Semiconductor Devices

Quantum Tunneling Through A Barrier

Jasmine Roberts submitted to: Dr. Wilfred Haensch, IBM M ay 4th 2013

Abstract The goal of this report was to examine the quantum mechanical phenomenon of tunneling with respect to the Schr odinger Equation. A quantum mechanical wave is said to tunnel when it travels (propagates) through a classically forbidden region. In a more physical interpretation, it is when the energy (E ) of the wave is lower than the potential at a specic point V (x). [A point where V (x) is greater than E is referred to as a classical turning point.] The method used to nd the one-dimensional transmission coecient was the WKB (analytical) e2 approximation method. It was found to be (1+ 1 2 )2 . The probabil4e ity density was also calculated to sum over both nal and inital states states.

Schr odinger Equation in One-Dimension

The tunnel eect is based on complex valued wave functions where a solution begins with the one-dimensional stationary Schr odinger Equation. The wavefunction describes a wave of probability, the square of whose amplitude is equal to the probability of nding a particle at position x and time t. Due to the one-dimensional nature of many semiconductor heterostructures,the one-dimensional Schr odinger equation is sucient for most applications. The wavefunction describes a wave of probability, the square of whose amplitude is equal to the probability of nding a particle at position x and time t. To derive the one-dimensional Schr odinger equation, examine the total energy equation p2 + U (x) = Etotal 2m (1.1)

Substituting dynamical variables to the wave-equation yields the one-dimensional time-dependent Schr odinger equation 2 2m x2 (1.2)

Using the notation from the Hamiltonia operator, the time-dependent Schr odinger equation can be written as H (x, t) = (x, t) i t (1.3)

Since the Schr/odinger equation is a partial dierential equation, the equation can be separated into a spatial and temporal part (x, t) = (x, t)f (t) Subsituted into the previous equation into Schr odingers yields: 1 i d H (x) = f (t) (x) f (t) dt (1.5) (1.4)

The left side of this equation depends solely on x, while the right side depends solely on t. x and t are independent variables and the equation is only satisied when both are constant i d f (t) = const. f (t) dt Set the const. = E f (t) = e
iEt

(1.6)

(1.7)

Inserting this into Eq (1.4) yields the time-dependent Schr odinger equation: (x, t)f (t) = e 2
iEt

(1.8)

The time-independent Schr odinger equation is obtained by inserting Eq (1.8) into (1.2). Thus, d2 (x) + U (x) (x) = E (x) 2m dx2 (1.9)

Using the Hamiltonian operator H (x) = E (x). (1.10)

Since H is an operator and E is a real number, the Schr odinger equation takes the form of an eigenvalue equation. The eigenfunctions n (x) and eigenvalues En are found by solving the Schr odinger equation. The eigenvalues are discrete. The lowest eigenstate energy is ground state while al higher energies are excited states.

WKB Approximation

The WKB (Wentzel, Kramers,and Broiullon) method is the most widely used approximation for solving tunneling problems. It approximates solutions of linear partial dierential equations with spatially varying coecients and is often applied to one-dimensional cases. Suppose we want to nd the approximate solution of the Schr odinger equation: (x) + Q(x) (x) = 0 (2.1) where the primes indicate derivatives with respect to x and Q(x) = First, (x) is replaced by (x) (x) = exp[(x)], This is substitued into (2.1) (x) + 2 (x) + Q(x) = 0. (2.4) (2.3) 2m
2

(E V (x))

(2.2)

The equation can be transformed into a Riccati equation by changing to y;1 (x) = y (x) (2.5)
A Riccati equation is any rst-order ordinary dierential equation that is quadratic in the unknown function. In other words, it is an equation of the form of y (x) = q0 (x) + q1 (x)y (x) + q2 (x)y 2 (x) where q0 (x) = 0 and q2 (x) = 0
1

to obtain y (x) + y 2 x + Q(x) = 0 In tunneling problems, y(x) is a complex function and is written as: y (x) = (x) + i (x) (2.7) (2.6)

By substituting (2.7) in (2.6) and separating the real and imaginary parts, two rst order dierential equations are found: + 2 2 + Q(x) = 0, and + 2 = 0 Equation (2.9) can be integrated to yield 1 (x)dx = ln( + C) x From Eqs. (2.5), (2.7) and (2.10) and can be found; (x) = ln( and (x) = e(x) = 1 (x) [A1 cos( (x)dx) + A2 sin( (x)dx)]. (2.12) 1 (x) )+i (x)dx, (2.11) (2.10) (2.9) (2.8)

This expression for (x) is the exact solution of Eq.(2.1). To nd an approximate solution to (2.1), if and are ignored, then the algebraic equation for the unknown function : (x) = Q(x) (2.13)

If Q(x) is positive from (2.12) and (2.13) then (x) = If Q(x) is negative, then (x) = 1 [Q(x)] 4
1

1 [Q(x)] 4
1

exp[i(

Q(x)dx )].

(2.14)

[A1 exp(

Q(x)dx) + A2 exp(

Q(x)dx)]. (2.15)

Equations (2.8) and (2.9) show that this approximation is not valid at those points where Q(x) is small or zero, but it is acceptable whenever Q(x) is

large. IN order to estimate the error in this approximation, we go back to Ricatti equation (2.6) and write y (x) as y (x) = y0 (x) + (x), (2.16)

where y0 (x) is the solution of the Ricatti equation in the WKB approximation, i.e. 1 Q (x) y0 (x) = i Q(x) . (2.17) 4 Q(x) From Eqs. (2.16), (2.17) and (2.6) (x) + 2 (x) + 2y0 (x) (x) + 1 1 [(lnQ(x)) ]2 (lnQ(x))) = 0 16 4 (2.18)

Since (x) is assumed to be a small function compared to y (x), 2 (x) and (x) in (2.18) can be ignored. (x) is dened as (x) =
1 [(lnQ(x)) ]2 lnQ(x)) 4

8i Q(x)

(2.19)

In the denominator, the y0 was replaced by its largest part i Q(x). Equation (2.19) shows that the WKB approximation is valid when the right hand side of (2.19) is small. In tunneling problems Q(x) changes sign, this there is a region wher Q(x) is positive (oscillatory solution) and a part where Q(x) is negative (exponential solution). Therefore, Q is continuous if it passes through zero. When Q(x) = 0, or it is small, this method breaks down and we have to nd another way of determining the solution. Assume that the WKB method is not valid for all points on the x-axis between A and B, and between these points Q(x) changes sign. If Q(x) is a smoothly varying function we can approximate it by a straight line, i.e. Q(x) = a(x x0 ), A x B (2.20)

The origin of the coordinate system so that it coincides with x0 , the Schr odinger equation for the segment AB can be written as (x) + ax (x) = 0, A x B (2.21)

This dierential equation can be intgrated and the solution is given as the Bessel function. If (x) = x Jp (x ) (2.22) where Jp is the Bessel function of order p, then (x) satises the dierential equation (x) + ( 1 2 2 2 p2 ) (x) + (2 2 x22 + ) (x) = 0 x x2 5 (2.23)

Now if we compare Eq. (2.21) with (2.23) we conclude that the the latter simplies to the former provided 3 1 1 = , = , p = and 2 2 = 2 2 3 (2.24)

If =1 and this a = 9 4 . The solution of (2.21) in terms of the Bessel function, (x) = x[A1 J 1 (x 2 ) + A2 J 1 (x 2 )].
3 3 3 3

(2.25)

Alternatively we can write as a linear combination of f(x) and g(x). where f (x) = g (x) = x[J 1 (x 2 ) + A2 J 1 (x 3 )
3 3 3 2 3 2

(2.26) (2.27)

x[J 1 (x 2 ) + A2 J 1 (x 3 )
3 3

From the asymptotic expansion of the Bessel function we can nd asymptotic forms of f (x) and g (x) f (x) 2 and
3 2 1 x 4 sin( )sin(x 2 ), as x (2.29) 6 4 To nd the asymptotic form when x tends to , we rst change the variable from xto t; t2 = x3 (2.30) 3 2 1 x 4 cos( )cos(x 2 ), as x 6 4

(2.28)

g (x) 2

In terms of this new variable: f (x) = t 3 K 1 (it),

3 1

(2.31)

and the asymptotic xpansion of f (x) becomes f (x) t 3

1

2 t e sin( ) = t 3

x3 2 1 x 4 sin( )exp( ) 3 2

(2.32)

In the same way g (x) we nd g (x) x3 2 1 x 4 exp( ). 2 (2.33)

With the aid of these relations we nd the connection formula for the wave function from a region where Q(x) is negative to a prt of Q(x) is positive. 9 Q(x) = x 4 6 (2.34)

and
0

Q(x)dx = x 2 If Q(x) < 0, we take x = z , then we have 3 1 Q(x) = z 2 , 2 and

0 x

(2.35)

(2.36)

Q(x)dx = z 2

(2.37)

Now we choose the point x = x0 at which Q(x0 ) = 0 as the reference point and for negative Q(x) we write (x) as (x) = 1
x
1 [A1 exp(

[Q(x)] 4

Q(x)dx) + A2 exp[(
x0 x0

Q(x)dx)] (2.38)

in a similar way (x) = 1

x
1 [A1 exp(i

[Q(x)] 4

Q(x)dx) + A2 exp[(i
x0 x0

Q(x)dx)]

(2.39) The four constants A1 , A2 , A1 and A2 are relaeed to eachother. For joining (x) on the two sides of x = x0 , we usef (x) to nd A1 and g (x) to nd A2 . By comparing Eqs. (3.32) and (3.28), and writing the latter in terms of complex functions A1 = exp(i )A1 4 and (2.40)

A2 = exp(i )A1 (2.41) 4 In the same way writing (2.33) and (2.29) where the second equation is written in terms of a complex function, the following expressions are obtained: i A1 = exp(i )A2 , 2 4 and i exp(i )A2 2 4 Thus the relations between Ai s and Ai s are A2 = i A1 = exp(i [A1 + A2 ] 4 2 and i A2 = exp(i [A1 A2 ] 4 2 7 (2.42)

(2.43)

(2.44)

(2.45)

These can be simplied: 1 1 A1 = [(1 i)A1 + (1 + i)A2 ] 2 2 and 1 1 A2 = [(1 + i)A1 + (1 i)A2 ] 2 2 (2.46)

(2.47)

We have assumed that Q(x) goes from negative to positive. For cases where Q(x) goes from postiive to negative values: 1 1 A1 = 1 [ (1 i)A1 + (1 + i)A2 ] 2 2 2 and 1 1 1 A2 = [ (1 + i)A1 + (1 i)A2 ] 2 2 2 (2.48)

(2.49)

For regions where (x) is the sum of two exponentials, it is sucient to take the coecents of the two exponentias as real quantities. For the region where (x) is oscillatory we need real functions, and for this when Q(x) is positive we write (x) as (x) = C
x
1 cos[

Q(x)dx ],
x0

(2.50)

[Q(x)] 4

The two constants C and are substituted for A1 and A2 in (2.39). By comparing (2.48) and (2.50) A1 = C i C e , A2 = ei 2 2 (2.51)

We replace the two constants C and for A1 and A2 in terms of C and , we can use Eqs(2.48) to go fromto region of positive Q(x) to the region of negative Q(x) and nd A1 and A2 in terms of C and A1 = and A2 = Csin( By solving for and C tan( and C=
2 4 A2 1 + A2

C cos( ) 2 4 ) 4

(2.52)

(2.53)

A2 )= 4 2A1

(2.54)

(2.55)

Considering the tunneling of a particle of mass m and energy E through an arbitrary potential barrier V (x). Denoting the classical turning points by a 8

and b, the approximaate solution of the Schr odinger equation can be written as 1 (x) = A1
x
1 exp[i

Q(x)dx ]+
a x

B1

x
1 exp[i

Q(x )dx ], x < a

a x

(Q(x)) 4 A2

(Q(x)) 4 Q(x)dx ]+

(2.56) Q(x )dx ], a < x < b

2 (x) =

(Q(x)) 4 A3 (Q(x)) 4
1

exp[
a x

B2 (Q(x)) 4 B3
1 1

exp[
a x

(2.57) Q(x )dx ], x > b

1 (x) =

exp[i
b

Q(x)dx ]+

exp[i
b

(Q(x)) 4

(2.58) Using the connection formula for joining the three wave functinos and then eliminating the constraints A2 and B2 from these formulae
1 ) A 1 2e + 2 A e i(2e 1 3 2e [ 1] = [ ] 1 ][ 1 B1 B3 2 i(2e + 2 e ) 2e + 2 e

(2.59)

where =
a

Q(x)dx.

(2.60)

3 2 The transmission coecient is dened by the relation | A A1 | , i.e.,

T (E ) = |

e2 A3 2 | = 1 2 2 A1 (1 + 4 e )

(2.61)

3
3.1

One-Dimensional Transition Probability

Emitter/Collector States

Resonant tunneling structures (RTS) consist of two tunneling barriers and a quantum well layer between the barriers. Current ows from the one electrode, denoted as emitter, through the double barrier structure to the receiving electrode, denoted as collector. The emitter and collector are doped to provide charge carriers for transport. RT structures are usually ntype due to the larger quantum energies attainable with the lighter electrons as compared to the heavier holes. Each one is characterized by a complete set eigenfunctions I and F and the corresponding eigenenergies. (I and F are the initial and nal states respectively). When the two systems are brought into contact, say by tunneling barrier, one may approximate the wave function of the total system by expansion of the form (t) =
i

ai (t)i exp(

iEi t

)+
j

bj (t)j exp(

iEj t

(3.1)

The emitter states are denoted by the i indices and the collector states are denoted by j . Equation (3.1) is a good approximation if the coupling is weak between the two systems and the barriers and relatively thick. If the electron is assumed to start from state (0)I , one has initial conditions for the coecients a0 (t = 0) = 1 and ai (0) = 0 = bj (0) = 0. This is now inserted into (1.) If a weakly coupled system is assumed, a perturbation approach may be taken which starts with the assumptions ai (t) 1, bj (t) 0 and dai /dt 0 for all times t. Thus (t) i=0 I . The time dependent Schr odinger equation is: i
j

dbJ iEk t iEI t j exp( ) = (H EI )I exp( ) dj

(3.2)

After multiplication with a state F taken from all possible states in the collector system, and repeating the same theory known from time-dependent perturbation theory, the transition probability between I and F becomes the following expression: |bF (t)|2 2 = |MIF |2 (EF EI ) t (3.3)

With a transition matrix element given by MIF = F |H EI |I . To obtain the total transition probability, one has to sum over all initial and nal states and to weight every term in the usual way by the combined probability to nd the initial state occupied and the nal state empty. This leads to the expression. PIF = 2
m,n jI ,jF 2 |MIF [f EI f EF ] (EI EF + eVb )

(3.4)

The function ensure the conservation of energy. It is alread assumed that a bias voltage is applied which drops completely across the tunneling barrier and leads to a relative shift in Fermi levels across the collector and emitter states.

3.2

Small Perturbation Theory

Let |f be the nal state that |j transitions to. VIF f | Vp |j and jf (Ej EF )/ i aF = aj VjF ei(Ej EF )/ (3.5)
j

In this approximation, there are only two states, the initial excited and nal states. aI (t) = 1t, aF (0) = 0while other as are always equal to zero. Integrating (3.5) 1 eiIF af = VIF (3.6) hIF 10

P = |af |2 = |VIF |2

(3.7)

From the Heisenberg Uncertainty Principle, E T 2 . So assume the energy of the excited state is distributed according to a distribution ( ). Integrating to obtain the occupation probability:

P =

2 | |VIF 2

( )

sin2 ((IF )t/2) (sin2 ((IF )/2)2

(3.8)

the sin2 ((IF )t/2) (sin2 ((IF )/2)2 (3.9)

narrows as t increases. The decay needs to be considered from the excited state to the nal state, so large t P = |VIF |2
2

(IF )2t

dx

sin2 x x2

(3.10)

The integral evaluates to , therefore P = Since EIF = IF P = 2

2

|VIF |2 (IF )t

(3.11)

|VIF |2 (EIF )t

(3.12)

Schr odinger Time-Independent Probability Density

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Probability Density of Transition Including Inital and Final States

References
Garg, Anupam. Tunnel Splittings for One-Dimensional Potential Wells Revisited. American Journal of Physics. 68 (5), 2000. 430-437. Libo, Richard L. Introductory Quantum Mechanics. San Francisco: Cornell University Press, 1990. R.L.Libo, Introductory Quantum Mechanics (Addison-Wesley, Reading, Massachusetts, 1992), 2nd ed., Chap. 7.E. Merzbacher, Quantum Mechanics, (Wiley, New York, 1970), 2nd ed., Chap. 6. R.Eisberg and R.Resnick, Quantum Physics of Atoms, Molecules, Solids, Nuclei, and Particles(Wiley, New York, 1985), 2nd ed., Chap. 6. S.Gasiorowicz,Quantum Physics, (Wiley, New York, 1974), Chap. 5. D.Park, Introduction to the Quantum Theory, (McGraw-Hill, New York, 1992), Chap. 4. L.I.Schi, Quantum Mechanics, (McGraw-Hill, New York, 1968), Chap. 5. R.G.Winter,Quantum Physics, (Wadsworth, Belmont, California, 1979), Chap. 2. R.L.Libo, Introductory Quantum Mechanics (Addison-Wesley, Reading, Massachusetts, 1992), 2nd ed., p. 257.

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