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SOLID STATE PHYSICS
VOLUME 5 8
Founding Editors

FREDERICK SEITZ
DAVID TURNBULL
 SOLID STATE
PHYSICS
Advances in
Research and Applications

Editors
HENRY EHRENREICH
F U N S SPAEPEN
Division of Engineering and Applied Sciences
Harvard University
Cambridge, Massachusetts

VOLUME 5 8

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First edition 2004

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@ The paper used in this publication meets the requirements of ANSVNISO 239.48-1992
(Permanence of Paper). Printed in USA.
 Contents

CONTRIBUTORS ............................................................... vii

PREFACE.................................................................... ...
Vlll

An Introduction to Semiconductor Spintronics

NITINSAMARTH
I. Introduction ............................................................. 1
II. Ferromagnetic Semiconductors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
III. Coherent Spintronics with Conventional Semiconductor Heterostructures . . . . . . . . . . . . 34
Iv. Semiconductor Spintronic Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
V. ConcludingRemarks ...................................................... 71

Electron Spin Dynamics in Semiconductors

EX. BRONOLD, A. SAXENA, AND D.L. SM!mr
I. Introduction ... . ... . . . . ... ... ... ... . ...................... 74
II. Spin Dependence of Semiconductor Electronic Structure . . . 80
III. Kinetic Theory of Spin Dynamics. . . . . . . . . . . . . . . . . . . . . . 104
IV. Application of the Kinetic Theory. . . . ......................... 125
V. Spin Injection from Polarized Contacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
VI. Summary and Future Directions . . . . . . . . . . . . . . . . . . . ............ 164

INDEX . . . . . . .
AUTHOR ................................ 167
............................. ............. 175

V
This Page Intentionally Left Blank
 Contributors to Volume 58
Numbers in parentheses indicate the pages on which the authors’ contributions begin.

EX. BRONOLD (. ..), InstitutfirrPhysik, Emst-moritz-AmdtUniversitat Greifswald,

D-17487 Greifwald, Germany
N m SAMARTH (1), Department of Physics and Materials Research Institute, The
Pennsylvania State University, University Park, PA 16802
A. SAXENA(. . .), Theoretical Division, Los Alamos National Lab, Los Alamos,
New Mexico 87545
D.L. SMITH (. . .), Theoretical Division, Los Alamos National Lab, Los Alamos,
New Mexico 87545

vii
This Page Intentionally Left Blank
 Preface

This volume is concerned entirely with the subject that has become popularly
known as “spintronics” or “magnetoelectronics”.The utilization of the electronic
spin degree of freedom in devices has already had a revolutionary impact. The
impetus for development of the relevant science and technology was provided by
the discoveryof the metallic giant magnetoresistance(GMR) effect, independently,
by Fert and Gruenberg in 1988. This discovery led to a highly sensitive magnetic
sensor which was utilized in read-heads of magnetic hard disk drives. Commercial
devices were announced by IBM in November 1997,just nine years after discovery
of the GMR effect. By now they constitute a multi-billion dollar business. Other
applications such as magnetic random access memory (MRAM), the spin field
effect transistor and spin controlled laser emitting diodes have been demonstrated
or are under development. These applications rely on the ability to control the spin
degrees of freedom in solids and aim to reduce power consumption, to overcome
speed limitations associated with ordinary electronics, or in the more distant future
to implement schemes for quantum information processing and computing.
The enabling research effort is directed in part towards obtaining a deeper
understanding of the physics of spin lifetimes and transport and tunneling of spin-
polarized carriers across heterojunctions in new combinations of materials. In
addition to their extensive utilization in conventional electronics, semiconductor
systems, the subject of this volume, are particularly attractive for studies of spin-
based phenomena in solids because circularly polarized light can be used to inject
and detect spin orientation.
This volume contains two articles by Samarth and by Bronold, Saxena and
D. L. Smith dealing respectively with an introductionto semiconductorspintronics
and a theoretical description of electron spin dynamics relevant to experimental
measurements.While both articles are clear and self-contained,it might be helpful
for the uninitiated to begin with some more qualitative recent overviews in readily
accessible journals (Science and Scientific American). The articles by G. Prinz,
by S. A. Wolf et al, and by D. D. Awschalom, M. E. Flatte and N. Sam& are
to be recommended in this respect. They are referenced on p. 74 as numbers, 4, 1,
and 10 respectively.
In the first article Samarth presents a selective overview of semiconductorspin-
tronics which emphasizes some of the basic ingredients of this rapidly burgeoning
ix
X PREFACE

field. It considers ferromagnetic semiconductors and their heterostructures,

focusing on the III-Vferromagnetic materials, and, in particular Gal-,Mn,As. The
authorterms research on the latter system as a cautionary tale because of its increas-
ing complexity. Neverthelessthe basic ideas are understandable within a relatively
simple model which utilizes mean field theory. Because of the importance of III-V
semiconductordevices in optoelectronics, and because the Curie temperatures are
quite large even at the present stage of early materials development, these semicon-
ductor alloys offer the possibility of ready incorporation into existing technology.
One of the principal materials problems emphasized in this article is that the
crystal growth still incorporates many defects in addition to the substitutional
incorporation of Mn at concentrations far larger than the 10’’ cmP3characteristic
of conventional doping. Samarth’sdiscussion of exchange interactions and carrier
mediated ferromagnetics in these systems within the mean field approximation,
the quite detailed discussion of low temperature MBE crystal growth and the
elucidation of the experimentally determined magnetic properties and magneto-
transport of Gal-,Mn,As should be particularly useful.
The next major topic of this article concerns optical studies of spin coherence
in ordinary bulk semiconductors and quantum dots. The relatively brief but ex-
tensively referenced presentation is devoted to both experimental techniques and
measurements in GaAs and ZnSe/GaAs heterostructures. The coherent manipu-
lation of spins of importance in quantum information processing schemes is also
touched upon.
The review concludes with a survey of existing and proposed semiconductor
spin devices, for example the spin field effect transistor, light emitting diodes and
the ferro- magnetic tunnel junction. While some prototypes have been realized
in the laboratory, others remain to be demonstrated. The problems to be solved
are challenging to both experimentalists and theorists. However, the rewards of
commercial applications may be very substantial.
As already suggested, spin based electronics requires a quantitativeunderstand-
ing of non-equilibrium electron-spin-band phenomena better than that currently
available. Research must be focused on the generation of non-equilibrium spin
polarized distributions, the transport of electron- spin distributions through bulk
material and across interfaces between two materials possibly having different spin
ground states, the relaxation dynamics of non-equilibrium spin polarized electron
distributions and the interaction of spin distributions with optical and magnetic
probes. The associated experimental phenomena in semiconductors were empha-
sized in the first article of this volume.
The second article by Bronold, Saxena and D. L. Smith concerning electron
spin dynamics in semiconductorssupplies the theoretical framework for describing
these phenomena. It also provides a phenomenological discussion of experimen-
tal results. While requiring some theoretical background on the graduate student
level, the article presents a superbly detailed, didactically presented exposition
 PREFACE xi

of the underlying theory which distinguishes clearly between the relatively well
understood and open areas which still require intensive research.
Like Samarth’s article, this review focuses on the physical processes in group
IV, 111-V and II-VI semiconductors having the diamond or zinc-blende crystal
structures. It begins with a discussion of the interaction governing spin-dependent
processes. This is followed by a kinetic theory for electron spin dynamics, and
application to several semiconductor systems. In particular it offers a theoretical
description of the important topic of spin injection at interfaces between a spin-
polarized contact and a non-magnetic semiconductor.
Section I1 is devoted to a review of the relevant semiconductorelectronic struc-
tures, the development of the spin-dependent Hamiltonian, the various scattering
mechanisms, hyperfine interactions, spin-dependent optical properties that can
lead to non-equilibrium distributions, and the g factor. Section III develops a
semi-classical kinetic equation for the density matrix describing non-equilibrium
spin distributions including explicit collision integrals. Keldysh Green’s function
techniques are used to derive a Fokker-Planck equation for the non-equilibrium
spin polarization. This equation permits the calculation of spin relaxation rates
which are applied to bulk semiconductors and quantum wells in Section IV.
The ability to inject spin polarized currents into a semiconductoris basic to most
semiconductor devices. Section V utilizes spin-dependent transport equations to
describe spin-injection. It is suggested that efficient spin injection into a semicon-
ductor is difficult. For example, properly designed interface doping profiles turn
out to be crucial. The physical origin of the tunneling spin dependence essential
to the MRAM is explored and the current experimental situation is summarized.
Specific situations under discussion concern an n-type doped large g-factor semi-
magnetic semiconductor polarized by a magnetic field and a ferromagnetic metal
injecting spins into a nonmagnetic semiconductor Spatial inhomogenieties asso-
ciated with interfaces, superlattices and heterostructures present both theoretical
and experimental problems, and point to the need for further investigations. The
overall progress of spintronics will be determined by the solutions of problems
such as these. In addition the materials issues necessary for reproducible scaled-up
fabrication techniques require further development.

HENRY EHRENREICH
FRANS SPAEPEN
SOLID STATE PHYSICS
VOLUME 5 8
 SOLID STATE PHYSICS, VOL.58

An Introduction to Semiconductor
Spintronics

NITIN SAMARTH
Department of Physics and Materials Research Institute, The Pennsylvania State
University. Universiiy Park, PA 16802

I. Introductio ..................................... 1
......................... 6
mediated Ferromagnetism in Di
Magnetic Semiconductors . . . . . . . . . . . . . . . . . . . . . . . . 8
2. Ferromagnetism in the 111-V Diluted Magnetic Semiconductors . . . . . . . . . . . . . . 13
3. Crystal Growth and Defects in Gal-,Mn,As . . . . 14
4. Magnetic Properties of Gal-,Mn,As . . . . . . . . . . . . . . . . . 21
5. Magneto-transport in Gal-,Mn,As . . . . . . .................... 27
6. Measurements of Spin Polarization in Gal-x ....................... 29
7. Criteria for Identifying a Ferromagnetic Semiconductor . . . . . . . . . . . . . . . . . . . . 33
III. Coherent Spintronics with Conventional Semiconductor Heterostructures . . . . . . . . . . . 34
8. Optical Measurements of Spin Coherence: Experimental Techniques . . . . . . . . . . 36
9. Measurement of Spin Coherence in Bulk Semiconductors. . . . . . . . . . . . . . . . . . . 41
10. Spin Coherence Measurements in Semiconductor Quantum Dots . . . . . . . . . . . . . 43
1 1. Electrical Manipulation of Spin Coherence in Semiconductor Heterostructures . . 45
12. All-optical Coherent Manipulation of Spin in Semiconductors . . . . . . . . . . . . . . . 55
13. Spin Coherence in Hybrid Ferromagnet/Semiconductor Heterostructures . . . . . . . 57
IV. SemiconductorSpintronic Devices. . . . . ................... 60
14. The Datta-Das Spin-Field Effect Transistor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
.................. 63
65
V. Concluding Remarks . . . . . . . . . .............. 71

1. Introduction

When Richard Feynman boldly speculated in 1959 about the technological pos-
sibilities latent in the manipulation of “quantized energy levels, or the interac-
tions of quantized spins, etc.,”’ even he might not have imagined the current
explosion of scientific and technological activity directed at the quantum func-
tionality embodied in his visionary speech. Contemporary materials engineering

R. P. Feynman, The Pleasure of Finding Things Out, Perseus Publishing, Cambridge, Massachussets
(1999). 136.

ISBN 0-12-6077584 8 2004 Elxvier Science (USA)

ISSN 0081-1947/04 All rights reserved.
2 ” SAMARTH

techniques now enable the fabrication of a wide variety of compositionally mod-

ulated materials (“heterostructures”) with excellent control of explicitly quantum
mechanical phenomena such as quantum confinement and quantum tunneling.
These heterostructures have had a lasting impact on quantum device technologies,
as well as on fundamental discoveries in condensed matter physics. For instance,
semiconductorheterostructures play a vital role in contemporary opto-electronics
and microwave frequency devices, while simultaneously providing a rich arena
for studying correlated electron physics in low dimensions.’ On a parallel but
quite separate track, advances in the fabrication of metallic magnetic heterostruc-
tures now allow us to read memory of unprecedented density with the “giant
magnetoresistance”(GMR) effect3v4and also form the basis for an emerging non-
volatile memory known as “magnetic random access memory” (MFWM).’ It is
noteworthy that this push toward metallic “spintronics” (an acronym for “spin
transport-based electronics”) emerged from an interest in answering fundamental
questions about spin transport and tunneling in metallic ferromagnetic hetero-
structures.
The integration of semiconductorheterostructureswith magnetic materials may
be viewed as a natural outcome of these remarkable advances and has led to a bur-
geoning new field-“semiconductor spintronics”-that lies squarely at the nexus
between these usually disparate areas of science and technology.”* Semiconductor
spintronics is broadly aimed at the manipulation of spin-dependent phenomena in
conventional semiconductor heterostructures? as well as in “hybrid” systems that
combine magnetic and semiconducting In this chapter, we offer an
introductoryguide to this rapidly developingfield, with a focus on three major areas
of research: spintronics with ferromagnetic semiconductors and their heterostruc-
tures; coherent spintronics with conventionalsemiconductorheterostructures; and,
finally, semiconductor spintronic devices.
There are two complementary but not mutually exclusive approaches toward
the implementation of semiconductor spintronics.

R. Dingle, Ed.,Applications of Multiquantum Wells, Selective Doping, and Superlattices: Semicon-

ductor and Semimetals, vol. 24, Academic, New York (1988).
M. N. Baibich et al., Phys. Rev. Lett. 61,2472 (1988).
G . A. Prinz,Science 282, 1660 (1998).
’ S. Tehrani er al., Proceedings of rhe IEEE 91,703 (2003).
D. D. Awschalom, D. Loss, and N. Samarth, Eds., Semiconductor Spintronics and Quantum Compu-
tation, Springer-Verlag, Berlin (2002).
’ S. Wolf er al., Science 294, 1488 (2001).
* H. Akinaga and H. Ohno, IEEE Trans. Nanorechnology 1, 1 (2002).
D. D. Awschalom and J. M. Kikkawa, Phys. Today 52.33 (1999).
lo H. Ohno, Science 281,951 (1998).
I’ N. Samarth er al., Solid Srar. Comm. 127, 173 (2003).
 INTRODUCTION TO SEMICONDUCTOR SPINTRONICS 3

. Spin polarized electrons (or holes) can be introduced into a conventional semi-
conductor through optical pumping,” via ferromagnetic contact^,'^ or by the
proximity effect of a vicinal ferromagnetic s u ~ f a c e ;this
~ ~spin-polarized
*~~ pop-
ulation of charge carriers can subsequently be manipulated via electric and/or
magnetic fieldsthat either may be externally applied or may arise due to intrinsic
effects within a semiconductor crystal (such as strain-induced piezoelectricity,
spin-orbit coupling, and nuclear hyperfine fields).16
2. Alternatively, in a “magnetic semiconductor,” charge carriers can be exchange
coupled with magnetic ions incorporated into the semiconductor lattice
i t ~ e l f ; ’ ~ such
- ’ ~ interactions often enhance “bare” Zeeman effects, resulting in
large magneto-optical and magneto-resistiveeffects, and can also lead to a col-
lective ordering of the magnetic ions.”
Both of the preceding approaches raise many interesting issues from the vantage
point of condensed matter physics. These include questions such as the funda-
mental understanding of the transport and injection of spin in conventional semi-
conductors and their heterostructures, the understanding and control of quantum
coherent spin phenomena in semiconductors, and the nature and origin of ferro-
magnetism in magnetic semiconductors. Progress toward the resolution of many
of these issues is of course inextricably linked with the development and control
of new materials, which consequently forms a substantial and critical componentof
semiconductor spintronics. This is perhaps best exemplified by the current state of
understanding about ferromagnetic semiconductors,where basic materials science
issues (for instance, defects and phase separation) can often muddy attempts to
grasp the essential physics through idealized models.
As implied by the introductory paragraph, semiconductor spintronics is moti-
vated by the prospects for new technological possibilities that utilize the spin de-
gree of freedom. The idea of using spin-dependentphenomena for opto-electronic
devices was perhaps first recognized many decades ago, with the invention of the
InSb-based Raman spin-flip laser.” Other device applications have focused on

l2 F. Meier and B. P. Zachachrenya,Eds., Optical Orientation, Modem Problems in Condensed Maner

Science, vol. 8, North-Holland, Amsterdam (1984).
l3 S. Datta and B. Das, Appl. Phys. k t t . 56,665 (1900).
l4 R. K. Kawakami etal., Science 294, 131 (2001).
Is R. J. Epstein et al., Phys. Rev. B 65, 121202(R) (2002).
l6 D. K. Young et al., Semi. Sci. Tech. 17,275 (2002).
” J. K. Furdyna, J. Appl. Phys. 64, R29 (1988).
T. Dietl, “(Diluted) Magnetic Semiconductors:’ in Handbook of Semiconductors, ed. S. Mahajan,
V O ~ .3B, North-Holland, Amsterdam (1994). 125 1.
D. D. Awschalom and N. Samarth, J. Mag. Magn. Mate,: 200, 130 (1999).
T. Dietl, A. Haury, and Y. Merle D’Aubigne, Phys. Rev. B 55, R3347 (1997).
21 C. K. N. Patel and E. D. Shaw, Phys. Rev. B3.1279 (1971).
4 NITIN SAMARTH

the use of the Faraday effect in magnetic semiconductors for magneto-optical

devices such as magnetic field sensors and optical isolators?2 culminating in
commercially available optical isolators derived from narrow gap 11-VI diluted
magnetic semiconductor^?^ The new device schemes emerging in contemporary
discussions vary from immediately obvious extensions of existing electronic and
opto-electronic device concepts to visionary functionality that cannot be achieved
using existing technology. Examples of the former arise from the incorporation
of a magnetic semiconductor within standard devices. While qualitative propos-
als for such spin-tunable devices hark back several decades,” it is only recently
that serious attention has turned to devices such as spin-dependent resonant tun-
neling diode^?^^^^ spin-polarized light emitter^,^'-^^ and ferromagnetic hetero-
junction bipolar transistor^.^^-^' The functional characteristics of such devices are
magnetic field tunable, hence providing a new degree of freedom that could be
exploited for the rapid modulation of optical or electronic signals. As a further
extension, qualitatively new device concepts such as reconfigurable logic may
emerge from the manipulation of ferromagnetic states within such spin devices
via optical or electrical perturbation^.^^-^^ An example of this new functionality is
shown in Fig. 1, wherein a gate voltage applied to a field effect transistor controls
the isothermal magnetization of a ferromagnetic semiconductor by varying the
Curie temperature. Although the effect observed in this experiment is small and
only demonstrated at low temperatures, it embodies the unique functionality possi-
ble using a ferromagnetic semiconductoras opposed to a ferromagneticmetal. The
optical and electrical manipulation of carrier-mediatedferromagnetismis possible
in semiconductors because of the low carrier density.
Yet more revolutionary ideas center around the alluring possibility of estab-
lishing, storing, and manipulating coherent quantum states in semiconductors for
quantum information p r o ~ e s s i n g .~n
~ ~particular, a recent series of experiments

22 P. I. Nikitin and A. A. Beloglazov, Sensors and Actuators A 41-42,547 (1994).

23 K. Onodera, H. Ohba, and T. Kawamura, Oyo Buturi 70,300 (2001) (Japanese version only).
24 J. Kossut and J. K. Furdyna, in Diluted Magnetic (Semimagnetic) Semiconductors, eds. R. L.
Agganval, J. K. Furdyna, and S. Von Molnar, Materials Research Society, Pittsburgh (1987). 97.
25 H. Ohno et al., Appl. Phys. Lett. 73,363 (1998).
26 A. Slobodoskyy et al., Phys. Rev. Lett, 90,246601 (2003).
’’ R. Fiederling et al., Narure (London),402,787 (1999).
’* Y.Ohno er al., Nature (London) 402,790 (1999).
29 B. T. Jonker et al., Phys. Rev. B 62,8180 (2000).
30 M. E. Flatt6, Z. G . Yu,E. Johnston-Halperin, and D. D. Awschalom, Appl. Phys. Lett. 82,4740
(2003).
31 J. Fabian, I. iutiC, and S. Das Sarma, Appl. Phys. Lett. 84.85 (2004).
32 S . Koshihara et al., Phys. Rev. Lett. 78,4617 (1997).
33 H. Ohno et al., Nature (London) 408,944 (2000).
34 A. M. Nazmul, S. Kobayashi, S. Sugahara, and M. Tanaka, cond-mat/0309532.
35 D. P.Divincenzo, Science 270,255 (1995).
 INTRODUCTION TO SEMICONDUCTOR SPINTRONICS 5

B (mT)

FIG. 1. Anomalous Hall resistance RH in an electrically gated ferromagnetic semiconductor-

(In,Mn)As-as a function of magnetic field for different electrical gate voltages. The magnetic field is
applied along the easy axis of the ferromagnet (normal to the sample plane), and RH is proportional to
the sample magnetization. (From Ref. 33.)

in doped semiconductors has revealed electron spin relaxation and decoherence

times that can be as long as several nanoseconds in certain materials (even at
room temperature), hence allowing the coherent transfer of spin across both ho-
mogeneous and inhomogeneous semiconductor^.^^^ Theoretical proposals for
quantum information processing rely on these long coherence times to exploit
coherent electron spin states in mesoscopically patterned quantum and
have prompted ongoing experimental efforts that probe coherent spin-dependent
transport in such quantum system^!^^^
We begin this chapter with an overview of ferromagnetic semiconductors
and their heterostructures, with principal focus on the 111-V ferromagnetic

36 J. M. Kikkawa, I. P. Smorchkova,N. Samarth,and D. D.Awschalom, Science 277, 1284 (1997).

37 J. M. Kikkawa and D. D. Awschalom, Phys. Rev. Lett. 80,4313 (1998).
38 J. M. Kikkawa and D. D. Awschalom, Nature (London) 397,139 (1999).
39 1. Malajovich, J. M. Kikkawa, D. D. Awschalom, J. J. Berry, and N. Samarth,Phys. Rev. Lett. 84,
1015 (2000).
I. Malajovich, J. J. Berry, N. Samarth,and D. D. Awschalom, Nature (London) 411,770 (2001).
41 B. Beschoten et al., Phys. Rev. B 63, R121202 (2001).
42 D. Loss and D. P. DiVincenzo, Phys. Rev. A 57, 120 (1998).
43 L. M. K. Vandersypen et al., in Quantum Computing and Quantum Bits in Mesoscopic Systems, Eds.
A. Leggett, B. Ruggiero, and P. Silvestrini, (Kluwer AcademicPlenum Publishers, 2003).
44 J. A. Folk, R. M. Potok, C. M. Marcus, and V. Umansky, Science 299,679 (2003).
6 " SAMARTH

semiconductors. Here, we attempt to cover an emerging story about an impor-

tant ferromagnetic semiconductor (Gal-,Mn,As). This is a cautionary tale with
surprising twists and turns in recent years, resulting in a picture that is complex in
its details, yet understandable within a relatively simple model. Next, we turn our
attention to optical studies of spin coherence in semiconductors.Because an exten-
sive review of these latter experiments has been provided very recently? we will
only give a condensed introduction to the principal concepts and results. Finally, we
finish with a tour through a gallery of semiconductor spintronic "devices," where
the quotation marks purposely signify the very elementary level of sophistication
of current technological exploration in this field.

II. FerromagneticSemiconductors

The occurrence of ferromagnetism in magnetic semiconductors is neither a new

nor a rare phenomenon, and was extensively studied several decades ago in ma-
terials that include the manganites?' semiconductor spinels (such as CdCrzSed),
the europium chalcogenides (e.g., EUO),%*~~ and the lead chalcogenides (e.g.,
Pbl-,-ySnyMn,Te)."8 The recent resurgence of interest in ferromagnetic semi-
conductors has largely been ignited by the discovery of ferromagnetism in the
Mn-doped 111-V semiconductors Gal-,Mn,As and 1 n l - , M n , A ~ . " ~ ~ ~
These new ferromagnetic semiconductors are derived from materials of great
technological relevance (e.g., 111-V semiconductor devices form the backbone of
much of contemporary opto- and high-frequency electronics). The Curie temper-
ature (Tc) in some of these materials was found to be encouragingly high even at
an early stage of materials development (1 10 K in Gal-,Mn,As with x 0.05).52
Finally, the ferromagnetism in these materials is demonstrably carrier mediated
and can be modulated by external electrical or optical signals. Hence, the GaAs-
and InAs-based ferromagnetic semiconductorsat least have the potential for ready
incorporation into existing technologies. As we shall see in this section, this tech-
nological potential is yet to be realized, principally because the thermodynamicsof
crystal growth extracts a heavy price (defects) for the substitutional incorporation
of Mn into a 111-V semiconductor lattice. Nonetheless, the ferromagnetic semicon-
ductors Gal-,Mn,As and Inl-,Mn,As continue to serve admirably as "canonical"

45 E. Dagotto, Nanoscale Phase Separation and Colossal Magnetoresistance: The Physics of Mangan-
ires and Related Compounds, Springer-Verlag. (Berlin).
T. Kasuya and A. Yanase,Rev. Mod. Phys. 40,684 (1968).
47 A. Mauger and C. Godart, Physics Reports 141,51 (1986)
48 T. Story, R. R. Galazka,R. B. Frankel. and P. A. Wolff, fhys. Rev. Lett. 56,777 (1986).
49 H. Munekata et al., Phys. Rev. Lett. 63, 1849 (1989).
50 H. Ohno et al., fhys. Rev. Len. 68,2664 (1992).
51 H. Ohno et 01.. Appl. fhys. Lett. 69 363 (1996).
52 F. Matsukura, H. Ohno, A. Shen, and Y.Sugawara, Phys. Rev. E 57, R2037 (1998).
 INTRODUCTION TO SEMICONDUCTOR SPINTRONICS 7

systems wherein one can test fundamental and applied concepts relevant to semi-
conductor spintronics.
It is also noteworthy that mean field theories developedto understand the origins
of ferromagnetismin the 111-Mn-V semiconductors20~53-56 have lead to predictions
of ferromagnetismin a much wider class of magnetically doped semicond~ctors.~~
Complementary to this mean field approach that relies on carrier-mediated fer-
romagnetism, first principles calculations have also predicted the existence of
ferromagnetic ground states in many different These predictions
have prompted intense interest in the crystal growth of magnetic semiconduc-
tors that include new 11-VI magnetic semiconductors such as (Zn,Cr)Te,@mag-
netic 111-V p h o ~ p h i d e s ? ~and
, ~ ~a n t i m ~ n i d e s magnetic
;~~ group N
semiconductors;’’ as well as various other complex phosphides and o ~ i d e s ? ~ - ~ ~
In some cases, such as (Zn,Mn)Te and (Cd,Mn)Te, the theoretical predictions have
been vindicated by experiment;7c78 in others, such as the nitrides and oxides, the
current experimental data-while indicating tantalizingly high values of 7’‘-still
need to be complemented by additional measurements to rule out extrinsic origins
for the observed f e r r o m a g n e t i ~ m . ~ ~ ~ ~ ~

53 T. Jungwirrh et al., Phys. Rev. B 59.9818 (1999).

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see also condmat/Ol11314.
56 T.Jungwirth et al., Phys. Rev. B 66,012402(2002).
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N. Theodoropoulou et al., Appl. Phys. Lett. 78,3475(2001).
69 N. Theodoropoulou et al., Phys. Rev. Lett. 89, 107203 (2002).
70 T.Wojtowicz et al., Appl. Phys. Len. 82,4310(2003).
” Y. D.Park et al., Science 295,651 (2002).
72 G. A. Medvedkin et aL, Jpn. J. Appl. Phys. 39,L949 (2000).
73 Y.Matsumoto et al., Science 291,854(2001).
74 S.A. Chambers et al., Appl. Phys. Lett. 79,3467(2001).
7’ S.B. Ogale e f al., Phys. Rev. Len. 91,077205(2003).
76 A. Haury et nl., Phys. Rev. Len. 79,51 1 (1 997).
77 D. Ferrand et al., Phys. Rev. B 63,085201(2001).
78 H. Boukari et al., Phys. Rev. Len. 88,207204(2002).
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8 NITIN SAMARTH

We begin this section by discussing the underlying basis for carrier-mediated

ferromagnetismin magnetic semiconductors.We then follow this with a discussion
of experimental studies (crystal growth and physical properties) of a "canonical"
case: Gal-,Mn,As. Finally, we conclude with the formulation of a set of experi-
mental criteria that we believe are useful for identifying whether a given material is
an intrinsic ferromagnetic semiconductor with carrier-mediated ferromagnetism.

1. EXCHANGE
INTERACTIONSAND CARRIER-MEDIATED
FERROMAGNETISM
INDILUTEDMAGNETIC SEMICONDUCTORS

The understanding of carrier-mediated ferromagnetism in an electrically doped,

randomly diluted magnetic semiconductor lattice can be approached via a num-
ber of possible routes. Thus far, approaches to this problem have included mean
field theories within a continuum a p p r o ~ i m a t i o n , ~dynamical
~ * ~ ~ - ~ ~mean field
theory that incorporates effects of disorder and impurity band formation?' perco-
lation model^,^"^^ and defect-specific model^.^^^^^ A critical discussion of all such
approaches is beyond the scope of this introductory review, and we limit ourselves
to a very simple-and certainly incomplete-picture based on the mean field
approach.
Imagine that the cations in a direct gap zinc-blende semiconductor are randomly
replaced with the transition metal atom Mn, which has an atomic shell configuration
3d54s2. We assume that the d-electrons remain well-localized, forming a local
moment with S = 5/2 in the absence of any crystal field effects. In addition to the
local moments, we now assume that the semiconductor itself is doped either n- or
p-type; the dopant impurities may either be the Mn ions themselves (as in the case
of Gal-,Mn,As, where Mn acts as an acceptor) or they could be some other non-
magnetic donors or acceptors (such as in the case of p-Znl-,Mn,Te, where the Mn
ions are isoelectronic). For carrier densities above the metal-insulator transition,
the idealized system then consists of delocalized, itinerant carriers that interact
with local moments over extended length scales. At low carrier densities below
the metal-insulator transition, we expect the carriers to be localized, interacting
with local moments that lie within the localization radius.
There are two classes of exchange interactionsthat arise within such an idealized
magnetic semiconductor lattice.

" S. Das Sarma, E. H. Hwang, and A. Kaminski, Solid Srar. Commun. 127.99 (2003) and references
therein.
M. Berciu and R. N. Bhatt, Phys. Rev. Letr. 87, 107203 (2001), and references therein.
83 G. Alvarez, M. Mayr, and E. Dagotto, Phys. Rev. Len. 89,277202 (2002).
84 A. Kaminski and S. Das Sarma, Phys. Rev. Len. 88,247202 (2002).
85 C. Timm, F. Schiifer, and F. von Oppen, Phys. Rev. Lerr. 89, 137201 (2002).
86 P. Mahadevan and A. Zunger, Phys. Rev. B 68,075202 (2003).
 INTRODUCTION TO SEMICONDUCTOR SPINTRONICS 9

The d-d superexchange between the d-electrons of the magnetic ions: This is a
short-ranged antiferromagnetic interaction and is mediated by the intervening
anion.87 In the 11-VI diluted magnetic semiconductors, this interaction is char-
-
acterized by an exchange integral J d 10 K, while in Gal-,Mn,As, J d 5 1 K.
The s-d(p-d) exchange between the d-electrons and the band electrons (holes):
This interaction is purely ferromagnetic (potential exchange) for conduction
band states and is predominantly antiferromagnetic (kinetic exchange) for va-
lence band states. qpically, the p-d exchange integral is much larger than the
s-d exchange.88
One might anticipate that the two systems of spins (free carriers and local
moments) in a diluted magnetic semiconductor will influence each other through
the sp-d exchange interaction. This interplay is indeed observed in experiments.
Localized charge carriers (e.g., acceptor-boundholes) can align the Mn ions within
their vicinity, forming a “bound magnetic p ~ l a r o n ; ”conversely,
~~ the alignment
of the Mn ions by an external magnetic field can enhance the spin splitting of
conduction and valenceband states via an exchange field,88resulting in a significant
spin polarization of the electron or hole gas.88qw As we will soon see, the sp-d
exchange between free electronsholes and Mn d-electrons is also responsible
for mediating a collective, ferromagnetic alignment of the Mn spins under the
right circumstances. We now discuss the magnetic behavior of a diluted magnetic
semiconductor as a function of the free carrier density.
At low carrier densities, the global magnetic properties of a diluted magnetic
semiconductorare relatively insensitiveto the presence of free carriers. The system
can be modeled quite simply as a collection of S = 5 / 2 spins randomly distributed
on an fcc lattice, and coupled by antiferromagneticd-d superexchange. Depending
on the magnetic ion concentration and temperature, the system exhibits paramag-
netic, spin glass, or short-range antiferromagnetic order. (The spin glass phase
originates in the frustration that is inherent in the randomly diluted fcc lattice.) In
the paramagnetic phase, for an external magnetic field H.2, the magnetization M,
is described by a Brillouin function that is empirically modified to account for the
antiferromagneticMn-Mn interactions.

Mz = NO(&) = NOS,,B5/2(5CLBH/kBT,ff), (2.1)

where No is the number density of magnetic ions and B 5 / 2 ( ~ is) the Brillouin
function for S = 5 / 2 . Because antiferromagnetic spin-spin correlations between

” B. E. Larson, K.C. Hass, H. Ehrenreich, and A. E. Carlsson, Solid State Commun. 56,347 (1985).
” J. Kossut, in Diluted Magnetic Semiconductors: Semiconductor and Semimetals, vol. 25, eds. J. K.
Furdyna and J. Kossut, Academic Press, New York (1988), 183.
89 P. A. Wolff, in Ref. 88,413.
I. P. Smorchkova, N. Samarth, J. M. Kikkawa, and D. D. Awschalom, Phys. Rev. Lett. 78 3571
(1997).
10 NITIN SAMARTH

Mn2+ ions reduce the magnetization from that of non-interacting Mn2+ ions, the
standard Brillouin function is adjusted by using the parameters S,,, (which is the
saturation value for the spin of an individual Mn2+ ion and is smaller than 5/2)
+
and the rescaled temperature Teff = T To. We note that for a given distribution
of magnetic spins on the lattice, there is a well-defined statistical distribution of
magnetic ions, with isolated spins, pairs of spins, triplets, etc. Due to the anti-
ferromagnetic coupling between nearest neighbor Mn2+ spins, the magnetization
at modest fields is dominated by the paramagnetic response of isolated single
spins. At very high magnetic fields, the presence of the antiferromagneticcoupling
between Mn spins reveals itself directly in abrupt changes in magnetization?’
In addition, as we briefly mentioned, the localization of the free carriers at low
temperatures (on the insulating side of the metal-insulator transition) can in fact
significantly perturb the magnetic moments within the localization radius, forming
“bubbles” of magnetization known as bound magnetic polarons. In fact, some of
the first predictions for ferromagnetism in the diluted magnetic semiconductors
were based on a scenario of the percolation of bound magnetic polarons.82Models
along these lines continue to attract attention, particularly within the context of
ferromagnetic ordering in Gal-,Mn,As at low concentrations where the states are
strongly l ~ c a l i z e d . ~ ~ * ~ ~
As the carrier density increases, the effects of the sp-d exchange on the global
magnetization can eventually overcome the antiferromagnetic coupling between
local moments, and-under the right circumstances-this can lead to spontaneous,
long-range ferromagnetic ordering of the local moments mediated by the delocal-
ized carriers. This has been treated in mean field approaches that use a continuum
a p p r o ~ i m a t i o n ? ~ ~wherein
~ ~ - ~ ’ the random arrangement of magnetic ions on a
semiconductor lattice is replaced with a uniform background. Such a simplifica-
tion isjustified because the typical distance between magnetic ions is much smaller
than the Fermi wavelength h~ of the electrons9r holes in the extended band states.
In such a model, a Mn ion located at position R experiences a local exchange field
proportional to the hole spin polarization.

where ( ~ ( 2 represents
)) the hole spin density at the Mn sites, and J is the s-d(p-d)
exchange integral. The Mn ions then align according to Eq. 2.1 in the net magnetic
field given by the sum of the local exchange field and any external magnetic field.
When the local exchange field is strong enough to overcome the effects of the
antiferromagnetic Mn-Mn exchange, a spontaneous ferromagnetic alignment of
the system becomes possible.

9’ S. A. Crooker, N. Samatth, and D.D.Awschalom, Phys. Rev. B 61, 1736 (2000), and references
therein.
 INTRODUCTION TO SEMICONDUCTOR SPINTRONICS 11

At least two complementary approaches have been used to determine the con-
ditions for such carrier-mediated ferromagnetism. The carrier spin density can be
calculated by solving the free particle Schrdinger equation in the presence of
a kinetic-exchange field determined by the polarization of the Mn ions.53 Addi-
tional effects such as Coulomb potentials in heterostructures can also be included
in this calculation, as well as exchange-correlation effects within the local spin
density approximation. An alternative approach uses a methodology (inspired by
early work by Zener)92wherein the Ginzburg-Landau free energy functional is
minimized with respect to the Mn magnetization for a given temperature, external
magnetic field, and carrier density.57 Both these approaches essentially produce
the same physical result, which correlates the Curie temperature with a variety of
system parameters according to the following equation:

Here, g* is the g-factor of the carriers mediating the sp-d exchange, and xf is the
interactingcarrier spin susceptibility.The carrier spin susceptibilityis transparently
related to the Fermi wave vector kF through the total energy of the system. In

-
particular, when contributions from the kinetic exchange dominate those from the

-
potential exchange, Tc m*kF, where kF is the Fermi wave vector and m* is the
effective mass of the carriers. It follows that TC where x is the fraction
of lattice sites occupied by Mn ions and n is the carrier density.
These insights provide a “confidence test” for the mean field approach. We
anticipate that TC will be higher in materials with larger effective mass and larger
carrier-ion exchange. Both these characteristics favor ferromagnetism in p-type
diluted magnetic semiconductors over n-type materials; the absence of evidence
for ferromagnetism in the n-doped 11-Mn-VI materials supports this prediction.
In addition, by evaluating kinetic and exchange contributions to the carrier spin
susceptibility using detailed band structure, the mean field approach provides the
means to quantitativelycalculate various physical parameters such as Tc, the mag-
netic anisotropy coefficients,spin stiffness,and carrier spin polarization. The use of
a realistic Kohn-Luttingerdescription of the valence band structure is particularly
crucial in the context of hole-mediated ferromagnetism.
How representative of reality is the model system that we have just described
when compared with real materials? It turns out that that it is in fact well repre-
sented by the 11-Mn-VI diluted magnetic semiconductors,where the substitutional
Mn ions are isoelectronic and do not perturb the host semiconductorband structure
qualitatively, except to alter the band parameters such as the energy gap and the
effective mass in a well-understood fashion.I7 Here, the predictions of the mean
field theory correspond very well to observationsof ferromagnetismin the p-doped

92 C. Zener, Phys. Rev. A 81,440 (1950).

12 NITIN SAMARTH

11-Mn-VI diluted magnetic semiconductors such as (Zn,Mn)Te and (modulation

doped) (Cd,Mn)Te.93Quantitative comparisons are possible in these materials be-
cause relevant parameters such as the exchange integrals are experimentally well
k n 0 ~ n . The
l ~ mean field approach also appears to provide a very credible expla-
nation of many qualitative aspects of ferromagnetism in the 111-Mn-V materials,
although quantitative comparisons are limited by uncertainties in the experimental
knowledge of parameters such as the exchange integral and the effective mass.54
The understanding of magnetic anisotropy in Gal-,Mn,As provides a good
example of the qualitative predictions made possible by the mean field model.
The source of magnetic anisotropy in Gal-,Mn,As can be explicitly traced to the
effects of strain and spin-orbit interaction on the valence bands. At first glance, it is
non-intuitive that Gal -,Mn,As should exhibit any magnetic anisotropy. Because
the Mn ions are in an S = 512 state, one would not expect any influence of spin-
orbit coupling on the d-shell electrons. However, the valence band holes mediating
the ferromagnetic interactions between the Mn ions experience large spin-orbit
coupling effects. As a result, there is significant anisotropy associated with the
p-d exchange interaction itself, and this manifests itself in observable magnetic
anisotropy effects. Initial studies of strained Gal-,Mn,As samples suggested two
broad regimes of strain-induced magnetic anisotropy: Under compressive strain,
the easy axis is in-plane, while under tensile strain, the easy axis is perpendicular
to the ~ l a n e . 9It~is now recognized that the magnetic anisotropy in the III-Mn-V
ferromagnetic semiconductors can be considerably more complex because the
specifics depend on an interplay between strain and hole spin p~larization.’~ We
will describe other comparisons between predictions of the mean field theory and
experiments later in this section.
Despite the successful application of the mean field model to various aspects
of Gal-,Mn,As, it is important to bear in mind some lingering and unresolved
questions that continue to rankle in some quarters. Some of these misgivings have
already been addressed in our preceding discussion. For instance, the observa-
tion of ferromagnetism in Gal -,Mn,As at dilute magnetic composition where
the carriers are certainly strongly localized suggests that a percolation picture
is likely to be more appropriate in this regime rather than in one wherein delo-
calized carriers mediate ferromagnetic interactions between the local moments.
Questions also still persist about the influence of Mn on the valence band struc-
ture of the In-V semiconductor. In particular, measurements of magnetic circular
dichroism?’ photoemission?6 and infrared as well as theoretical

93 T. Died, cond-maU0307503.
94 A. Shen et al., J. Ctysr. Gmwrh 175/176, 1069 (1997).
95 B. Beschoten er al., Phys. Rev. Len. 83,3073 (1999).
96 J. Okabayashi er al., Phys. Rev. B 64,125304 (2001).
97 Y.Nagai et 41.. Jpn. J. Appl. Phys. 40,623 1 (2001).
98 E. J. Singley er al., Phys. Rev. Len. 89,097203 (2002).
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 102. Instead of και δικης, I read και μετα δικης.

103. i. e. Should be perfectly impartial.

104. Instead of διπλοτατοις μοναδος as in the original, which is nonsense, it is

necessary to read, as in the above translation, απλοτητι της μοναδος.

105. For 2 + 4 + 6 + 8 = 20; and 1 + 3 + 6 + 7 = 16; and 20 + 16 = 36.

106. The cock was sacred to Apollo, and therefore its heart was believed to be
the instrument of divination in sacrifices. The chemic Olympiodorus says, “that the
cock obscurely signifies the essence of the sun and moon.” See, in the additional
notes, what is said by Proclus concerning the cock, in his treatise On Magic.

107. It is well observed by Ficinus, in lib. i. Eunead. ii. Plotin. “that the fire
which is enkindled by us is more similar to the heavens than other terrestrial
substances. Hence it participates of light, which is something incorporeal, is the
most powerful of all things, is as it were vital, is perpetually moved, divides all
things, without being itself divided, absorbs all things in itself, and avoids any
foreign mixture: and lastly, when the fuel of it is consumed, it suddenly flies back
again to the celestial fire, which is every where latent.”

108. For this vehicle is luciform, and consists of pure, immaterial, unburning,
and vivific fire. See the fifth book of my translation of Proclus on the Timæus.

109. Proclus in Tim. lib. v. observes concerning the telestic art, or the art
which operates through mystic ceremonies, “that, as the oracles teach, it
obliterates through divine fire all the stains produced by generation.” Η τελεστικη
δια του θειου πυρος αφανιζει τας εκ της γενεσεως απασας κηλιδας, ως τα λογια
διδασκει. Hence another Chaldean oracle says, τῳ πυρι γαρ βροτος εμπελασας
θεοθεν φαος εξει. i. e. “The mortal who approaches to fire will have a light from
divinity.” Hercules, as we also learn from Proclus, was an example of this telestic
purification. For he says, Ηρακλης δια τελεστικης καθῃραμενος, και των αχραντων
καρπων μετασχων, τελειας ετυχε εις τους θεους αποκαταστασεως, in Plat. Polit. p.
382. i. e. “Hercules being purified through the telestic art, and participating of
undefiled fruits, obtained a perfect restoration to the Gods.”

110. In the original, λεγω δε της θειας ψυχης τε και φυσεως, αλλ’ ουχι της
περικοσμιου τε και γενεσιουργου. But it appears to me that we should here read,
conformably to the above translation, λεγω δε της θειας, ψυχης τε και ψυσεως,
αλλ’ ουχι μονου της περικοσμιου τε και γενεσιουργου.

111. These media consist of the order of Gods denominated αρχαι, or rulers,
and of those called απολυτοι, or liberated; the former of which also are
denominated supermundane, and the latter supercelestial, in consequence of
existing immediately above the celestial Gods. See, concerning these media, the
sixth book of my translation of Proclus on the Theology of Plato.

112. Proclus on the First Alcibiades observes, “that about every God there is an
innumerable multitude of dæmons, who have the same appellations with their
leaders. And that these are delighted when they are called by the names of Apollo
or Jupiter, because they express in themselves the characteristic peculiarity of their
leading Gods.” In the same admirable commentary, also, he says, “that in the most
holy of the mysteries [i. e. in the Eleusinian mysteries], prior to the appearance of
divinity, the incursions of certain terrestrial dæmons present themselves to the
view, alluring the souls of the spectators from undefiled good to matter.”

113. It is beautifully observed by Simplicius on Epictetus, “that as if you take

away letters from a sentence, or change them, the form of the sentence no longer
remains, thus also in divine works or words, if any thing is deficient, or is changed,
or is confused, divine illumination does not take place, but the indolence of him
who does this dissolves the power of what is effected.” Ωσπερ γαρ εαν στοιχεια του
λογου αφελῃς, ἢ υπαλλαξης, ουκ επιγινεται το του λογου ειδος, ουτω και των θειων
εργων ἢ λογων ει ελλειπει τι, ἢ υπηλλακται, ἢ συγκεχυται, ουκ επιγινεται η του
θειου ελλαμψις, αλλα και εξυδαροι την των γινομενων δυναμιν η του ποιουντος
ραθυμια.

114. Conformably to this, Servius, in his Annotations on the words

Diique, deæque omnes—

in the sixth book of the Æneid observes, “more pontificum, per quos ritu veteri
in omnibus sacris post speciales Deos, quos ad ipsum sacrum, quod fiebat necesse
erat invocari, generaliter omnia numina invocabantur.” i. e. “This is spoken after
the manner of the pontiffs, by whom, according to ancient rites, in all sacrifices,
after the appropriate Gods whom it was necessary to invoke to the sacrifice, all the
divinities were invoked in general.” And in his Annotations on the seventh of the
Æneid he informs us, “that king Œneus offered a sacrifice of first fruits to all the
divinities but Diana, who being enraged sent a boar [as a punishment for the
neglect].” With respect to this anger, however, of Diana, it is necessary to observe
with Proclus, “that the anger of the Gods does not refer any passion to them, but
indicates our inaptitude to participate of them.” Ο γαρ των θεων χολος, ουκ εις
εκεινας αναπεμπει τι παθος, αλλα την ημων δεικνυσι ανεπιτηδειοτητα της εκεινων
μεθεξεως.

115. Plotinus was a man of this description, to whom, most probably,

Iamblichus alludes in what he now says.

116. In the original θυμον τινος: but it is doubtless requisite to read with Gale,
θεσμον τινος. This I have translated a certain divine legislation, because we are
informed by Proclus, in Platon. Theol. lib. iv. p. 206, “that θεσμος is connected
with deity, and pertains more to intelligibles; but that νομος, which unfolds
intellectual distribution, is adapted to the intellectual fathers.” Ο γαρ θεσμος
συμπλεκεται τῳ θεῳ, και προσηκει μαλλον τοις νοητοις ο δε νομος την νοεραν
εμφαινων διανομην, οικειος εσι τοις νοεροις πατρασι.

117. “Perhaps,” says Proclus, in MS. Comment, in Parmenid. “it is necessary

that, as in souls, natures, and bodies, fabrication does not begin from the
imperfect; so likewise in matter, prior to that which is formless, and which has an
evanescent being, there is that which is in a certain respect form, and which is
beheld in one boundary and permanency.” This, therefore, will be the pure and
divine matter of which Iamblichus is now speaking. Damascius also says, that
matter is from the same order whence form is derived.

118. This particular respecting the apples of gold is added from the version of
Scutellius, who appears to have translated this work from a more perfect
manuscript than that which was used by Gale.

119. The conjecture of Gale, that for ἢ το εν Αβυδῳ in this place, we should
read ἢ το εν αδυτῳ, is, I have no doubt, right. For the highest order of intelligibles
is denominated by Orpheus the adytum, as we are informed by Proclus in Tim. By
the arcanum in the adytum, therefore, is meant the deity who subsists at the
extremity of the intelligible order (i. e. Phanes); and of whom it is said in the
Chaldean Oracles, “that he remains in the paternal profundity, and in the adytum,
near to the god-nourished silence.”

120. For εις το φαινομενον και ορφμενον σωμα, I read εις το φερομενον κ. τ.
λ.

121. Here too for Αβυδῳ I read αδυτῳ.

122. Conformably to this, Martianus Capella also, in lib. ii. De Nuptiis Philol.
&c. speaking of the sun, says, “Ibi quandam navim, totius naturæ cursus diversa
cupiditate moderantem, cunctaque flammarum congestione plenissimam, et beatis
circumactam mercibus conspicatur. Cui nautæ septem, germani tamen, suique
similes præsidebant in prora. Præsidebat in prora felis forma depicta, leonis in
arbore, crocodili in extimo.” For these animals, the cat, the lion, and the crocodile
were peculiarly sacred to the sun. Martianus adds, “In eadem vero rate, fons
quidem lucis æthereæ, arcanisque fluoribus manans, in totius mundi lumina
fundebatur.” i. e. “In the same ship there was a fountain of etherial light flowing
with arcane streams, which were poured into all the luminaries of the world.”
Porphyry, likewise, in his treatise De Antro Nymph. says, “that the Egyptians
placed the sun and all dæmons not connected with any thing solid or stable, but
raised on a sailing vessel.”
 123. In the original παν ζωδιον, which Gale erroneously translates animalia
omnia.

124. Of this kind are the following names in Alexand. Trallian. lib. ii. Μευ,
Θρευ, Μορ, Φορ, Τευξ, Ζα, Ζων, Θε, Λου, Χρι, Γε, Ζε, Ων, i.e. Meu, Threu, Mor,
Phor, Teux, Za, Zōn, The, Lou, Chri, Ge, Ze, Ōn. By these names Alexander
Trallianus says, the sun becomes fixed in the heavens. He adds, “Again behold the
great name Ιαξ, (lege Ιαω), Αζυφ, Ζυων, Θρευξ, Βαϊν, Χωωκ, i. e. Iaō, Azuph, Zuōn,
Threux, Baïn, Chōōk.” Among the Latins, also, Cato, Varro, and Marcellus de
Medicamentis Empiricis, there are examples of these names; the power and
efficacy of which, as Gale observes, are testified by history, though it is not easy to
explain the reason of their operation.

125. Proclus, in commenting on the following words of Plato in the Timæus,

(see vol. i. p. 228, of my translation of his Commentary), viz. “Let, therefore, this
universe be denominated by us all heaven, or the world, or whatever other
appellation it may be especially adapted to receive,” beautifully thus observes
concerning the divine name of the world. “As of statues established by the telestic
art, some things pertaining to them are manifest, but others are inwardly
concealed, being symbolical of the presence of the Gods, and which are only known
to the mystic artists themselves; after the same manner, the world being a statue of
the intelligible, and perfected by the father, has indeed some things which are
visible indications of its divinity; but others, which are the invisible impressions of
the participation of being received by it from the father, who gave it perfection, in
order that through these it may be eternally rooted in real being. Heaven, indeed,
and the world are names significant of the powers in the universe; the latter, so far
as it proceeds from the intelligible; but the former, so far as it is converted to it. It
is, however, necessary to know that the divine name of its abiding power, and
which is a symbol of the impression of the Demiurgus, according to which it does
not proceed out of being, is ineffable and arcane, and known only to the Gods
themselves. For there are names adapted to every order of things; those, indeed,
that are adapted to divine natures being divine, to the objects of dianoia being
dianoetic, and to the objects of opinion doxastic. This also Plato says in the
Cratylus, where he embraces what is asserted by Homer on this subject, who
admits that names of the same things are with the Gods different from those that
subsist in the opinions of men,

Xanthus by God, by men Scamander call’d

Iliad xx. v. 74.

And,

Which the Gods Chalcis, men Cymindis call.

Iliad xiv. v. 291.
 And in a similar manner in many other names. For as the knowledge of the
Gods is different from that of partial souls, thus also the names of the one are
different from those of the other; since divine names unfold the whole essence of
the things named, but those of men only partially come into contact with them.
Plato, therefore, knowing that this preexisted in the world, omits the divine and
ineffable name itself, which is different from the apparent name, and with the
greatest caution introduces it as a symbol of the divine impression which the world
contains. For the words, “or whatever other appellation” and “it may receive” are
a latent hymn of the mundane name, as ineffable, and as allotted a divine essence,
in order that it may be coordinate to what is signified by it. Hence, also, divine
mundane names are delivered by Theurgists; some of which are called by them
ineffable, but others effable; and some being significant of the invisible powers in
the world, but others of the visible elements from which it derives its completion.
Through these causes, therefore, as hypotheses, the mundane form, the demiurgic
cause and paradigm, and the apparent and unapparent name of the world are
delivered. And the former name, indeed, is dyadic, but the latter monadic. For the
words “whatever other” are significant of oneness. You may also consider the
ineffable name of the universe as significant of its abiding in the father; but the
name world, as indicative of its progression; and heaven of its conversion. But
through the three, you have the final cause, on account of which it is full of good;
abiding ineffably, proceeding perfectly, and converting itself to the good as the
antecedent object of desire.”

126. See the additional notes at the end of vol. v. of my translation of Plato,
where many of these names are beautifully unfolded from the MS. Scholia of
Proclus on the Cratylus.

127. See the additional notes at the end of vol. v. of my translation of Plato,
and also the notes to my translation of Aristotle de Interpretatione, in which the
reader will find a treasury of recondite information concerning names, from
Proclus and Ammonius.

128. Most historians give the palm of antiquity to the Egyptians. And Lucian,
in lib. De Syria Dea, says, “that the Egyptians are said to be the first among men
that had a conception of the Gods, and a knowledge of sacred concerns.——They
were also the first that had a knowledge of sacred names.” Αιγυπτιοι πρωτοι
ανθρωπων λεγονται θεων τε εννοιην λαβειν και ιρα εισασθαι——πρωτοι δε και
ονοματα ιρα εγνωσαν. Conformably to this, also, an oracle of Apollo, quoted by
Eusebius, says that the Egyptians were the first that disclosed by infinite actions
the path that leads to the Gods. This oracle is as follows:

Αιπεινη γαρ οδος, μακαρων, τρηχειατε πολλον,

Χαλκοδετοις τα πρωτα διοιγομενη πυλεωσιν.
Ατραπιτοι δε εασσιν αθεσφατοι εγγεγαυιαι
Ας πρωτοι μεροπων επ’ απειρονα πρηξιν εφηναν,
 Οι το καλον πινοντες υδωρ Νειλωτιδος αιης·
Πολλας και Φοινικες οδους μακαρων εδαησαν,
Ασσυριοι, Λυδοιτε, και Εβραιων (lege Χαλδαιων) γενος ανδρων.

i.e. “The path by which to deity we climb,

Is arduous, rough, ineffable, sublime;
And the strong massy gates, through which we pass
In our first course, are bound with chains of brass.
Those men the first who of Egyptian birth
Drank the fair water of Nilotic earth,
Disclosed by actions infinite this road,
And many paths to God Phœnicians show’d.
This road th’ Assyrians pointed out to view,
And this the Lydians and Chaldeans knew.”

For Εβραιων in this oracle I read Χαλδαιων, because I have no doubt that
either Aristobulus the Jew, well known for interpolating the writings of the
Heathens, or the wicked Eusebius as he is called by the Emperor Julian, have
fraudulently substituted the former word for the latter.

129. Prayers of this kind are such as those of which Proclus speaks in Tim. p.
65, when he says, “The cathartic prayer is that which is offered for the purpose of
averting diseases originating from pestilence, and other contagious distempers,
such as we have written in our temples.” Καθαρτικαι δε (ευχαἰ, επι αποτροπαις
λοιμικων νοσημοτων, ἢ παντοιων μολυσμων’ οιας δε και εν τοις ιεροις εχομεν
αναγεγραμμενας.

130. Porphyry, in lib. ii. De Abstinentia, mentions Seleucus the theologist, and
Suidas says that Seleucus the Alexandrian wrote 100 books concerning the Gods.

131. These books (βιβλοι) were most probably nothing more than short
discourses, such as the treatises now are which are circulated as written by
Hermes, and which, as Iamblichus informs us, contain Hermaic doctrines.

132. A great priest, a scribe of the Adyta in Egypt, by birth a Sebanite, and an
inhabitant of Heliopolis, as he relates of himself.

133. In the original, πρωτος και του πρωτου θεου και βασιλεως, which Gale
translates, prior etiam primo Deo, et rege [sole]. But the addition of sole in his
translation is obviously most unappropriate and false: for Iamblichus is evidently
speaking of a deity much superior to the sun.

134. For Ημηφ here, Gale conjectures that we should read Κνηφ Kneph: for
Plutarch says that the unbegotten Kneph was celebrated with an extraordinary
degree of veneration by the Egyptian Thebans.
 135. Hence the moon is said by Proclus to be αυτοπτον της φυσεως αγαλμα,
the self-visible statue or image of nature.

136. Proclus in Tim. p. 117, cites what is here said as the doctrine of the
Egyptians, and also cites for it the authority of Iamblichus. But his words are, και
μην και η των Αιγυπτιων παραδοσις τα αυτα περι αυτης (της υλης) φησιν. ο γε τοι
θειος Ιαμβλιχος ιστορησεν οτι και Ερμης εκ της ουσιοτητος την υλοτητα
παραγεσθαι βουλεται., i. e. “Moreover the doctrine of the Egyptians asserts the
same things concerning matter. For the divine Iamblichus relates that Hermes also
produces matter from essentiality.”

137. This is most probably the Chæremon who is said by Porphyry, in lib. iv.
De Abstinentia, “to be a lover of truth, an accurate writer, and very conversant with
the Stoic philosophy.” Τοιαυτα μεν τα κατ’ Αιγυπτιους υπ’ ανδρος φιλαληθους τε
και ακριβους, εντε τοις Στωϊκοις πραγματικωτατα φιλοσοφησαντος
μεμαρτυρημενα.

138. This was the ninth king in the twenty-sixth dynasty of the Saitan kings.

139. This city is mentioned by Plato in the Timæus, who represents Critias as
saying “that there is a certain region of Egypt, called Delta, about the summit of
which the streams of the Nile are divided, and in which there is a province called
Saitical.” He adds, “of this province the greatest city is Saïs, from which also King
Amasis derived his origin. The city has a presiding divinity, whose name is, in the
Egyptian tongue, Neith, but in the Greek Athena, or Minerva.” It is singular that
Gale, who is not deficient in philology, though but a smatterer in philosophy,
should have omitted to remark in his notes this passage of Plato.

140. Proclus, in MS. Comment, in Alcibiad. cites one of the Chaldean oracles,
which says,

——πορθμιον ουνομα το δ’ εν απειροις

Κοσμοις ενθρωσκον.

i. e. “There is a transmitting name which leaps into the infinite worlds.” And in
his MS. Scholia in Cratyl. he quotes another of these oracles, viz.

Αλλα εστιν ουνομα σεμνον ακοιμητῳ στροφαλιγγι,

Κοσμοις ενθρωσκον, κραιπνην δια πατρος ενιπην.

i. e. “There is a venerable name with a sleepless revolution, leaping into the

worlds through the rapid reproofs of the father.”

141. For εχεται in this place, I read περιεχεται.

 142. Gale, in his translation of this part, has entirely mistaken the meaning of
Iamblichus, which he frequently does in other places. For the words of Iamblichus
are, οταν γαρ δη τα βελτιονα των εν ημιν ενεργῃ, και προς τα κρειττονα αναγεται
αυτης η ψυχη; and the version of Gale is “quando enim pars nostri melior operari
incipiat, et ad sui portionem meliorem recolligatur anima.” For τα κρειττονα is not
the better part of the soul; but when the better parts of the soul energize, the soul is
then intimately converted to itself, and through this conversion is elevated to
superior natures.

143. Viz. The science of calculating nativities.

144. i. e. The joint risings and settings.

145. i. e. Through a period of 300,000 years; and Procl. in Tim. lib. iv. p. 277,
informs us that the Chaldeans had observations of the stars which embraced whole
mundane periods. What Proclus likewise asserts of the Chaldeans is confirmed by
Cicero in his first book on Divination, who says that they had records of the stars
for the space of 370,000 years; and by Diodorus Siculus, Bibl. lib. xi. p. 118, who
says that their observations comprehended the space of 473,000 years.

146. “We say,” says Hephestion, “that a star is the lord of the geniture, which
has five conditions of the lord of the nativity in the horoscope; viz. if that star
receives the luminaries in their proper boundaries, in their proper house, in their
proper altitude, and in the proper triangle.” He also adds, “and if besides it has
contact, effluxion, and configuration.” See likewise Porphyry in Ptolemæum, p. 191.

147. According to the Egyptians every one received his proper dæmon at the
hour of his birth; nor did they ascend any higher, in order to obtain a knowledge of
it. For they alone considered the horoscope. See Porphyry apud Stobæum, p. 201,
and Hermes in Revolut. cap. iv.

148. In the original ενταυθα δε ουν και η της αληθειας παρεστι θεα, και η της
νοερας επιστημης. But instead of η της νοερας απιστημης, which appears to me to
be defective, I read η κτησις της νοερας επιστημης.

149. For θεωτος here, I read θεωτερος.

150. In the original, by a strange mistake, των θνητων is inserted here instead
of των νοητων, which is obviously the true reading. The version of Gale also has
intelligibilium.

151. i. e. Man, considered as a rational soul, connected with the irrational life;
for this man has dominion in the realms of generation.

152. See the second edition of this work in Nos. XV. and XVI. of the
Pamphleteer.
 153. i. e. Of natures which are not connected with body.

154. For in these, all are in each, but not all in all.

155. By an unaccountable mistake here του σωματος is inserted instead of της

ψυχης; but the mistake is not noticed by the German editor of these Scholia.

156. And in consequence of this mistake, for αυτο in this place, we must read
αυτα.

157. Odyss. xi. 612.

158. Iliad xv. 605.

159. For μουσικης here, it is necessary to read μαντικης.

160. And for μαντικην read μαντικη.

161. For υπο here, it is necessary to read υπερ.

162. The German editor of these Scholia, instead of πρακτικῃ which is the true
reading in this place, and which he found in the manuscript, absurdly substitutes
for it πυκτικῃ, as if Hercules was a pugilist. See my translation of the Dissertation
at Maximus Tyrius, on the Practic and Theoretic Life.

163. Vid. Olympiodor. in Aristot. Meteor.

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