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Saturday, June 24, 2023

Electronic band structure

From Wikipedia, the free encyclopedia

In solid-state physics, the electronic band structure (or simply band structure) of a solid describes the range of energy levels that electrons may have within it, as well as the ranges of energy that they may not have (called band gaps or forbidden bands).

Band theory derives these bands and band gaps by examining the allowed quantum mechanical wave functions for an electron in a large, periodic lattice of atoms or molecules. Band theory has been successfully used to explain many physical properties of solids, such as electrical resistivity and optical absorption, and forms the foundation of the understanding of all solid-state devices (transistors, solar cells, etc.).

Why bands and band gaps occur

A hypothetical example of a large number of carbon atoms being brought together to form a diamond crystal, demonstrating formation of the electronic band structure. The right graph shows the energy levels as a function of the spacing between atoms. When far apart (right side of graph) all the atoms have discrete valence orbitals p and s with the same energies. However, when the atoms come closer (left side), their electron orbitals begin to spatially overlap. The orbitals hybridize into N molecular orbitals each with a different energy, where N is the number of atoms in the crystal. Since N is such a large number, adjacent orbitals are extremely close together in energy so the orbitals can be considered a continuous energy band. At the actual diamond crystal cell size (denoted by a), two bands are formed, called the valence and conduction bands, separated by a 5.5 eV band gap. Decreasing the inter-atomic spacing even more (e.g., under a high pressure) further modifies the band structure.

The electrons of a single, isolated atom occupy atomic orbitals each of which has a discrete energy level. When two or more atoms join to form a molecule, their atomic orbitals overlap and hybridize.

Similarly, if a large number N of identical atoms come together to form a solid, such as a crystal lattice, the atoms' atomic orbitals overlap with the nearby orbitals. Each discrete energy level splits into N levels, each with a different energy. Since the number of atoms in a macroscopic piece of solid is a very large number (N~1022) the number of orbitals is very large and thus they are very closely spaced in energy (of the order of 10−22 eV). The energy of the adjacent levels is so close together that they can be considered as a continuum, an energy band.

This formation of bands is mostly a feature of the outermost electrons (valence electrons) in the atom, which are the ones involved in chemical bonding and electrical conductivity. The inner electron orbitals do not overlap to a significant degree, so their bands are very narrow.

Band gaps are essentially leftover ranges of energy not covered by any band, a result of the finite widths of the energy bands. The bands have different widths, with the widths depending upon the degree of overlap in the atomic orbitals from which they arise. Two adjacent bands may simply not be wide enough to fully cover the range of energy. For example, the bands associated with core orbitals (such as 1s electrons) are extremely narrow due to the small overlap between adjacent atoms. As a result, there tend to be large band gaps between the core bands. Higher bands involve comparatively larger orbitals with more overlap, becoming progressively wider at higher energies so that there are no band gaps at higher energies.

Basic concepts

Assumptions and limits of band structure theory

Band theory is only an approximation to the quantum state of a solid, which applies to solids consisting of many identical atoms or molecules bonded together. These are the assumptions necessary for band theory to be valid:

  • Infinite-size system: For the bands to be continuous, the piece of material must consist of a large number of atoms. Since a macroscopic piece of material contains on the order of 1022 atoms, this is not a serious restriction; band theory even applies to microscopic-sized transistors in integrated circuits. With modifications, the concept of band structure can also be extended to systems which are only "large" along some dimensions, such as two-dimensional electron systems.
  • Homogeneous system: Band structure is an intrinsic property of a material, which assumes that the material is homogeneous. Practically, this means that the chemical makeup of the material must be uniform throughout the piece.
  • Non-interactivity: The band structure describes "single electron states". The existence of these states assumes that the electrons travel in a static potential without dynamically interacting with lattice vibrations, other electrons, photons, etc.

The above assumptions are broken in a number of important practical situations, and the use of band structure requires one to keep a close check on the limitations of band theory:

  • Inhomogeneities and interfaces: Near surfaces, junctions, and other inhomogeneities, the bulk band structure is disrupted. Not only are there local small-scale disruptions (e.g., surface states or dopant states inside the band gap), but also local charge imbalances. These charge imbalances have electrostatic effects that extend deeply into semiconductors, insulators, and the vacuum (see doping, band bending).
  • Along the same lines, most electronic effects (capacitance, electrical conductance, electric-field screening) involve the physics of electrons passing through surfaces and/or near interfaces. The full description of these effects, in a band structure picture, requires at least a rudimentary model of electron-electron interactions (see space charge, band bending).
  • Small systems: For systems which are small along every dimension (e.g., a small molecule or a quantum dot), there is no continuous band structure. The crossover between small and large dimensions is the realm of mesoscopic physics.
  • Strongly correlated materials (for example, Mott insulators) simply cannot be understood in terms of single-electron states. The electronic band structures of these materials are poorly defined (or at least, not uniquely defined) and may not provide useful information about their physical state.

Crystalline symmetry and wavevectors

Fig 1. Brillouin zone of a face-centered cubic lattice showing labels for special symmetry points.
 
Fig 2. Band structure plot for Si, Ge, GaAs and InAs generated with tight binding model. Note that Si and Ge are indirect band gap materials, while GaAs and InAs are direct.
 

Band structure calculations take advantage of the periodic nature of a crystal lattice, exploiting its symmetry. The single-electron Schrödinger equation is solved for an electron in a lattice-periodic potential, giving Bloch electrons as solutions

,

where k is called the wavevector. For each value of k, there are multiple solutions to the Schrödinger equation labelled by n, the band index, which simply numbers the energy bands. Each of these energy levels evolves smoothly with changes in k, forming a smooth band of states. For each band we can define a function En(k), which is the dispersion relation for electrons in that band.

The wavevector takes on any value inside the Brillouin zone, which is a polyhedron in wavevector (reciprocal lattice) space that is related to the crystal's lattice. Wavevectors outside the Brillouin zone simply correspond to states that are physically identical to those states within the Brillouin zone. Special high symmetry points/lines in the Brillouin zone are assigned labels like Γ, Δ, Λ, Σ (see Fig 1).

It is difficult to visualize the shape of a band as a function of wavevector, as it would require a plot in four-dimensional space, E vs. kx, ky, kz. In scientific literature it is common to see band structure plots which show the values of En(k) for values of k along straight lines connecting symmetry points, often labelled Δ, Λ, Σ, or [100], [111], and [110], respectively. Another method for visualizing band structure is to plot a constant-energy isosurface in wavevector space, showing all of the states with energy equal to a particular value. The isosurface of states with energy equal to the Fermi level is known as the Fermi surface.

Energy band gaps can be classified using the wavevectors of the states surrounding the band gap:

  • Direct band gap: the lowest-energy state above the band gap has the same k as the highest-energy state beneath the band gap.
  • Indirect band gap: the closest states above and beneath the band gap do not have the same k value.

Asymmetry: Band structures in non-crystalline solids

Although electronic band structures are usually associated with crystalline materials, quasi-crystalline and amorphous solids may also exhibit band gaps. These are somewhat more difficult to study theoretically since they lack the simple symmetry of a crystal, and it is not usually possible to determine a precise dispersion relation. As a result, virtually all of the existing theoretical work on the electronic band structure of solids has focused on crystalline materials.

Density of states

The density of states function g(E) is defined as the number of electronic states per unit volume, per unit energy, for electron energies near E.

The density of states function is important for calculations of effects based on band theory. In Fermi's Golden Rule, a calculation for the rate of optical absorption, it provides both the number of excitable electrons and the number of final states for an electron. It appears in calculations of electrical conductivity where it provides the number of mobile states, and in computing electron scattering rates where it provides the number of final states after scattering.

For energies inside a band gap, g(E) = 0.

Filling of bands

Filling of the electronic states in various types of materials at equilibrium. Here, height is energy while width is the density of available states for a certain energy in the material listed. The shade follows the Fermi–Dirac distribution (black: all states filled, white: no state filled). In metals and semimetals the Fermi level EF lies inside at least one band.
In insulators and semiconductors the Fermi level is inside a band gap; however, in semiconductors the bands are near enough to the Fermi level to be thermally populated with electrons or holes.

At thermodynamic equilibrium, the likelihood of a state of energy E being filled with an electron is given by the Fermi–Dirac distribution, a thermodynamic distribution that takes into account the Pauli exclusion principle:

where:

  • kBT is the product of Boltzmann's constant and temperature, and
  • µ is the total chemical potential of electrons, or Fermi level (in semiconductor physics, this quantity is more often denoted EF). The Fermi level of a solid is directly related to the voltage on that solid, as measured with a voltmeter. Conventionally, in band structure plots the Fermi level is taken to be the zero of energy (an arbitrary choice).

The density of electrons in the material is simply the integral of the Fermi–Dirac distribution times the density of states:

Although there are an infinite number of bands and thus an infinite number of states, there are only a finite number of electrons to place in these bands. The preferred value for the number of electrons is a consequence of electrostatics: even though the surface of a material can be charged, the internal bulk of a material prefers to be charge neutral. The condition of charge neutrality means that N/V must match the density of protons in the material. For this to occur, the material electrostatically adjusts itself, shifting its band structure up or down in energy (thereby shifting g(E)), until it is at the correct equilibrium with respect to the Fermi level.

Names of bands near the Fermi level (conduction band, valence band)

A solid has an infinite number of allowed bands, just as an atom has infinitely many energy levels. However, most of the bands simply have too high energy, and are usually disregarded under ordinary circumstances. Conversely, there are very low energy bands associated with the core orbitals (such as 1s electrons). These low-energy core bands are also usually disregarded since they remain filled with electrons at all times, and are therefore inert. Likewise, materials have several band gaps throughout their band structure.

The most important bands and band gaps—those relevant for electronics and optoelectronics—are those with energies near the Fermi level. The bands and band gaps near the Fermi level are given special names, depending on the material:

  • In a semiconductor or band insulator, the Fermi level is surrounded by a band gap, referred to as the band gap (to distinguish it from the other band gaps in the band structure). The closest band above the band gap is called the conduction band, and the closest band beneath the band gap is called the valence band. The name "valence band" was coined by analogy to chemistry, since in semiconductors (and insulators) the valence band is built out of the valence orbitals.
  • In a metal or semimetal, the Fermi level is inside of one or more allowed bands. In semimetals the bands are usually referred to as "conduction band" or "valence band" depending on whether the charge transport is more electron-like or hole-like, by analogy to semiconductors. In many metals, however, the bands are neither electron-like nor hole-like, and often just called "valence band" as they are made of valence orbitals. The band gaps in a metal's band structure are not important for low energy physics, since they are too far from the Fermi level.

Theory in crystals

The ansatz is the special case of electron waves in a periodic crystal lattice using Bloch's theorem as treated generally in the dynamical theory of diffraction. Every crystal is a periodic structure which can be characterized by a Bravais lattice, and for each Bravais lattice we can determine the reciprocal lattice, which encapsulates the periodicity in a set of three reciprocal lattice vectors (b1, b2, b3). Now, any periodic potential V(r) which shares the same periodicity as the direct lattice can be expanded out as a Fourier series whose only non-vanishing components are those associated with the reciprocal lattice vectors. So the expansion can be written as:

where K = m1b1 + m2b2 + m3b3 for any set of integers (m1, m2, m3).

From this theory, an attempt can be made to predict the band structure of a particular material, however most ab initio methods for electronic structure calculations fail to predict the observed band gap.

Nearly free electron approximation

In the nearly free electron approximation, interactions between electrons are completely ignored. This approximation allows use of Bloch's Theorem which states that electrons in a periodic potential have wavefunctions and energies which are periodic in wavevector up to a constant phase shift between neighboring reciprocal lattice vectors. The consequences of periodicity are described mathematically by the Bloch's theorem, which states that the eigenstate wavefunctions have the form

where the Bloch function is periodic over the crystal lattice, that is,

.

Here index n refers to the n-th energy band, wavevector k is related to the direction of motion of the electron, r is the position in the crystal, and R is the location of an atomic site.

The NFE model works particularly well in materials like metals where distances between neighbouring atoms are small. In such materials the overlap of atomic orbitals and potentials on neighbouring atoms is relatively large. In that case the wave function of the electron can be approximated by a (modified) plane wave. The band structure of a metal like aluminium even gets close to the empty lattice approximation.

Tight binding model

The opposite extreme to the nearly free electron approximation assumes the electrons in the crystal behave much like an assembly of constituent atoms. This tight binding model assumes the solution to the time-independent single electron Schrödinger equation is well approximated by a linear combination of atomic orbitals .

,

where the coefficients are selected to give the best approximate solution of this form. Index n refers to an atomic energy level and R refers to an atomic site. A more accurate approach using this idea employs Wannier functions, defined by:

;

in which is the periodic part of the Bloch's theorem and the integral is over the Brillouin zone. Here index n refers to the n-th energy band in the crystal. The Wannier functions are localized near atomic sites, like atomic orbitals, but being defined in terms of Bloch functions they are accurately related to solutions based upon the crystal potential. Wannier functions on different atomic sites R are orthogonal. The Wannier functions can be used to form the Schrödinger solution for the n-th energy band as:

.

The TB model works well in materials with limited overlap between atomic orbitals and potentials on neighbouring atoms. Band structures of materials like Si, GaAs, SiO2 and diamond for instance are well described by TB-Hamiltonians on the basis of atomic sp3 orbitals. In transition metals a mixed TB-NFE model is used to describe the broad NFE conduction band and the narrow embedded TB d-bands. The radial functions of the atomic orbital part of the Wannier functions are most easily calculated by the use of pseudopotential methods. NFE, TB or combined NFE-TB band structure calculations, sometimes extended with wave function approximations based on pseudopotential methods, are often used as an economic starting point for further calculations.

KKR model

The KKR method, also called "multiple scattering theory" or Green's function method, finds the stationary values of the inverse transition matrix T rather than the Hamiltonian. A variational implementation was suggested by Korringa, Kohn and Rostocker, and is often referred to as the Korringa–Kohn–Rostoker method. The most important features of the KKR or Green's function formulation are (1) it separates the two aspects of the problem: structure (positions of the atoms) from the scattering (chemical identity of the atoms); and (2) Green's functions provide a natural approach to a localized description of electronic properties that can be adapted to alloys and other disordered system. The simplest form of this approximation centers non-overlapping spheres (referred to as muffin tins) on the atomic positions. Within these regions, the potential experienced by an electron is approximated to be spherically symmetric about the given nucleus. In the remaining interstitial region, the screened potential is approximated as a constant. Continuity of the potential between the atom-centered spheres and interstitial region is enforced.

Density-functional theory

In recent physics literature, a large majority of the electronic structures and band plots are calculated using density-functional theory (DFT), which is not a model but rather a theory, i.e., a microscopic first-principles theory of condensed matter physics that tries to cope with the electron-electron many-body problem via the introduction of an exchange-correlation term in the functional of the electronic density. DFT-calculated bands are in many cases found to be in agreement with experimentally measured bands, for example by angle-resolved photoemission spectroscopy (ARPES). In particular, the band shape is typically well reproduced by DFT. But there are also systematic errors in DFT bands when compared to experiment results. In particular, DFT seems to systematically underestimate by about 30-40% the band gap in insulators and semiconductors.

It is commonly believed that DFT is a theory to predict ground state properties of a system only (e.g. the total energy, the atomic structure, etc.), and that excited state properties cannot be determined by DFT. This is a misconception. In principle, DFT can determine any property (ground state or excited state) of a system given a functional that maps the ground state density to that property. This is the essence of the Hohenberg–Kohn theorem. In practice, however, no known functional exists that maps the ground state density to excitation energies of electrons within a material. Thus, what in the literature is quoted as a DFT band plot is a representation of the DFT Kohn–Sham energies, i.e., the energies of a fictive non-interacting system, the Kohn–Sham system, which has no physical interpretation at all. The Kohn–Sham electronic structure must not be confused with the real, quasiparticle electronic structure of a system, and there is no Koopmans' theorem holding for Kohn–Sham energies, as there is for Hartree–Fock energies, which can be truly considered as an approximation for quasiparticle energies. Hence, in principle, Kohn–Sham based DFT is not a band theory, i.e., not a theory suitable for calculating bands and band-plots. In principle time-dependent DFT can be used to calculate the true band structure although in practice this is often difficult. A popular approach is the use of hybrid functionals, which incorporate a portion of Hartree–Fock exact exchange; this produces a substantial improvement in predicted bandgaps of semiconductors, but is less reliable for metals and wide-bandgap materials.

Green's function methods and the ab initio GW approximation

To calculate the bands including electron-electron interaction many-body effects, one can resort to so-called Green's function methods. Indeed, knowledge of the Green's function of a system provides both ground (the total energy) and also excited state observables of the system. The poles of the Green's function are the quasiparticle energies, the bands of a solid. The Green's function can be calculated by solving the Dyson equation once the self-energy of the system is known. For real systems like solids, the self-energy is a very complex quantity and usually approximations are needed to solve the problem. One such approximation is the GW approximation, so called from the mathematical form the self-energy takes as the product Σ = GW of the Green's function G and the dynamically screened interaction W. This approach is more pertinent when addressing the calculation of band plots (and also quantities beyond, such as the spectral function) and can also be formulated in a completely ab initio way. The GW approximation seems to provide band gaps of insulators and semiconductors in agreement with experiment, and hence to correct the systematic DFT underestimation.

Dynamical mean-field theory

Although the nearly free electron approximation is able to describe many properties of electron band structures, one consequence of this theory is that it predicts the same number of electrons in each unit cell. If the number of electrons is odd, we would then expect that there is an unpaired electron in each unit cell, and thus that the valence band is not fully occupied, making the material a conductor. However, materials such as CoO that have an odd number of electrons per unit cell are insulators, in direct conflict with this result. This kind of material is known as a Mott insulator, and requires inclusion of detailed electron-electron interactions (treated only as an averaged effect on the crystal potential in band theory) to explain the discrepancy. The Hubbard model is an approximate theory that can include these interactions. It can be treated non-perturbatively within the so-called dynamical mean-field theory, which attempts to bridge the gap between the nearly free electron approximation and the atomic limit. Formally, however, the states are not non-interacting in this case and the concept of a band structure is not adequate to describe these cases.

Others

Calculating band structures is an important topic in theoretical solid state physics. In addition to the models mentioned above, other models include the following:

  • Empty lattice approximation: the "band structure" of a region of free space that has been divided into a lattice.
  • k·p perturbation theory is a technique that allows a band structure to be approximately described in terms of just a few parameters. The technique is commonly used for semiconductors, and the parameters in the model are often determined by experiment.
  • The Kronig–Penney model, a one-dimensional rectangular well model useful for illustration of band formation. While simple, it predicts many important phenomena, but is not quantitative.
  • Hubbard model

The band structure has been generalised to wavevectors that are complex numbers, resulting in what is called a complex band structure, which is of interest at surfaces and interfaces.

Each model describes some types of solids very well, and others poorly. The nearly free electron model works well for metals, but poorly for non-metals. The tight binding model is extremely accurate for ionic insulators, such as metal halide salts (e.g. NaCl).

Band diagrams

To understand how band structure changes relative to the Fermi level in real space, a band structure plot is often first simplified in the form of a band diagram. In a band diagram the vertical axis is energy while the horizontal axis represents real space. Horizontal lines represent energy levels, while blocks represent energy bands. When the horizontal lines in these diagram are slanted then the energy of the level or band changes with distance. Diagrammatically, this depicts the presence of an electric field within the crystal system. Band diagrams are useful in relating the general band structure properties of different materials to one another when placed in contact with each other.

Software

From Wikipedia, the free encyclopedia
A diagram showing how the user interacts with application software on a typical desktop computer. The application software layer interfaces with the operating system, which in turn communicates with the hardware. The arrows indicate information flow.

Software is a set of computer programs and associated documentation and data. This is in contrast to hardware, from which the system is built and which actually performs the work.

At the lowest programming level, executable code consists of machine language instructions supported by an individual processor—typically a central processing unit (CPU) or a graphics processing unit (GPU). Machine language consists of groups of binary values signifying processor instructions that change the state of the computer from its preceding state. For example, an instruction may change the value stored in a particular storage location in the computer—an effect that is not directly observable to the user. An instruction may also invoke one of many input or output operations, for example, displaying some text on a computer screen, causing state changes that should be visible to the user. The processor executes the instructions in the order they are provided, unless it is instructed to "jump" to a different instruction or is interrupted by the operating system. As of 2023, most personal computers, smartphone devices, and servers have processors with multiple execution units, or multiple processors performing computation together, so computing has become a much more concurrent activity than in the past.

The majority of software is written in high-level programming languages. They are easier and more efficient for programmers because they are closer to natural languages than machine languages. High-level languages are translated into machine language using a compiler, an interpreter, or a combination of the two. Software may also be written in a low-level assembly language that has a strong correspondence to the computer's machine language instructions and is translated into machine language using an assembler.

History

An algorithm for what would have been the first piece of software was written by Ada Lovelace in the 19th century, for the planned Analytical Engine. She created proofs to show how the engine would calculate Bernoulli numbers. Because of the proofs and the algorithm, she is considered the first computer programmer.

The first theory about software, prior to the creation of computers as we know them today, was proposed by Alan Turing in his 1936 essay, On Computable Numbers, with an Application to the Entscheidungsproblem (decision problem). This eventually led to the creation of the academic fields of computer science and software engineering; both fields study software and its creation. Computer science is the theoretical study of computer and software (Turing's essay is an example of computer science), whereas software engineering is the application of engineering principles to development of software.

In 2000, Fred Shapiro, a librarian at the Yale Law School, published a letter revealing that John Wilder Tukey's 1958 paper "The Teaching of Concrete Mathematics" contained the earliest known usage of the term "software" found in a search of JSTOR's electronic archives, predating the Oxford English Dictionary's citation by two years. This led many to credit Tukey with coining the term, particularly in obituaries published that same year, although Tukey never claimed credit for any such coinage. In 1995, Paul Niquette claimed he had originally coined the term in October 1953, although he could not find any documents supporting his claim. The earliest known publication of the term "software" in an engineering context was in August 1953 by Richard R. Carhart, in a Rand Corporation Research Memorandum.

Types

On virtually all computer platforms, software can be grouped into a few broad categories.

Purpose, or domain of use

Based on the goal, computer software can be divided into:

  • Application software uses the computer system to perform special functions beyond the basic operation of the computer itself. There are many different types of application software because the range of tasks that can be performed with a modern computer is so large—see list of software.
  • System software manages hardware behaviour, as to provide basic functionalities that are required by users, or for other software to run properly, if at all. System software is also designed for providing a platform for running application software, and it includes the following:
    • Operating systems are essential collections of software that manage resources and provide common services for other software that runs "on top" of them. Supervisory programs, boot loaders, shells and window systems are core parts of operating systems. In practice, an operating system comes bundled with additional software (including application software) so that a user can potentially do some work with a computer that only has one operating system.
    • Device drivers operate or control a particular type of device that is attached to a computer. Each device needs at least one corresponding device driver; because a computer typically has at minimum at least one input device and at least one output device, a computer typically needs more than one device driver.
    • Utilities are computer programs designed to assist users in the maintenance and care of their computers.
  • Malicious software, or malware, is software that is developed to harm or disrupt computers. Malware is closely associated with computer-related crimes, though some malicious programs may have been designed as practical jokes.

Nature or domain of execution

  • Desktop applications such as web browsers and Microsoft Office and LibreOffice and WordPerfect, as well as smartphone and tablet applications (called "apps").
  • JavaScript scripts are pieces of software traditionally embedded in web pages that are run directly inside the web browser when a web page is loaded without the need for a web browser plugin. Software written in other programming languages can also be run within the web browser if the software is either translated into JavaScript, or if a web browser plugin that supports that language is installed; the most common example of the latter is ActionScript scripts, which are supported by the Adobe Flash plugin.
  • Server software, including:
  • Plugins and extensions are software that extends or modifies the functionality of another piece of software, and require that software be used in order to function.
  • Embedded software resides as firmware within embedded systems, devices dedicated to a single use or a few uses such as cars and televisions (although some embedded devices such as wireless chipsets can themselves be part of an ordinary, non-embedded computer system such as a PC or smartphone). In the embedded system context there is sometimes no clear distinction between the system software and the application software. However, some embedded systems run embedded operating systems, and these systems do retain the distinction between system software and application software (although typically there will only be one, fixed application which is always run).
  • Microcode is a special, relatively obscure type of embedded software which tells the processor itself how to execute machine code, so it is actually a lower level than machine code. It is typically proprietary to the processor manufacturer, and any necessary correctional microcode software updates are supplied by them to users (which is much cheaper than shipping replacement processor hardware). Thus an ordinary programmer would not expect to ever have to deal with it.

Programming tools

Programming tools are also software in the form of programs or applications that developers use to create, debug, maintain, or otherwise support software.

Software is written in one or more programming languages; there are many programming languages in existence, and each has at least one implementation, each of which consists of its own set of programming tools. These tools may be relatively self-contained programs such as compilers, debuggers, interpreters, linkers, and text editors, that can be combined to accomplish a task; or they may form an integrated development environment (IDE), which combines much or all of the functionality of such self-contained tools. IDEs may do this by either invoking the relevant individual tools or by re-implementing their functionality in a new way. An IDE can make it easier to do specific tasks, such as searching in files in a particular project. Many programming language implementations provide the option of using both individual tools or an IDE.

Topics

Architecture

People who use modern general purpose computers (as opposed to embedded systems, analog computers and supercomputers) usually see three layers of software performing a variety of tasks: platform, application, and user software.

  • Platform software: The platform includes the firmware, device drivers, an operating system, and typically a graphical user interface which, in total, allow a user to interact with the computer and its peripherals (associated equipment). Platform software often comes bundled with the computer. On a PC one will usually have the ability to change the platform software.
  • Application software: Application software is what most people think of when they think of software. Typical examples include office suites and video games. Application software is often purchased separately from computer hardware. Sometimes applications are bundled with the computer, but that does not change the fact that they run as independent applications. Applications are usually independent programs from the operating system, though they are often tailored for specific platforms. Most users think of compilers, databases, and other "system software" as applications.
  • User-written software: End-user development tailors systems to meet users' specific needs. User software includes spreadsheet templates and word processor templates. Even email filters are a kind of user software. Users create this software themselves and often overlook how important it is. Depending on how competently the user-written software has been integrated into default application packages, many users may not be aware of the distinction between the original packages, and what has been added by co-workers.

Execution

Computer software has to be "loaded" into the computer's storage (such as the hard drive or memory). Once the software has loaded, the computer is able to execute the software. This involves passing instructions from the application software, through the system software, to the hardware which ultimately receives the instruction as machine code. Each instruction causes the computer to carry out an operation—moving data, carrying out a computation, or altering the control flow of instructions.

Data movement is typically from one place in memory to another. Sometimes it involves moving data between memory and registers which enable high-speed data access in the CPU. Moving data, especially large amounts of it, can be costly; this is sometimes avoided by using "pointers" to data instead. Computations include simple operations such as incrementing the value of a variable data element. More complex computations may involve many operations and data elements together.

Quality and reliability

Software quality is very important, especially for commercial and system software. If software is faulty, it can delete a person's work, crash the computer and do other unexpected things. Faults and errors are called "bugs" which are often discovered during alpha and beta testing. Software is often also a victim to what is known as software aging, the progressive performance degradation resulting from a combination of unseen bugs.

Many bugs are discovered and fixed through software testing. However, software testing rarely—if ever—eliminates every bug; some programmers say that "every program has at least one more bug" (Lubarsky's Law). In the waterfall method of software development, separate testing teams are typically employed, but in newer approaches, collectively termed agile software development, developers often do all their own testing, and demonstrate the software to users/clients regularly to obtain feedback. Software can be tested through unit testing, regression testing and other methods, which are done manually, or most commonly, automatically, since the amount of code to be tested can be large. Programs containing command software enable hardware engineering and system operations to function much easier together.

License

The software's license gives the user the right to use the software in the licensed environment, and in the case of free software licenses, also grants other rights such as the right to make copies.

Proprietary software can be divided into two types:

  • freeware, which includes the category of "free trial" software or "freemium" software (in the past, the term shareware was often used for free trial/freemium software). As the name suggests, freeware can be used for free, although in the case of free trials or freemium software, this is sometimes only true for a limited period of time or with limited functionality.
  • software available for a fee, which can only be legally used on purchase of a license.

Open-source software comes with a free software license, granting the recipient the rights to modify and redistribute the software.

Patents

Software patents, like other types of patents, are theoretically supposed to give an inventor an exclusive, time-limited license for a detailed idea (e.g. an algorithm) on how to implement a piece of software, or a component of a piece of software. Ideas for useful things that software could do, and user requirements, are not supposed to be patentable, and concrete implementations (i.e. the actual software packages implementing the patent) are not supposed to be patentable either—the latter are already covered by copyright, generally automatically. So software patents are supposed to cover the middle area, between requirements and concrete implementation. In some countries, a requirement for the claimed invention to have an effect on the physical world may also be part of the requirements for a software patent to be held valid—although since all useful software has effects on the physical world, this requirement may be open to debate. Meanwhile, American copyright law was applied to various aspects of the writing of the software code.

Software patents are controversial in the software industry with many people holding different views about them. One of the sources of controversy is that the aforementioned split between initial ideas and patent does not seem to be honored in practice by patent lawyers—for example the patent for aspect-oriented programming (AOP), which purported to claim rights over any programming tool implementing the idea of AOP, howsoever implemented. Another source of controversy is the effect on innovation, with many distinguished experts and companies arguing that software is such a fast-moving field that software patents merely create vast additional litigation costs and risks, and actually retard innovation. In the case of debates about software patents outside the United States, the argument has been made that large American corporations and patent lawyers are likely to be the primary beneficiaries of allowing or continue to allow software patents.

Design and implementation

Design and implementation of software vary depending on the complexity of the software. For instance, the design and creation of Microsoft Word took much more time than designing and developing Microsoft Notepad because the former has much more basic functionality.

Software is usually developed in integrated development environments (IDE) like Eclipse, IntelliJ and Microsoft Visual Studio that can simplify the process and compile the software. As noted in a different section, software is usually created on top of existing software and the application programming interface (API) that the underlying software provides like GTK+, JavaBeans or Swing Libraries (APIs) can be categorized by their purpose. For instance, the Spring Framework is used for implementing enterprise applications, the Windows Forms library is used for designing graphical user interface (GUI) applications like Microsoft Word, and Windows Communication Foundation is used for designing web services. When a program is designed, it relies upon the API. For instance, a Microsoft Windows desktop application might call API functions in the .NET Windows Forms library like Form1.Close() and Form1.Show() to close or open the application. Without these APIs, programmers need to write these functionalities entirely themselves. Companies like Oracle and Microsoft provide their own APIs so that many applications are written using their software libraries that usually have numerous APIs in them.

Data structures such as hash tables, arrays, and binary trees, and algorithms such as quicksort, can be useful for creating software.

Computer software has special economic characteristics that make its design, creation, and distribution different from most other economic goods.

A person who creates software is called a programmer, software engineer or software developer, terms that all have a similar meaning. More informal terms for programmer also exist such as "coder" and "hacker" – although use of the latter word may cause confusion, because it is more often used to mean someone who illegally breaks into computer systems.

Software release life cycle

From Wikipedia, the free encyclopedia

The software release life cycle is the process of developing, testing, and distributing a software product. It typically consists of several stages, such as pre-alpha, alpha, beta, and release candidate, before the final version, or "gold," is released to the public.

An example of a basic software release life cycle

Pre-alpha refers to the early stages of development, when the software is still being designed and built. Alpha testing is the first phase of formal testing, during which the software is tested internally using white-box techniques. Beta testing is the next phase, in which the software is tested by a larger group of users, typically outside of the organization that developed it. The beta phase is focused on reducing impacts on users and may include usability testing.

After beta testing, the software may go through one or more release candidate phases, in which it is refined and tested further, before the final version is released.

Some software, particularly in the internet and technology industries, is released in a perpetual beta state, meaning that it is continuously being updated and improved, and is never considered to be a fully completed product. This approach allows for a more agile development process and enables the software to be released and used by users earlier in the development cycle.

Stages of development

Pre-alpha

Pre-alpha refers to all activities performed during the software project before formal testing. These activities can include requirements analysis, software design, software development, and unit testing. In typical open source development, there are several types of pre-alpha versions. Milestone versions include specific sets of functions and are released as soon as the feature is complete.

Alpha

The alpha phase of the release life cycle is the first phase of software testing (alpha is the first letter of the Greek alphabet, used as the number 1). In this phase, developers generally test the software using white-box techniques. Additional validation is then performed using black-box or gray-box techniques, by another testing team. Moving to black-box testing inside the organization is known as alpha release.

Alpha software is not thoroughly tested by the developer before it is released to customers. Alpha software may contain serious errors, and any resulting instability could cause crashes or data loss. Alpha software may not contain all of the features that are planned for the final version. In general, external availability of alpha software is uncommon in proprietary software, while open source software often has publicly available alpha versions. The alpha phase usually ends with a feature freeze, indicating that no more features will be added to the software. At this time, the software is said to be feature complete. A beta test is carried out following acceptance testing at the supplier's site (alpha test) and immediately before the general release of the software as a product.

In general, an alpha version or release of a software package intends to do something particular, and mostly does so, yet is not guaranteed to do so fully.

Feature complete

A feature complete (FC) version of a piece of software has all of its planned or primary features implemented but is not yet final due to bugs, performance or stability issues. This occurs at the end of alpha testing of development.

Usually, a feature-complete software still has to undergo beta testing and bug fixing, as well as performance or stability enhancement before it can go to release candidate, and finally gold status.

Beta

Beta, named after the second letter of the Greek alphabet, is the software development phase following alpha. Software in the beta stage is also known as beta ware. A beta phase generally begins when the software is feature complete but likely to contain several known or unknown bugs. Software in the beta phase will generally have many more bugs in it than completed software and speed or performance issues, and may still cause crashes or data loss. The focus of beta testing is reducing impacts on users, often incorporating usability testing. The process of delivering a beta version to the users is called beta release and is typically the first time that the software is available outside of the organization that developed it. Software beta releases can be either open or closed, depending on whether they are openly available or only available to a limited audience. Beta version software is often useful for demonstrations and previews within an organization and to prospective customers. Some developers refer to this stage as a preview, preview release, prototype, technical preview or technology preview (TP), or early access.

Beta testers are people who actively report issues with beta software. They are usually customers or representatives of prospective customers of the organization that develops the software. Beta testers tend to volunteer their services free of charge but often receive versions of the product they test, discounts on the release version, or other incentives.

Perpetual beta

Some software is kept in so-called perpetual beta, where new features are continually added to the software without establishing a final "stable" release. As the Internet has facilitated the rapid and inexpensive distribution of software, companies have begun to take a looser approach to the use of the word beta.

Open and closed beta

Developers may release either a closed beta, or an open beta; closed beta versions are released to a restricted group of individuals for a user test by invitation, while open beta testers are from a larger group, or anyone interested. Private beta could be suitable for the software that is capable of delivering value but is not ready to be used by everyone either due to scaling issues, lack of documentation or still missing vital features. The testers report any bugs that they find, and sometimes suggest additional features they think should be available in the final version.

Open betas serve the dual purpose of demonstrating a product to potential consumers, and testing among a wide user base is likely to bring to light obscure errors that a much smaller testing team might not find.

Release candidate

A release candidate (RC), also known as gamma testing or "going silver", is a beta version with the potential to be a stable product, which is ready to release unless significant bugs emerge. In this stage of product stabilization, all product features have been designed, coded, and tested through one or more beta cycles with no known showstopper-class bugs. A release is called code complete when the development team agrees that no entirely new source code will be added to this release. There could still be source code changes to fix defects, changes to documentation and data files, and peripheral code for test cases or utilities. Beta testers, if privately selected, will often be credited for using the release candidate as though it were a finished product. Beta testing is conducted in a client's or customer's location and to test the software from a user's perspective.

Stable release

Also called production release, the stable release is the last release candidate (RC) which has passed all stages of verification and tests. The remaining bugs are considered acceptable. This release goes to production.

Some software products (e.g. Linux distributions) also have long term support (LTS) releases which are based on full releases that have already been tried and tested and receive only security updates. This allows developers to allocate more time toward product development instead of updating code or finding and fixing newly introduced bugs due to outdated assumptions about the used system, language, or underlying libraries.

Release

Once released, the software is generally known as a "stable release". The formal term often depends on the method of release: physical media, online release, or a web application.

Release to manufacturing (RTM)

The term release to manufacturing (RTM), also known as "going gold", is a term used when a software product is ready to be delivered. This build may be digitally signed, allowing the end user to verify the integrity and authenticity of the software purchase. A copy of the RTM build known as the "gold master" or GM is sent for mass duplication or disc replication if applicable. The terminology is taken from the audio record-making industry, specifically the process of mastering. RTM precedes general availability (GA) when the product is released to the public. A golden master build (GM) is typically the final build of a piece of software in the beta stages for developers. Typically, for iOS, it is the final build before a major release, however, there have been a few exceptions.

RTM is typically used in certain retail mass-production software contexts—as opposed to a specialized software production or project in a commercial or government production and distribution—where the software is sold as part of a bundle in a related computer hardware sale and typically where the software and related hardware is ultimately to be available and sold on mass/public basis at retail stores to indicate that the software has met a defined quality level and is ready for mass retail distribution. RTM could also mean in other contexts that the software has been delivered or released to a client or customer for installation or distribution to the related hardware end user computers or machines. The term does not define the delivery mechanism or volume; it only states that the quality is sufficient for mass distribution. The deliverable from the engineering organization is frequently in the form of a golden master media used for duplication or to produce the image for the web.

General availability (GA)

Milestones in a product life cycle: general availability (GA), end of life announcement (EOLA), last order date (LOD), and end-of-life (EOL)

General availability (GA) is the marketing stage at which all necessary commercialization activities have been completed and a software product is available for purchase, depending, however, on language, region, and electronic vs. media availability. Commercialization activities could include security and compliance tests, as well as localization and worldwide availability. The time between RTM and GA can take from days to months before a generally available release can be declared, due to the time needed to complete all commercialization activities required by GA. At this stage, the software has "gone live".

Release to the Web (RTW)

Release to the Web (RTW) or Web release is a means of software delivery that utilizes the Internet for distribution. No physical media are produced in this type of release mechanism by the manufacturer. Web releases have become more common as Internet usage grew.

Support

During its supported lifetime, the software is sometimes subjected to service releases, patches or service packs, sometimes also called "interim releases" or "maintenance releases" (MR). For example, Microsoft released three major service packs for the 32-bit editions of Windows XP and two service packs for the 64-bit editions. Such service releases contain a collection of updates, fixes, and enhancements, delivered in the form of a single installable package. They may also implement new features. Some software is released with the expectation of regular support. Classes of software that generally involve protracted support as the norm include anti-virus suites and massively multiplayer online games. Continuing with this Windows XP example, Microsoft did offer paid updates for five more years after the end of extended support. This means that support ended on April 8, 2019.

End-of-life

When software is no longer sold or supported, the product is said to have reached end-of-life, to be discontinued, retired, deprecated, abandoned, or obsolete, but user loyalty may continue its existence for some time, even long after its platform is obsolete—e.g., the Common Desktop Environment and Sinclair ZX Spectrum.

After the end-of-life date, the developer will usually not implement any new features, fix existing defects, bugs, or vulnerabilities (whether known before that date or not), or provide any support for the product. If the developer wishes, they may release the source code, so the platform will live again, and be maintained by volunteers, and if not, it may be reverse-engineered later when it becomes abandonware.

History

Usage of the "alpha/beta" test terminology originated at IBM. Similar terminologies for IBM's software development were used by people involved with IBM from at least the 1950s (and probably earlier). "A" test was the verification of a new product before the public announcement. The "B" test was the verification before releasing the product to be manufactured. The "C" test was the final test before the general availability of the product. As software became a significant part of IBM's offerings, the alpha test terminology was used to denote the pre-announcement test and the beta test was used to show product readiness for general availability. Martin Belsky, a manager on some of IBM's earlier software projects claimed to have invented the terminology. IBM dropped the alpha/beta terminology during the 1960s, but by then it had received fairly wide notice. The usage of "beta test" to refer to testing done by customers was not done in IBM. Rather, IBM used the term "field test".

Major public beta's developed afterward, with early customers having purchased a "pioneer edition" of the WordVision word processor for the IBM PC for $49.95. In 1984, Stephen Manes wrote that "in a brilliant marketing coup, Bruce and James Program Publishers managed to get people to pay for the privilege of testing the product." In September 2000 a boxed version of Apple's Mac OS X Public Beta operating system was released. Microsoft's release of community technology previews (CTPs) for Windows Vista, between September 2005 and May 2006. and from 2009 to 2011, Minecraft was in public beta.

In February 2005, ZDNet published an article about the phenomenon of a beta version often staying for years and being used as if it were at the production level. It noted that Gmail and Google News, for example, had been in beta for a long time although widely used; Google News left beta in January 2006, followed by Google Apps (now named Google Workspace), including Gmail, in July 2009. Since the introduction of Windows 8, Microsoft has called pre-release software a preview rather than beta. All pre-release builds released through the Windows Insider Program launched in 2014 are termed "Insider Preview builds". "Beta" may also indicate something more like a release candidate, or as a form of time-limited demo, or marketing technique.

Hydrogen-like atom

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