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OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi SERIES ON SEMICONDUCTOR SCIENCE AND TECHNOLOGY SeriesEditors R.J.Nicholas UniversityofOxford H.Kamimura UniversityofTokyo OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi SERIESONSEMICONDUCTORSCIENCEANDTECHNOLOGY 1. M.Jaros:Physicsandapplicationsofsemiconductormicrostructures 2. V.N.DobrovolskyandV.G.Litovchenko:Surfaceelectronictransportphenom- enainsemiconductors 3. M.J.Kelly:Low-dimensionalsemiconductors 4. P.K.Basu:Theoryofopticalprocessesinsemiconductors 5. N.Balkan:Hotelectronsinsemiconductors 6. B.Gil:GroupIIInitridesemiconductorcompounds:physicsandapplications 7. M.Sugawara:Plasmaetching 8. M.Balkanski,R.F.Wallis:Semiconductorphysicsandapplications 9. B.Gil:Low-dimensionalnitridesemiconductors 10. L.Challis:Electron-phononinteractionsinlow-dimensionalstructures 11. V.Ustinov,A.Zhukov,A.Egorov,N.Maleev:Quantumdotlasers 12. H.Spieler:Semiconductordetectorsystems 13. S.Maekawa:Conceptsinspinelectronics 14. S.D.Ganichev,W.Prettl:Intenseterahertzexcitationofsemiconductors 15. N.Miura:Physicsofsemiconductorsinhighmagneticfields 16. A.V.Kavokin,J.J.Baumberg,G.Malpuech,F.P.Laussy:Microcavities 17. S.Maekawa,S.O.Valenzuela,E.Saitoh,T.Kimura:Spincurrent 18. B.Gil:III-nitridesemiconductorsandtheirmoderndevices 19. A.Toropov,T.Shubina:PlasmonicEffectsinMetal-Semiconductor Nanostructures 20. B.K.Ridley:HybridPhononsinNanostructures 21. A.V.Kavokin,J.J.Baumberg,G.Malpuech,F.P.Laussy:Microcavities,Second edition 22. S. Maekawa, S. O. Valenzuela, E. Saitoh, T. Kimura: Spin current, Second Edition 23. M.M.Glazov:Electronandnuclearspindynamicsinsemiconductor nanostructures 24. D. Meier, J. Seidel, M. Gregg, R. Ramesh: Domain walls:from fundamental propertiestonanotechnologyconcepts 25. I.Vurgaftman,M.Lumb,J.Meyer:BandsandphotonsinIII-Vsemiconductor quantumstructures OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi Bands and Photons in III–V Semiconductor Quantum Structures Igor Vurgaftman, Matthew P. Lumb, and Jerry R. Meyer 1 OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi 3 GreatClarendonStreet,Oxford,OX26DP, UnitedKingdom OxfordUniversityPressisadepartmentoftheUniversityofOxford. ItfurtherstheUniversity’sobjectiveofexcellenceinresearch,scholarship, andeducationbypublishingworldwide.Oxfordisaregisteredtrademarkof OxfordUniversityPressintheUKandincertainothercountries ©Vurgaftman,Lumb,andMeyer2021 Themoralrightsoftheauthorshavebeenasserted FirstEditionpublishedin2021 Impression:1 Allrightsreserved.Nopartofthispublicationmaybereproduced,storedin aretrievalsystem,ortransmitted,inanyformorbyanymeans,withoutthe priorpermissioninwritingofOxfordUniversityPress,orasexpresslypermitted bylaw,bylicenceorundertermsagreedwiththeappropriatereprographics rightsorganization.Enquiriesconcerningreproductionoutsidethescopeofthe aboveshouldbesenttotheRightsDepartment,OxfordUniversityPress,atthe addressabove Youmustnotcirculatethisworkinanyotherform andyoumustimposethissameconditiononanyacquirer PublishedintheUnitedStatesofAmericabyOxfordUniversityPress 198MadisonAvenue,NewYork,NY10016,UnitedStatesofAmerica BritishLibraryCataloguinginPublicationData Dataavailable LibraryofCongressControlNumber:2020944521 ISBN 978–0–19–876727–5 DOI:10.1093/oso/9780198767275.001.0001 Printedandboundby CPIGroup(UK)Ltd,Croydon,CR04YY LinkstothirdpartywebsitesareprovidedbyOxfordingoodfaithand forinformationonly.Oxforddisclaimsanyresponsibilityforthematerials containedinanythirdpartywebsitereferencedinthiswork. OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi ILLVMINAT·OMNEM·STRVCTVRAM·BANDVM InscriptiononaRomanvase OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi Preface Why do we need yet another book on the physics of semiconductor quantum structuresandphotonicdevices?Thewritingprocesshastakenenoughtimefrom our regular lives (and the purchase may take enough from a potential reader’s wallet)thatwecannotbrushthisquestionasidelightly. First, we feel that the existing treatments fall a little short of presenting the theoryofbandstructureandopticalpropertiesinafullylogicalandself-contained manner.Aswetrytoshowinthisbook,thistheoryissurprisinglyaccessibleata ratherdeeplevelanddoesnotdemandmuchbackgroundfromthereader,apart from a basic grounding in quantum mechanics and electromagnetism. In some cases,wefindthatothersourcesdonotmakeitclearhowminimalamodelcanbe andstillremainadequateforaparticularclassofdevices. Second, we would like to expand and bring up to date some of the content that can be found elsewhere. We include extended discussions of quantum and interband cascade lasers, superlattice photodetectors, and novel photovoltaic concepts as well as a much-needed update of the comprehensive set of band parametersfirstreportedina2001reviewbytwoofthepresentauthors(expanded andcorrectedin2003and2007forthewurtzites). Third,thebooktriestoshedarayortwooflightonmanyconnectionsbetween the physics of III–V semiconductors and newer materials such as graphene and transition metal dichalcogenides. Today’s junior researchers may benefit from followingtheselinks,sketchedinoutline,asthefieldinevitablypivotstothenext greatthing. Howdidwedecidewhichtopicsshouldreceivethemostcare?Everyonetriesto tellthestorytheyknowbest,andwearenoexception.Thebookreliesonheavily on our published work, and hence emphasizes mid-infrared devices. But this is hardlyacompilation,andmuchofthematerialappearsintheformadoptedhere for the first time.We also try to take advantage of the extended book format to provide a more granular picture and frame it in a slightly different way that is fully understandable to ourselves and,we hope,to any other sufficiently motivated readerwillingtogoalongfortheride.Sometimesthatrequiresdroppingrigorand bridgingthegapswithdimensionalandplausibilityarguments.Atothertimes,we usequantitativeexamplestomakethemagnitudeoftheeffectclear. Hereisabriefoverviewoftheactualcontentofthebook.PartIlaysthefoun- dationforPartsII,III,andIVindescribinghowthemostimportantregionsofthe bandstructureclosetotheenergygapcanbemodeledusingapproachesthatrange fromquitesimpletoratherinvolved.Thebandstructuretechniqueofchoiceisthe 8-bandk·pmethodanditsvarioussimplifiedforms,althoughwedonotneglect tight-binding approaches, including the effective bond-orbital method, and the empirical pseudopotential method.Chapter 4 discusses the optical properties of OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi xii Preface bulk III–V semiconductors,starting from the basic concepts and culminating in quantitativeanalysesoftheabsorption,gain,andradiativeemissioninbulkIII–V materials.PartIIpresentsacomprehensivetabulatedupdateoftherecommended bandparameters(hereaugmentedtoincludedilutebismides,boronnitride,and the optical constants) that were first published by two of us nearly twenty years ago.Theseparametersareusedinthemodelsandsimulationresultspresentedin PartsI,III,andIV,andmayofcoursebeusedforgeneralreferenceinthereader’s own band structure and device modeling calculations.Part III guides the reader intothequantumrealm,anditsimplementationinsemiconductorepitaxiallayers withatomic-scalethicknesses.Itprovidestoolsforcomputingthebandstructures and optical properties of quantum wells and superlattices, as well as quantum wires and dots with multidimensional confinement. Chapter 11 discusses the opticalpropertiesofquantumheterostructures,focusingonabsorption,gain,and radiativeemissionprocessesthatmayresultfrombothinterbandandintersubband interactions. Finally, Part IV describes the physical principles behind photonic devicesbasedonlayeredIII–Vsemiconductorsandhowtheyaredesignedusing the tools developed in Parts I and III. Lasers, photodetectors, solar cells, and nonlinear devices will be discussed, with particular emphasis on mid-infrared lasersandmid-waveandlong-wavesuperlattice-basedphotodetectors.Sinceallof thesedevicesrelyonnon-equilibriumfreecarriers,thevariousradiativeandnon- radiative recombination processes that can dominate under different conditions willbedescribed. Everyone dislikes a long and rambling preface. If the reader indulges us for another paragraph,we would like to reiterate the philosophy that has guided the writing of this book.While it comes to you untested in a classroom,we do have vividmemoriesaswellasrecentexperiencesoflearningnewconcepts.Whenever an echo of the familiar resounds in an exotic thicket,we feel a step closer to the destination.Forthisreason,weavoidpluckinganon-obviousmathematicalresult fromanotherreferenceandsendingthereaderscurryingofftocheckitsvalidity (andsometimesdespairingofeverdoingso!).Instead,weattempttomakeevery calculationasself-containedaspossibleinabookofthissize.Whenthatstretches the book’s scope too far, we outline why the given fact is plausible and how it connects to the accumulated body of physical knowledge. Prizing intelligibility over cleverness,we steer clear of the more obscure theoretical tools,particularly where they are not strictly necessary to understand the material. We also try to paint a continuous narrative rather than serve up a farrago of formulas and calculations. Having given up on citing every relevant paper under the sun, we limit our references to a short list of those articles and books that have been the mostusefultous.Theexceptionistheband-parameterupdateinPartII,whichis morecatholicandbuildsonourearlierreviews.Finally,wehaveaimedtokeepthe languagesimpleanddirect,notpepperedwithacronyms.Thereaderscanjudge forthemselvesthesuccess(orlackthereof!)inachievingthesegoalsfromthetext thatfollows. OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi Acknowledgments Weareimmenselygratefultothemanypeoplewhohaveworkedwithusoradvised us on the topics covered here over the past several decades.These include,first and foremost,the members of our research groups,as well as many world-class scientists, some of whose insights found their way into the book. While we are unable to list everyone who should share at least some credit, special thanks go to Bill Bewley, Chadwick Canedy, Chul Soo Kim, Mijin Kim, Charles Merritt, Stephanie Tomasulo, Jacob Khurgin, Edward Aifer, L. R. Ram-Mohan, Jasprit Singh, and Maria Gonzalez. On a more artistic front, Chul Soo Kim designed the cover image,and Yelena Vurgaftman helped to draw the schematics.It goes withoutsayingthattheresponsibilityforanyerrorsrestswithusalone. WearegratefultoSonkeAdlungandOxfordUniversityPressfortheirinterest in the initial idea (that did not flag as deadlines passed ... and passed),and for helping to make the publication process smoother than we could ever imagine. Finally,awordofthankstoourfamilieswhohavemadethisbookandmanyother thingspossible. OUPCORRECTEDPROOF – FINAL,31/10/2020,SPi