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# The effective mass

## Conductivity effective mass determines

mobility.
Density of states effective mass
determines NC
Cyclotron effective mass can be
measured directly
Electron in a periodic potential
Why does the semiconductor industry use
single crystal material (when possible) ?
Electrons are not scattered
by a periodic potential
move with a constant
velocity as in vacuum !
Electron in vacuum
V ( x) 0

( x) A exp[ i (kx t )]

(k ) 2 p2
E
2m 2m
Dispersion
(k )

( x) A exp[ i (kx t )]
Electron in vacuum
V ( x) 0

( x) A exp[ i (kx t )]

(k ) 2 p2
E
2m 2m
Electron in a periodic potential

V ( x a) V ( x)
( x) u ( x) exp[ i (kx t )]
u ( x a) u ( x)
2
E (k ) E (k )
a
Electron in a 3D periodic potential

V (r R) V (r )

## R Bravais lattice vector

(r ) u (r ) exp[ i (k r t )]

u (r R) u (r )

E (k K ) E (k )

K Reciprocal lattice vector
Expansion of E(kx,ky,kz) near a
minimum value E0= E(kx0,ky0,kz0)

1 E
2
E ( k ) E0 (ki ki 0 )( k j k j 0 )
2 i , j ki k j
i , j x, y , z
Expansion of E(kx,ky,kz) near a
minimum value E0= E(kx0,ky0,kz0)
1 2E
E ( k ) E0 (ki ki 0 )( k j k j 0 )
2 i , j ki k j
i , j x, y , z
or
k x k x0

E (k ) E0 k x k x 0 , k y k y 0 , k z k z 0 M k y k y 0
2
1

2 k k
z z0

where

1 1 2
E
M ij 2 inverse effective mass tensor
ki k j
k0
1 1 2
E
M ij 2 the inverse effective mass tensor
ki k j
k0
is a symmetrica l matrix -
can be diagonaliz ed
In the coordinate system in which
the effective mass tensor is
diagonal
m1

M m2

m 3

1 E E E
v x y z

k x k y k z
m11 k x k x 0
1

m2 k y k y 0
1
k z k z 0
m 3
Acceleration due to an electric filed (F)
m11 k x k x 0
1

v m2 k y k y 0
1
m3 k z k z 0

dv dk
a M 1
dt dt

dk
qF - (the semiclassi cal model )
dt

Ma -qF
Effective mass tensor valid near
E(k) minima and maxima only

Ma -qF
Constant energy surfaces in crystal
Constant energy surfaces near a
minimum are ellipsoids

k x k x0

E (k ) E0 k x k x 0 , k y k y 0 , k z k z 0 M k y k y 0
2
1

2 k k
z z0

m11
1

1
M m2
1
m3
Constant energy surfaces in Si and
Ge near a minimum are ellipsoids
of revolution
k k x0
x

E (k ) E0 k x k x 0 , k y k y 0 , k z k z 0 M k y k y 0
2
1

2 k k
z z0

ml 1
1

M 1 mt
1
mt
Acceleration of an electron near an
energy minimum in silicon
F Fx x Fy y FZ z - electric field (main coordinate system)
-qF Ma -in each valley
1 6
-qF M i a -average
6 i 1
1 6
a M i -1qF
6 i 1
1 2
a x qFx ( )
3ml 3mt
1 1 2
*

m 3ml 3mt
Electron transport effective mass in
silicon and germanium

1 1 2
*

m 3ml 3mt
Homework competition find a shorter way
to prove this equation for germanium than
given in last years home exam

1 1 2
*

m 3ml 3mt
The spherical case -
m

M m

m
Electrons in GaAs
Holes in Si, Ge, GaAs
Cyclotron resonance effective mass

qH

m
Cyclotron resonance effective mass to
be shown in the tutorial

m1m2 m3
m
H 12 m1 H 2 2 m2 H 32 m3
H 12 m1 H 2 2 m2 H 32 m3 H 12 H 2 2 H 32
2
1

m m1m2 m3 m2 m3 m1m3 m1m2
Cyclotron resonance effective mass to
be shown in the tutorial
Density of states effective mass

Ec E f
n Nce
kT

32
2 m c kT *
Nc 2 2
h
Density of states
number of allowed energy states
g (E)
dEdV

V- Volume
E- Energy
Example: density of states of
hydrogen gas
g ( E ) n gi ( E Ei )
i

## Ei - allowed energy level

gi - number of allowed states in energy level i (degeneracy)
n - density of hydrogen atoms E

g(E)
Density of states of solids
E

g(E)
Density of electrons in an energy
band

g E f E dE
E
n
Band

Ef
1.2

0.8
f(E) 0.6

0.4

0.2

0
g(E) 0 0.5 1 1.5 2
E/Ef
Density of holes in an energy band

g E [1 f E ]dE
E
p
Band

Ef
1.2

0.8

1-f(E)
0.6

0.4

0.2

0
g(E) 0 0.5 1 1.5 2
E/Ef
Approximation for the Fermi Dirac
distribution for E-Ef>3KT

1
f FD E E EF kT
e EF E kT
f MB E
1 e
Density of electrons in an energy
band E

Ef

n g E f E dE
Band
g(E)

n g E exp[( E E
Band
f ) / KT )]dE

n NC exp[( EC E f ) / KT ]

NC g E exp[( E E
Band
C ) / KT )]dE
Density of states of solids in K
space

## number of allowed energy states 1

2
dk x dk y dk z dV (2 ) 3

V- Volume
The density of states in an energy interval is
proportional to the volume in K space between two
constant energy surfaces

E2
1
2
(2 ) 3
E1
dk x dk y dk z
Constant energy surfaces in crystal
Volume of an ellipsoid

x2 y 2 z 2
2
2 2 1
a b c

4
Volume= abc
3
Volume of a constant energy (E)
ellipsoid
2
k12 k2 2 k32
E ' k Ec ,v
2 m1 m2 m3
k12 k2 2 k3 2
1
2m1 E ' Ec ,v 2m2 E ' Ec ,v 2m3 E ' Ec ,v
2 2 2

4
E '
3
3
8m1m2 m3 E Ec ,v
3
Density of states near a conduction band minimum
or valence band maximum, and the definition of
the density of states effective mass

N elipso
g c ,v E 2m1m2 m3 E Ec ,v
2 3

g c ,v E
1

32
2 E Ec ,v m c ,v
*

2 3

m c ,v N elipso m1m2 m3
* 23 13
Conduction band density of states
effective mass
n g E f E dE
Band

n N C exp[( EC E f ) / KT ]

NC g E exp[( E E
Band
C ) / KT )]dE

32
2 m c kT
*
Nc 2 2
h
Valence band density of states
effective mass
p g E [1 f E ]dE
Band

p NV exp[( E f EV ) / KT ]

NV g E exp[( E
Band
V E ) / KT )]dE

32
2 m kT
*
NV 2 2
V

h
Summary
Conductivity effective 1 1 2
mass determines *

m 3ml 3mt
mobility.
Density of states
effective mass m c N elipso m1m2 m3
* 23 13

determines NC
Cyclotron effective
mass can be m
m1m2 m3
H 12 m1 H 2 2 m2 H 32 m3
measured directly
Elective home exercise
Derive conductivity and density of states
effective mass for holes.
k

hh

lh