ESS 4300 Introduction to Solid State Physics

Instructor: Pai-Yi Hsiao, Ph.D. Final exam 20 June 2005 (130 pts)

1.
(a) In the chapter 5 of the text book, Kittel wrote The Einstein model,
however, is often used to approximate the optical phonon part of phonon
spectrum. . Explain why the Einstein model can be used to approximate
optical phonon. (4 pts)
(b) In the study of phonon collisions, collision process can be
characterized by two different ways, (1) normal process and (2) umklapp
process. Give the definition of the two processes. (10 pts) What is the
importance of the umklapp process in thermal transport phenomena. (4
pts)

2.
(a) Explain the term Fermi energy . (5 pts)
(b) Find the expression D( ) for the number of orbitals per unit energy
range, so-called density of states, for free electron gas under periodic
boundary condition. (5 pts)
(c) The probability that an orbital at energy is occupied in an ideal
Fermi gas in thermal equilibrium at temperature T is given by
1
Fermi-Dirac distribution: f( ) where the
exp ) / k BT 1
chemical potential depends on temperature and is often called Fermi
level in solid state physics. Explain that at T=0 the Fermi level is equal
to Fermi energy. (3 pts) Draw the plot of D( )f( ) versus for the case
T=0 and the case T 0. Shadow the filled electron orbitals under the
curves of the plots for the above two cases. (4 pts)
(d) When the system is heated from absolute zero to T (where 0< kBT
<< ), which part of electrons in orbitals can be excited thermally? (3 pts)
What is the magnitude of the energy gains for such an excited electron?
(3 pts) Estimate the number of electrons that would be thermally excited.
(3 pts) Estimate the total electronic thermal kinetic energy at T 0. (3 pts)
Describe how electronic heat capacity behaves at low temperature. (3 pts)

3.
(a) Sketch the band structure of a (pure) semiconductor. (5 pts)
Describe what happens to the band structure if impurities, such as donors
or acceptors, of very low concentration are added to the specimen. (5 pts)
(b) Give your argument that the product of the concentration n of
electrons and the concentration p of holes for a semiconductor (doped or
not) in thermal equilibrium is constant. This constant depends on
temperature. (5 pts)
(c) For a n-type semiconductor, the logarithmic of concentration of the
major carrier as a function of inverse of temperature is plotted in the
figure. Give your explanation why ln n(T) can be characterized by three
regions. (9 pts) Give your estimation for the temperature boundary
between the freezing-out and the extrinsic regions and that for the
boundary between the extrinsic and intrinsic regions. (6 pts)

4.
(a) In independent electron approximation, interaction between electrons
in crystals is neglected. Many-electron problems can be, therefore,
reduced to one-electron problems. The solution of the single electron
2
2
Schrodinger equation: H U (r ) , where the potential
2m

U (r ) is periodic for all R in a Bravais lattice, should satisfy Bloch s

theory. What is Bloch s theory? (5 pts) Derive central equation of

Bloch s theory. (5 pts)
(b) Suppose that the periodic potential U (r ) can be decomposed into
Fourier sum U (r ) U K exp(iK r ) where the summation runs over all
K

reciprocal lattice vectors K . Applying the central equation and

two-components approximation , prove that close to the Brillouin zone
1
boundary G , the energy of the Bloch electron appears two-band
2
2
1 1 k2
structures: k
( k k G
) ( k k G
)2 U G2 where k
. (5
2 4 2m
1
pts) Define k G . Note that may not be parallel to G . Find
2
how the two branches of energy behave as is small. (5 pts) Show that
on the zone boundary, the energy gap between two energy bands is 2 U G .

(5 pts)

5.
(a) Give the definition of Fermi surface . (5 pts)
(b) The Fermi surface for a free-electron system is plot in the following
figure. Sketch the Fermi surface for the same system but the electrons
feel a weak periodic potential derived from the crystal lattice. Explain
your answer. (5 pts)

(c) Suppose that in three-dimensional reciprocal space, the Fermi surface

1
of nearly free electrons cuts slightly the Brillouin zone boundary K
2
(see figure). Applying the result in Prob 4.(b), show that the area
difference of Fermi surface, cut by the zone boundary, inside and outside
2 2 4m
the plane is ( 2 1 ) 2
U K . (5 pts)
(d) When a static magnetic field B is applied to an electron gas system,
the area of an electron orbit in reciprocal space is quantized. This
2 e
quantization satisfies the equation: S n (n 0.5) B where n is
c
non-negative integer. While measuring the magnetic moment of a metal
(for e.g. gold) with the intensity of the static magnetic field along a
direction (say <111> direction), one observes an oscillation behavior,
called de Haas-van Alphen oscillation (see figure). This effect is
determined by the extremal belly and neck orbits on gold Fermi surface.
Explain why the oscillation occurs. (5 pts) Compute the periods for the
high-frequency and low-frequency oscillations in term of the cross
sections of the belly and neck orbits. (5 pts) One can use this information
to measure the ratio of the two cross sections.
Answers to questions:
1.
(a) In the Einstein model, the wave frequency of optical phonons is
approximated by a constant, which is independent of the phonon
wavevector and describes qualitatively the dispersion relation of optical
phonons.
(b) Normal process: in a phonon collision, the summation of the crystal
moments of phonons before and after the collision is conserved. This
process is called normal process.
Umklapp process: in a collision, the summation of the phonon crystal
moments can be preserved to within a non-zero reciprocal lattice vector
times . This process is called umklapp process.
In normal process, the flux of phonon transport is unchanged in
momentum on collision. Therefore, the phonon flux will persist down the
length of the crystal; that is, the thermal resistivity is zero. On the
contrary, in umklapp process, there is a large net change in phonon
momentum on collision. The phonon flux will decay rapidly. There is
thermal resistance. Therefore, the U-process is responsible for thermal
resistivity.

2.
(a) Fermi energy is defined as the energy separating the highest occupied
from the lowest unoccupied orbital levels at zero temperature. In a solid
with energy band gap, Fermi energy may locate in the gap.
3/ 2
L3 2m 1/ 2
(b) D ( )
2 2 2

(c) At zero temperature, the energy = divides the occupied levels from
the empty ones. Therefore, (T=0) is Fermi energy.
Figure: cf. Kittel Fig 6-5.
(d) According to Fig 6-5, only those electrons in orbitals within an energy
roughly k B T are excited thermally. The energy gain for such an excited

electron is of magnitude k B T . The number of electrons that would be

3N
excited is estimated by D( F ) k BT . Therefore, the total
2 F
 3 NT
electronic thermal kinetic energy is about U el k B T D( F ) k BT .
2TF
3
The electronic heat capacity is given by Cel U/ T Nk BT .
TF

3.
(a) Band structure of an intrinsic semiconductor reveals an energy gap
between valence band and conduction band. At zero temperature, all
states in the valence band are filled and all states in the conduction band
are vacant. As temperature is increased, electrons are thermally excited
from the valence band to the conduction band where they become mobile.
The energy gap is roughly 1eV.
If donors of very low concentration are added to the semiconductor, the
four valence electrons of the donors form tetrahedral covalent bonds
similar to the semiconductor and the fifth valence electron is available for
conduction. At zero temperature, the fifth valence electron is bounded in
donor state, about 10 meV lower than the conduction band edge. As
temperature is increased, the fifth electrons is excited to the conduction
band. Similar to donors, acceptor states are created above the valence
band edge (also about 10 meV), while acceptors are added to the
semiconductor. At non-zero temperature, acceptor states can capture
electrons and leave holes in the valence band. The latters are then
available for conduction.
(b) Suppose that the equilibrium population of electrons and holes is
maintained by black-body photon radiation at temperature T. The photons
generate electron-hole pairs at a rate A(T), while B(T)np is the rate of the
electron-hole recombination. We have then dn/dt=dp/dt=A(T)-B(T)np. In
equilibrium dn/dt=dp/dt=0, whence np= A(T)/B(T).
(c) In the freezing-out region, only part of donors (and acceptor) is
ionized. The concentration of electrons is proportional to
exp( E d / 2k B T ) where E d is the energy difference between donor

level and conduction band edge. In the extrinsic region, donors and
acceptors are nearly completely ionized. n is dominated by the
concentration difference of the donors and acceptors. In the intrinsic
region, temperature is so high that electrons in the valence band can be
easily excited to the conduction band. The majority of the conduction
electrons comes from the valence band and their concentration is
proportional to exp( E g / 2k B T ) .

The temperature boundary to separate the freezing-out region and the

extrinsic one is Td and that to separate the extrinsic and intrinsic regions
is Tg , where Ed k BTd and E g k BTg

4.
(a) The eigenfunctions of the one-electron wave equation for a periodic
potential in a crystal lattice are the product of a plane wave exp(ik r )

times a function u k (r ) with the periodicity of the lattice.

2
Central equation: ( k
)C k U G Ck G
0 where k
k 2 (2m) , and
G

C k and U G are the Fourier components for the one-electron wave

function and for the lattice potential, respectively.

(b) .

5
(a) The energy of the highest occupied orbital level at zero temperature
forms a constant energy surface or a set of constant energy surfaces in
reciprocal space. The surface or these surfaces divide the occupied states
from the empty ones and are called Fermi surface(s). In a solid, if energy
gap appears between the occupied and unoccupied levels, Fermi surface
is not defined.
(b) Fermi surface for nearly free electrons intersects zone boundaries
perpendicularly.
(c) .
(d) Due to the quantization of magnetic flux, the event that electrons
move in an extremal orbit occurs only at certain strength of the applied
magnetic field, resulting in an oscillation as a function of the inverse of
the strength of the magnetic field, called de Haas-van Alphen oscillation.
1 2 e 2 e
implies B B2
B cS cS belly or neck