Modeling of Nanostructures and Materials
Summer Semester 2014 Lecture
Jacek A. Majewski Faculty of Physics, University of Warsaw
E-mail: Jacek.Majewski@fuw.edu.pl
Jacek A. Majewski
Modeling of Nanostructures and Materials
Lecture 12 – May 19, 2014
e-mail: Jacek.Majewski@fuw.edu.pl
Continuous Methods for Modeling!
! Electronic Structure of Nanostructures!
!!
Examples of nanostructures!
!!
From atomistic to continuum methods!
!!
k.p methods!
!!
Effective mass approximation!
!!
Envelope Function Theory!
Modeling Nanostructures
Nanotechnology –
Low Dimensional Structures
Quantum
Wells Quantum
Wires Quantum
Dots A B
Simple
heterostructure
What about realistic nanostructures ?
2D (quantum wells): 10-100 atoms in the unit cell 1D (quantum wires): 1 K-10 K atoms in the unit cell 0D (quantum dots): 100K-1000 K atoms in the unit cell
Organics
Nanotubes, DNA: 100-1000 atoms (or more)
Inorganics
3D (bulks) : 1-10 atoms in the unit cell
TEM image of a InAs/GaAs dot
Si(111)7!7 Surface
GaN
InGaN GaN
HRTEM image:
segregation of Indium in GaN/InGaN Quantum Well Examples of Nanostructures
Synthesis of colloidal nanocrystals Injection of organometallic precursors
Mixture of surfactants Heating mantle
Nanostructures: colloidal crystals!
- !Crystal from sub-!m spheres of PMMA (perpex) suspended in organic solvent;
- ! self-assembly when spheres density high enough;
illuminated with white light
Bragg‘s law different
crystals different orientation
different !
Hot topic (to come) –
The curious world of nanowires
SEM of ZnTe nanowires grown by MBE on GaAs with Au nanocatalyst
Nanowire site control and branched NW structures:
nanotrees and nanoforests
(A) Nanowires can be accurately positioned using lithographic methods such as EBL and NIL. (B) Subsequent seeding by aerosol deposition produces nanowire branches on an array as in panel (A). Shown here is a top view of such a ‘nanoforest’ where the branches grow in the <111>B crystal directions out from the stems. (C) Dark field STEM image and EDX line scan of an individual nanotree. An optically active heterosegment of GaAsP in GaP has been incorporated into the branches.
http://www.nano.ftf.lth.se/
Nanowire nanolasers
Room temperature lasing action from chemically synthesized ZnO nanowires on sapphire substrate
Huang, M., Mao, S.S., et al., Science 292,
Schematic illustration A SEM image
One end of the nanowire is the epitaxial interface between the sapphire
and ZnO, whereas the other end is the crystalline ZnO (0001)
plane
Detection of single viruses with NW-FET
Patolsky & Lieber, Materials Today, April 2005, p. 20 Patolsky et al., Proc. Natl. Acad. Sci.
USA 101 (2004) 14017
Simultaneous conductance and optical data recorded
for a Si nanowire device after the introduction of influenza A solution
.
Controlled Growth and Structures of Molecular-Scale Silicon Nanowires
(a) !TEM images of 3.8-nm SiNWs
grown along the
<110> direction (c) cross-sectional image
(b) & (d) models based on Wulff construction
Yue Wu et al., NANO LETTERS 4, 433 (2004)High Performance Silicon Nanowire Field Effect Transistors
Yi Cui, et al. NANO LETTERS 3, 149 (2003)
Comparison of SiNW FET transport parameters with those for state-of-the-art planar MOSFETs show that
“SiNWs have the potential to exceed substantially conventional devices, and thus could be ideal building blocks for future nanoelectronics.”
Heterostructured Nanowires
coaxial
heterostructured nanowire
longitudinal
heterostructured
nanowire
Heterostructured Nanowires
Transmission electron microscopy images of a GaN/AlGaN
core–sheath nanowire two Si/SiGe
superlattice nanowires Methods
for
Nanostructure Modeling
Atomistic methods for modeling of nanostructures
Ab initio methods (up to few hundred atoms)
Density Functional Theory (DFT)
One particle density determines the ground state energy of the system for arbitrary external potential
E [ !! ] == d 3 r !!
!! !! ( r ) !! !! ext ( r ) ++ F [ !! !! ]
E [ ! ] E 0 == 0
ground state density
ground state energy
E[!] = d!r! !
ext(!r)!(!r) + T
S[!]+U[!]+ E
x[!]+ E
c[!]
unknown!!!
Total energy functional
External energy
Kinetic energy
Classic Coulomb energy
Exchange
energy Correlation
energy
Atomistic methods for modeling of nanostructures
Ab initio methods (up to few hundred atoms)
Semiempirical methods (up to 1M atoms)
Tight-Binding Methods
Tight-Binding Hamiltonian
† †
i! i! i! i!, j" i! j"
!i !i ,"j
H == ! ! # c c ++ ! ! t c c
creation & anihilation operators
On-site energies are not atomic eigenenergiesThey include on average the effects of neighbors
Problem: Transferability
E.g., Si in diamond lattice (4 nearest neighbors) & in fcc lattice (12 nearest neighbors) Dependence of the hopping energies on the distance between atoms
0 2 4 6 8 10 12 14 1
10 100 1 000 10 000 100 000 1e+06
Number of atoms
R (nm)
Tight-Binding
Pseudo-potential Ab initio
Atomistic vs. Continuous Methods
Microscopic approaches can be applied
to calculate properties of realistic nanostructures
Number of atoms in a spherical Si nanocrystal as a function of its radius R.
Current limits of the main techniques for calculating electronic structure.
Nanostructures commonly studied experimentally lie in the size range 2-15 nm.
Continuous methods
Atomistic methods for modeling of nanostructures
Ab initio methods (up to few hundred atoms)
Semiempirical methods (up to 1M atoms)
(Empirical Pseudopotential) Tight-Binding Methods
Continuum Methods(e.g., effective mass approximation)
Continuum theory- Envelope Function Theory
Electron in an external field
! ˆp
22m ++ V ( ! r ) ++ U( r ) !
!!
""
## ##
$$
%% &&
&& ! ! ( r ) == ! !!" " ( r ) !
Periodic potential of crystal Non-periodic external potential
Strongly varying on atomic scale Slowly varying on atomic scale
0
-5 5
!1
"3
"1
"1
"1
"3
# ‘2
# ‘25
#15
#1
$ ‘2
$ ‘2
$5
$1
$5
L ‘2 L1 L ‘3 L3
L1 !4
!1
Energy [eV]
Wave vector k
$1
"1
Ge
Band structure of Germanium
!!
n( ! k) U( r ) == 0 !
Band StructureElectron in an external field ˆ
2( ) ( ) ( ) ( )
2
p V r U r r r
m ! ! ""! !
## $$
++ ++ ==
%% &&
%% &&
'' ((
! ! ! ! !
Periodic potential of crystal Non-periodic external potential Strongly varying on atomic scale Slowly varying on atomic scale
Which external fields ?
"! Shallow impurities, e.g., donors
"! Magnetic field
B,
"!Heterostructures, Quantum Wells, Quantum wires, Q. Dots
( ) 2
| | U r e
!! r
== ""
! !
B curlA!== !== !! ""! A!
GaAs GaAlAs cbb
GaAs
GaAlAs GaAlAs
Does equation that involves the effective mass and a slowly varying function exist ? ˆ2
( ) ( ) ( )
2 *
p U r F r F r
m !!
"" ##
++ ==
$$ %%
$$ %%
&& ''
! ! ! !
( ) ? F r == !
Envelope Function Theory – Effective Mass Equation
J. M. Luttinger & W. Kohn, Phys. Rev. B 97, 869 (1955).
[ !! (!!i !
"
" ) ++ U( !
r ) !! !! ]F n ( ! r ) == 0
!
! ( r ) == F !
n ( r )u !
n0 ( r ) !
U(!r) == 0 F
n(!r) == exp(i!k!! !r)
(EME) EME does not couple different bands
Envelope Function
Periodic Bloch Function
“True”
wavefunction
Special case of constant (or zero) external potential
!
! ( !
r )
Bloch function( )
U z F
n( !r) == exp[i(k
xx ++ k
yy)]F
n(z)
k.p method for bulks
k.p Method- Luttinger-Kohn basis
Bloch functions are orthogonal in the wave vector and band index
d3r!!!
""l*(k,!r )!""n(q,!r ) ==! ##nl##(k $$! q)!
! !n(! k,!
r ) == exp[i! k ""!
r]un(! r )
d3!
!!
rul*(k,!r )u! n(k,!!r ) == ""2##
(( ))
3$$nld3!
!!
rul*(k,!r )u! n(q,!r ) "" 0! ! k !!!for
q!!
j(
k, ! r ) == exp[i( ! ! k "" !
k
0) ## r] ! $ $
j( !
k
0, r ) == exp[i ! ! k ## ! r]u
j
( ! k
0, r ) ! Luttinger-Kohn basis
d3!
!!
r""l*(k,! !r )""n(q,!r ) ==! ##nl##(k $$! q)!
! !
n""
d3k!##n*(k,!r )! ##n(k,!r ') ==! $$(r %%! r ')!Luttinger-Kohn basis is orthogonal and complete
!
!
n( !
k, !r) == A
nj( ! k)""
j( !
k, !r)
#
j#
Expansion of the unknown Bloch function in terms of known Luttinger-Kohn functions
k.p Method - Derivation
!p2
2m++V (!
!! r )
""
## $$
%%&&''n(! k,!
r ) ==((n(! k)''n(!
k,! r )
!
!n(!
k,!
r ) == Anj(! k)""j(!
k,! r )
#
j#
Anj(!
k) ! p2
2m++V (!
!! r )
""
## $$
%%&&
'
j'
exp[i(k ((! k!0) ))! r]**j(!k0,! r ) ==
==++n(! k)exp[i(!
k ((! k0) ))!
r] Anj'(! k)
'
j''
**j'(! k0,!! r ) p !! ""i"## !!exp[i(!
k ""! k0) ##!
r]$$j(! k0,!
r ) == exp[i(! k ""!
k0) ##! r]{!! ++i(!
k ""! k0)}$$j(!
k0,! r )
p!2
2m++V (!
!! r )
""
## $$
%%&&exp[i(! k ''!
k0) ((! r]))j(!
k0,! r ) ==
==exp[i(! k ''!
k0) ((! r]{"2
2m(! k ''!
k0)2++"
m(! k ''!
k0) ((! p ++**j(!
k0)}))j(! k0,!
r )
k.p Method - Derivation
Anj(!
k)
!
j!
{"2m2(k!2""k!02) ++"m(! k ""!
k0) ##! p ++$$j(!
k0)}uj(! k0,!
r ) ==
==$$n(!
k) Anj'(! k)
!
j'!
uj'(! k0,!r )
{!2 2m("
k !!"
k0)2++! m("
k !!"
k0) """
p ++##j("
k0)}$$j("
k0,"
r ) ==
=={!2
2m("
k !!"
k0)2++! m("
k !!"
k0) """
p ++##j("
k0)}exp[i"
k0"""
r]uj("
k0,"
r ) ==
==exp[i"
k0"""
r]{!2 2m("
k2!!"
k02) ++! m("
k !!"
k0) """
p ++##j("
k0)}uj("
k0,"
r )
Multiply both sides by
ul*(! k0,!r )
Integrate over the unit cell
d3!
r
!
!
""
! !
j {[""j(! k0) ++"22m(! k2##!
k02)]$$lj++"
m(! k ##!
k0) %%! plj++}Anj(!
k) ==""n(! k)Anl(!
k)
!plj== (2!!)3
"
" d3
!r
"
"
##
ul*(k!0,r )! !ˆpuj(k!0,!r )Momentum matrix elements
k dot p
k.p Method – Main Equation
! !
j {[""j(! k0) ++"22m(! k2##!
k02)]$$lj++"
m(! k ##!
k0) %%! plj++}Anj(!
k) ==""n(! k)Anl(!
k)
System of homogeneous equations for expansion coefficients Anj(!
k)
!!
n( ! This equations couple all bands k)
What one needs is decoupling scheme, e.g., perturbation theory
0 (1) (2)
n n n n
E ==E ++E ++E ++!
0 0 2
0 0 0
0 0
| | '| |
n n | '|
m n n m
m H n
E E n H n
E E
!!
== ++ ++ ++
""
#
#
!0 0
0 0
0 0
| '|
m n n m
m H n
n n m
E E
!!
== ++ ++
""
#
#
!0 '
H H== ++H H n0 0 ==E nn0 0
H n ==E nn
Perturbation theory for non-degenerate states
k.p Method – Non-degenerate band Let us consider non-degenerate band and look for band energies around extremum in k
0e.g., conduction band minimum in GaAs
k!0==0 !!""
H ' == !
22m ( "
k
2!! "
k
02) ++ ! m ( "
k !! "
k
0) "" "p Expansion parameter: s == ! !
k !! ! k 0
!!n(! k) ==!!n(!
k0) ++"
m(! k ""!
k0) ##! pnn++"2
2m(! k2""!
k02) ++"2 m2
(! s ##!
pnj)(! s ##!
pjn)
!!n(! k0) ""!!j(!
k0)
j$$n
%
%
++un(!
k,r ) == u!
n(! k0,!r ) ++"
m
!s !!
p!jn
""n(! k0) ##""j(!
k0)uj(! k0,!r )
j$$n
%
%
++…Energy to second order in the expansion parameter
Periodic wave function to the first order in expansion parameter
k.p Method – Effective Mass Tensor
Let us introduce second rank tensor
m m *
!!
""##
$$
%%&&
''((== m
!
2))
2**
n( "
k) ))k
''))k
(( "k =="
k0
Reciprocal Effective Mass Tensor
Band n has extremum in k
0!!""n(! k)
!!! k k ==! k!
0
==!!""n(! k)
!!!
s !s ==0==0
!p
nn++" ! k
0== 0
!
pnn==0 !!!
k0==0
e.g., GaAs
!pnn!!0 ""!
k0!!0
e.g., Si Taylor series
!!n(! k) ==!!n(!
k0) ++ (""!!n(! k0)) ##(!
k $$! k0) ++ 1
2%%
' '
,&& ((2!!n(k!0) ((k%%((k&& (!
k $$! k0)%%(!
k $$! k0)&&++
!!n(! k) ==!!n(!
k0) ++"
m(! k ""!
k0) ##! pnn++"2
2m(! k2""!
k02) ++"2 m2
(! s ##!
pnj)(! s ##!
pjn)
!!n(! k0) ""!!j(!
k0)
j$$n
%
%
++
! m
"
s !!["
pnn++! 2("
k ++"
k0)]
k.p Method – Effective Mass Tensor
!!2""n(! k0)
!!k##!!k$$ =="2 m%%##$$++"2
m2
pnj##p$$jn++pnj##p$$jn
""n(! k0) &&""j(!
k0)
(
j''n(
m mn*
!!
""
## $$
%%&&
''((
==))''((++ 1 m
pnj''p((jn++pnj''p((jn
**n(! k0) ++**j(!
k0)
j,,n
-
- m – free electron mass
It is always possible to diagonalize the reciprocal effective mass tensor by proper choice of the coordinate system.
If the extremum point k0 is a general point in the BZ, the choice of the axes
depends on the details of the dynamics, that is, on the crystal potential.
If the extremum occurs at a symmetry point or along an axis of symmetry, the axes may be partially determined by symmetry.
In cubic crystals, for minima along [100], [110], [111], the symmetry axis must be a principal axis.
If k=0 is the extremum, the surface of constant energy in a cubic crystal must be spherical
k.p Method – Effective Mass Tensor
m m
n*!!
""
## $$
%% &&
''''
== 1 ++ 2 m
| p
nj''|
2((
n( !
k
0) )) ((
j( ! k
0)
j**n
+
+ !! -!refers now to one
of the principal axes The interaction with the lower lying levels tends to decrease an effective mass
!!j(k!0) <<!!n(! k0)
The interaction with the higher states tends to increase an effective mass
!!j(k!0) >>!!n(! k0) For cubic semiconductors with minimum of the conduction band
in point, the band energy in the neighborhood is
!!
!!n(!
k) ==!!n(0) ++"2! k2 2mn*
Physical meaning of the effective mass ?
Dynamics of particles
In the presence of external fields, the crystalline electrons behave as particles with effective mass m*.
Effective Mass - A Two-Band Model Some insight into the nature of the results
0 = v 1 = c
EGAP0
(0) 0
!! ==
1
(0) E
GAP!! ==
!p01==! p10* ==!
p 1
p!!== 3p
2
*0
1 2
3 g
m p
m == !! mE * 2
1
1 2
3 g
m p
m == ++ mE
2 2
g p
E <<<< m
2
*1
2
3 g
m p
m !! mE
1* 2
3
2 g
m m E
m !! p
Let us assume
This occurs, for example, in GaSb, InAs, InSb
InAsGaSb InSb
GaAsInPCdTe CdSe
ZnTeAlSbCdS
ZnSeGaPAlAs
2.0
0 1.0 3.0
0 0.1 0.2
Energy gap [eV]
Effective mass m*/m
Effective mass proportional to the energy gap
k.P – Method – Band Degeneracies
k ! 0
The state of interest in is degenerate
k!0The perturbation will remove degeneracy, at least in some directions
Going from a point of higher symmetry the energy band split
Valence band top of
cubic semiconductors
It is necessary to use degenerate perturbation theory
e.g., L.I. Schiff, Quantum Mechanics Schwabl, Quantenmechanik
0 0 0
0 na n na
H!! =="" !! a==1,2,3, ,! gn
0 ' 0
a H ++H b $$E##!!""==
--- --- Matrix
abn n n
H g !!g
In our case, perturbation is
H ' == !
22m ( "
k
2!! "
k
02) ++ ! m ( "
k !! "
k
0) "" "p For simplicity
k !
0== 0
H ' == !
22m
"
k
2++ ! m
"
k !! "p Valence band maximum
in most of semiconductors
First order perturbation
k.P – Method – Band Degeneracies
(( )) (( )) (( ))
(0) (1) (2)
0 0 0 0
0 0 0
0 0
1
| '| | '|
| '| m
n n n n
ab ab ab ab
g na mc mc nb
n ab na nb
m n c n m
H H H H
H H
H !! !! !! !!
"" ## !! !!
"" ""
$$ ==
== ++ ++ ==
== ++ ++
&
%%& & &
Löwdin perturbation theory
The essential idea of this procedure is to separate the states considered in the perturbation calculation into two sets:
one set involves a small number of strongly coupled states whose interactions is treated exactly (gn),
the second set, with more states, contains those states that are well removed in energy from the first set
One can also treat in this way situation in which some bands, although not quite degenerate, approach each other closely.
Then treatment of such bands as non-degenerate does not make sense
k.P – Method – Band Degeneracies
Habn ==!!n(!
k0)""ab++"2
2m""ab kµµ2 µµ==1
#
3#
++ [# #
µµkµµ( pµµ)nmac][# #
$$k$$( p$$)cbmn]!!n(! k0) %%!!m(!
k0)
c==1 gm
#
m&&n
# # #
Habn ==!!n(! k0) ++"2
2m""ab kµµ2 µµ==1
#
3#
++ kµµv==1
#
3#
kv µµ==1#
3#
!!( pµµ)acnm( p$$)cbmnn(! k0) %%!!m(!
k0)
c==1 gm
#
m&&n
# # #
1
mµµ!!ab ==!!ab!!µµ""++ 2 m
( pµµ)acnm( p!!)cbmn
!!n(! k0) !! !!m(!
k0)
c==1 gm
"
"
m##n
" "
Habn ==!!n(!
k0)!!ab++!2 2m
kµµkv mµµ!!ab
v==1
!
3 µµ==1!
!
3!
!p
abnm== u
na0| !ˆp|u
mb0H
abn== !!
n( !
k
0)""
ab++ "
22m
k !
2""
ab++ "
m
k ## ! !p
abnn++ ( ! k ## !p
acnm)( !
k ## !p
cbmn)
!!
n( !
k
0) $$ !!
m( ! k
0)
c==1 gm
%
m&&n
% % %
Band minimum in
k!0!!! pabnn==0k.P – Method – Band Degeneracies Special case: valence band in !!
a b, !!{ , , }x y z n v!!
, ,
vx vy vz
3 degenerated bands:
is 3 3 matrix
abn
H !!
1 1 1
2 3 3
1 1 1
1 1 1 1 1
( ) ( ) ( )
ˆˆ (0) ( ) ( ) ( )
2 ( ) ( ) ( )
xx xy xz
yx yy yz
n v
v zx zy zz
m m m
H k k m m m
m m m m
µµ!! µµ!! µµ!!
µµ µµ!! µµ!! µµ!!
µµ
µµ!! µµ!! µµ!!
""
## ## ##
## ## ##
== == ## ## ##
$$ %%
&& ''
&& ''
== ++
&& ''
&& ''
(( ))
*
* * *
!
For cubic semiconductors, there are only three different matrix elements 1
( ) ( )
1 1 1 1 2
(0) (0)
m vm mv
g z zc z cz
xx yy zz
m n c
xx yy zz n m
p p
m m m m
L
"" == !! !!== == == == ++
$
##$ $ $
1
( ) ( )
1 1 1 1 1 1 1 2
(0) (0)
m vm mv
g x zc x cz
yy zz xx xx yy zz
m n c
xx yy zz yy zz xx v m
p p
m m m m m m m
M
== == == == == == == ++ "" == !! !!$
##$ $ $
1
( ) ( )
1 1 1 1 1 1 1 2
(0) (0)
m vm mv
g x xc z cz
xy yz zx yx zy xz
m n c
xy yz zx yx zy xz n m
p p
m m m m m m m
N
"" == !! !!== == == == == == == ++
$
##$ $ $
L, M, N – Dresselhaus parameters
k.P – Method – Band Degeneracies
ˆ ˆ
ˆ ˆ
H D k k ==
µµ!! µµ !!2 2 2
2 2 2 2
2 2 2
( )
ˆˆ (0) ( )
2 ( )
x y z x y x z
v x y y x z y z
x z y z z x y
Lk M k k Nk k Nk k
H I Nk k Lk M k k Nk k
m Nk k Nk k Lk M k k
!!
"" ++ ++ ##
$$ %%
$$ %%
== ++ ++ ++
$$ %%
$$ ++ ++ %%
&& ''
!
Degenerated Valence Band of Cubic Semiconductors
det( H EI ˆˆ !! ) 0 ==
These equations can be solved analytically !!T. Manku & A. Nathan, J. Appl. Phys. 73, 1205 (1993) J. Dijkstra, J. Appl. Phys. 81, 1259 (1997)
Pretty complicated task
SIMPLE: Find solutions along a symmetry line,
e.g.,
k !!![kx,0,0] !! ""lineDegenerated Valence Band of Cubic Semiconductors
k !!![kx,0,0]
!! ""line
2
2
2
(0) 0 0
ˆˆ 0 (0) 0
0 0 (0)
v x
v x
v x
Lk
H Mk
Mk
!!
!!
!!
"" ++ ##
$$ %%
==$$ ++ %%
$$ %%
$$ ++ %%
&& ''
Dispersion relations along
2 2
(0) 2
hh v
Mk
x!! == !! ++ ! m
2 2
(0) 2
lh v
Lk
x!! == !! ++ ! m
Heavy hole Light hole
hh
lh (2) (1)
line!! ""