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Direct and indirect band gaps

In semiconductors, the band gap is the energy difference between the top of the valence band and the bottom of the conduction band, determining the material's electrical and optical properties.^[1] Direct and indirect band gaps classify this energy gap based on the alignment of the band extrema in momentum space (k-space).^[2] In a direct band gap semiconductor, the maximum of the valence band and the minimum of the conduction band occur at the same crystal momentum (k-vector), allowing electrons to transition between bands with negligible momentum change, typically via photon absorption or emission.^[3] This enables highly efficient radiative recombination, where an electron-hole pair recombines to emit a photon with energy approximately equal to the band gap.^[1] Examples include gallium arsenide (GaAs, band gap ~1.42 eV at room temperature) and gallium nitride (GaN, ~3.4 eV).^[1] In contrast, an indirect band gap semiconductor has its valence band maximum and conduction band minimum at different k-vectors, requiring a change in both energy and momentum for band-to-band transitions.^[2] Such transitions cannot occur solely with a photon, as photons carry negligible momentum (p = E/c, where c ≈ 3 × 10^8 m/s and E ≈ 10^{-19} J for typical band gaps), necessitating assistance from a phonon (lattice vibration) to conserve momentum.^[3] This three-particle process (electron, hole, phonon) makes radiative transitions much less probable, often resulting in non-radiative recombination via heat.^[1] Common examples are silicon (Si, band gap ~1.12 eV) and germanium (Ge, ~0.67 eV).^[1] The distinction profoundly impacts applications: direct band gap materials excel in optoelectronics, powering light-emitting diodes (LEDs), laser diodes, and efficient photodetectors due to short absorption lengths (~1 μm) and strong emission.^[2] Indirect band gap materials, while dominant in electronics (e.g., Si in integrated circuits), require thicker layers (hundreds of μm) for sufficient light absorption in solar cells and are unsuitable for light emission without enhancements.^[1] Band gap engineering, such as through alloying or strain, can sometimes shift materials from indirect to direct types, broadening their utility in photonics.^[4]

Basic Concepts

Electronic Band Structure

In crystalline solids, the electronic structure is governed by the periodic arrangement of atoms, which creates a periodic potential for the electrons. According to Bloch's theorem, the wavefunctions of electrons in such a potential can be expressed as plane waves modulated by a periodic function with the same periodicity as the lattice.^[5] Mathematically, the Bloch wavefunction takes the form

\psi_{\mathbf{k}}(\mathbf{r}) = e^{i \mathbf{k} \cdot \mathbf{r}} u_{\mathbf{k}}(\mathbf{r}),

where \mathbf{k} is the crystal wavevector, and u_{\mathbf{k}}(\mathbf{r}) is periodic with the lattice periodicity.^[6] This form arises from the translational symmetry of the crystal, allowing solutions to the Schrödinger equation to be labeled by \mathbf{k} within the first Brillouin zone.^[5] The energy eigenvalues associated with these Bloch states form continuous bands as a function of \mathbf{k}, due to the delocalization of electrons across the lattice. In solids, these bands originate from the overlap and hybridization of atomic orbitals from neighboring atoms. For instance, in a simple one-dimensional chain, s-orbitals from adjacent atoms split into bonding and antibonding combinations, broadening into a valence band (filled with electrons) below the Fermi level and a conduction band (empty) above it.^[7] This band formation is a quantum mechanical consequence of the tight-binding model, where the extent of overlap determines the bandwidth.^[8] The band gap is defined as the energy difference between the highest occupied state at the top of the valence band and the lowest unoccupied state at the bottom of the conduction band, typically on the order of a few electron volts in semiconductors and insulators.^[9] This gap arises from the forbidden energy region where no electron states exist, separating the filled valence band from the empty conduction band at absolute zero temperature.^[9] The foundational understanding of electronic band structure emerged in the late 1920s and 1930s, with Felix Bloch's 1928 thesis introducing the theorem for electrons in periodic potentials, followed by extensions from Léon Brillouin and others that incorporated zone boundaries and nearly free electron models.^[10] ^[11] A typical band structure plot displays the dispersion relation E(\mathbf{k}) along high-symmetry directions in the Brillouin zone, often showing parabolic-like minima or maxima near zone center or edges, with the valence band curving upward to its maximum and the conduction band starting from its minimum, separated by the band gap.^[12] Such plots, computed via methods like density functional theory, illustrate how electron effective mass varies with band curvature, \frac{1}{m^*} = \frac{1}{\hbar^2} \frac{d^2 E}{d k^2}.^[12]

Definition of Direct and Indirect Band Gaps

In semiconductor physics, the band gap refers to the energy difference between the top of the valence band and the bottom of the conduction band. A direct band gap occurs when the maximum of the valence band and the minimum of the conduction band align at the same wavevector k in the Brillouin zone, typically at the Γ point (k = 0).^[13]^[14] This alignment allows for vertical transitions in the energy-momentum (E-k) diagram, where an electron can move from the valence to the conduction band without a change in crystal momentum. In contrast, an indirect band gap arises when the valence band maximum and conduction band minimum occur at different k-points, necessitating a change in momentum for interband transitions.^[13]^[4] Schematic representations in E-k diagrams illustrate this distinction: for direct band gaps, the band edges form a vertical step, enabling straightforward optical transitions; for indirect band gaps, the edges are offset, resulting in slanted transitions that require additional momentum compensation, often involving phonons.^[12] Representative examples include gallium arsenide (GaAs), a direct band gap semiconductor with an energy gap of approximately 1.42 eV at the Γ point, and silicon (Si), an indirect band gap material with a minimum gap of about 1.12 eV between the Γ and X points in its diamond lattice structure.^[15]^[16] The type of band gap is influenced by factors such as material composition and lattice structure; for instance, polar compounds like those in the zincblende structure (e.g., GaAs) tend toward direct gaps due to stronger ionic bonding effects, whereas more covalent diamond-structured materials (e.g., Si) favor indirect gaps.^[17] Alloying or strain can further tune these properties by shifting band extrema relative to each other in k-space.^[18]

Momentum Conservation in Transitions

Role of Crystal Momentum

In solid-state physics, crystal momentum, denoted as \hbar \mathbf{k}, represents the quasi-momentum of electrons within the periodic potential of a crystal lattice, confined to the first Brillouin zone as per Bloch's theorem.^[19] This concept arises from the wave-like nature of electrons in a crystal, where the wavefunction takes the form \psi_{n\mathbf{k}}(\mathbf{r}) = e^{i\mathbf{k}\cdot\mathbf{r}} u_{n\mathbf{k}}(\mathbf{r}), with \mathbf{k} labeling states in the reciprocal lattice.^[20] The conservation of crystal momentum serves as a fundamental selection rule for electronic transitions, particularly those induced by photons in optical processes across the band gap. In direct band gap materials, where the conduction band minimum and valence band maximum occur at the same \mathbf{k}-point (typically the zone center \Gamma), vertical transitions in \mathbf{k}-space are allowed. Photons carry negligible momentum (\hbar \mathbf{k}_\gamma \approx 0) compared to electrons, enabling momentum-conserving transitions without additional carriers of momentum.^[21] Consequently, the transition probability is proportional to a delta function enforcing conservation:

\delta(\mathbf{k}_c - \mathbf{k}_v - \mathbf{k}_\gamma),

where \mathbf{k}_c and \mathbf{k}_v are the wavevectors in the conduction and valence bands, respectively, and \mathbf{k}_\gamma \approx 0.^[19] In indirect band gap semiconductors, the band extrema occur at different \mathbf{k}-points, violating direct momentum conservation for photon-induced transitions. This prohibition arises because the dipole matrix element for electric-dipole transitions, \langle c | \hat{\mathbf{e}} \cdot \mathbf{p} | v \rangle, is nonzero only when \Delta \mathbf{k} = 0, as the perturbation from the photon's vector potential acts locally within the unit cell.^[21] As a result, pure photon-mediated transitions across indirect gaps are inefficient, often requiring phonon assistance to bridge the momentum mismatch.^[20]

Phonon Involvement

Phonons, the quantized collective excitations of lattice vibrations in a crystal, carry crystal momentum \mathbf{q} and are essential for enabling optical transitions in indirect band gap semiconductors, where the valence band maximum and conduction band minimum occur at non-equivalent wavevectors \mathbf{k} in the Brillouin zone. Unlike direct transitions, where momentum conservation is approximately satisfied by the negligible momentum of the photon, indirect transitions require phonon participation to supply the required momentum difference \Delta \mathbf{k}. This involvement occurs through electron-phonon interactions, modeled via perturbation theory, allowing the overall process to conserve both energy and crystal momentum. In indirect light absorption, an electron is excited from the valence band to the conduction band via the simultaneous absorption of a photon and either the absorption or emission of a phonon, bridging the \Delta \mathbf{k} mismatch; for example, phonon absorption facilitates upward transitions in momentum space when the initial state requires additional \mathbf{q}. Conversely, in radiative recombination, an electron-hole pair annihilates, emitting a photon and involving phonon absorption or emission to ensure momentum matching between the recombining carriers. These processes are symmetric in their phonon mechanics but differ in the direction of energy flow.^[22] The energy balance in these transitions is adjusted by the phonon energy, yielding effective thresholds of E_g \pm \hbar \omega_{\text{phonon}}, where E_g is the indirect band gap and \hbar \omega_{\text{phonon}} typically ranges from a few meV for acoustic phonons to 10–60 meV for optical phonons, introducing weak sidebands in the absorption or emission spectra. Phonons are categorized as acoustic (with linear dispersion and low energy, predominant in intravalley scattering within the same conduction or valence band valley) or optical (with higher energy and nearly flat dispersion, key for intervalley scattering between distinct valleys, as seen in silicon's \Gamma-to-X transitions).^[23]^[24] The probability of phonon-assisted transitions depends strongly on temperature through the Bose-Einstein occupation factor for phonons, given by

n(\omega) = \frac{1}{\exp(\hbar \omega / k_B T) - 1},

where processes involving phonon absorption scale with n(\omega) (reflecting the available phonon population) and those with emission scale with n(\omega) + 1 (accounting for spontaneous emission); thus, higher temperatures increase the phonon density, enhancing overall transition rates in indirect semiconductors.^[25]

Optical Processes

Light Absorption

Light absorption in semiconductors with direct and indirect band gaps exhibits distinct characteristics due to the momentum conservation requirements in optical transitions. In direct band gap materials, such as gallium arsenide (GaAs), vertical transitions at the same crystal momentum k allow for strong absorption via electric dipole interactions, resulting in a sharp onset of the absorption coefficient α(ω) near the band gap energy E_g.^[26] Conversely, indirect band gap materials like silicon (Si) require phonon assistance to conserve momentum, leading to weaker absorption and a more gradual edge often featuring an Urbach tail, an exponential increase in absorption below E_g attributed to disorder or thermal effects.^[27] For direct band gaps, the absorption process involves allowed electric dipole transitions between the valence band maximum and conduction band minimum at the same k-point, typically at the Brillouin zone center (Γ point). The absorption coefficient near the band edge follows a square-root dependence, α(ω) ∝ (ħω - E_g)^{1/2}, arising from the joint density of states (JDOS) for three-dimensional parabolic bands.^[26] To derive this, consider the transition rate from time-dependent perturbation theory, where the absorption is proportional to the matrix element |<c| \mathbf{e} \cdot \mathbf{p} |v>|^2 (with \mathbf{p} the momentum operator and \mathbf{e} the light polarization) times the JDOS. For parabolic bands, E_c(k) = E_g + ħ^2 k^2 / (2 m_e^) and E_v(k) = - ħ^2 k^2 / (2 m_h^), the energy conservation ħω = E_c(k) - E_v(k) yields a spherical surface in k-space. The JDOS ρ(ω) is then obtained by integrating over this surface:

\rho(\omega) = \frac{1}{4\pi^2} \left( \frac{2\mu}{\hbar^2} \right)^{3/2} (\hbar \omega - E_g)^{1/2},

where μ = (m_e^* m_h^) / (m_e^ + m_h^*) is the reduced effective mass. The full absorption coefficient includes a constant prefactor involving the matrix element and is thus α(ω) = (C / ω) (ħω - E_g)^{1/2} for ħω > E_g, with C encapsulating material parameters.^[28] In indirect band gap semiconductors, direct transitions are forbidden by momentum conservation, so absorption is phonon-assisted, involving the absorption or emission of a phonon with energy ħω_ph to bridge the k-mismatch between band extrema. This results in a weaker coefficient with quadratic dependence, α(ω) ∝ (ħω - E_g ± ħω_ph)^2, where the ± accounts for phonon absorption or emission, respectively.^[29] The derivation parallels the direct case but incorporates the electron-phonon interaction vertex, leading to a JDOS modified by phonon dispersion; for low temperatures, the dominant term involves phonon emission, and the squared dependence emerges from the 3D parabolic band integration with momentum offset Δk between extrema. This phonon involvement makes indirect absorption typically orders of magnitude smaller than direct, with characteristic energies ħω_ph ~ 10-60 meV in common materials.^[26] Experimentally, the type of band gap is determined by measuring the absorption coefficient via transmittance spectroscopy, where thin samples allow extraction of α(ω) = (1/d) ln(I_0 / I), with d the thickness and I, I_0 the transmitted and incident intensities.^[28] Spectroscopic ellipsometry provides a model-independent approach by fitting the complex dielectric function ε(ω) = ε_1 + i ε_2, where Im[ε(ω)] relates to α(ω) = (ω / c) Im[√ε(ω)], revealing sharp critical points for direct gaps or broader features for indirect ones; for example, in Ge_{1-x}Sn_x alloys, ellipsometry distinguishes the crossover from indirect to direct gaps as Sn content increases.^[30]

Radiative Recombination

Radiative recombination is the process in which an electron in the conduction band annihilates with a hole in the valence band, releasing energy in the form of a photon whose energy corresponds to the band gap.^[31] This direct band-to-band transition is the primary mechanism for light emission in semiconductors. In direct band gap materials, such as gallium arsenide (GaAs), radiative recombination occurs with high efficiency due to favorable momentum conservation, allowing vertical transitions in k-space without additional assistance. High-quality GaAs exhibits internal quantum efficiencies exceeding 90% under appropriate conditions, with minority carrier radiative lifetimes on the order of nanoseconds (τ_rad ≈ 1–10 ns).^[32] In contrast, indirect band gap materials like silicon (Si) have low radiative efficiency, typically less than 0.1%, because momentum conservation requires phonon participation to bridge the k-space mismatch between the band extrema, making the process improbable and dominated by non-radiative pathways.^[33] The rate of bimolecular radiative recombination is described by the equation

R_{\text{rad}} = B n p,

where n and p are the electron and hole concentrations, respectively, and B is the radiative recombination coefficient. For direct band gap semiconductors, B ranges from $10^{-9} to $10^{-11} cm³/s, which is orders of magnitude larger than in indirect materials ($10^{-13} to $10^{-15} cm³/s), reflecting the enhanced transition probability.^[34] The quantum yield \phi, representing the fraction of carrier recombinations that result in photon emission, is given by \phi = \frac{\tau_{\text{non-rad}}}{\tau_{\text{rad}} + \tau_{\text{non-rad}}}, where \tau_{\text{non-rad}} is the non-radiative lifetime. In indirect band gap semiconductors, low \phi due to short \tau_{\text{non-rad}} necessitates defect engineering strategies, such as reducing point and extended defects, to suppress non-radiative recombination and enhance radiative efficiency.^[35] Temperature influences radiative recombination through the band gap energy E_g(T), which decreases with increasing temperature according to the Varshni relation:

E_g(T) = E_g(0) - \frac{\alpha T^2}{T + \beta},

where \alpha and \beta are material-specific constants. This variation shifts the emission wavelength to longer values (redshift) and can modulate recombination rates, with indirect materials showing particularly strong temperature dependence due to phonon involvement.^[36]

Applications and Implications

Optoelectronic Devices

Optoelectronic devices, such as light-emitting diodes (LEDs) and photodetectors, rely heavily on the nature of the semiconductor band gap to achieve efficient light emission and detection. Direct band gap materials facilitate vertical electronic transitions without momentum mismatch, enabling high radiative recombination rates essential for electroluminescence and sensitive photon absorption. In contrast, indirect band gap materials require phonon assistance, leading to lower efficiency in optical processes but offering advantages in certain spectral ranges. This distinction profoundly influences device design, with direct band gap semiconductors dominating applications requiring strong light-matter interactions.^[1]^[37] In LEDs and lasers, direct band gap materials like gallium nitride (GaN) and indium phosphide (InP) are preferred for their efficient electroluminescence, as electrons and holes recombine radiatively with minimal non-radiative losses. For instance, GaN-based blue LEDs achieve high brightness through direct transitions, powering displays and lighting. Conversely, indirect band gap silicon (Si) exhibits poor performance in such devices due to inefficient light emission, with radiative efficiency often requiring quantum well structures to enhance carrier confinement and indirect-to-direct-like behavior. The historical shift toward III-V direct band gap semiconductors in the 1960s, pioneered by developments in GaAsP and GaP epitaxial growth, revolutionized optoelectronics by enabling practical visible LEDs beyond inefficient early Si-based attempts.^[38]^[39]^[40] Photodetectors also benefit from direct band gaps for fast and sensitive responses, as the strong absorption coefficient allows thin active layers and high quantum efficiency in detecting photons near the band edge. Materials like InGaAs, with direct band gaps, provide near-unity quantum efficiency for near-infrared detection. Indirect band gap materials, such as Si, offer broader spectral coverage into the infrared but suffer from lower quantum efficiency due to weaker absorption, necessitating thicker layers that can introduce response delays. This trade-off guides material selection, with direct gaps favored for high-speed applications like fiber-optic receivers.^[41]^[42]^[43] Engineering approaches, such as strain or alloying, address limitations of indirect materials by inducing direct band gap transitions. For example, tensile strain in germanium (Ge) reduces the direct band gap relative to the indirect one, enabling light emission in otherwise inefficient group IV semiconductors. Such techniques, including biaxial strain via epitaxial growth on Si substrates, have demonstrated direct band gap behavior in strained Ge, paving the way for integrated photonic devices. Performance metrics highlight the impact: direct band gap LEDs often exceed 80% internal quantum efficiency (IQE), reflecting efficient radiative recombination, while indirect Si-based emitters typically achieve less than 1% IQE without enhancements. This disparity underscores the radiative recombination efficiency's role in device viability.^[44]^[45]^[46]

Photovoltaic Cells

In photovoltaic cells, the type of band gap significantly influences light absorption efficiency and overall device design. Direct band gap materials exhibit strong absorption coefficients, typically on the order of 10^4 to 10^5 cm⁻¹ near the band edge, allowing for efficient capture of photons in ultra-thin absorber layers. For instance, copper indium gallium selenide (CIGS) solar cells, which utilize a direct band gap of approximately 1.1–1.2 eV, achieve sufficient absorption in thicknesses of 1–2 μm, enabling lightweight, flexible thin-film devices with reduced material usage.^[47] In contrast, indirect band gap semiconductors like silicon (Si), with a band gap of 1.12 eV, have much weaker absorption coefficients (around 10^2–10^3 cm⁻¹), necessitating thicker absorbers—typically 100–200 μm—to capture a comparable fraction of the solar spectrum and minimize transmission losses.^[48] This difference arises from the momentum mismatch in indirect transitions, requiring phonon assistance and resulting in lower probability for optical absorption. The Shockley-Queisser limit provides a theoretical benchmark for single-junction solar cell efficiency, capping it at approximately 33% for a band gap of 1.1 eV under AM1.5 illumination, assuming detailed balance between absorption and radiative recombination. Direct band gap materials more readily approach this limit due to their efficient above-band-gap absorption and minimal non-radiative losses in optimized structures, as the strong oscillator strength facilitates high quantum efficiency. Indirect band gap materials, however, face practical challenges in reaching this efficiency, including parasitic free-carrier absorption in thicker layers and increased non-radiative recombination volumes, which introduce additional losses beyond the radiative limit. For Si cells, these factors contribute to real-world efficiencies of 20–25%, well below the theoretical maximum despite mature processing.^[49] To surpass single-junction limitations, multi-junction solar cells stack layers with progressively narrower direct band gaps to split the solar spectrum and minimize thermalization losses. High-efficiency designs often employ direct band gap III-V semiconductors, such as gallium arsenide (GaAs, 1.42 eV) for the middle junction and gallium indium phosphide (GaInP, ~1.8 eV) for the top, enabling current matching and external quantum efficiencies exceeding 80% across visible wavelengths. These lattice-matched structures, typically grown via metalorganic vapor-phase epitaxy, have achieved efficiencies over 30% under one-sun illumination and up to 47% under concentration, far outperforming single-junction indirect band gap cells by better utilizing the full AM1.5 spectrum.^[50] Recent advances since 2010 have leveraged direct band gap hybrid perovskites, such as methylammonium lead iodide (MAPbI₃) with a band gap of ~1.55 eV, to enhance photovoltaic performance through solution-processable thin films (300–500 nm thick) that exhibit direct band gap transitions with high absorption coefficients (>10^5 cm⁻¹). These materials have driven single-junction efficiencies beyond 25%, with certified records reaching 26.7% as of 2025, owing to low exciton binding energies and defect tolerance that promote long carrier diffusion lengths. When integrated into tandems with Si bottom cells, perovskite/Si hybrids exploit the direct absorption for top-cell spectrum capture, reaching overall efficiencies up to 34.9% as of 2025.^[51]^[52]^[53] Despite these advantages of direct band gap materials, indirect band gap Si continues to dominate the photovoltaic market, holding approximately 95% share as of 2025 due to its abundance, low cost (from established wafer production), and reliable scalability. This prevalence persists even though Si's weaker absorption demands thicker, more material-intensive cells, underscoring a trade-off where economic and infrastructural factors outweigh optical limitations in commercial deployment.^[54]

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May 11, 2017 · Our results demonstrate that appropriate bandgap engineering may lead to significantly higher conversion efficiency at illumination levels above ~1000 suns.
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Photovoltaics Reaching for the Shockley–Queisser Limit
Sep 1, 2020 · The much lower effective bandgap (1.4 vs 1.6 eV) in the new organic materials also creates potential for higher achievable efficiency ...
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[PDF] Direct or Indirect? Unraveling the bandgap nature of metal halide ...
This thesis explores the bandgap nature of metal halide perovskites, specifically whether they are direct or indirect.
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How crystalline silicon will dominate global energy by 2050 - PV Tech
May 6, 2025 · Crystalline silicon technology has become the industry standard, accounting for roughly 95% of the global PV market.