1632 IEEE TRANSACTIONS ON ELECTRON DEVICES, VOL. 46, NO. 8, AUGUST 1999 A New Look at Impact Ionization—Part II: Gain and Noise in Short Avalanche Photodiodes P. Yuan, K. A. Anselm, C. Hu, H. Nie, C. Lenox, A. L. Holmes, B. G. Streetman, J. C. Campbell, and R. J. McIntyre Abstract— In Part I, a new theory for impact ionization that utilizes history-dependent ionization coefficients to account for the nonlocal nature of the ionization process has been described. In this paper, we will review this theory and extend it with the assumptions that are implicitly used in both the local-field theory in which the ionization coefficients are functions only of the local electric field and the new one. A systematic study of the noise characteristics of GaAs homojunction avalanche photodiodes with different multiplication layer thicknesses is also presented. It is demonstrated that there is a definite “size effect” for thin multiplication regions that is not well characterized by the local-field model. The new theory, on the other hand, provides very good fits to the measured gain and noise. The new ionization coefficient model has also been validated by Monte Carlo simulations. I. INTRODUCTION T HE first successful noise theory [1]–[3] for avalanche diodes assumed that impact ionization is a continuous, local process, and that the ionization probability is only a function of the local electric field irrespective of a carrier’s ionization history. This theory has been widely accepted and has proved to be an extremely useful model for a wide variety of avalanche devices. Recently, however, it has been observed that this theory does not provide a good fit to the gain curves and that it overestimates the multiplication noise and underestimates the gain-bandwidth product for devices with thin multiplication regions [4]–[13]. These discrepancies are thought to be due to the assumption of locality. It is well known that after an ionization event, a carrier needs to travel a certain distance, which is frequently referred to as the “dead length,” before it can gain sufficient energy from the electric field to have a nonnegligible ionization probability [14]. This dead length can be ignored if it is small compared to the thickness of the multiplication region. On the other hand, when the thickness of the multiplication region is reduced to the point that it becomes comparable to a “few” dead lengths, the assumption of locality fails and it is no longer valid to assume a continuous ionization process. Numerous analytical [5]–[9], [24] and numerical [15]–[23] techniques Manuscript received October 12, 1998; revised January 25, 1999. This work has been supported by DARPA through the Heterogeneous Optoelectronic Technology Center and the National Science Foundation. The review of this paper was arranged by P. K. Bhattacharya. P. Yuan, K. A. Anselm, C. Hu, H. Nie, C. Lenox, A. L. Holmes, B. G. Streetman, and J. C. Campbell are with the Department of Electrical and Computer Engineering, Microelectronics Research Center, The University of Texas at Austin, Austin, TX 78712 USA (e-mail: jcc@mail.utexas.edu). R. J. McIntyre is with McIntyre Photon Detection Consultants, Pointe Claire, P.Q., H9R 2R3, Canada. Publisher Item Identifier S 0018-9383(99)06012-8. (a) (b) Fig. 1. Schematic of the spatial notation for (a) holes and (b) electrons in the history-dependent theory. Carriers are created at x0 and ionization occurs at x: The filled circles are the electrons, and the circles are holes. have been proposed to address the nonlocal nature of impact ionization. The numerical models that utilize the Monte Carlo technique have the advantage of being formally exact, but their accuracy is frequently limited by the completeness of the bandstructure and the scattering models used in the simulation. As a consequence, adequate fits to the experimental data require several adjustable parameters, thus obviating one of their advantages relative to analytical models. In addition, they are very computation intensive. It is in this context that the analytical model discussed in the previous paper was developed. In this paper, we will briefly review the historydependent ionization theory that has been described in Part I [29], extract the implicitly applied assumptions in this theory, present extended equations for arbitrary injection profiles, and show that this theory provides excellent fits to the gain and noise measurements of GaAs APD’s. II. THEORY REVIEW This section reviews the gain and noise calculation of the local-field theory and the history-dependent theory discussed in Part I. The local-field theory assumes impact ionization is a continuous and local process, whereas the new theory recognizes that the ionizing probability of a carrier depends on its history. Throughout the calculations of this paper, we use a one-dimensional (1-D) model and assume the n, i, and p regions are arrayed from left to right, as shown in Fig. 1. The origin is at the interface of the n and i regions, and the Thus, electrons are swept to thickness of the i region is the left and holes to the right. Without losing generality, we is greater than assume the electron ionization coefficient that of hole in this section. 0018–9383/99$10.00 1999 IEEE YUAN et al.: A NEW LOOK AT IMPACT IONIZATION—PART II 1633 A. The Local-Field Theory In the local-field theory [1], the position-dependent gain is given by the expression pair is equal to that of the holes. The current gain is defined as the ratio of the number of final - pairs to that of the injected - pairs. So, the gain due to the initial pair injected at is (4) (1) for an electron-hole pair that is created at in the multiplication region. The multiplication noise is described in terms of the current noise power spectral density with units of watts per Hertz. According to the local-field theory, the noise power of a pair injection at (injection of spectral density electron-hole pairs at continuously in time), is Since the noise power spectral density is proportional to , the calculation of noise starts the ensemble average and for an electron-hole pair injected at from Considering all the ionization probabilities for the initial pair and assuming that the carriers are uncorrelated, i.e., and can be expressed as in [29, (16) and are solved in the gain and (17)]. Once and can be calculated similarly. Then, calculation, is given by the the excess noise factor of a injection at expression (5) (2) is the impedance of the where is the injected current, is the excess device and the measurement circuit, and noise factor which is a function of the injection position because itself is a function of With the assumption that and only electrons are injected at , a common boundary condition, (2) can be written as (3) B. The History-Dependent Theory It is assumed that the carrier that initiates an impact ionization loses essentially all of its energy relative to the band edge after each impact ionization event. Each event can be considered as annihilation of a “hot” carrier and the generation of three new “cold” carriers: two of one type and one of the other. The newly generated “cold” carriers will then be accelerated in the electric field and become “hot.” In order to accurately represent this process, history-dependent ionization and are defined to represent the coefficients local ionization probability density at for a carrier generated If an electron generated at can survive until it gets to at without ionizing, then the probability for it to ionize in the is The ionization probability distance element in thus depends on the electron of this electron All these probabilities are defined survival rate in (1a) and (1b) of Part I. The survival rate and ionization probability of holes are defined similarly. To calculate both the gain and noise, we utilize Method 2 in Part I. With [29, (9)–(13)], we can calculate the ensemble and , the average numbers of the averages carriers in the two chains generated by the initial electron and hole injected at separately. Since in each ionization event the extra electron and hole are always generated in pairs, the final number of the electrons in the chain started by the initial C. General Injection Profile In the local-field theory and the history-dependent theory, the following assumptions are implicit. 1) There is no interaction between any of the carriers in the multiplication region except at the moment of impact ionization. 2) There is no correlation between any carriers, and they contribute to noise independently. Thus, their noise spectral density can be added linearly. These assumptions are quite reasonable for low-level injection, which is the common operating condition for most APD’s. Assumption 1 also insures a linear response to infor an jection. According to this assumption, the gain can be written as a weighted average arbitrary injection of the gain of each injection, which yields (6) is the total injected current, and is defined in where (1) for the local-field theory and in (4) for the new theory. Similarly, according to Assumption 2, the current noise is spectral density for an arbitrary injection profile (7) 1634 IEEE TRANSACTIONS ON ELECTRON DEVICES, VOL. 46, NO. 8, AUGUST 1999 where is defined in (2) for the local-field theory and in (5) for the history-dependent theory. , which is a weighted , is the measured excess noise factor according average of to either theory. III. EXPERIMENT In order to study the multiplication characteristics of APD’s with thin multiplication regions, a series of PIN homojunction devices were grown in a Varian GEN II molecular beam epitaxy reactor on n GaAs substrates. All the doping levels used in each layer were determined with Hall effect measurements, and the error was conservatively estimated to be within 50% due to the run-to-run fluctuation. Reflection high-energy electron diffraction (RHEED) was employed to calibrate the thickness of each layer. The i regions were 100, 200, 400, 500, 800, and 1600 nm thick. The i layers were sandwiched between a 1500-nm p layer on the top and a 200-nm n layer below. The i region was nominally undoped with a background 10 cm , n-type doping concentration approximately 2 while the designed doping in the p and n layer varied from 10 cm to 4 10 cm . A layer of 30-nm-thick, 1 heavily doped ( 10 cm ) p GaAs was grown on the top to insure a good p contact. Mesas with a diameter of 100 m were formed by etching in a H SO : H O : H O (1 : 1 : 10) solution. The metal contacts were patterned with standard photolithography and lift-off processes. Au-Cr served as the p contact and Ni-AuGe-Au was used as the n contact. The n contact covered the whole surface of the wafer except the mesas. The contacts were annealed in nitrogen ambient at 450 C for 30 s. The photocurrent and dark current curves were measured with an HP 4145B semiconductor parameter analyzer. For the photocurrent and noise measurements, a He-Ne laser beam 633 nm) was carefully focused on the top of (wavelength the mesa. The possible contamination of mixed injection is always a concern for this type of measurement. Consequently, we have designed the devices and the measurement system to limit the influence of mixed injection. The diameter of the focused optical signal was kept small ( 10 m) relative to that of the mesas (100 m) in order to minimize the amount of light incident on the mesa edges. Based on published absorption data [25], we estimate that the photon “leakage” through the 1.5- m-thick top p layer is 0.15%, and the reflection of the semiconductor-air interface is 30%. Therefore, only about 0.1% of the incident photons enter the semiconductor and pass to the high field i layer before being absorbed. Since the hole injection efficiency of these survival photons is far from unity and the total external quantum efficiency of the device is approximately 5%, we conservatively estimate that the ratio of hole injection to the total is less than 2%, which results in an essentially pure electron injection into the multiplication region. In addition, the ionization rate of injected holes is lower than that of the electrons in GaAs. Thus, according to (6), the error in the gain due to mixed injection is less than , which is the ratio of the gain of pure 2% times hole injection to that of pure electron injection and is less than one, while that of the noise is the product of 2% with the Fig. 2. Measured (dashed lines) and fitted (symbols) gain curves for GaAs homojunction APD’s. The curves are fitted with the history-dependent theory and the corresponding model for and : Fig. 3. Relationship of junction capacitance and area of the GaAs homojunction APD’s with multiplication layer thicknesses of 100–1600 nm. The symbols represent the experiment results, whereas the dashed lines represent the fitted lines. ratio of , which is not necessarily and in greater than one due to GaAs. At low voltage, the photocurrent response is relatively flat, independent of bias which facilitates the identification of unity gain. All of the devices measured were able to achieve a gain of at least 30. The dark currents were less than 100 nA at 90% of breakdown. It was thus possible to measure the noise at high gain. The measured gain, using the photocurrent at low bias as a unity-gain reference, is shown in Fig. 2. The i-layer thickness of each wafer was checked by mea) characteristics at low suring the capacitance–voltage ( bias of a series of devices having different diameters. The capacitance-versus-area curves are shown in Fig. 3. The almost perfect linearity permitted the thickness of the i region to be determined with a high degree of accuracy. It was found YUAN et al.: A NEW LOOK AT IMPACT IONIZATION—PART II 1635 Fig. 4. Schematic of the noise measurement apparatus. that the thickness deviation from the initial design was more significant on thin devices because of Be diffusion during the MBE growth. The electric field profiles of devices with different doping levels in the p and n regions were calculated with a commercial simulator, Medici. As pointed out by Hu et al. [10], the extent of the depletion region into the p and n layers cannot be neglected, especially for thin i-region devices. In these experiments, the thicknesses of the n and p depletion regions, as estimated with the depletion approximation, were subtracted from the total depletion thickness that was determeasurements. The depletion approximation mined by is not very accurate near the edges of the depletion region; it slightly overestimates the total depletion region thickness. However, this appears to be a small effect, especially when the doping levels on the two sides are high. In order to reduce the extent of the field into the p- and n-type layers adjacent to the i region and thus reduce the uncertainty in the thickness of the multiplication thickness, the doping in the p and n layers was kept high. Fig. 4 is a block diagram of the apparatus that was used to measure the avalanche noise. A stable 633-nm He-Ne CW laser was used as the optical source. An iris was placed in front of a 40 objective to shield all but the central beam and ensure pure electron injection. The noise power spectral density was measured at 50 MHz with a bandwidth of 4 MHz with an HP 8970B noise figure meter. The gain of the preamplifier was carefully chosen to avoid transient saturation. To eliminate the environmental noise and any signal resonances in the transmission line, the device was contacted with a shielded microprobe and careful impedance matching steps were adopted. The noise from all the components following the photodiode was calibrated and normalized with a commercial noise source. In order to calibrate the measurement, the shot noise of the photodiode at unity gain was measured as a function of the photocurrent. This step is essential since the circuit impedance, especially the contact resistance to the device, varies from device to device. The noise power density and the dc current were measured under illumination and in the dark alternatively at the same voltage. The gain was defined as (8) Fig. 5. Average electric field near breakdown of the devices with various multiplication layer thicknesses. where is the photocurrent, is the dark current, and is the photocurrent at unity gain. The avalanche noise power density was determined as the difference between the noise power density under illumination and that in the dark. Care in the growth and device fabrication yielded devices that were very stable, and their dark current and dark noise power density were far less than the corresponding photocurrent and noise power density under illumination until the gain was very high. is widely used as the noise The excess noise factor as a function of dc figure of merit for an APD. gain for the GaAs APD’s with different multiplication region thicknesses is shown in (10). In the local-field noise theory, an effective is often used as an adjustable parameter to fit the noise curves. Following this procedure, we have obtained values of 0.24, 0.31, 0.39, and 0.48 for multiplication region thicknesses of 100, 200, 500, and 800 nm, respectively. IV. DISCUSSION Fig. 5 shows plots of the average electric field in the i region at the breakdown voltage in the different devices. For simplicity, the average fields were determined by the ratio of the breakdown voltage to the i region thickness. A more accurate calculation of the electric field profiles in the devices was employed in the fitting. Bulman’s measurements of the ionization coefficients in GaAs [26] and the rapid increase of will approach unity as the electric field predict that multiplication region gets thinner. On the contrary, if we use (3) with a modified , the measurement of the excess noise decreases with increasing factor shows that the effective plot of [10], it can be electric field. In addition, in the seen that the measured excess noise factors are slightly but consistently lower in the low-gain regime than the curves that have been calculated with the local-field theory. In the history-dependent theory for ionization that is presented in Section VI-C of Part I, the dead length is treated by and modifying the electric field with correlation functions Correlation functions that have been empirically found 1636 IEEE TRANSACTIONS ON ELECTRON DEVICES, VOL. 46, NO. 8, AUGUST 1999 to provide good fits to our data are (9) and are the correlation lengths that depend on where the scattering mechanisms and the electric field. Using these correlation functions, the effective electric fields become (10) and the ionization coefficients are represented by the conventional parameterization Fig. 6. Excess noise factor F (M ) of the GaAs devices of different multiplication region thicknesses. The symbols are the measured data, and the lines are calculated with the history-dependent model. (11) and are constant. Some of the Monte where Carlo simulations have shown that the voltage drop across the dead length remains relatively constant [16], [22]–[24]. and can be expressed in terms The correlation lengths and , of the voltage drops across the dead lengths respectively, as shown in (28) of Part I. However, in most and are cases, good approximations. Both the gain curves and the excess noise curves for all the measured devices were fit using V and V and assuming a pure electron injection. This was done by solving the recursive equations (12), (13), (16), and (17) of Part I with successive iterations. Since several iteration steps were required and the calculated results of each step are sensitive to the accuracy of the previous values, especially when the gain is high, relative error) a conservative convergence criterion ( 10 and a high-density mesh (200–400 points) were employed for each iteration to avoid unnecessary errors introduced by the iterations. Fig. 2 compares the calculated gain curves (symbols) with the measured gain (dashed lines), and Fig. 6 shows the calculated excess noise curves with the experimental results (symbols) superimposed. Our fitting parameters are cm cm V/cm V/cm (12) and reported Although the local-field theory and the in [26] can give a fair fit to the gain curves of APD’s with different thicknesses, Figs. 6 and 7 show they predict when the device thickness the wrong tendency of decreases. Recently, [28] reported an effort to solve this problem in a piecewise manner within the frame of the local-field theory. Here, we note that not only does the history-dependent theory with the correlation-length ionization coefficient model achieve excellent agreement with gain curves using a single set of parameters for and for all the devices Fig. 7. Comparison of the excess noise factor F (M ) calculated with the local-field theory (dashed lines) and the history-dependent theory (solid lines). The thicknesses of the multiplication of the APD’s are marked on the edge. measured, but it also provides a good fit to the excess noise factor including the low gain regime, which is not the case with the local-field theory even with modified ’s. When the multiplication region is long, the case for which the local-field theory is most appropriate, agreement between the two models would be expected. In both theories, ionization coefficients are used to describe carriers’ ionization probability densities. However, the ionization coefficients cannot be measured directly, and all the published data are calculated results based on a particular APD theory and the measurement of physical parameters, such as gain or noise. As a result, the ionization coefficients reflect the characteristics of the model employed and provide good benchmarks to compare models. In the local-field theory, the ionization coefficients and are only functions of the local electric field, whereas in the model described in Part I, they depend on a YUAN et al.: A NEW LOOK AT IMPACT IONIZATION—PART II 1637 Fig. 8. Schematic of the spatial variation of the ionization probability density (0jx) (the dashed line) of a hole traveling along x without ionization. The solid line shows the history-independent ionization coefficient in the local-field theory. carrier’s history. For convenience of comparison, we will first consider the history-dependent ionization coefficients and in the regime where a carrier has traveled a long distance, relative to the dead length, in a constant electric field without ionizing. According to the ionization model described in (9)–(11), the energy accumulated from the field will be balanced by energy loss through nonionizing scattering events. For such an energetic carrier, which we will refer to as a ’s in (10) become equal to , saturated hot carrier, the the local electric field, because the ’s defined in (9) are normalized. Correspondingly, (11) returns to the conventional local model form, (13). Fig. 8 illustrates the spatial variation (the dashed line) in a constant electric field. In the of beginning, the hole is “cold” and has little probability to ionize. If the hole travels far enough without ionizing, it becomes a “saturated hot” carrier and its ionization probability density becomes “saturated” or history insensitive. The ionization coefficient model that is used in the local-field theory is shown in the solid line in Fig. 8. According to our fitting, in a GaAs PIN structure with a flat electric field in the i region, the ionization coefficients of the saturated hot carriers have a simple relationship with the electric field V/cm V/cm cm cm (13) In Fig. 9, these ionization coefficients are compared with those reported by Bulman et al. [26]. It is clear that (13) yields coefficients that are generally parallel to but uniformly greater than [26], and the difference increases with increasing Fig. 9. Comparison of the measured (E ) and (E ) in [26] with the (Ee ;e ) and (Ee ;e ) of saturated hot carriers in the history-dependent theory. electric fields. There are several factors that contribute to these differences. First, (13) applies only to the ionization coefficients (or ionization probability density) of saturated hot carriers, whereas the data reported in [26] is an averaged effect. At any point in the multiplication region, there is always a spectrum of carriers ranging from cold ones to saturated hot ones. The local-field theory assumes that at any point all the carriers of the same type have the same ionization probability density, which is inevitably an average over the spectrum of the carriers and lower than that of a saturated hot carrier. The solid line in Fig. 8 shows the average, i.e., , used in the local-field theory. Thus, our coefficients for the saturated hot carriers are generally higher than the results in [26]. A second factor is the influence of the deadspace, particularly at high electric fields, where the mean free path between ionizing collisions becomes shorter and closer to the dead length. In devices with thin multiplication regions, the effect of the dead pace is more important. One way to see this is to consider that after traveling a dead length, the carriers go an additional average distance before ionization. In thin multiplication regions, the field is high and in and the saturated ionization rate, referred to as Fig. 2(a) of Part I, is also very high. Consequently, the carriers ionize relatively quickly after traversing the dead length. This means that the carriers tend to spend a larger portion of their lifetime between ionization events acquiring energy from the field and less time as “hot” carriers. At any time there are more cold carriers and the statistical weight of the cold carriers becomes more significant. Therefore, in the thin devices, the measured ionization coefficients, which are also averages over the lifetime of the carriers, become even less than the values of the saturated hot carriers. Third, the local-field theory, which was used in the work by Bulman et al., overestimates the contribution of the peak field region in an abrupt p n junction. While [26] does not contain sufficient details to support a 1638 IEEE TRANSACTIONS ON ELECTRON DEVICES, VOL. 46, NO. 8, AUGUST 1999 Fig. 10. Electric field profile in the devices of [27] and the corresponding effective electric fields Ee ;e of electrons and Ee ;h of holes in the history-dependent theory. careful simulation, we still can analyze their measurement qualitatively. Fig. 10 illustrates the wedge-shaped electric field profile of the p n junction, where the solid line is Since the local-field theory assumes that all carriers of the same type have the same ionization probability, which is a function only of the local electric field, the ionization would be expected to occur primarily near the peak electric field, and the extracted coefficients would be weighted heavily to that field. However, since the ionization process is nonlocal, the ionization rates will also be influenced by the slope of the field. The dotted and dashed lines in Fig. 10 illustrate the effective electric field of an electron generated at and that of a hole injected at zero, respectively. We note that the effective field maxima for both cases are lower than the original peak The net result is that the local-field theory will tend to underestimate the ionization coefficients in a p n junction. One conclusion we can draw here is that any measurement of an effective ionization coefficient is an averaged result of the specific electric field profile and valid only for that particular structure, so the result cannot be applied to other electric field profiles directly without the risk of significant error. Since there are no Monte Carlo simulation results on GaAs that show the spatial behavior of the ionization coefficients, the model described by (9)–(11) was applied to Higman’s of Si devices with different electric field simulations of profiles [27]. As shown in Fig. 11, the Monte Carlo results can be almost perfectly fit by these empirical formulas. The dead are also described very space and the rising slope of well. V. SUMMARY The history-dependent avalanche theory presented in Part I has been reviewed and extended for an arbitrary injection profile. This extension facilitates the estimation of the amount of error that can be caused by mixed injection. This model has been shown to agree with Monte Carlo simulations of the ionization coefficients of Si. It has also been demonstrated that GaAs homojunction APD’s with thin multiplication layers Fig. 11. Model of the history-dependent (w jx) compared to Monte Carlo simulations on Si [27]. The lines are calculated with the model, and the symbols are the Monte Carlo simulation results. The parameters of (w jx) are adjusted for Si. show a significant decrease in multiplication noise compared to the local-field theory. Further, the noise for fixed gain decreases with decreasing thickness of the multiplication region, a result that is also counter to the local-field noise theory. The new theory, on the other hand, provides excellent fits to the measured avalanche gain and noise with a single set of parameters for a broad range (100–1600 nm) of multiplication thicknesses. The parameterized ionization coefficients that provide good fits to the GaAs APD’s reported here have been compared to the ionization coefficients reported in [26] and the differences have been discussed. We have concluded that measured ionization coefficients are actually a weighted average, which strongly depends on the structure of the devices and cannot be used without the possibility of significant error for other devices with different field profiles. ACKNOWLEDGMENT The authors would like to thank J. E. Bowers for discussions that initiated this collaborative research. REFERENCES [1] R. J. 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Campbell, and B. G. Streetman, “Performance of thin separate absorption, charge, and multiplication avalanche photodiodes,” IEEE J. Quantum Electron., vol. 34, pp. 482–490, Mar. 1998. [29] R. J. McIntyre, “A new look at impact ionization—Part I: A theory of gain, noise, breakdown probability, and frequency response,” this issue, pp. 1623–1631. P. Yuan, photograph and biography not available at the time of publication. K. A. Anselm, photograph and biography not available at the time of publication. C. Hu, photograph and biography not available at the time of publication. H. Nie, photograph and biography not available at the time of publication. C. Lenox, photograph and biography not available at the time of publication. A. L. Holmes, photograph and biography not available at the time of publication. B. G. Streetman, photograph and biography not available at the time of publication. J. C. Campbell, photograph and biography not available at the time of publication. R. J. McIntyre, photograph and biography not available at the time of publication.