Modern Semiconductor Devices for Integrated Circuits Chapter 1.

Electrons and Holes in Semiconductors

ELEC311(물리전자, Physical Electronics)

Course Outlines: by Professor Jung-Hee Lee

Lecture notes are prepared with PPT and available before the class
(http://abeek.knu.ac.kr). The topics in the notes are from Chapter 1, 2, 4,
and 5 in the main text introduced below, but the course covers the
materials not only in the text, but also in various references. The
remaining topics in Chapter 3, 6, 7, and 8 will be discussed in Electronic
Devices in next semester.
Main Text: Modern Semiconductor Devices for Integrated Circuits
by Chenming Calvin Hu ( 2010, UC Berkeley)
References: 1) Solid State Electronic Devices
by Ben G. Streetman and Sanjay Kumar Banerjee
(2006, U of Texas ar Austin)
2) Semiconductor Device Fundamentals
by Robert F. Pierret(1996, Purdue University)
3) An Introduction to Semiconductor Devices
by Donald Neamen (2006, U of New Mexico)
4) Principles of Semiconductor Devices
by Sima Dimitrijev (2006, Griffith University)
Grading: Three Exams (30 % each), Homework (10 %)
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Chapter 1
Electrons and Holes in
Semiconductors
OBJECTIVES

1. Provides the basic concepts and terminology for

understanding semiconductors.
2. Understand conduction and valence energy band, and
how bandgap is formed
3. Understand carriers (electrons and holes), and doping in
semiconductor
4. Use the density of states and Fermi-Dirac statistics to
calculate the carrier concentration
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Transistor inventors John Bardeen, William Shockley, and Walter Brattain (left to right) at Bell
Telephone Laboratories. (Courtesy of Corbis/Bettmann.)
 Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Crystal Lattice
periodic atomic arrangement in the crystal, or
symmetric array of points in space
Unit cell
: a small portion of any given crystal that
can be used to reproduce the crystal
Primitive cell
: the smallest unit cell possible

A two-dimensional lattice showing translation of

a unit cell by r = 3a +2b.

Simple cubic lattice and its unit cell

(a is the lattice constant)

It is possible to analyze the crystal as a whole by investigating a representative volume (e.g. unit cell).
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Simple 3-D Unit Cell

 Simple cubic:
• only 1/8 of each corner atom is inside the cell
 contains 1 atom in total

 Body centered cubic (bcc):

• an atom at the center of the cube
in addition to the atoms at each
corner
 contains 2 atoms
 Face centered cubic (fcc):
• contains an atom at each face of the
cube in addition to the atoms at each
corner
• ½ of each face atom lies inside the
fcc
 contains 4 atoms
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Packing of Hard Spheres in an FCC Lattice

Homework #1:
1. What is the maximum fraction of the FCC lattice volume that can be
filled with atoms by approximating the atoms as hard spheres?

2. Do the same calculation for the simple cubic and body-centered

cubic.
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Crystallographic Planes and Directions

Miller indices: A set of integers with no common integral divisors that are
inversely proportional to the intercepts of the crystal planes along the crystal axes.
These indices are enclosed in parenthesis (hkl).
Miller Indexing procedure:

1. Determine the intercepts of the face along the crystallographic axes,

in terms of unit cell dimensions. 1, 2, 3
2. Take the reciprocals 1, 1/2, 1/3
3. Clear fractions using an appropriate multiplier 6, 3, 2
4. Reduce to lowest terms (already there) and enclose the whole-number set in
parenthesis (632)

Special facts:
• The plane that is parallel to a coordinate axis is taken to be infinity. Thus, intercepts
at , , 1 , for example, result in (001) plane.
• For a negative axis, a minus sign is placed over the corresponding index number so
that an intercept at 1, -1, 2 is designated a (221) plane.
• A group of equivalent planes is referenced through the use of { }.

 Example. A (214) crystal plane

Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Crystallographic planes

[Miller indices for the three most important planes in cubic crystals]
Because there is no crystallographic difference between the (100), (010), (001)
planes,
they are uniquely labeled as {100}.
{110} plane intersects two axes at a and is parallel to the 3rd axis.
{111} plane intersects all the axes at a.

Equivalence of the cube faces ({100} planes) by rotation of the unit cell within the cubic
lattice.
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Crystallographic Directions
• The direction perpendicular to (hkl) plane is labeled as [hkl].
• A set of equivalent directions is labeled as <hkl>;
e.g. <100> represents [100], [010], [001], [100] and so on.

Miller Convention Summary

Convention Interpretation
(hkl) Crystal plane
{hkl} Equivalent planes
[hkl] Crystal direction
<hkl> Equivalent directions

[Important directions in cubic crystals]

 Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

(a) A system for describing the crystal planes.

Each cube represents the unit cell

(b) Silicon wafers are usually cut along the

(100) plane. This sample has a (011) flat to
identify wafer orientation during device
fabrication.

(c) Scanning tunneling microscope

view of the individual atoms of
silicon (111) plane.
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Semiconductor Lattice (The diamond lattice)

Diamond lattice unit cell (Si, Ge, C):

• Two interpenetrating FCC lattices

(the 2nd FCC lattice displaced ¼ of a body diagonal along a
body diagonal direction relative to the 1st FCC lattice)
• 8 Si atoms in unit cell (volume=a3, a=5.43Å )  ~5×1022 atoms/cm3

Zincblende lattice unit cell (GaAs, InP…):

• Identical to diamond lattice unit cell, but 2 FCCs are different atoms.
i.e. Ga locates on one of the two interpenetrating FCC sub-lattice
and As populates the other FCC sub-lattice.

Atoms in the diamond and zincblende lattices have 4 nearest neighbors.

Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Diamond lattice structure: (a) a unit cell of the diamond lattice constructed by placing
atoms ¼ , ¼ , ¼ from each atom in an fcc; (b) top view (along any <100> direction) of an
extended diamond lattice.The colored circles indicate one fcc sublattice and the black circles
indicate the interpenetrating fcc.

Homework #2:
What is the maximum fraction of the
diamond lattice volume that can be filled
with atoms by approximating the atoms
3
as hard spheres?
a
4 Find the number density (atoms/cm3) and
density (g/cm3) of the Si lattice.
 Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Semiconductors, Insulators, and conductors

- Every solid has its own characteristic energy band structure.
- The band structure is responsible for electrical characteristics.
Elemental solids with even atomic
numbers
(and therefore even numbers of electrons)
Ec
Ec
Ec
such as Zn and Pb
 known as “semimetal”
9 eV 1.1 eV
Ev
Ev
Elemental solids with odd atomic numbers
(and therefore odd numbers of electrons)
(SiO2) (Si) (Conductor) such as Au, Al, and Ag

The valence band of Si is completely filled with Difference between semiconductor and
electrons at 0 K and the conduction band is empty
Insulator
 good insulator at 0 K.
- Eg,insulator >> Eg,semiconductor
What will happen if temperature increases?
- Semiconductor can be N or P-type with low
Semiconductor resistivity through impurity doping.

Insulator Conductor
[Conductivity]
Insulator < Semiconductor < Metal
10 18 10 16 10 14 10 12 10 10 10 8 10 6 10 4 10 2 1 10 -2 10 -4 10 -6 10 -8

Resistivity [Wm]
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Periodic Table
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Semiconductor Materials
Semiconductor
- elemental semiconductor : group Ⅳ
- compound semiconductor : group Ⅲ &Ⅴ, group II & VI etc.

- Binary = two elements

- Ternary = three elements
- Quaternary = four elements (InGaAsP)
 Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Bond Model of Electrons and Holes

Bonding Forces in Solids
1) Ionic Bonding in NaCl • Na is surrounded by 6 nearest neighbor Cl atoms.
Na (Z=11): [Ne]3s1
Cl (Z=17): [Ne]3s23p5

• Each Na atom gives up its outer 3s electron to a Cl atom

 Crystal is made up of ions with the electronic structures of
the inert atoms, Ne and Ar (Ar (Z18): [Ne]3s23p6)
 Ionic bonding

attraction

• These Coloumbic forces pull the lattice together until a

balance is reached with repulsive forces.

Features of ionic solid

• Tightly bonded electrons  good insulators
• The energy levels in outer orbits are either totally filled or totally empty
• Very stable
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

2) Metallic Bonding

Sea of electrons
Coulombic forces
Na+ between Na+ and electron sea

• In a metal atom the outer electronic

shell is only partially filled.
(Na+ has only one electron in the outer shell.)

• These electrons are loosely bound and

are given up easily in ion formation.

 The solid is made up of ions with

closed shells immersed in a sea of
free electrons.
Significant number of free electrons
 excellent thermal/electrical conductor
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

3) Covalent Bonding in Si

Electrons are essentially attached to their

own nuclei but they are being shared by
two nuclei at the same time.

Covalent bonding in Ge, Si, or C diamond

lattice
The bonding forces arise from a quantum
mechanical interaction between the shared
electrons.
The silicon crystal structure in a two-
dimensional representation at 0 K.( no
Covalent bonding is stable; free electron to conduct electric current at
0 K)
• Either insulators or semiconductors .
• Sharing the outermost electrons  lower excitation energy  absorption infrared (IR)
range
• Sensitive to the temperature change (an idealized lattice at 0 K)
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

At elevated temperature, a covalent electron breaks

loose, becomes mobile and can conduct electric
current (conduction electron).

It also creates a void or a hole represented by the

open circle. The hole also move about as indicated
by the arrow and thus conduct electric current.

Doping of a semiconductor is illustrated with the

bond model. (a) As (V) is a donor. (b) B (III) is an
acceptor.
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

4) van der Waals Solid

Shows quite weak boding force

ex. Pairing of inert gas ions, such as He-He
molecules

Solid Bond Type Bond Energy [kJ/mol] Bond Length [nm]

NaCl Ionic 748 0.282
Al Metallic 326 0.152
C-C Covalent 370 0.154
FeO Covalent 509 0.216
Ar van der Waals 1 0.382
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Energy Band Model Quantum numbers:

n = 1, 2, 3, 4,……
3p l = 0, 1, 2, 3,…….n-1
2p
3s s, p, d, f, g,……
m = -l, -(l-1),….0, 1,….l

…..
2s
1s s = +1/2, -1/2
Atomic configuration of Si
Ψ1 Ψ2 atom: 14electrons
wave
1s2, 2s2, 2p6, 3s2, 3p2
…..
function

Isolated atoms No interaction between electron wave function

odd or antisymmetry
combination

antibonding energy level

bonding energy level Energy level splitting

even or symmetry
due to exclusion principle
combination ( No two electrons in a given interacting
system may have the same quantum state)
+ antibonding
Ψ1 Ψ2 orbital

ㅡ
  1   2 ( LCAO )
The potential energy has been lowered
+ because an electron here would be attracted
Diatoms: two atoms close to each other +
by two nuclei, rather than just one.

LCAO: linear combinations of bonding

the individual atomic orbitals orbital
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

There must be at most one electron per level after there is a splitting of discrete energy levels of the
isolated atoms into new levels belonging to the pair rather than no individual atoms

3p
3p
E3
3s
3s Energy level splitting
due to Pauli exclusion
E2 principle

E1

If, instead of 2 atoms, one brings together N atoms, there will be N distinct LCAO and
N closely-spaced energy levels in a band. In solids, where N is very large,
so that the split energy levels form essentially continuous band of energies.

3p
Eg E3 conduction band
+
3s
valence band
2s+2p E2
core band
1s E1

N-Atoms
Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Energy band for Si

If N atoms are brought into close proximity,
there is no significant change in the core, but the energy state of the valence electrons
changes

3p
Ec: lowest conduction band
energy Ec
Ev: highest valence band sp3 hybridization
energy
Ev
Eg = Ec - Ev : Band gap energy
3s

2p

core
completely filled 2s

1s

Lattice constant of Si atom at equilibrium

 Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

E-k Diagram for a Free Electron

The wave function of plane wave  ( x)  c1e jkx  c2 e  jkx satisfies the wave equation
d 2 2
 k   0,
2 k  : wave number (or wave vector or propagation constant).
dx 2 
Plot the E-k dependence
The wave function of free electron (V = 0)
satisfies the Schrödinger wave equation,
d 2  2m
 2 ( E  V )  0
dx 2 
2 2 2m
when E  k from E k
2m 2 E–k diagram for a free electron
The wave function of free electron is exactly same as the wave function of the plane
wave;  ( x)  c1e jkx  c2 e  jkx

Relate the E-k dependence to the classical kinetic energy, Ekin = mv2/2
Because free electron has no potential energy E = Ekin

 2 2 p 2 mv 2
E k    p = k
2m 2m 2

• The E-k dependence of a free electron is identical to the classical dependence of

kinetic energy on velocity.
 Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Energy Gap and Energy Bands in Semiconductors and

Insulators
2 2
Energy band for free electron: Parabolic E-k E k
dependence. 2m

Wave function of electrons in the crystal can be modified by the

periodic crystal potential, U(kx, x), as

 k ( x)  U (k x , x)e jk x x
modulates the wave function according
to the periodicity of the lattice

Energy band for semiconductor and insulator: still similar to the free electron energy band, but two
slightly modified parabolic bands, conduction band and valence band, with energy gap, Eg.
Free electron approximation Tight binding approximation

E–k diagram. E–x diagram.

Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

At T ≈ 0 K,
there is no broken covalent bonds and the valence band is full and the conduction
band is empty.
The semiconductors becomes insulator, because
there are no electrons in conduction band and the
electrons in the valence band are immobile – they
are tied in the covalent bonds.
At elevated temperature,
some of covalent bonds are broken because a sufficient thermal energy is delivered to a
valence electrons, these electrons jumps up into the conduction band, leaving empty
states behind in the valence band, called holes.

The semiconductors becomes conductive.

Insulator: large Eg
Semiconductor: small Eg
The electrons at higher energy levels in EC will
have kinetic energies according to the upper E-
k branch

Kinetic energy of the holes as current

carriers
 Modern Semiconductor Devices for Integrated Circuits Chapter 1. Electrons and Holes in Semiconductors

Direct and Indirect Semiconductor

Allowed values of energy can be plotted vs. the propagation constant, k.
Since the periodicity of most lattices is different in various direction, the E-k diagram must be plotted for
the various crystal directions (complex).
-Direct bandgap: a minimum in the conduction band and a maximum in the
valence band for the same k value
-Indirect bandgap: a minimum in the conduction band and a maximum in the
valence band at a different k value

GaAs : Si, Ge, GaP, AlAs :

the minimum conduction band energy and
maximum valence band energy occur at the same
k-value.
 direct band gap semiconductor
 semiconductor lasers and other optical devices
indirect band gap semiconductor
 A transition must necessarily include and
interaction with the crystal so that crystal
momentum is conserved.