PHY380 Solid State Physics

Professor Maurice Skolnick, Dr Dmitry Krizhanovskii and Professor David Lidzey

Syllabus

1. The distinction between insulators, semiconductors and metals. The periodic table.
Quantitative aspects.
2. Basic crystal structures. The crystalline forms of carbon.
3. Density of states, Fermi-Dirac statistics. Free electron model.
4. Electrical transport. Resistivity and scattering mechanisms in metals. Temperature
dependence.
5. The nearly free electron model. The periodic lattice, Bragg diffraction, Brillouin
zones.
6. Prediction of metallic, insulating behaviour: periodic potential and tight-binding
descriptions.
7. Real metals, shapes of Fermi surfaces.
8. Soft x-ray emission.


1 http://www.sheffield.ac.uk/physics/teaching/phy380
8. Effective mass. Electrons and holes.
9. Optical absorption in semiconductors. Excitons. Comparison with metals.
10. Doping, donors and acceptors in semiconductors. Hydrogenic model.
11. Semiconductor statistics. Temperature dependence.
12. Temperature dependence of carrier concentration and mobility.
Compensation. Scattering mechanisms.
13. Hall effect, cyclotron resonance. Landau levels in magnetic field.
14. Plasma reflectivity in metals and semiconductors.
15. Magnetism (6 lectures)

The Nobel Prizes 2009 and 2010

2
PHY380: Some General Points

Recommended Textbooks

Solid State Physics, J R Hook and H Hall, Wiley 2
nd
edition
Introduction to Solid State Physics, C Kittel, Wiley 7
th
edition
The Solid State, H M Rosenberg Oxford 1989

All the contents of the course, to a reasonable level, can be found in Hook
and Hall.

Kittel has wider coverage, and is somewhat more advanced.

Ashcroft and Mermin is a more advanced, rigorous textbook, with rigorous
proofs.





3
Relation to Previous Courses

This course amalgamates much of the previous PHY330 and the magnetism
section of PHY331.

Assessment
The course will be assessed by an end of semester exam (85%) and two home-
works (15%) in the middle and towards the end of the semester respectively
(1 November, 13 December deadlines)

Prerequisite
PHY250, 251, Solids (L R Wilson)

Lecture Notes

The notes provide an overview of the main points, and all important figures.
Many more details will be given during lectures. Students thus need to take
detailed notes during lectures to supplement the hand-outs.

4
Overall Aims


Electrons in solids: determine electrical and optical properties


Crystal lattice: bands, band gaps, electronic properties metals,
semiconductors and insulators


Underpin large parts of modern technology: computer chips, light
emitting diodes, lasers, magnets, power transmission etc, etc

Nanosize structures important modern development

The next slides gives some examples: there are many more

5
6
32nm transistors. Intel web site
Telecommunications
laser: Oclaro
25nm
Multi- colour
LED strip light
Electronics, computing
Lighting, displays
Telecommunications, internet
Integrated circuit
http://www.aztex.biz/tag/integrated
-circuits/
Data storage (cd,
dvd, blu-ray)
Other major, modern-day applications from condensed matter
physics:

Magnetic materials hard disks, data storage

Superconductors magnets, storage ring at e.g. CERN, magnetic
levitation

Liquid crystal displays

Solar cells

Mobile communications, satellite communications




7
Research in Semiconductor Physics

There is a highly active research group in the department in
the field of semiconductor physics

Opportunities for projects (3
rd
and 4
th
year), and PhDs

See http://ldsd.group.shef.ac.uk/ for more details, or see me
for more details
8
Topic 1: Metals, semiconductor and insulators
overview and crystal lattices

Range of electron densities

Metals: Typical metal (sodium), electron density n=2.6x10
28
m
-3


Insulators (e.g. diamond): electron density very small
(E
g
~ 5.6eV, ~5000K >>k
B
T at 300K)

Semiconductors: electron density controllable, and is
temperature dependent, in range ~10
16
m
-3
to ~10
25
m
-3



Conductivity is proportional to electron density

9
Importance of bands and band gaps

Determine electron density and hence optical and electronic
properties

Understanding of origin will be important part of first 7 lectures

Bands and band gaps arise for interaction of electrons with
periodic crystal lattice

Three schematic diagrams illustrating differences in bands, gaps
and their filling in metals, semiconductors and insulators will be
given in the lecture (these are important, simple starting point
for course)
10
I
II
IV
Note also:
Transition metals
Noble metals
11
With relation to previous slide:

Group 1: alkali metals, partially filled bands

Group II: alkaline earths

Group IV: semiconductors, insulators, filled bands

+ transition metals, noble metals
12
Crystal Lattices

The nature of the crystal
lattice, and the number of
electrons in the outer shell
determine the conduction
properties of most elements

Periodic arrangement of
atoms

Space lattice plus basis (Fig
Kittel)


Lattice translation vector
T = u
1
a
1
+ u
2
a
2
+ u
3
a
3

a
1
, a
2
, a
3
lattice constants
(spacings of atoms)


Position vector r'

= r +T

(c) Crystal structure
(a) Space lattice
(b) Basis, containing two
different ions
13
Space Lattice
plus basis

This figure and
slide 14 not
covered in lecture
here for extra
(useful) information
Space lattices in
two dimensions

Primitive (unit) cell
defined by
translation vectors
14
3D
Cubic lattices
Lattice points defined by translation vectors

Also note diamond is fcc space lattice

Primitive basis: 2 atoms for each point of lattice
(Kittel page 19)
15
Primitive (unit) cell: Parallelipiped defined by axes a
1
, a
2
, a
3


sc, bcc and fcc lattices, lattice points per cell and per unit volume

Simple cubic: 1 lattice point per unit cell

bcc: 2 lattice points per unit cell

fcc: 4 lattice points per unit cell

Number of lattice points per unit volume?


16
Periodic table and crystal structures
17
Planes and directions
18
( ) planes, [ ] directions (covered in 2
nd
year)
http://diahttp://www.theage.com.au
http://physics.berkeley.edu/research/lanzara/
http://en.wikipedia.org/wiki/Graphene
Diamond
Graphite
Buckyball C
60

http://diahttp://www.theage.com.au
Graphene
Carbon nanotube
http://www.azonano.com/
2010 Nobel Prize to
Geim and
Novoselov
The Crystalline Forms of Carbon
19
20
2010 Nobel Prize for Physics

A Geim and K Novoselov

Graphene, single sheet of carbon atoms: high electron
motilities, electrons with new properties, very strong,
electronics and sensor applications potentially
21
Key properties of diamond

Cubic (diamond) crystal lattice (see slide 19)

Very hard, high strength, insulator, chemically inert, very high
thermal conductivity, optically transparent


Key properties of graphene

Hexagonal crystal lattice (see slides 19, 20), two dimensional
plane

Very strong, metallic but conductivity can be controlled, unique
linear dispersion relations (E v k ), very high thermal
conductivity, adsorbate properties
Comparison of two crystalline forms of carbon
22
Topic 1 summary

1. Distinctions between metals, semiconductors and insulators, in
particular the widely differing electron densities

2. Impact on everyday life

3. Importance of band gaps, and filling of bands, in controlling these
properties

4. Periodic lattice gives rise to bands, band gaps

5. The crystal structures of carbon
Topic 2: Free Electron Model
This is the simplest theory of conduction in metals, based on a
non-interacting gas of electrons (which obey Fermi Dirac
statistics). It ignores the presence of the crystal lattice.

It explains some basic properties, but fails to account for many
others e.g. which elements are metallic, the colour of metals,
electrons and holes etc, for which we need band theory.

Based on the free electron Fermi gas

Electrons are Fermions which obey Fermi-Dirac statistics (and
the Pauli exclusion principle)

23
Fermi-Dirac distribution function


( ) kT E E
E f
F
/ ] exp[
1
) (

=
For T 0,

f(E) = 1 for E < E
F


f(E) = 0 for E > E
F


E/k
B
in units of 10
4
K
f(E)
~k
B
T
24
25
Leads to condition for
allowed k-values next
two pages
Free Electron Theory
Periodic boundary conditions (box, side L) to count states
) , , ( ) , , ( z y x z y L x = +
is travelling wave solution
) (
.
) (
z k y k x k i
r ik
k
z y x
e e r
+ +
= =
provided that k
x
= 0, 2/L, 4/L .... 2n/L, where n is a positive or
negative integer

Proof:
1 0 1 2 sin 2 cos = + = + n i n
) (
2
exp ) ( exp L x
L
n
i L x ik
x
+ = +

n i
L
nx
i

2 exp
2
exp =
x ik
L
nx i
x
exp
2
exp = =

26
27
Counting of States (important, needed to evaluate e.g. the
density of states, Fermi energy and other key properties)



Allowed values of k are thus k
x
= 0, 2/L, 4/L .... 2n/L

In one dimension, one allowed value of k for range of k of 2/L





Substituting into Schrdinger equation gives
r ik
k
e r
.
) ( =
2
2
2 2 2
2
2
) (
2
k
m
k k k
m
E
z y x k

= + + =
Parabolic dispersion of free particle with mass m

Corresponds to
with ,
2
2
k p
m
p
E = =
p is termed the crystal momentum, and k the wavevector
Dispersion Relation
28
Density of States

The Fermi energy and Fermi surface

Key properties of metals
29
30
Need to determine number of states in k-space up to a given
energy (the Fermi energy)

One allowed wavevector in volume element of k-space of (2/L)
3


Volume of sphere in k-space up to energy E, wavevector k is


Then calculate number of available states from E = 0 to E
F
, and
hence derive expression for density of states
3
3
4
F
k
+ the Pauli exclusion principle
Number of states,
Fermi wavevector
and Fermi energy
31
( )
3 2
2
2
3
2
n
m
E
F

=
Values of T
F
, k
F
, E
F
,
v
F
for sodium and
their significance

(37000K, 0.96x10
10
m
-1
,
3.2eV, 1.07x10
6
m/sec)
32
33
Topic 2 summary

1. Electrons are Fermions and obey Fermi-Dirac statistics and
the Pauli exclusion principle

2. States up to E
F
filled, above E
F
empty

3. Form of the density of states proportional to E
1/2


4. Expressions and quantitative values for E
F
, k
F
, v
F
(these are
important!)




Topic 3: Conductivity

Drude theory of conductivity based on free electron model

Ion cores ignored, periodic lattice ignored, effective mass

Zero frequency approximation, Ohms Law

Displacement of Fermi sphere by electric field and
scattering processes

Phonon and defect scattering, Matthiesens rule
34
Deduce velocity

Define mobility

Deduce current density,
conductivity and Ohms
Law


m
ne
m
e
ne j

2
v
=
=
=
35
Newtons 2
nd
Law









Include scattering





scattering time


d.c conditions , B = 0
( )
( ) B E e
dt
dk
B E e
dt
d
m
x v
x v
v
+ =
+ =

( ) B E e
dt
d
m x v
v v
+ =

E e
m
=

v
Fermi sea of electrons in
applied electric field, and
scattering processes
For derivation of
displacement in k-
space see next slide
36
So displacement of Fermi sea by
electric field is very small

Scattering counters acceleration of
electrons by electric field
Motion of electrons in electric field and
scattering: change in wavevector
Alternatively:
37

eE mv
k
m
E e
v
D

= =
=
5 x 10
8
smaller than k
F

For metals two scattering
mechanisms are important

1. Lattice scattering - phonons

2. Imperfections (defects)
impurity atoms, vacancies,
lattice defects

Scattering collisions which are
important are those which relax
momentum gained from E-field

Scattering must be across Fermi
sea
i.e. large k, small E

38
Phonon scattering

Fermi energy ~ 3 eV

Phonons have maximum energy
~50 meV

Scattering must be to an empty
state

Thus only electrons close to Fermi
surface can be scattered

Must conserve energy and
momentum

Collisions which relax momentum
gained in applied electric field lead
to resistance

Must be across Fermi sea:
Large k small E
39
Situation is similar for defect scattering

However, in this case collisions are elastic, but still with large
momentum change as for phonons

It is again scattering with large k which is effective in leading
to resistance (as for phonon scattering)

For phonons scattering is inelastic, but energy change is
negligible
For phonons (conservation of energy and wavevector):


el
f ph
el
i
el
f ph
el
i
E E
k k k
= +
= +


Combination of two types of scattering

Phonon scattering is temperature dependent

Scattering by imperfections is temperature independent

Matthiesens rule (additive combination of contributions from
phonon and defect scattering)
40
Scattering of electrons is not by
ions

Instead by impurities and defects

Electrons propagate freely in periodic
structure (see Bragg scattering later)

Mean free path l
B
> 1m or more

l
B
>> interatomic spacing, so
collisions not with ions
41
Additional point (important)
Topic 3: Summary

Theory of conductivity based on free electron model

Ion cores ignored, periodic lattice ignored. Electrons treated with
effective mass

Displacement of Fermi sphere by electric field and scattering
processes

Phonon and defect scattering. Contributions are additive.
Matthiesens rule

Scattering processes which relax momentum across the Fermi sea
are the important ones (in opposite direction to acceleration by field)

Scattering is not by the ions of the lattice.
42
43
Topic 4: Electrons in periodic lattice, nearly
free electron model
Many experimental observations are not explained by free electron
theory, including:

1. Existence of bands, band gaps
2. Existence of non-metals
3. Effective mass
4. Colours of metals
5. High frequency conductivity
6. Existence of holes
7. Nature of the Hall effect

The periodic lattice is all important in explaining these and other
phenomena


44
Periodic lattice gives rise to
Bragg diffraction of electron
waves


45
o
a a
k
n n
90
2 sin 2
2
=
= = =

for waves travelling down 1D

chain
Therefore k=n/a

Bragg condition for 1D chain

Electron wave is scattered by 2/a
(= G) (reciprocal lattice vector)
1D chain
46
Origin of band gap from Bragg diffraction (following Kittel, chapter 7, 7
th
edition)
Continued next 2 slides
47
See diagram next
slide
With lower and higher
energy respectively
Two solutions with different energy at same wavelength
(and hence wavevector). Leads to band gap.
Origin of band gap from Bragg diffraction
Bragg diffraction
leads to band gaps,
since cos
2
(x/a),
sin
2
(x/a) charge
distributions at
k=n/a

Two solutions at
same wavelength
(k-vector)

Energy gaps occur
when waves have
wavelength which is
in synchronism with
the lattice

48
49
As noted earlier, at Bragg condition electron wave is scattered by k
= 2/a (= G) (reciprocal lattice vector)

Lattice potential (Fourier components) mixes waves at these points in
dispersion in unperturbed band-structure (in (a) above), giving rise to
gaps in (b)
50
Group velocity
dk
dE
dk
d
v
g

1
= =

is zero at zone boundary, corresponds to standing wave
Continuing last slide
51
To summarise Topic 4

Bragg diffraction defines edge of Brillouin zone.


Group velocity at Bragg condition (at zone boundary)
is zero


Bragg diffraction, and hence band gaps, occurs for
waves (k-values) in synchronism with lattice
periodicity


General condition for Bragg diffraction,

G is reciprocal lattice vector

G k =
52
Nobel Prize in Physics 2009; Strong relevance to Solid State
Physics

Charles K Kao, Optical fibres, Basis of internet data transmission








Combines semiconductor laser
sources, modulators, detectors,
knowledge of optical absorption
mechanisms in solids
53
Willard S. Boyle and George E. Smith, Charge Coupled Device Detectors

Digital imaging device in cameras, fax
machines, scanners, telescopes and
many other types of modern
instrumentation. Based on silicon
integrated circuit technology and field
effect transistors
Readout of information
from each pixel
54
Key Points of Topics 1-4

1. Existence of bands and band gaps vital to explain key properties of
electrons in solids
2. Band region of allowed electron states in E(k) space
3. Band gap - region of forbidden states, no allowed states
4. Explains distinction between metals, semiconductors and insulators
5. Fermi-Dirac distribution function. States filled up to Fermi wavevector
6. Behaviour of Fermi sphere under applied electric field, small
perturbation
7. Scattering mechanisms. Scattering is not by ions of lattice.
8. Bragg scattering gives rise to band gaps
9. Bragg condition defines k-vectors at which Bragg scattering occurs
10. Treatment of k-vectors for which waves in synchronism with lattice
provides insight into origin of band gaps
11. General condition for Bragg diffraction
12. Outer shell electrons provide dominant contribution to conduction (see
periodic table)
G k =
55
Atomic configuration of sodium:

1s
2
, 2s
2
, 2p
6
, 3s
1



n = 1, 2 shells tightly bound and give rise to lower energy
valence bands. Do not contribute to conduction.

3s electron is weakly bound and leads to conduction. Half
filled band
56
Topic 5: Introduction to Brillouin zones, half-filled
and filled bands
Number of states in a band

Monovalent atoms metallic

Insulators: can only occur for even number of valence electrons

Group II elements, nevertheless are metallic.

Concept of overlapping bands
57
Each unit cell contributes one value
of k to each Brillouin zone, and
hence to each band

Including spin, 2N states per band

If one atom per unit cell
(monovalent), then band half filled
alkali, noble metals

Insulators can only occur for even
number of valence electrons per
primitive cell (e.g. C, Si, Ge, which
are 4 valent, plus have 2 atoms per
primitive cell)

Group II elements could be
insulators, but bands overlap, so
metals, but relatively poor metals
(also see Hall effect where there is
hole conduction)
Counting of states and filling of bands
Periodic boundary conditions
(following from pages 26, 27)

k = 0, 2/L, 4/L .... 2n/L

L is length of chain of atoms, n is an
integer

If N is number of atoms, the lattice
constant a is equal to L/N




Total number of states between /a
is N

More strictly, N is number of primitive
unit cells in chain
58
Conduction in half-filled
and filled bands
I
II
IV
Note also:
Transition metals
Noble metals
59
Alkali metals and noble metals have one outer shell
electron: partially filled band and hence metal

Group IV: semiconductors, insulators, 4 outer shell
filled bands

Group II: even number of outer shell electrons, but
overlapping bands. Hence metallic.

60
61
How bands can overlap
And thus overlapping bands
i.e. energy in second band
less than that in first
in
E
c
< E
b
for
m
k
E
g
2
2 2

<
E
c
can be less than E
b
for:
:
62
Overlapping bands: energy of state in second band lower than in first

Consequence: some of states in second band filled before
uppermost states in first

Leads to two partially filled bands
Electrons and holes anomalous Hall coefficient
63
Summary, Topic 5

Total number of states in 1D chain, using periodic boundary conditions =
N, where N is number of atoms. Given by total number of allowed k-
values.

Each unit cell contributes one value of k to each Brillouin zone, and hence
to each band. Including spin gives 2N states per band

Monovalent atoms with one atom per unit cell (alkali and noble metals),
band half filled, expect metallic

Insulators: can only occur for even number of valence electrons per
primitive cell e.g. C, Si, Ge 4 valence electrons plus 2 atoms per primitive
cell

But group II elements, the alkaline earths (metals) have even number of
electrons, expected to be insulators, but are metallic.

Overlapping bands. Can only occur in 2 and 3D. Simple proof for 2D.
64
Summary of Bragg diffraction, Brillouin zones

1. Bragg condition defines edges of Brillouin zones

2. For one dimension, simple proof of condition k = /a (page 45)

3. In general

4. Can also be understood in terms of mixing of particular values of
k by Fourier components of periodic lattice potential (page 49)
(Kittel pages 34-36 for rigorous treatment)

5. Dependence of band gaps on atomic number, differing roles of
inner and outer shells.

G k =
65
Topic 6: Construction and Properties of Brillouin Zones

Use generalised Bragg condition to construct Brillouin Zones

Definition and properties of Brillouin Zones

Consequences for Fermi surfaces

Different zone schemes


Essential steps to understand shapes of Fermi surfaces of
real metals (and hence conduction properties)




66
Bragg Diffraction:
67
G = 2/a in 1D
In 1D, re-
derivation of
Braggs Law
68
Geometrical constructions
to obtain Brillouin Zones

Also see next slide
Perpendicular
bisectors
of G
1

Hook and Hall
(p334)
69
Construction of Brillouin Zones for Square Lattice
70
Definition of
Brillouin zones
71
1. Generalised Bragg condition

2. defines boundaries of Brillouin zones . k lies
on perpendicular bisector of G.

3. Construction of 1
st
, 2
nd,
3
rd
zones

4. If Fermi surface is sufficiently large that it crosses
Brillouin zone boundaries, then shape of Fermi surface
will be strongly modified.
2
. 2 G G k =
72
By reciprocal lattice translation
(2/a), can translate points in
higher zones into first zone
Reduced
zone scheme
Hook and Hall
(p116-118)
Also see Hook and Hall
p39 for physical
discussion
Translation vector
73
Repeated, reduced and
extended zone
schemes

Rely on reciprocal lattice
translations
One Brillouin zone one
band in extended zone
scheme
74
( ) ) (k G k = +
using
Shapes of Fermi surface resulting from Brillouin Zone structure
Superimpose Fermi circle
on Brillouin Zones
Additional
mechanism for
occurrence of
partially filled bands

Complicated shapes
of Fermi surfaces
75
Summary: Topic 6
Generalised Bragg Condition:

Brillouin zone boundaries defined by intersection of k with perpendicular
bisectors of reciprocal lattice vectors G

Reciprocal lattice vector in 1D G = 2x/a

Generalise to 3D

First Brillouin Zone is the set of points in reciprocal space that can be reached
from origin without crossing any Bragg plane

Generalise to 2
nd
, nth zones

All Brillouin Zones have the same volume

Basis of reduced, repeated and extended zones. Approximate
proof and consequences.
2
. 2 G G k =
) ( ) ( k G k = +
76
Topic 7: Fermi Surfaces in Metals, Their Forms and
Their Measurement


Topic 6 has introduced effect of periodic potential and of
Brillouin zones on shapes of Fermi surface

Topic 7 is concerned with the shapes of Fermi surfaces in real
metals, and the role of the crystal lattice potential and its
periodicity
Will discuss silicon band structure
in next lecture - download
77
Band must intersect Brillouin Zone boundary
at right angles (2D picture, also holds in 3D)

(as for band at zone boundary in 1D)
78
Real Fermi surfaces

e.g. copper, silver , gold

fcc lattice in real space

bcc lattice in reciprocal space

Belly, neck and dogs bone
orbits


Distortion of Fermi surfaces by
periodic potential at Brillouin
zone boundaries (as in 2D on
previous slide)
Fermi surface in copper
Alkali metals e.g. Na, K Fermi surface lies
inside 1
st
Brillouin zone, and is only very
slightly distorted
Repeated zone scheme
79
Origin of neck orbits:

Energy of band lowered as it approaches zone boundary

So states at higher k may be populated

Thus spherical Fermi surface distorted

Dogs Bone

Hole-like constant energy surface: easily visualised in
extended zone scheme

Other ways to produce holes??
80
Intermediate summary:

1. Periodic potential produces gaps at zone
boundary
2. Fermi surface intersects zone boundary at
right angles
3. Crystal potential rounds out sharp corners in
Fermi surface
4. Total volume enclosed by Fermi surface
depends only on electron density
independent of details of potential
81
Soft X-ray emission

Method to measure conduction electron
distribution in solids

1. Only outer shell electrons contribute
2. All inner shells are filled, and play no role e.g.
In Na 1s, 2s, 2p shells filled (p55)
3. Can measure energy distribution of conduction
electrons by soft x-ray emission
4. Use high energy electron bombardment to
create hole in one of inner shells
5. Conduction electron falls into hole. X-ray
photon emitted
6. Distribution of emitted x-rays gives measure of
conduction electron distribution
Related topics due to conduction electrons: plasmons,
plasma reflectivity see later in course. Determine Fermi
energy from plasma frequency.
82
Soft x-ray emission
spectrum
0 E
F

83
Summary Topic 7

1. Periodic potential produces gaps at boundaries
2. Fermi surface must intersect zone boundary at right angles
3. Crystal potential rounds out sharp corners in Fermi surface
4. Total volume enclosed by Fermi surface depends only on number
of electrons why. Independent of potential
5. All Brillouin zones have same volume
6. Copper, silver, gold, belly, neck and dogs bone orbits
7. Alkali metals much simpler
8. Soft X-Ray emission measures electron distribution of occupied
bands in solids. Complementary to conductivity, Hall effect,
plasma reflectivity
84
Topic 8: Tight Binding Model

1. Levels sharp in isolated atoms
2. When atoms brought together, Pauli principle does not allow
energies of electrons on different atoms to be the same.
3. For N atoms, bands formed to accommodate 2N electrons
band contains 2N states
4. Tight binding since electrons assumed to be associated
initially with individual atoms
5. Shape of different bands different, since orbital leading to
different bands are different and have different overlap

85
Why?
See Rosenberg book
The band structure of silicon as a real example
Atomic levels
broaden into bands

The band at 0 eV is
the valence band

The next band to
higher energy is the
conduction band

Derive from
outermost electron
states in atomic Si
87
Summary: Topic 8

1. Tight binding model is alternative approach to understand band
formation (intuitive approach starting from atomic orbitals)

2. Degeneracy of levels lifted due to wavefunction overlap

3. Predicts 2N states per band as does periodic potential model

88
Topic 9: Effective Mass, Electrons and Holes


We have shown in previous topics that electrons and holes are
not scattered by the ions of the crystal lattice (except at the
Bragg condition)

However the ions and the periodic potential do lead to a
measurable change in the properties of the charge carriers: they
lead to effective masses which are not equal to the free electron
mass

We also introduce the concept of holes in this topic


89
Derivation of
expression for
effective mass
At zone
boundary v
g
= ??
90
Variation of
effective mass
with E and k
m*/m
e

k
91
See diagram on
previous page
92
Electrons and
holes in
electric field
93
Examples holes in
semiconductors

Partially filled bands in
metals: group II elements

See Hall effect, cyclotron
resonance to determine
sign of charge carriers

Also note large range of
effective masses
94
Pictorial
representation of
motion of empty states
(holes) in electric field
Supplement

Filled band: no current

Remove one electron

Current is minus that
carried by one electron i.e.
-(-e)v = +ev
95
Summary Topic 9

1. Derivation of expression for effective mass for charge carrier
in energy band.
2. Variation of m
*
with k across Brillouin zone
3. Concept of holes, positive mass, positive charge particle.
4. Empty electron state in otherwise filled band
5. Charge transport by electrons and holes
6. Large range of effective masses

=
2
2
2 *
dk
E d
m