半導體科學技術是事關提升國家競爭力的核心技術，幾乎無處不在地發(fā)揮著其重要的作用。追溯歷史，半導體科學技術之所以能成為當代如此重要的技術，正是 20 世紀四五十年代以來，國際上一些有遠見卓識的科學家、企業(yè)家重視開展半導體物理研究的結果。以晶體管、集成電路和半導體激光器為代表的半導體科學技術引發(fā)了信息、通信和計算等領域的一場革命。同時，半導體物理研究也促進了整個凝聚態(tài)物理的大發(fā)展。20 世紀 80 年代以來，凝聚態(tài)物理研究在諸多方面取得了十分出色的研究成果。例如，整數(shù)、分數(shù)霍爾效應及后來的自旋霍爾效應、量子反常霍爾效應等的發(fā)現(xiàn)，拓撲絕緣體、馬約拉納費米子、外爾費米子等的發(fā)現(xiàn)。這些發(fā)現(xiàn)反映了科學家對固體中的新奇量子效應和元激發(fā)的新奇量子屬性有了更為透徹的認識。半導體物理作為凝聚態(tài)物理的一個重要的分支學科，不僅參與了發(fā)現(xiàn)上述重要物理現(xiàn)象的過程，而且，事實上所發(fā)現(xiàn)的新奇量子效應和元激發(fā)的載體大多數(shù)本身就是半導體。然而，與凝聚態(tài)物理其他分支學科相比，半導體物理研究除了要有對新物理現(xiàn)象的探索外，還要有如何將所發(fā)現(xiàn)的新現(xiàn)象、新原理轉化成新功能材料和器件的追求。事實上，關于這方面的探索研究是提升原始創(chuàng)新能力的關鍵。

我國半導體科學技術事業(yè)始于 20 世紀 50 年代。從 1956 年 4月起，科學規(guī)劃委員會陸續(xù)集中 600 多位科學家和工程技術專家， 制定了《1956—1967 年科學技術發(fā)展遠景規(guī)劃綱要》，提出了《發(fā)展計算技術、半導體技術、無線電電子學、自動學和遠距離操縱技術的緊急措施方案》。同時，高等教育部決定將北京大學、復旦大學、南京大學、廈門大學和東北人民大學（后來的吉林大學）有關專業(yè)的教師和學生集中到北京大學物理系，成立了中國第一個五校聯(lián)合專門化班，由北京大學黃昆教授、復旦大學謝希德教授分別任主任和副主任，教授半導體物理課，開啟了我國半導體物理的教學工作。同期間，他們合作撰寫了我國第一部半導體物理學專著——《半導體物理學》，于 1958 年 8 月第一次正式出版，其后再版 6 次，到 2012 年 6 月被納入“半導體科學與技術叢書”之一第七次再版。后來，為了適應半導體物理學自身的發(fā)展和教學授課的需要，北京大學葉良修教授于 1983 年 11 月出版了《半導體物理學》，該書多次再版，增添和細化了學科的教學內容。

20 世紀七八十年代，隨著互補金屬氧化物半導體（CMOS）微電子集成芯片和半導體激光器的問世，我國半導體事業(yè)也進入了快速發(fā)展期，開拓了不少新的領域，如光電子等。作為半導體科學技術創(chuàng)新源泉的半導體物理，本應得到更多的重視，但遺憾的是現(xiàn)實并非如此。我國固體物理學、半導體物理學的創(chuàng)始人黃昆先生 1977 年到中國科學院半導體研究所任所長以后不久就發(fā)現(xiàn)當時存在的這種不正常現(xiàn)象。他在 1990 年的回憶中就談道：“在我國的一個很長時期內，形成了越有重要應用的學科，越是撇開基礎研究不搞的不正常局面……”長期以來，這種現(xiàn)象造成了我國半導體科學技術缺乏原創(chuàng)動力。黃昆先生所指出的情況至今雖有所改善，但是依然存在。徹底扭轉這種局面需要真正重視半導體物理的基礎研究，同時要求從事半導體物理的研究隊伍和從事半導體材料與器件的研究隊伍在相互交叉的過程中形成合力，才有希望大幅度提升我國半導體科學技術的原始創(chuàng)新能力。

2014 年 2 月 8 日，中國科學院數(shù)學物理學部常委會十五屆六次會議將“半導體物理”作為中國學科發(fā)展戰(zhàn)略咨詢項目上報中國科學院學部學術與出版工作委員會。2014 年 5 月 20 日，經國家自然科學基金委員會-中國科學院學科發(fā)展戰(zhàn)略研究工作聯(lián)合領導小組審議通過立項，同年 9 月 1 日咨詢項目正式啟動。

為期兩年的學科發(fā)展戰(zhàn)略研討項目無疑是一項十分艱巨而又有重要意義的工作。為了確保半導體物理學科發(fā)展戰(zhàn)略研討的順利進行，成立了由甘子釗、沈學礎、陶瑞寶、于淥、朱邦芬、李樹深、夏建白、高鴻鈞等院士和鄭厚植、常凱組成的顧問專家組，于 2014年 10 月 23 日和 24 日在北京西郊賓館召開了項目組全體人員正式會議。會上由鄭厚植院士介紹半導體物理進展戰(zhàn)略規(guī)劃立項背景及過程，并確定了如下原則：第一，半導體物理是沒有國界的，要遵循學科在國際范圍內的發(fā)展原貌，真實反映學科進展；第二，此次戰(zhàn)略研究與今后的立項沒有直接關聯(lián)；第三，我們要從全局出發(fā)， 積極研討，以高度的責任感來建議優(yōu)先支持方向。

近 30 年來，無論是半導體物理學科發(fā)展的廣度還是深度均超越了我們研究人員現(xiàn)有的認知。如果立足我們現(xiàn)有認知和研究工作去思考發(fā)展戰(zhàn)略，很擔心會出現(xiàn)“一葉障目”“王婆賣瓜”的錯誤導向。因此，我們一致認為發(fā)展戰(zhàn)略研討的要點首先是全面、充分地把握近 30 年來半導體物理學出現(xiàn)的新概念、新前沿、新突破以及它們可能引發(fā)的新機遇。

為此，我們提出了如下撰稿思路。第一，以傳統(tǒng)半導體物理學科規(guī)劃為框架；第二，以重要熱點文章作為重要進展的源泉；第三，以國際半導體物理大會（ICPS）作為重要進展的風向標。這次戰(zhàn)略研究是要介紹半導體物理在 30 年內的重要進展，要把握住所有涌現(xiàn)出的重要新概念、新理論，不回避半導體物理與其他凝聚態(tài)物理分支的交叉，但要在闡述重要學科交叉處展現(xiàn)半導體物理經久不息的生命力。同時，雖然我們不涉及半導體材料、器件學科的傳統(tǒng)內容，但在介紹半導體新物理概念時會涉及新材料和新原理器件。

盡管如此，我們仍認為學科發(fā)展的戰(zhàn)略決策不應由少數(shù)人來做選擇和決策，我們所希望的是我國從事半導體物理的廣大研究人員能從我們的戰(zhàn)略研究報告中得到啟示，尋找到他們的創(chuàng)新思路。

最后，經顧問專家組的認同，本書按如下十二章介紹近 30 年內半導體物理學的重大進展和展望。

第一章半導體能帶理論由常凱撰寫，第二章半導體聲子物理由張俊、譚平恒撰寫，第三章半導體中的雜質態(tài)、摻雜機制和單雜質態(tài)的量子調控由駱軍委、鄧惠雄、魏蘇淮撰寫，第四章一維、零維半導體結構中的量子現(xiàn)象由孫寶權、姬揚撰寫，第五章光和物質的強相互作用由陳張海撰寫，第六章半導體中的自旋量子現(xiàn)象由鄭厚植、趙建華、張新惠、王開友撰寫，第七章半導體 / 非半導體界面物理由鄭厚植撰寫，第八章半導體中的輸運及其動力學過程由鄭厚植撰寫，第九章量子霍爾效應由李永慶撰寫，第十章二維原子晶體及范德瓦耳斯異質結構由陳國瑞、張遠波撰寫，第十一章新概念半導體器件由鄭厚植撰寫，第十二章新測量技術由鄭厚植、劉奇撰寫。

國內 17 位有關方面的著名專家參與了具體的研討和撰寫工作， 包括復旦大學的陳張海、張遠波、陳國瑞，北京計算科學研究中心的魏蘇淮，中國科學院物理研究所的李永慶，中國科學院半導體研究所的常凱、張俊、譚平恒、駱軍委、鄧惠雄、孫寶權、姬揚、王開友、趙建華、張新惠、劉奇、鄭厚植。憑著對半導體物理學科發(fā)展的關切和責任感，他們在承擔繁重的科研任務的同時，為完成本咨詢項目做出了重要的貢獻。對此，我們深表謝意。

2016 年 6 月 4 日我們組織了“半導體物理學最新發(fā)展前沿”的專題研討會，由常凱、杜瑞瑞、陳張海、賈金鋒、李永慶、徐洪起教授分別做了專題報告《半導體微結構中人工規(guī)范場和新奇量子相》《基于 InAs/GaSb 量子阱的量子物態(tài)與拓撲量子計算平臺》《半導體光學微腔中的激子極化激元》《拓撲絕緣體 / 超導體異質結中Majorana 費米子的觀測》《半導體低維結構的量子輸運性質》《固態(tài)半導體量子器件的構造及其量子信息技術中的應用》，并開展了研討。這次專題研討會開闊了戰(zhàn)略研討的視野。

鑒于半導體物理學日新月異的迅速發(fā)展，再加上受限于我們的時間、能力與知識，本書難免有許多不盡如人意的地方，敬請廣大讀者批評指正。

本書的出版得到中國科學院學部和國家自然科學基金委員會的聯(lián)合支持，對此我們表示衷心的感謝！

 

　　鄭厚植 常凱

　　2017 年 9 月 11 日

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