Quantum dot properties in the multiband envelope-function approximation using boundary conditions based upon first-principles quantum calculations

Abstract

A number of physical processes involving quantum dots depend critically upon the ``evanescent'' electron eigenstate wave function that extends outside of the material surface into the surrounding region. These processes include electron tunneling through quantum dots, as well as interactions between multiple quantum dot structures. In order to unambiguously determine these evanescent fields, appropriate boundary conditions have been developed to connect the electronic solutions interior to the semiconductor quantum dot to exterior vacuum solutions. In standard envelope function theory, the interior wave function consists of products of band edge and envelope functions, and both must be considered when matching to the external solution. While the envelope functions satisfy tractable equations, the band edge functions are generally not known. In this work, symmetry arguments in the spherically symmetric approximation are used in conjunction with the known qualitative behavior of bonding and antibonding orbitals to catalog the behavior of the band edge functions at the unit cell boundary. This physical approximation allows consolidation of the influence of the band edge functions to two simple surface parameters that are incorporated into the boundary conditions and are straightforwardly computed by using numerical first-principles quantum techniques. These new boundary conditions are employed to analyze an isolated spherically symmetric semiconductor quantum dot in vacuum within the analytical model of Sercel and Vahala [Phys. Rev. Lett. 65, 239 (1990); Phys. Rev. B 42, 3690 (1990)]. Results are obtained for quantum dots made of GaAs and InP, which are compared with ab initio calculations that have appeared in the literature.