolar npn- and pnp-transistor.
m Emitter Base Collector
Figure 7.7: npn-transistor in the common-emitter configuration (left-hand side).

Illustration of the current flow (right-hand side).
In the following considerations we confine our attention to the npn-case.

In Figure 7.7 the npn-transistor is shown in one of the possible switching
modes, called common-emitter configuration (for reasons explained below).
The left n-region is connected both with the p-region in the middle as well
as with the n-region on the right. The voltage source of the np-circuit puts
the left n-region at a potential P E , and the p-region at a potential p ~ The
.
voltage source in the npn-circuit puts the potential of the right n-region at
(pc.We consider the case in which
PE PB (PCI (7.33)
and, accordingly,
(7.34)
holds. In this case the left pn-junction is biased in the flow direction, and the
right in blocking direction (see Figure 7.8). From the left n-region, electrons
are injected into the p-region in the middle, while the right n-region extracts
electrons from the p-region. One therefore calls the left n-region the emitter,
and the right the collector. The p-region in the middle is called the base.
Accordingly, the np-circuit will be referred to as the emitter-base circuit or,
in short, the base circuit and the npn-circuit as the emitter-collector circuit,
or in short, the collector circuit. Let the current in the base circuit be ig,
and that in the collector circuit ic. Then the current i E through the emitter
follows from Kirchhoffs current branching theorem as the sum of the two
currents,
i~ = iB + ic, (7.35)
One can also say that the emitter current splits in two partial currents, one
flowing through the base, and one flowing through the collector (see Figure
7.7 on the right).
Our goal is the calculation of the three currents i ~ iB, , ic. In this matter,
we can employ the results obtained above for the current flow through an
individual pn-junction, with the valence and conduction band edges of the
npn-transistor lined up as shown in Figure 7.8. The pn-junction on the

emitter side is subject to the flow voltage U g , and the pn-junction on the
collector side is subject to the blocking voltage U c - UB. The emitter current
i~ is the current flowing through the emitter-side pn-junction. As such it is
given by expression (7.12), multiplied by the emitter area A . Accordingly,
it consists of the injection current j n ( z p ) Aof the minority electrons into the
588 Chapter 7. Semiconductorjunctions under non-equilibrium conditions
base, the injection current jp(x,)A of the minority holes into the emitter,
and the recombination current in the depletion region. Neglecting the latter
contribution as before, and using relations (7.30) and (7.31), we have
Here the signs are opposite to those of relations (7.30) and (7.31) above, due
to the fact that the emitter-base junction has thep-region on the right-hand
side and the n-region on the left, whereas it was the opposite above. If
both regions were expanded infinitely, as we always assumed above in the
treatment of the pn-junction, then the minority charge carrier concentra-
tions n(x) and p(x) in (7.37) could be replaced by the previously derived
expressions (7.20) and (7.21). This procedure would result in expressions
for j,(xp) and j p ( z n )which are just the negatives of those in relations (7.30)
and (7.31). In the transistor, however, only the emitter can still be consid-
ered to be infinitely extended, while the width b of the base must be treated
as finite because it is not large in comparison with the diffusion length L, of
the minority charge carriers. Thus, only the injection current density jp(x,)
of holes may be taken from the previously derived expression (7.31). Ad-
justing this expression to the relationships at the emitter-base junction, we
find along with (7.27),
(7.38)
The injection current density jn(zp)of electrons, however, must be calculated

anew. This can be done on the basis of the following considerations. To
start, it is clear that, because of the finite width of the base, only part of the
injected minority electrons recombine in the p-region, while the remainder
diffuse through this region and reach the depletion region at the collector side
of the pn-junction. The negative electric field there pulls the electrons into
the bulk region of the collector, from which they are sucked up by the applied
positive voltage. The equilibrium value np of the electron concentration is
therefore reached not only at x = 00, but it is already realized at x = b. This
means that the boundary condition An(x = b) = 0 must now be imposed.

The solution of the diffusion-recombination equation (5.91), which accounts
for this new boundary condition, results in
(7.39)
Account: ns145102
Substituting this into (7.37), we find
Dn
j n ( z p ) = enp- (eeuBjkT - 1) coth[(b - z p ) / L n ] . (7.40)
Ln
The current ig in the base circuit would be identical with the emitter current
iE, and both currents would equal the current through the emitter-base pn-
junction, if the base were to be infinitely expanded. For finite base width,
however, the emitter current differs from the base current because the latter
only takes contributions from the portion of the electrons injected into the
base which also recombine in the base. We denote the pertinent current
density as jnT. The first term of formula (7.23) expresses it as
(7.41)
The upper boundary of the recombination region, which in (7.23) is located

at infinity, is replaced here by the finite base width b. Furthermore, xn and
x p are interchanged. The recombination rate R(x) in (7.41) can, as before, be
calculated from the minority charge carrier concentration n ( z )= np+An(z)
in the p-region by means of relation (7.24). In this, expression (7.39) has to
be used for An(x), yielding
The base current ig, like the emitter current in (7.36), also involves the
injection current j p ( z n ) Aof holes from the base into the emitter, besides
the electron current j,A. Altogether, we therefore have
The collector current ic need not be calculated separately, because it is al-

ready determined by Kirchhoff's law (7.35). The main source of this current
are electrons which leave the emitter and do not recombine in the base but
diffuse further to the collector where they are sucked up. This current contri-
bution is entirely due to the coupling between the collector-base pn-junction
and the emitter-base np-junction; it would not appear at all at a single,

separate pn-junction. Another current which flows through the collector-
base pn-junction is the true pn-current, which represents the current which
would exist if this junction were not coupled to a second one. However, the
collector-basepn-junction is biased in blocking direction, so that the true pn-
current is an extraction or generation current, which because of its smallness
Account: ns145102
Figure 7.9: Characteristics of a bipolar transistor made of Si in the common-

emitter configuration. (After Volz, 1986.)
may be completely neglected. This approximation was used above tacitly,

as we identified the current through the emitter-base pn-junction with the
true pn-current of this junction, without adding the hole extraction current
flowing in from the collector-base pn-junction on the right-hand side .
With this, the three currents i E , i g , ic we sought are fully determined.
In Figure 7.9 some characteristic dependencies for i g and ic are shown
in the case of a npn-transistor made of Si. We can now proceed to the
question of what conditions are needed for the bipolar transistor to operate
as an amplifier. As we will see below, significant amplification by a bipolar
transistor results when the base current is only a small portion of the emitter
current. In order for that to be the case, on the one hand, j,,A must be
small. Considering (7.42)) this means that the base width b must be small
in comparison with the diffusion length L , of the minority charge carriers.
On the other hand, the hole injection current j p ( z , ) A is not allowed to be
too large. This can be achieved by low doping of the base in comparison
with the emitter, because jp(z,) is proportional to p, (as may be seen from
(7.38)) and j n ( z p )is proportional to np (see relation 7.39). If the doping
n, of the emitter is substantially higher than the doping p, of the base, i.e.
if nn >> p, holds, then it follows from the mass action law that p, << np.
The hole injection current j p ( z n ) Afrom the base is therefore actually small
compared to the electron emission current j n ( z p ) Afrom the emitter. For
simplicity, we neglect it completely in what follows.
Suppose that the potential p~ of the base is changed by dpg, while
the potentials p~ and p c of the emitter and collector are kept constant.
Account: ns145102
Correspondingly, the voltage U B in the base circuit changes by d u B = d p B ,

while the voltage U D in the collector circuit remains constant. The currents,
however, will change in both circuits in accordance with
(2)~~ (2%) = cosh[(b - z p ) / L n ] d u g uc ,

(7.45)
The current amplification 1,3 is defined as the ratio of the current change in
the collector circuit to the current change in the base circuit. From (7.44)
and (7.45) it follows that
(7.46)
Here, the extent x p of the space charge region in the base has been neglected
in comparison with the entire base width b. If b << L,, a current amplifi-
cation occurs according to relation (7.46) in the sense that a small current
change in the base circuit leads to a large current change in the collector
circuit.
What is important, however, is not primarily amplification of current,
but amplification of electric power. Initially, one might think that power
amplification would be determined by the ratio of the power change in the
collector circuit to the power change in the base circuit. This ratio would
have, however, no value because in the switching scheme of Figure 7.7 all
the power of the collector circuit is transferred to heat. For electric power
to be useful, a working element must be included in the collector circuit,
say a resistor RL. The voltage drop across it is ~ c R L .Taken together with
the voltage between the emitter and the collector of the transistor, the total
+
voltage in the collector circuit is U c icRL. The transistor resistance is ap-
proximately given by the resistance of the blocked pn-junction between base
and collector. As such, it is practically independent of the base voltage. We
consider, in particular, the case in which R L equals the collector resistance of
the transistor. That means that the voltage drop across the working resistor
R L is the same as the voltage U c between the collector and emitter. What
we have to calculate are the power changes d P L in the working resistor R L

and d P B in the base circuit, if the base voltage U B changes by d U B while
keeping the collector-emitter voltage at a constant value U c . We have
(7.47)
Account: ns145102
Figure 7.10: Structure of a bipolar Aluminum

npn-transistor with a buried collec- / I \ SiOD
tor.
.......... ..........
.......... n-Silicon ..........
..........
.......... :::::::::A
I/.._.J ............ ...........
..........................................
n*-Silicon
p3iG-I
(7.48)
The ratio of the first term in the square bracket of (7.48) to the second is
kT to U g . Under normal conditions this is small, and neglecting it the ratio
of the power changes dPL and dPB takes the simple form
(Z) = P UUC
B. (7.49)
Therefore, the power amplification turns out to be proportional to the cur-

rent amplification. As far as the proportionality factor is concerned, we
note that the voltage drop across the collector-base np-junction (biased in
blocking direction), is larger than the voltage U B across the baseemitter
np-junction (biased in flow direction). Because of this, the collector-emitter
voltage U c is larger than U g , and the the power amplification is in fact
larger than the current amplification. Small changes of electric power in the
base circuit are therefore correlated with large power changes in the working
resistor. Of course, this does not mean amplification of power in the sense
that a large power is generated by a small power. Rather, it means that a
large useful power is tuned by a small control power.
The base circuit is also called the input circuit, and the collector circuit
the output circuit. Using this terminology one can also say that the bipolar
transistor allows the control of a large output power by means of a small
input power. The input resistance of the bipolar transistor, i.e. that of the
base circuit, is relatively low, since the corresponding pn-junction is biased

in the flow direction. The output resistance, i.e. that of the collector circuit,
is relatively large compared to the former, because the second pn-junction
operates in the blocking direction. This particular feature of the bipolar
transistor essentially determines its application in electronic circuits. In
the case of an unipolar transistor like the MOSFET, the relationships are
Account: ns145102
P I n n
Figure 7.11: Lineup of the valence and conduction band edges at a pn-junction
between moderately doped regions (a) and heavily doped regions (b).
reversed, as we will see below; there the input resistance is high and the
output resistance low.
Due to the planar fabrication technology of microelectronics, the bipolar
transistor, as it is actually used in integrated circuits, is structured differently
than the one used in our theoretical analysis. A more realistic structure is
shown in Figure 7.10.
7.1.6 Tunnel diode
The injection-recombination mechanism of current flow in a pn-junction is

valid as long as the doping of the two regions is not extremely heavy ~
strictly speaking, as long as the bulk Fermi levels Epn and EF, do not lie in
the respective bands (Figure 7.11a). When the latter occurs (Figure 7.11b),
then there are energy levels at the conduction band bottom which are at
the same position as some of the energy levels at the valence band top. The
two energy bands partially overlap. In the overlap region each energy level
belongs simultaneously to valence and conduction band states. However,
the corresponding wavefunctions are localized in different regions of the pn-
junction - those of conduction band states in the n-region, and those of
valence band states in the pregion. An electron from a conduction band
state with an energy level in the overlap region can transfer into a valence
band state at the same energy. One then says that the electron tunnels from
the conduction band into the valence band (also see section 3.8 on tunneling
due to an external electric field). Analogously, electrons from the valence
band can tunnel into the conduction band. The probability for a tunneling
transition is the same in both directions.
Account: ns145102
Figure 7.12: Current-voltage char-

I
acteristics of a tunnel diode.
).
0 I
0 02 084
u/v-
In order for an electron of a given energy to actually be able to tunnel,

it must find unoccupied states of the same energy in the other band. In
equilibrium at temperature T = 0, the only possibility would be electrons
having energies above the Fermi level, but there are none such. This means
that in equilibrium at T = 0 no current can flow due to tunneling transitions
between the valence and conduction bands. This equilibrium result also
remains valid for T > 0. For simplicity, we proceed with the case T = 0
below. Applying a weak positive voltage to the pn-junction, the valence band
in the p-region is lowered relative to the conduction band in the n-region,
and the same happens with the Fermi levels in the two regions. Then there
are electrons of the conduction band in the n-region that can find unoccupied
states of the same energy in the valence band on the p-side of the junction.
Therefore, an electron tunneling current flows from the n-region into the
p-region of the junction. Further increasing the positive voltage, a point
is reached at which the valence band top in the p-region drops below the
conduction band bottom in the n-region. Then there are no more common
energy levels on the two sides of the junction, and tunneling is no longer
possible. The tunneling current through the junction vanishes. pn-junctions
with the above described properties are called tunnel or Esaki diodes.
In Figure 7.12 the current-voltage characteristic of a tunnel diode is
shown schematically. The dashed curve marks the tunneling current con-
tribution to the total current which also contains, besides the tunneling
current, a drift-diffusion current. Moreover, tunneling can resume with the
aid of phonons, so that an energy difference between the tunneling states on
the two sides of the junction is allowed when bridged by the absorption or
emission of phonons. This process is referred to as phonon-assisted tunneling
(in analogy to photon-assisted tunneling treated in section 3.8).
7.2. pn-junction in interaction with light 595
7.2 pn-junction in interaction with light
7.2.1 Photoeffect at a pn-junction. Photodiode and photo-

voltaic element
If a homogeneous semiconductor sample is irradiated with light, electron-hole
pairs are generated. Only part of them is removed by recombination, so that
in the stationary state there remain excess concentrations An of electrons
and A p of holes. These may be calculated from the pair of equations (5.11))
(5.12) which state the equality of the generation rate g and recombination
rate R in the present case. With R of (5.68) and g of (5.27), it follows that
An = Ap = I-g = I-
(E) (7.50)
where I- is the recombination lifetime of the electron-hole pairs and Tzw is the
photon energy of the radiation (the latter is taken to be monochromatic),
Using equations (7.11) and (7.12), the corresponding quasi Fermi levels p n
and pP of, respectively, electrons and holes may be calculated. Due to the
optical excitation they have different values - that of the electrons is raised
and that of the holes is lowered in comparison with the common equilibrium
value. If a voltage is applied to the sample, the current flow is stronger
when the sample is illuminated than without illumination. This phenomenon
is called the internal photoeffect. Alternatively, if one keeps the current
constant, then the photoeffect lowers the voltage drop across the sample.
The illumination leads, so to say, to a negative pre-voltage of the sample.
The latter is just the difference of the quasi Fermi levels of the electrons and
holes.
In these considerations, a spatially homogeneous distribution of light in-
tensity within the semiconductor sample has been assumed. However, since
the light is absorbed in the excitation of the electron-hole pairs, this assump-
tion is not justified. The intensity decays exponentially in the direction of
light propagation. This leads to a corresponding spatial inhomogeneity of
the electron and hole concentrations, which gives rise to diffusion. If the dif-
fusion coefficients of electrons and holes are the same, then diffusion makes
no contribution to electric charge transport since the electron and hole cur-
rents exactly compensate each other. If the diffusion coefficients are different,
however, as often actually happens, either a net current or voltage will arise
in the light propagation direction, depending on whether the two ends of
the sample are electrically connected or not. This phenomenon is called the
Dember effect.
The homogeneous semiconductor photoeffects discussed above are rela-
tively small in comparison with the photoeffects which occur at semicon-
Account: ns145102
ductor junctions with reverse biased space charge regions. As examples of

the latter, we have the depletion region at a pn-junction, also at a metal-
semiconductor junction, an insulator-semiconductor junction or a free sur-
face. In the case of a pn-junction, various configurations are possible: the
light can propagate parallel to the boundary plane between the p- and n-
regions or normal to it, and in the latter case, the depletion region can be
smaller or larger than the penetration depth of light, etc.
Below, we will deal with a pn-junction and assume that the light prop-
agates perpendicular to the boundary plane between the p- and n-regions,
(parallel to the x-axis of our Cartesian coordinate system, see Figure 7.13).
The corresponding pn-structure is, contrary to what has been assumed thus
far, no longer infinitely extended in both directions but bounded in the pos-
itive z-direction by a plane surface at 2 = 20. We take this surface to lie
on the n-side of the junction, far enough from the depletion region so that
the light is completely absorbed before reaching this region. This assump-
tion simplifies our theoretical description, although it does not essentially
influence its results. Under the assumed conditions, the optically excited
electrons and holes diffuse away from the surface, towards the depletion re-
gion. While the holes are attracted from the negatively charged p-side of
this region, the electrons are repelled from there (see Figure 7.13). In the
space charge field of the depleted p-region the holes drift deeper into the
sample where they recombine. The electrons stay in the surface surface re-
gion and recombine there. Consequently, a net hole current &hob flows from
the surface into the bulk. Its magnitude is determined by the hole diffusion
current at the boundary x = x,, of the depletion region. The maximum pos-
sible value j p h t o of the hole current is given by the photon current density
( I l h w ) multiplied by -el i.e.
(7.51)
This upper limit is reached if all optically excited holes diffuse as far as the
plane 3: = xn, which means that they do not recombine, neither at the surface
nor in the bulk of the sample. We assume this condition to be fulfilled.
The flow of positive charge through the np-junction from its n- to its p-
side, is just the opposite of what happened at the np-junction in establishing
equilibrium without illumination by light. In the latter case, the transfer of
charge results in the diffusion voltage. Therefore, exposure to light reduces
the diffusion voltage. The voltage change U$ooto is called the photovoltage. In
the case of the open pn-circuit considered here, in which the outer planes of
the p- and n-regions are not electrically connected, the total current density
jgbl in a stationary state must vanish. The latter is composed not only of
the photocurrent density, jphoto, but also of the current density j through the
pn-junction under the photovoltage U$ooto. This voltage takes a value which
Account: ns145102
Figure 7.13: pn-junction subject to light illumination.
Figure 7.14: Electric circuit with an illuminated pn-junction.
guarantees the vanishing of the total current density jgtal.Using expression

(7.28) for the current through the pn-junction, it follows that
(7.52)
If the outer planes of the p- and n-regions are electrically connected (see
Figure 7.14), and if the resistance R in this circuit is 0 (short-circuit), then
the voltage drop across the pn-junction is also zero, and the current
tota
.O at = iphoto. (7.53)
flows. If the resistance in the pn-circuit is neither 0 nor infinity, but has
a finite value R , then the photovoltage takes a smaller value UpRhoto than
Uphoto, and the total current density takes a smaller value jEtal than j:oM.
The two quantities jEbl and Ugot0 are determined by the equations
(7.54)
Account: ns145102
Here, A is the illuminated area of the pn-junction. Depending on the size

of the working resistor R , the pn-junction can either be used to transform
small light-signals into voltage signals, i.e. as a photodetector, or for the
generation of electric power, i.e. as a photovoltaic element.
P hot odet ect or
In the case of the photodetector, the working resistance R must be chosen

as large as possible, so that the largest possible photovoltage occurs. For
R = 00 it follows from equations (7.54) and (7.55) that
kT
(7.56)
This relation shows that Urhto is more sensitive to the light intensity I for
smaller saturation current density j, of the pn-junction. In subsection 7.1.4,
j, was estimated to be 10-"A/cm2 for a pn-junction made of Si. From this,
one can conclude that for hw = 1 e V , a light power of 10-l' W / c m 2 will
create a photovoltage of the order of magnitude 10 mV. The upper limit of
photovoltage is given by the diffusion voltage U D . This cannot be surpassed
because the space charge region would cease to exist if Upmbto were to exceed
Uo. In the latter case, no separation of optically excited electron-hole pairs
could take place, which is crucial for operation of the device.
Photodetectors involving semiconductor junctions are referred to as photodi-
odes. Beside the pn-photodiode discussed above one has also pin-photodiodes
with particularly wide depletion regions (symbolized by the 'i' in pin). Other
examples are met al-semiconductor or heteroj unction photodiodes.
Photovoltaic element
In the case of the photodetector, the usable electric power is very small and,
in fact, for R = 00 it vanishes. If the illuminated pn-junction is to produce
electric power, then R cannot be made infinitely large. On the other hand,
R also cannot be taken arbitrarily small, because then there would be no
voltage drop at the pn-junction at all and the power would vanish for this
reason. For finite values of R , a non-vanishing electric power is generated,
with light energy converted directly into electric energy. The useful electric
power R(Ajztd)2 can be calculated by solving equations (7.54) and (7.55)

with respect to jzhland Upbto. The calculation shows that the efficiency of
photovoltaic energy conversion can, theoretically, reach up to about 40 %.
In practice, it is not much more than 10 % in most cases currently. Photo-
voltaic elements have wide and important practical application as solar cells,
particularly those made of silicon.
Account: ns145102
7.2.2 Laser diode

If a pn-junction is biased in flow direction, the minority carriers diffuse into
the depth of the two bulk regions, where they recombine. The manner in
which recombination proceeds is unimportant if one is only concerned with
current transport. In our previous calculations we assumed radiationless
recombination through deep centers (Shockley-Read-Hall recombination).
This was justified inasmuch as the recombination rate RmT of this process
appreciably exceeds that of other recombination processes in many cases.
Under appropriate conditions, however, radiative recombination processes
can also play an important role. In such processes electron-hole pairs anni-
hilate with the emission of photons (see section 5.2). If the emission proceeds
spontaneously, then the recombination rate Rap, is given by the expression
(7.57)
where rSwT is the corresponding spontaneous radiative recombination life

time and An = n - no is the excess concentration of electrons beyond the
equilibrium value no. On the other hand, light emission can be induced by
the radiation itself. Then one speaks of stimulated emission processes. In
the following considerations we assume monochromatic light with a definite
phase and propagation direction. Its photon energy hw is taken to match
the band gap energy of the semiconductor. The light propagation is de-
scribed by the photon current density S (flux of photons crossing unit area
in unit time), which follows from the light intensity I by means of the rela-
tion I = hwS. In terms of S, the radiative recombination rate RstimTdue to
stimulated emission may be written as
(7.58)
where g is the so-called gain coefficient. The latter is defined as the negative
of the absorption coefficient, strictly speaking, that part of the absorption
coefficient which is due to the excitation of electrons from the valence into
the conduction band. The dimension of g is, therefore, that of a reciprocal
length.
In order for g to be greater than zero, the semiconductor must be put into
an excited state. The energy of this excited state (relative to that of the
ground state) is the energy emitted in stimulated emission when irradiating
the semiconductor with light. If the emitted radiation is to prevail over that
absorbed, the number of stimulated transitions from the excited state to the
ground state must be larger than the number of transitions in the opposite
direction. This case is realized when, in the excited state, the conduction
band edge is occupied by more electrons than the valence band edge. This
is called an occupation inversion In the case of equal occupation of the two
Account: ns145102
band edges, absorption and stimulated emissions compensate each other,

which means that the semiconductor is transparent (not counting sponta-
neously emitted photons and the losses by absorption processes which are
not related to transitions of electrons from the valence to the conduction
band, like absorption by free carriers or phonons). The gain coefficient g
is zero in the transparent state. Generally, in accordance with the remarks
above, g is a function g(n) of the electron concentration n in the conduc-
tion band. The particular concentration which corresponds to the case of
transparency g ( n ) = 0, is called the transparency concentration nt,. In the
vicinity of nt,, g ( n ) may be represented by a linear Taylor expansion with
respect to ( n - ntr),such that
9= d ( n - ntr), (7.59)
where g is a constant. Although this expansion holds for both signs of

( n - nt,), we assume ( n - nt,) > 0 below. .This is to say that we consider
only cases in which stimulated emission dominates over absorption due to
optical transitions from the valence to the conduction band.
In order to achieve occupation inversion, heavily doped pn-junctions are
required, for which the bulk Fermi levels of the p- and n-regions lie, respec-
tively, in the valence or conduction bands (see Figure 7.15). By applying
a sufficiently large flow voltage to such a junction, a non-equilibrium state
can be created in which, close to the nominal transition region at x = 0,
the two quasi Fermi levels differ by more than the energy gap. This indi-
cates occupation inversion according to the definition above. The layer of
the pn-junction in which inversion occurs is termed the active region There,
the first of the two laser conditions, the occurrence of occupation inversion,
is fulfilled. To also meet the second laser condition, namely the presence
of radiation feedback, one has to provide that the active region operates as
a Fabry-Perot resonator in one of the two directions perpendicular to the
x-axis (here we take the y-direction, see Figure 7.16). This can easily be
achieved by simply cleaving the semiconductor sample perpendicular to the
y-axis. The cleavage planes function as mirror planes because of the high
refractive index of semiconductor materials. A pn-junction prepared in this
way is called a laser diode.
The useful laser output is the radiation which passes out through the
resonator planes, as they are not ideal mirrors. This radiation is completely
determined by the radiation within the resonator. Thus, the latter must be
calculated to understand the laser diode quantitatively, and we will do this
below on the basis of the qualitative considerations above.
As we have seen, occupation inversion at thepn-junction comes about by
the injection of minority charge carriers under the influence of a flow voltage.
In section 7.1, the corresponding injection current density j was determined
Account: ns145102
Figure 7.15: Heavily doped pn-junction without voltage (a) and with voltage in
flow direction (b). In case (b) occupation inversion occurs in the vicinity of the
pn-boundary at x = 0.
as a function of applied voltage. Here, we need the relation between j and the
photon current density S, taking the electric current density j be given. As
we shall see, the functional dependence of S ( j ) can be calculated just from
the continuity equations for the carrier currents j,, j , and the photon current
density S. For simplicity, we assume a symmetric pn-junction, for which it
Figure 7.16: Geometry of a laser diode.
Account: ns145102
suffices to consider only the electron current density j,. Also, the active
region is symmetric with respect to x = 0 under this assumption, so that
it extends between -(1/2)x,4 and ( 1 / 2 ) z ~with ;CA being the total length
of the region. The continuity equation for the electron current density j ,
was written down in Chapter 5 in general form. The derived relation (5.20)
will be specialized here in the following way. First of all, we recall that the
total current density j = j n ( z ) +jp(z)is spatially constant in the stationary
state, while the two components j n ( x ) and &,(I) vary with I. On the right-
hand side of the active region, j n ( z ) is almost identical with j , while &(z)
practically vanishes. On the left-hand side of the active region, jp(x) has
almost the same value as j , while jn(x) is close to zero. Consequently, in
stationary state, we find for the active region the approximate relation
(7.60)
Relaxation processes which change the electron concentration in time include

non-radiative recombination as well as spontaneous radiative and induced
radiative recombinations. For the assumed symmetric pn-junction, the non-
radiative recombination rate Rmr is determined by a common lifetime T
for electrons and holes, as follows,
An
R-p= -. (7.61)
7-
Applying expressions (7.57), (7.58) and (5.60), (5.61) to the continuity equa-
tion (5.20) for the electron current, we have
an j
---=
An An
gs. (7.62)
at exA 78pDnT
To formulate the continuity equation for the photon current density S , an

expression for the pertinent photon density is needed. According to electro-
dynamics, this density is (S/c) where c denotes the group velocity of light
propagation. The source density of the photon current is zero since S flows
in y-direction and the pn-junction can be considered as homogeneous in this
direction. The photon density does involve,external sources, however, due to
spontaneous and stimulated radiative annihilation emission processes. Since
each radiatively recombining electron-hole pair creates a photon, the corre-
sponding source density is - apart from a modification which will be detailed
immediately below - given by the sum of the radiative recombination rates,

i.e. it is the negative of the last two terms on the right-hand side of equa-
tion (7.62). The modification affects the second term (An/rSmT),which
describes spontaneous emission. Only a small fraction of the spontaneously
emitted photons have the same propagation direction and phase as those
due to stimulated emission. Thus this term must be multiplied by a factor
Account: ns145102
,B substantially less than unity if incorporated in the continuity equation for

S. The source terms due to spontaneous and stimulated emission must still
be complemented by an additional term, which accounts for light absorption
processes which are not due to transitions of electrons from the valence to
the conduction band (see above). We denote the corresponding absorption
coefficient by a. The pertinent (negative) photon source density is -as. In
a , one can also include losses due to the penetration of photons through the
resonator planes which are unavoidable because otherwise the laser would be
ineffective for the world outside. Finally, the continuity equation for photon
current density takes the form
(7.63)
where the left-hand side is the change of the photon density per second. We
are interested in the stationary state of the laser defined by
an dS
- = 0.
- -- (7.64)
at at
We first consider g to be different from a. As we will see, in stationary state,
this necessarily means that g is less than a:
g<cw
The corresponding photon current density S< follows from equation (7.63)
as
(7.65)
Since S<, An and rSpT are positive quantities, only the case g < a is
meaningful, as indicated above. The photon current density S< given by
equation (7.65) is relatively small because the spontaneous radiative lifetime
T~~~~ has relatively large values and P is small compared to one. This is
true on the proviso that g does not approach the value of a very closely, or,
in other words, as long as the electron concentration n is distinctly smaller
than the threshold value nth defined by the relation
0: = 9/(nttZ - nt7-1. (7.66)

The dependence of the photon current density S< on the carrier current
density j follows from equations (7.62) and (7.63) as
j
s<= (7.67)
ez~[g< + ( l / P ) ( l + rspa~/r)(a- g<)I
Here, g has been replaced by g< to indicate that the value of g has to be taken
as that which follows from g / ( n - ,ntT) for n < nth. If spontaneous emission
Account: ns145102
is assumed to be extremely weak, i.e. if rSpar= 00, then it follows that

S< = 0. This result indicates that under the assumption n < nth the photon
current density S< is determined by spontaneous and not by stimulated
emission. The pn-junction does not operate as a laser but as a spontaneous
radiation emitter. Devices which rely on spontaneous emission, the so-called
light emitting diodes (LEDs), are, however, constructed differently than laser
diodes, in particular, they do not have a Fabry-Perot resonator. Also, their
physical basis differs from that of the laser diode. Instead of focusing on the
radiation propagating in one direction with the same phase and frequency,
the total radiation is important. We will not discuss LEDs in greater detail
here.
The photon current density S remains relatively small if the lifetime
rsponrfor spontaneous emission is identified with the value that actually
occurs in semiconductors, instead of replacing it by 00. The contribution of
radiative recombination to the carrier current density j in equation (7.62)
can be neglected under these circumstances, and we have, approximately,
(7.68)
This equation relates the electric current density j and the electron con-
centration n below the laser threshold. The threshold concentration nth
corresponds to a threshold carrier current density j t h as
(7.69)
Laser operation can occur only if the threshold current density j t h is ex-
ceeded. We will assume that this is the case. Then, by definition, we have g
equal to a:
The photon current density can now take non-vanishing values if rVar = 00.
This does not contradict the photon current continuity equation (7.63) under
the stationary conditions (7.64) because (g - a ) S now vanishes since (g - a)
does so. The actual value S> of S for a given current density j > j t h may be
obtained from the carrier continuity equation (7.62). In the approximation
rspar = 00, it yields
(7.70)
We will show that S> is in fact considerably larger than Sc. To this end,
we consider S> given by equation (7.70) for j = 2jth, and examine the ratio
of s>(2jth) to s<of (7.67) for j = j l h , obtaining
Account: ns145102
3
laser diode as a function of current den-
0
\
sity j (schematically). v)
I / *
Jth j 1a.u.
Generally, the spontaneous radiative lifetime 7spaT is much larger than the
non-radiative lifetime T. One has (7spaT//37) > 1 since ,B << 1. The ratio
( g < / m ) is a positive number measurably smaller than 1. Therefore, the
right-hand side of equation (7.71) is large compared to 1, meaning that
the value of the photon current density S, above the threshold current
density substantially exceeds the value S< below threshold. This is the
manifestation of the laser effect. One can also say that the pn-junction
functions as a laser diode when j > j t h holds. The functional dependence
of the radiation intensity over the entire current density range is shown
in Figure 7.17 schematically. The characteristic feature of the curve is its
steep rise at the threshold density jth. This point marks the transition from
spontaneous to stimulated emission, thus the onset of the laser regime.
To estimate the order of magnitude of the threshold current and of the
radiation intensity of a laser diode, we choose parameters close to those of
G ~ A SWe . take ntr = ~ ,= 2 . 1 0 ~ ' cmv3, X A = 1 p m , r =
c m ~ nth
lo-' s, and a = lo3 cm-'. With these values the threshold current density
of (7.69) is j t h = 103A ern-'. The corresponding current strength amounts
to 1 m A if a contact area of 10 x 10 ,urn2 is assumed. For current strength
2 m A the radiation intensity RwS within the resonator is about 10 mW. This
example shows that the radiation intensities of semiconductor laser diodes
are large enough to be employed for practical purposes, in particular in
information processing and communication. Currently, semiconductor laser
diodes are widely used in optical fiber communication, CD-players, scientific
instruments and in many other ways.

The spontaneously emitting diodes (LEDs) have also attained wide prac-
tical application, e.g., for signal generation and pattern display. Since the
radiation emitted by laser diodes and LEDs lies in the photon energy range
close to the band gap, one can theoretically cover the entire frequency spec-
trum from the infrared to the near UV by a proper choice of semiconductor
Account: ns145102
material. The practical difficulty of accomplishing this goal increases with

frequency. There are various reasons for this, the most general being the
separation of the operating non-equilibrium state from equilibrium: it be-
comes larger, and therefore more difficult to achieve, if the gap increases.
At this time, usable laser diodes and LEDs exist from the infrared up to the
green spectral region. Blue and ultraviolet light emitting devices are still
the subject of research.
7.3 Metal-semiconductor junction in an external

voltage. Rectifiers
Only non-ohmic metal-semiconductor junctions, i.e. Schottky junctions are
suitable for active electronic functions. Therefore, we restrict our consider-
ations here to the latter. Moreover, we suppose that the semiconductor is
n-type. For p-type semiconductors analogous results may be derived. The
two most important electronic devices based on Schottky contacts are the
metal-semiconductor rectifier and the MESFET. The physical principle of
MESFET operation is similar to that of the MOSFET. It relies on the change
of charge carrier concentration due to an external voltage in a thin layer of
the semiconductor at the interface with, respectively, the metal or insulator.
We will discuss this in section 7.4 in connection with the MOSFET. Here, we
concentrate on the physical principle of operation of the metal-semiconductor
rectifier, involving current transport through a biased Schottky junction.
As in the case of the pn-junction, the application of an external voltage
U to a Schottky junction results in a reduction of the diffusion voltage UD
of (6.58) by U , so that
(7.72)
We will assume that the Schottky approximation can be used in the semi-
conductor, i.e., that the inequality (7.4) is fulfilled. Then the division of the
semiconductor into depletion and bulk regions also retains meaning here.
The width X B of the depletion region follows from (6.62) if U D there is re-
placed by U D - U . The current in the bulk region of the semiconductor
is carried by majority carriers, just as in the case of the pn-junction. For
the assumed metal-n-type semiconductor junction, the majority carriers are
electrons on both sides of the junction. At the interface between the two
materials, electrons are thermionically emitted from the metal into the semi-
conductor, and vice versa, electrons from the semiconductor are emitted into
the metal. We denote the particle current density from the metal by i M S ,
and that from the semiconductor by i S M . The two partial current densities
add up to the total current density i through the junction. All three current
Account: ns145102
7.3. Metal-semiconductor junction in an external voltage. Rectifiers 607
a) 0 - r 8 u-0
Metol n- Semiconductor
bl
c) +t+ UCO
___.
u70
c
---T'
---I---: L- \
i": I
x x x
I
iI ------
I
I
x x A_-
I
I
I
I
L
XB X
Figure 7.18: Illustration of current flow at a Schottky-contact, a) without voltage,

b) with voltage in flow direction, and c) with voltage in blocking direction. The
crosses in b) and c) indicate that the Fermi level is not defined in the space charge
region.
( U )i ( U ) of the external voltage U ,

densities are functions i ~ s ( U ) , i s ~ and
and
i ( U ) = iMS(U)- iSM(Cr). (7.73)
In the absence of any voltage (see Figure 7.18a) one has i(0)= 0, i.e., the
two partial currents compensate each other, so that
i M S ( 0 ) = 1'SM(O). (7.74)
The application of a voltage U causes the space charge barrier of the semi-
conductor to change, for U > 0 it is lowered (Figure 7.18b), and for U < 0 it
is increased (Figure 7.18~).Accordingly, the current i s ~ ( Ufrom

) the semi-
conductor into the metal increases (U > 0) or decreases (U < 0). However,
the current from the metal into the semiconductor remains constant since
the potential barrier to be overcome by the electrons, the Schottky barrier
Cpg, does not change with applied voltage. Thus,
iMS(U)= iMS(0). (7.75)
The total current density i in the presence of the voltage U may then be
written as
i ( U ) = i ~ s ( 0-) i s ~ ( U ) . (7.76)
We first calculate i ~ s ( 0 )In. this, we consider a metal electron which, after
passing into the semiconductor, has quasi-wavevector k and energy Ec(k).
Since no momentum and energy change takes place in crossing the interface,
the quasi-wavevector of this electron is k and its energy Ec(k) in the metal as
well. The probability to find an electron in the metal with energy E = Ec(k)
is given by the Fermi distribution f i ~ ( Eof) the metal,
(7.77)
The current density i ~ s ( 0is) the statistical average of the speed component
h-'(Ll/LlkX)Ec(k) in the positive 2-direction, per unit volume. According to
the general rule (5.3) for calculating statistical averages we have
The boundaries of the first B Z were put to infinity here, involving only a
slight error. In fM(Ec(k)) we replace -EFM by the work function @ of the
metal. This also indicates that, henceforth, the energy origin will no longer
be taken at the top of the semiconductor valence band, but at the common
vacuum level of the two materials. Since [Ec(k)+@] >> k T , the Fermi distri-
bution (7.77) can be approximated by the Boltzmann distribution, whence
(7.79)
For Ec(k) we use an isotropic parabolic dispersion law with effective mass
m:. Then relation (7.78) takes the form
Account: ns145102
The conduction band edge, referred to the vacuum level, lies at E, = - X

so that @ +
E, = CI, - X is equal to the Schottky barrier @B. After a short
calculation we find
i ~ ~ (=0 ) -OB/kT, (7.81)

4
with
(7.82)
as the average speed component in positive z-direction and n as the electron

concentration in the semiconductor. Somewhat surprisingly, through mE and
n quantities characteristic of the semiconductor occur in expression (7.81)
for i ~ s ( Oalthough
), the current originates in the metal and one might have
expected the appearance of characteristic metal quantities only. The reason
is that for U = 0 (which is the case we are considering now) thermodynamic
equilibrium exists, and the current from the metal into the semiconductor
must equal the current from the semiconductor into the metal. That the
latter depends on semiconductor quantities is obvious.
The interpretation of i ~ ~ (as0 a)current i ~ ~ (from0 ) the semiconductor
into the metal in thermodynamic equilibrium may also be used to calculate
i s ~ ( Uin) the presence of a voltage. For U = 0, first of all, this interpretation
yields the expression
If a voltage U is applied to the junction, the conduction band edge of the

semiconductor at the interface with the metal shifts from its equilibrium
position E, to the new position E, - e U . This change in (7.83) leads to the
relation
iSM(U) ,eU/kT Z S M ( 0 ) .
I (7.84)
Correspondingly, the total particle current density i ( U ) is
(7.85)
For the electric charge current density j = -ei it follows that
(7.86)
with
I -@p,/kT
j , = Tenvoe (7.87)
Lf
Account: ns145102
6 10 Chapter 7. Semiconductor junctions under non-equihbrium conditions
For positive voltages U , the current density j grows exponentially with in-
creasing U , while for negative U of increasing magnitudes, j approaches
the saturation current density -js. The latter occurs when 1UI >> kT holds.
The Schottky junction therefore operates as a rectifier, with positive voltages
corresponding to the flow direction, and negative to the blocking direction.
The following estimate shows that j , can assume quite large values. For
T = 300 K , N D = 10l6 cm-3 and @B = 0.25 e V , we have j , 0.2 A / c m 2 .
From this we may conclude that Schottky junctions are suitable for rec-
tification of relatively strong currents. This distinguishes them from pn-
junctions where the saturation current density is commonly much lower (see
section 7.1). The reason for this difference is that the saturation current of
a pn-junction is due to minority carriers, while the saturation current of a
Schottky junction is caused by majority carriers.
The conditions of validity for the current-voltage characteristic of a metal-
semiconductor junction derived above will now be examined. The applica-
tion of formula (7.83) to the calculation of the current density iSM(0) reflects
the assumption that thermionic emission of electrons from the semiconduc-
tor into the metal proceeds unhindered. To appreciate the significance of
this assumption one must first recognize that the emitted electrons originate
in the bulk region of the semiconductor, for in the depletion region none are
available. Unhindered emission can only occur, therefore, if the electrons,
during their flight through the depletion region suffer no collisions. That is
assured if the mean free path length Zf is larger than the space charge width
"B,
lf > X B . (7.88)
For practical Schottky junctions, operating in blocking direction, this con-
dition is often fulfilled, provided the blocking voltage is not too large. For
flow voltages of sufficient magnitude it is always correct. Condition (7.88)
excludes the possibility that the depletion region can even approximately
be in a local equilibrium state. In particular, chemical and electrochemi-
cal potentials cannot be meaningfully defined, not even in a local or 'quasi'
sense. This implies that an essential requirement for the applicability of
the phenomenological equations (5.14) and (5.15) for the current densities is
no longer valid. If the inequality (7.88) is satisfied, drift and diffusion lose
their meaning as transport mechanisms in the depletion region of a metal-
semiconductor junction. The transport proceeds by electrons flying through
the depletion zone unimpeded, which is termed ballistic transport. If, instead
of l f > ZB, the condition
lf << X g (7.89)
holds, then equation (7.83) is no longer valid for use in calculating i S M ( 0 )
and i s ~ ( U ) The
. magnitude relation (7.89) is just the upper part of the
general condition (5.9) for the validity of the phenomenological equations,
Account: ns145102
Figure 7.19: Population and depopulation of interface states at an insulator n-type

semiconductor junction.
applied to the Schottky junction. If the condition (7.89) is satisfied, these

equations can be used to calculate i ~ ~ ( 0 In ) . doing so one obtains the
so-called diffusion theory of current flow through the Schottky junction. A
detailed outline of this theory will not be given here. Qualitatively it yields
results similar to the above theory of i s ~ ( U )which
, in this context is called
the thermionic emission theory. In fact, the two cases (7.88) and (7.89) must
also be distinguished in the theory of current flow through a pn-junction.
Starting from the phenomenological current equations in section 7.2, we also
assumed the validity of a condition similar to (7.89) when we considered the
case of a pn-junction. This means that the diffusion theory of current flow
was developed, and the diode theory was omitted, in our earlier discussion
of the pn-junction. For the pn-junction this is justified inasmuch as the
diffusion theory is applicable in most cases, while the thermionic emission
theory is not.
If the depletion region of the metal-semiconductor junction becomes so nar-
Account: ns145102
row that the electrons can tunnel through the potential barrier, then even
the thermionic emission theory is no longer valid. This occurs in heavily
doped semiconductors. In this case the Schottky contact conducts well in
both directions, and it becomes an ohmic contact. This effect is exploited
in manufacturing contacts in silicon devices. The frequently used contact-
metal, aluminum, would in fact result in a non-ohmic Si-metal contact if the
doping were not sufficiently high. The heavy doping of Si makes this contact
ohmic, as is necessary for the proper operation of devices.
7.4 Insulator-semiconductor junction in an exter-

nal voltage
In Chapter 6 we saw that the properties of an insulator-semiconductor junc-
tion in thermodynamic equilibrium depend on whether interface states are
present or not. If such states do exist, the bands at the interface are already
bent without an applied voltage, and one has a depletion or accumulation
layer there. These arise in consequence of the spatial redistribution of free
charge carriers in the presence of interface states - some of the carriers are
either captured or generated by these states (see Figure 7.19). The semi-
conductor as a whole thereby remains electrically neutral, of course. This
changes if a voltage is applied.
7.4.1 Field effect

Consider an insulator layer of finite thickness d on top of a semi-infinite
semiconductor of either n- or p-type (see Figure 7.20). To applying voltage,
a metal layer must be deposited on the surface of the insulator at x = -d. I f
this layer is put at potential p ( - d ) , and the outer semiconductor boundary
at x = 00 is at potential p(00), then the voltage U across the structure is
given by the relation
U = p ( - d ) - p(00). (7.90)
The electric field strength deep in the semiconductor, i.e. at x = 00, contin-
ues to be zero even in the presence of the external voltage, whence
(7.91)
From electrostatics it follows that under these circumstances, electric charge

is induced in the semiconductor. The amount of this charge turns out to be
the negative of the charge which must be put on the metal layer to establish
the voltage U across the insulator-semiconductor junction. This applies,
strictly speaking, to the case in which the static dielectric constants E I and
E of the insulator and semiconductor, respectively, are equal. If E I differs
Account: ns145102
7.4. Insulator-semiconductorjunction in an external voltage 613
u<o
UO
Figure 7.20: Formation of depletion and accumulation layers at an insulator-

semiconductor junction subject to an applied voltage.
from t, then the charge on the metal contact has to be multiplied by the
factor ( I / ) to get the induced charge. Since, in general, E I is smaller than
t (ferroelectrics are an exception), the induced charge is generally a fraction
of the charge placed on the metal contact. Inducing charge at an insulator-
semiconductor junction by applying a voltage is also referred to as field effect.
This effect has played an important role in the development of semiconductor
physics. The thought of exploiting it to induce a change of semiconductor
resistance by means of an external voltage, hence, to develop a kind of

a transistor, is obvious and was followed by several scientists in the late
twenties and thirties of this century. Initially, the efforts were not successful,
however. Instead of the field effect transistor, the bipolar transistor was
invented in 1949 - in a sense as a byproduct of the search for the former.
The main reason for the failure of the early work on the field effect transistor
Account: ns145102
is the existence of interface states at the junction of the insulator and semi-
conductor. If such states are present in sufficiently high density, which was
in fact the case in the early work, all of the induced carriers are captured
by them. Since carrier mobility in these states is zero, the resistance of the
semiconductor does not change. Generally, the number of electrons cap-
tured depends on how many unoccupied interface states are pushed below
the Fermi level by applying the external voltage (see Figure 7.19c), or how
many previously occupied states are lifted above the Fermi level (see Figure
7.19b). The amount of captured charge represents, in this way, a measure of
the number of interface states in an energy interval at the Fermi level of the
size of the applied voltage. By measuring this charge as a function of applied
voltage U , which can be done, e.g., by measuring the capacitance change of
the insulator-semiconductor junction with U , one may obtain experimental
data about the density of interface states at different energies.
7.4.2 Inversion layers

For a field effect transistor to work well, the density of interface states
must be as small as possible. In the following, we will neglect these states
completely and will study the effect of an applied voltage on an insulator-
semiconductor junction under these circumstances. Qualitatively, it can be
ascertained immediately, that for not too large voltages U , an accumulation
or depletion layer is formed depending on the sign of U and the type of
semiconductor (see Figure 7.20). Below, we assume a p-type semiconductor.
Starting from U = 0, an increase of U bends the bands of the semiconductor
at the interface with the insulator downward. Increasing U further, sooner
or later, a point is reached at which the conduction band energy Eg - ecp(0)
at the interface dips down below the Fermi level EF (see Figure 7.21). This
happens if the voltage drop across the semiconductor Us = cp(0) - cp(00) is
larger than (Eg- E F ) / e 3 Cro, i.e. if
(7.92)
holds. Increasing the voltage U further, the conduction band edge E,-ecp(O)
at x = 0 is pushed further down, and the region of the semiconductor in
which the conduction band edge lies below the Fermi level extends to the
right to a point xi > 0 given by the relation
E g - ecp(zi) = E F . (7.93)
(see Figure 7.21). In this region the free charge carriers are not predomi-
nantly holes, as otherwise in a p-type semiconductor, but rather, they are
electrons. The conduction carrier type is inverted in this region, which is
therefore called an inversion layer. The electrons in the inversion layer of a
Account: ns145102
Figure 7.21: Inversion layer at an insulator-ptypesemiconductor junction.
psemiconductor form a degenerate electron gas. Their concentration is of

the order of' magnitude of the effective density of states Nc of the conduction
band. This is much larger than the concentration of holes in the p-type semi-
conductor which hosts the inversion layer, provided the doping of the latter
is not too strong which means as long N A << Nc holds. This requirement
will be assumed to be satisfied here. In order that inversion occur at all, the
voltage drop Us across the semiconductor must obey condition (7.92), which
is also assumed to be valid.
We will now examine the spatial variations of the charge carrier con-
centrations ).( and p ( z ) in the semiconductor, which are determined by
the Fermi distribution f ( E ) of equation (4.13) with the replacement of E F
by the spatially varying chemical potential p ( z ) . The latter follows from
p ( z ) - ecp(z) = E F as
p(.) +
= E F ec p ( X ) . (7.94)
With this expression, the appropriate position-dependent Fermi distribution
f ( E ,x) is
(7.95)
If the Fermi energy E F lies below the conduction band edge, then the ma-
jority of electrons in this band have energy values at and a few kT above the
band edge E, - ecp(x). As long as [E, - ecp(z) - E F ]is substantially larger
Account: ns145102
than kT,f ( E ,x ) is approximately zero for the energy values mentioned. If,
on the other hand, the Fermi level lies above the conduction band edge,
i.e., if the expression [E, - ecp(x) - EF] is negative and its absolute value is
simultaneously much larger than k T , then f(E, x ) is approximately 1. The
energy interval in which f(E,x ) is neither 1 nor 0 decreases, as compared to
the whole potential interval eU, spanned by the potential e p ( x ) in the semi-
conductor, as eU, increases in comparison with k T . We therefore suppose
that
k T << eU, (7.96)
holds. In a sense, this relation represents a generalization of condition (6.35)
for the validity of the Schottky approximation. Then, considering (7.95) for
energy values of the conduction band, we can approximately write
f(E,X ) = B [ E F - E + ecp(x)] E > E,. (7.97)
Substituting this expression in equation (4.67) for the electron concentration

n ( x ) , we have
Furthermore, beyond the inversion boundary x i , the valence band edge

-ecp(x) initially still lies far below the Fermi energy. Thus, for energy val-
ues E < 0 within the valence band, f(E)= 1, provided x does not lie
too far to the right of x i . The hole concentration p ( x ) therefore vanishes
for not-too-large values of x . At very large x , however, the valence band
edge -ecp(x) approaches the Fermi energy so closely that, approximately,
the same conditions exist as in the bulk. There, p = NA holds if completely
ionized acceptors are assumed, as we do. In the Schottky approximation, the
transition between the two z-regions occurs abruptly, at a point of transition
x p of the depletion region which has yet to be determined. Thus, the hole
concentration p ( x ) , is approximately given by
(7.99)
Evaluating the energy integral for n ( x ) in (7.98) with the square-root ex-
pression (4.44) for the density of states p:&&(E) x p;"'(E), a concentration
+
n ( z )follows which is proportional to [ e p ( x ) EF - E g ] 3 / 2 .Substituting this
into the Poisson equation (5.24), the solution leads to inverse elliptic func-
tions which are difficult to handle analytically. We therefore replace the true
density of states by a model state density Fc which is constant in the energy
Account: ns145102
7.4. Insulator-semiconductor junction in an external voltage 617
+
interval between E, and EF ecp(x), with the constant 7, of the model de-
termined as follows: We form the average value of the true square-root-like
density of states p?(E) in the occupied energy interval at x = 0, i.e. be-
+
tween Eg and EF eUs. If we were to use this average value for the density
of states throughout the entire inversion layer without any correction, then
the resulting average electron concentration in the inversion layer would be
markedly larger than it really is. Therefore, a correction factor y having a
value between 0 and 1must be introduced in consideration of the decrease of
the upper limit of the averaging interval with increasing I . Thus, we make
the substitution
(7.100)
Using this constant density of states, the electron concentration n(x) in the
inversion layer may be rewritten in the form
where
(7.102)
is the effective density of states of our model. The substitution (7.100) has
the consequence that the true density of states, and with that also the true
electron concentration, is underestimated in the left part of the inversion
layer, and overestimated in the right part, provided that a reasonable choice
of y has been made. Because of this, the potential profile p(x) of the in-
version layer, whose calculation we will now discuss, has a curvature in our
model which differs somewhat from that in reality. Qualitatively, however,
no significant differences occur. For a quasi 2-dimensional electron system,
the results of our model even apply exactly, since in this case the density of
states is constant from the outset.
With the resulting concentrations of free charge carriers as derived above,
the Poisson equation (5.24) in the semiconductor takes the form
IO1 -d _< I I:0,

(7.103)
The solution of this equation must satisfy the boundary conditions (7.90) and
) 0
(7.91). The arbitrary constant of the potential is chosen such that ( ~ ( 0 0=
Account: ns145102
holds. From the Poisson equation it immediately follows that the potential
and the field strength also vanish at x = xp, i.e. that
V b P ) = 0, (7.104)
(7.105)
The field strength in the insulator is spatially constant and we denote it by
FJ. Then, in particular, we have
(7.106)
For the potential p(x) at x = -d, relation (7.90) and p(00) = 0 yield the
value
p(-d) = U . (7.107)
The four conditions (7.104) to (7.107), as well as the continuity condition
for p(x) and (dpldx) at x = 0 and x = xi, are sufficient to determine
the potential profile p(x) uniquely, along with the three as-yet unspecified
parameters xi,xp and FI. The solution of the Poisson equation under the
above conditions is determined as
u - (X+ d)FI, -d 5 x < 0,

Uo + (Us - Uo)cosh(x/L) - FsL sin(x/L), 0 5 x < xi,
xi i x < Xp,
(7.108)
with
(7.109)
as the characteristic screening length of the electron gas of the inversion
(7.110)
as the electric field strength in the semiconductor at the interface with the
insulator, and
Ua = U - FId (7.111)
as the potential drop across the semiconductor. The inversion boundary xi

and the field strength F obey the equation
tanh(xi/L) = ( U , - Uo)/F,L, (7.112)

which follows from (7.108) for x = zi immediately. Substituting equation
(7.112) into the matching condition for the field strength at xi, we obtain
Account: ns145102
cosh(xi/L) [(Us - Uo)2 - (LF,) 2 = =-(xi

NA 1
- xP)Fs(U, - Uo).
N,
(7.113)
By means of (7.112) and (7.113), xi and Fs can be determined as functions

of Us. The value of xi is finite for all Us. We consider here, however, only
the limiting case N A << Fc, in which the right-hand side of (7.113) can be
neglected, so that
Fs = (Us - U o ) / L . (7.114)
Substituting this expression in (7.112), we arrive at the conclusion that the
width xi of the inversion layer should be infinitely large. This is, however,
only an artifact due to the neglect of the depletion region to the right of xi.
In reality, under the condition N A << N,we have only that
xi >> L. (7.115)
The number ns of electrons stored in the inversion layer per cm2 may be
obtained from (7.101) and (7.108) as
-
ns = N,L. (7.116)
With and L taken from, respectively, (7.102) and (7.109), this expression
may be rewritten as
The sheet density ng of electrons in the inversion layer is zero if the voltage
drop Us across the semiconductor equals the threshold voltage Uo marking
the onset of inversion. Above this value, ng has a weak overlinear depen-
dence on Us. Thereby, U , depends on the applied voltage U through the
relation
(7.118)
The ratio of insulator thickness d to the screening length L of the electron

gas of the inversion layer is decisive for the size of the variation of ns as a
function of U . For d >> L , ns is practically independent of U . In order that
the accumulated charge density ns can be tuned by means of U as effectively
as possible, we must have d << L. With U s - UO M 1 V and mz M m , the
corresponding value of L is about 300 A. The insulator layer must therefore
be extremely thin. In the limiting case d << L and Us >> Uo, we have
Account: ns145102
(7.119)
With U M 5 V , this yields (dn,/dU) M 1013 crn-'V-l. A voltage increase

of 1 V results in about lOI3 electrons being induced into the inversion layer
per cm2.
Electrons in an inversion layer have been the subject of many physical
investigations. Like carriers at a semiconductor heterojunction (see section
6.2), these electrons are confined in a potential well. Just above the bottom
( r i 0.1 e V ) , the width of this well is still smaller than L. Thus, carriers
of such energy are freely mobile only parallel to the well. One has a quasi
2-dimensional electron gas. In it, confinement effects, like the formation of
subbands, can be observed. By means of an applied voltage, the density of
the electron gas can be varied. In this context, the accumulation layer at the
interface between SiOz and Si has been of particular interest. Historically, it
was the 2D gas of this layer in which carrier confinement effects were studied
first, and in which the quantized Hall effect was discovered.
7.4.3 MOSFET
Whether or not the charge density of a semiconductor inversion layer suffices
to cause a resistance change of sufficient magnitude to function as a transis-
tor, depends (among other things) mainly on the specific resistivity of the
semiconductor material in the absence of an applied voltage. This must be
as high as possible. The highest possible resistivity, or the smallest conduc-
tivity, of a semiconductor material is observed when it is in its intrinsic state.
This fact is used to advantage in the most important type of field effect tran-
sistor, the so-called MISFETs (Metal Insulator Semiconductor Field Effect
Transistor). Here, one exploits the fact that in a pn-junction a depletion
region is formed wherein the charge carrier concentrations have intrinsic val-
ues. The p-region is embedded between two n-regions, as shown in Figure
7.22. If one applies a positive voltage between the left n-region (source) and
the right n-region (drain) (Figure 7.22), then the left pn-junction is biased in
the flow direction, and the right in the blocking direction. Between the two
n-regions, one therefore has a p-region which is almost completely depleted
of holes. In the theory developed above, this may be taken into account
formally by adding a positive prevoltage Uv to the voltage U applied to the
insulator-semiconductor junction from outside, i.e. by the replacement
u-+utuv. (7.120)
For U = 0, the semiconductor region between source and drain, the so-called
channel, has high intrinsic resistivity. If a positive voltage U = UG is applied
between the bulk of the p-semiconductor (substrate) and the metal layer on
Account: ns145102
7.4. Insulator-semiconductorjunction in an external voltage 62 1
a1
I P
Substrat
Figure 7.22: Structure of a MISFET (a). In part (b) the switching scheme of the
MISFET is shown.
..
.
E
n
v)
Y
-0 4 8 12 16 20 24
Figure 7.23: Influence of the gate voltage UG on the I s 0 - versus - U s 0 current-

voltage characteristics for a n-channel MOSFET of enhancement-type. (After Vzilz,
1986.)
top of the insulator (gate), large enough to create an inversion layer, then
the channel becomes a good conductor. The current in the source-drain
circuit can be tuned by the voltage UG of the gate-substrate circuit since the
electron density of the inversion layer depends on UG. The voltage UG is
called gate voltage, and the minimum gate voltage UG necessary to a achieve
inversion is the threshold voltage. If one also includes a working resistor

in the source-drain circuit and compares the power changes in this resistor
with those in the gate-substrate circuit, one finds that the former exceeds the
latter appreciably. In this sense, the MISFET operates as an amplifier, just
like the bipolar transistor. Because of the insulating layer below the gate
electrode, the MISFET has a much larger input resistance than the bipolar
Account: ns145102
transistor. The output resistance of the MISFET, i.e. that of the source
drain circuit, is small because of the accumulation layer between source and
drain.
If the MISFET is realized using Si as the semiconductor material and
SiO2 as the insulator, one has the Metal Oxide Semiconductor Field Effect
Transistor, abbreviated MOSFET, which is by far the most important MIS-
FET. The basic requirement that the electrons of the inversion layer shall
not be captured by interface states, are met by the MOSFET extremely
well. Just as the base of a bipolar transistor can be made either of p or
n-material, one also has two possibilities in the case of the unipolar MOS-
FET - the charge carriers in the conducting channel can either be electrons,
as has been assumed thus far, or holes. In the first case one speaks of a
n-channel MOSFET, and in the second of p-channel MOSFET. The prevolt-
age U V ,which was introduced above only formally to simulate the intrinsic
state, can really exist for various reasons, e.g., because of positively charged
centers within the oxide arising during its formation. The prevoltage can
take such large values that inversion exists even without an applied gate
voltage. Then the transistor is already in its conducting state at zero gate
voltage. To switch it into its blocking state, one must apply a negative gate
voltage in the case of the n-channel MOSFET, and a positive gate voltage
in the case of the p-channel MOSFET. One says that the transistor oper-
ates in the depletion mode. If the transistor is blocked without an applied
voltage and changes into the conducting state by applying a positive (for
n-channel) or negative (for p-channel) gate voltage, one has the enhance-
ment mode. The current-voltage characteristics of the source-drain circuit
of a n-channel-enhancement-mode MOSFET are shown in Figure 7.23 for
different gate voltages. One recognizes how the sourcedrain current at a
h e d value of U s 0 increases with increasing gate voltage UG. Somewhat
unexpectedly, for a k e d gate voltage UG, the current saturates at higher
source-drain voltages USD. This is a consequence of the fact that the effec-
tive gate voltage in the vicinity of the drain electrode becomes smaller and
smaller as the drain potential grows larger. This creates a pinch off of the
inversion layer, making the current stay constant.
The MOSFET represents the most important electronic component of
digital circuits in microelectronics. Here it is used as an electrically control-
lable switch, meaning that its control function is reduced to two states only,
one with maximum output power, corresponding to a binary l,and another
having minimum output power, corresponding to a binary 0. Today, MOS-

FETs can be made as small that millions can be integrated in one single
Si chip, more than of any other electronic component. It is this ultra-large
scale integration (ULSI) technique which has made modern computer and
communication technologies possible.
Account: ns145102

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573

The treatment of semiconductor junctions above was limited to conditions

concerns conventional semiconductor devices. Although heterojunctions are

7.1 pn-junction in an external voltage

Figure 7.1: pn-junction under an

centration is raised in the presence of the voltage. In view of the relations

7.1.1 Electrostatic potential profile

Here, the external voltage U , as usual, is counted as positive if it leads to a

junction on applied voltage U , -$,,

approximation is applicable, as are the concepts of the depletion and bulk

and the width w of the space charge region is given by

In the presence of a negative voltage of 100 V , doping concentration N D =

7.1.2 Mechanism of current transport through a pn-junction

Figure 7.3: Mechanism of current flow through a pn-junction, a) pn-junction with-

In our further considerations we assume CJ > 0. In order for recombina-

electrons are minority charge carriers. Therefore we have an injection of mi-

j(x) = j n ( 2 ) + jp(x) zz j = const. (7.9)

Combining (7.10) and (7.11)) we have

On the other hand, considering

(b) z1 = x p , z 2 = zn, it follows that

7.1.3 Chemical potential profiles for electrons and holes

siderations to these carrier concentrations in particular. The space charge

n(x) = n, for 2 > x,, (7.15)

p(z) = p p for x < xp. (7.16)

apply. The concentrations at the boundaries of the space charge region

P(X) =P, + [~(z,) - P,I~-(x-x*)lLp , > ", (7.21)

E F ( ~ =) p n ( x ) - ecp(x), E;(X) = p P ( z )- ecpG), (7.22)

or depression of these levels in the bulk regions is effective up to a distance

7.1.4 Dependence of current density on voltage

The recombination rate R is given by relations derived above in section 5.2.

and according to formula (5.66), in the presence of a small excess concentra-

with rn and rp given by (5.65) and (5.67) as minority carrier lifetimes of

~ p ( x=) b ( x n ) - pnle-(z-xJ'Lp, xn < 2. (7.27)

The same result is obtained if one proceeds in accordance with method b,

sion (7.28) follows for j with

Figure 7.5: Current-voltage char-

7.1.5 Bipolar transistor

Figure 7.6: Bipolar npn- and pnp-transistor.

m Emitter Base Collector

Figure 7.7: npn-transistor in the common-emitter configuration (left-hand side).

In the following considerations we confine our attention to the npn-case.

npn-transistor lined up as shown in Figure 7.8. The pn-junction on the

The injection current density jn(zp)of electrons, however, must be calculated

means that the boundary condition An(x = b) = 0 must now be imposed.

Substituting this into (7.37), we find

The upper boundary of the recombination region, which in (7.23) is located

The collector current ic need not be calculated separately, because it is al-

and the emitter-base np-junction; it would not appear at all at a single,

Figure 7.9: Characteristics of a bipolar transistor made of Si in the common-

may be completely neglected. This approximation was used above tacitly,

Correspondingly, the voltage U B in the base circuit changes by d u B = d p B ,

(2)~~ (2%) = cosh[(b - z p ) / L n ] d u g uc ,

we have to calculate are the power changes d P L in the working resistor R L

Figure 7.10: Structure of a bipolar Aluminum

Therefore, the power amplification turns out to be proportional to the cur-

base circuit, is relatively low, since the corresponding pn-junction is biased

7.1.6 Tunnel diode

The injection-recombination mechanism of current flow in a pn-junction is

Figure 7.12: Current-voltage char-

In order for an electron of a given energy to actually be able to tunnel,

7.2 pn-junction in interaction with light

7.2.1 Photoeffect at a pn-junction. Photodiode and photo-

ductor junctions with reverse biased space charge regions. As examples of

Figure 7.13: pn-junction subject to light illumination.