Theory of inelastic multiphonon scattering and carrier capture by defects in semiconductors. Application to capture cross sections

Inelastic scattering and carrier capture by defects in semiconductors are the primary causes of hot-electron-mediated degradation of power devices, which holds up their commercial development. At the same time, carrier capture is a major issue in the performance of solar cells and light-emitting diodes. A theory of nonradiative inelastic scattering by defects, however, is non-existent, while the the- ory for carrier capture by defects has had a long and arduous history. Here we report the construction of a comprehensive theory of inelastic scattering by defects, with carrier capture being a special case. We distinguish between capture under thermal equilibrium conditions and capture under non-equilibrium conditions, e.g., in the presence of electrical current or hot carriers where carriers undergo scattering by defects and are described by a mean free path. In the thermal-equilibrium case, capture is mediated by a non-adiabatic perturbation Hamiltonian, originally identified by Huang and Rhys and by Kubo, which is equal to linear electron-phonon coupling to first order. In the non-equilibrium case, we demonstrate that the primary capture mechanism is within the Born-Oppenheimer approximation, with coupling to the defect potential inducing Franck-Condon electronic transitions, followed by multiphonon dissipation of the transition energy, while the non-adiabatic terms are of secondary importance. We report density-functional-theory calculations of the capture cross section for a prototype defect using the Projector-Augmented-Wave which allows us to employ all-electron wavefunctions. We adopt a Monte Carlo scheme to sample multiphonon configurations and obtain converged results. The theory and the results represent a foundation upon which to build engineering-level models for hot-electron degradation of power devices and the performance of solar cells and light-emitting diodes.