OSE5312 Slides Class ZZ - Summary For Final - 2up

OSE5312 Spring 2013 - Summary for Final Exam 1
College of Optics & Photonics, University of Central Florida www.creol.ucf.edu

Light Matter Interaction Spring 2013 Summary for Final slide 1
Final exam Tuesday April 30, 4pm-6.50pm, Room 102/103
Closed book exam, covers all topics discussed in class
Broad outline
- Electric fields accelerate charge
- Accelerating charge causes light re-radiation, complex index, absorption
- If we understand how many charges move by how much, can predict opt. prop.
Different models used to understand charge motion:
Classical
- Lorentz model bound charges: atoms, insulators, molecules, ~semic.
- Lorentz model (nonlinear), bound ch.: same, _
(2)
(e) , _
(3)
(e),
- Lorentz model (atom/ion motion): vibration in molecules, polar solids
- Debye model (molecular reorientation) molecular liquids
- Drude model free charges: metals, doped semiconductors
Quantum mechanical
- Schrdinger equation: mass has wave-like character
Time independent S. Eq.: e
-
in well, Energy Eigenstates
Limited basis set method: e
-
in well in DC field: <x> vs. E _
0
Time dependent pert. theory: e
-
in oscillating E _(e), Fermi golden rule o
Schrdinger eq. for atom cores: rotating and vibrating molecules, o(e)
Electrons in periodic potential: semiconductors, energy bands, gap o(e)
Broad outline
1. Maxwells equations
realize that any polarization response leads to changes in light propagation
derive wave equation,
time dependent polarization response complex susceptibility _
e
(e)
gave expressions for n, c, o, R, v
g
if you know _, can calculate opt. prop.
Course recap / context
Assumed medium is homogeneous, linear, isotropic, has some polarization P
P = e
0
_ E p = e
= 1 + _ w
Ignored presence of atoms, assumed some dipole moment per unit volume P
Induced dipoles modify light propagation refractive index, absorption coefficient
Maxwells Equations including explicit current sources
Inside materials these quantities contain separate charge and current contributions
1. diverging E fields relate to charges (bound and free)
2. diverging magnetic flux density doesnt exist
3. rotating E fields are related to changing magnetic fields
4. rotating B relates to changing E and several currents
free current density magnetization current density polarization current density
Which of these three current densities have we described using the Lorentz model?
Scalar wave equation
Permittivity and permeability
permittivity
permeability
electrical susceptibility (~ -100-100)
- related to the polarization of the medium
magnetic susceptibility (~10
-5
)
- magnetic response of the medium
dielectric constant
- response of medium + response of vacuum
Frequency dependent polarization:
with
Complex refractive index
Complex susceptibility complex index q=n+ik, complex c
r
= c
r
'+ic
r
'' = c
1
+ic
2
Relation between q and c
r
: q = \c
r
(assuming magnetic response negligible)
( )
2 2
2 2
) 1 (
) 1 (
k
k
e
+ +
+
=
n
n
R
( )
e r
_ c c c e c + = = 1 ) (
0 0
c
e
k e o 2 ) ( =
( ) ' ) (
2
1
r r
n c c e + = ( ) ' ) (
2
1
r r
c c e k =
Permittivity:
Refractive index from dielectric function:
Dielectric function from refractive index : ) ( ) ( 2 ' ' e k e c n
r
= ) ( ) ( '
2 2
e k e c = n
r
Related optical properties:
Absorption coefficient
Reflectance
1. The phase velocity the speed at which a phase front moves through a material:
Phase velocity: In vacuum:
2. The refractive index n(w) is the reduction of the phase velocity compared to c: .
Dispersion of light inside media
Additional properties of plane wave solutions to Maxwells Equations:
with n the refractive index n~\(1+_)
3. Wave vector 4. Wavelength 5. Group velocity
with
dk
d
v
g
e
=
Why approximate?
IMPORTANT! These are the kinds of things you are asked to calculate on exams
Useful formulas
Reflection coefficient from medium 1 to medium 2 under normal incidence
R =
p
2
- p
1
p
2
+ p
1
2
=
n
2
- n
1
2
+
2
-
1
2
n
2
+ n
1
2
+
2
+
1
2
Reflection coefficient under normal incidence from air on planar surface
R =
n - 1
2
+
2
n + 1
2
+
2
Transmission through absorbing slab, ignoring multiple internal reflections
I
]Im
= I c
-uz
I = 1 - R
2
c
-uz

Broad outline
2. Kramers Kronig relations
Causal nature of _(t) _'(e) is related to _''(e) and vice versa
If you know o(e), can calculate n(e), and from there R, v
g
Using reality condition OR Cauchy, found Kramers-Kronig relations linking
- real refractive index n to an absorption spectrum o
- real susceptibility X to a spectrum of the imaginary susceptibility X
- a phase shift upon reflection to a reflectivity spectrum R
Summary - Kramers Kronig relations
Memorize these, and be able to construct a plot based on a provided X or o spectrum
Broad outline
3. Lorentz model
Classical approach: Assume electrons bound to atom with spring constant
Calculate electron displacement using classical equation of motion
Gives dipole moment per atom, convert to P (dipole per unite volume) vs. field
Gives expression for _ if you know _, can calculate opt. prop.
Works for materials with sharp optical transitions,
and approximately for materials with broad transitions (well below absorption)
Atoms, molecules
Insulators (below transition)
Semiconductors (well below bandgap)
D-band contribution to metal properties (sharp transitions within metal)
Example questions : dopants in transparent hosts, solids made up of Lorentz resonators
Built classical model of isolated atoms, completely ignored quantum effects
P = -c N r m p = e
= 1 + _ w
Assumed optical response was due to electron motion r(e) in harmonic potential
Assume that all atoms in a solid (or gas) act independently (no coupling effects)
(Added anharmonic binding potential to classical model)
Equation of motion
Equation of motion:
tot
F ma

=
Illuminate atom:
Charge displacement
Average electron position: ( ) t r
All forces acting on the electrons

restore friction electrical t
F F F F

+ + =
Understand that our Lorentz model represents displacement of the electron cloud (!), and
position r(t) is the central position of this cloud
Equation of motion
Equation of motion
) ( ) (
) ( ) (
2
0 2
2
t E e t r m
t
t r
m
t
t r
m

= +
c
c
I +
c
c
e
e r f
F F F a m

=
or
Note: gamma here is in s
-1
whereas all omegas are radians / second
Also note: I is not defined as FWHM. In some cases the FWHM is equal to the value of I
Illuminate atom:
Charge displacement
Lorentz model: complex susceptibility
Polarization in terms of susceptibility
) ( ) ( ) ( e e o e E N P =
e e e
e _
I
|
|
.
|
\
|
e
=
i m
Ne
2 2
0 0
2
1
) (
Polarization in terms of polarizability o (=oE)
which with
| | e e e
e o
I
=
i m
e
) (
1
) (
2 2
0
2
gives
where the prefactor is related to the plasma frequency e
p
through
m
Ne
p
0
2
2
e
= e
Assumptions:
- restoring force linear in r
- damping linear in dr/dt
- averaged/macroscopic fields and local fields equal
- dipoles all point along the applied field (isotropic)
0
) (
) (
e
=
e o
e _
N
memorize
memorize
memorize
Lorentz model examples - narrow resonance
e
0
= 4 e
p
= 8 I = 0.3
reflectance from air at normal incidence
( )
2 2
2 2
) 1 (
) 1 (
k
k
e
+ +
+
=
n
n
R
0 2 4 6 8 10 12
40
20
0
20
Rec e ( )
Imc e ( )
e
0 2 4 6 8 10 12
0
2
4
6
n e ( )
k e ( )
2e
k e ( )
ep
e
0 2 4 6 8 10 12
0
0.5
1
R e ( )
e
( )
e
_ c e c + = 1 ) (
0
c
e
k e o 2 ) ( =
understand these trends
memorize
(or derive)
( ) ' ) (
2
1
r r
n c c e + =
( ) ' ) (
2
1
r r
c c e k =
Lorentz model examples - narrow resonance
Types of questions:
- Show index spectrum, calculate density of atoms
(e.g. one resonance know e
0
, know n(0), can find N)
- Show absorption spectrum of doped host material,
calculate gamma based on peak absorption and N
dopant
,
calculate N
dopant
if gamma is given
Show transmission spectrum (1-R)^2 e
-oz
,
find n(0)
Note - I may ask for an absorption cross-section o based on transmission
(see next slide)
Absorption cross-section o
Fraction of absorbed light in thin slab given by o NAz
Write in terms of differential equation:
This will result in a solution of the form
Comparing this to we find
or
Absorption cross section
- if light passes within area o
it is absorbed by the ion / atom
Note: I can ask for absorption cross-section of a Lorentz resonator!
Optical properties of insulators at visible frequencies
Now that we know the concept of band structure: revisit insulators.
Insulators: electronic prop. also described by Schodinger equation in period lattice
BUT: strong binding of valence electrons leads to relatively flat VB
Example: calculated LiF band structure => well defined E
VB
, sharp onset of k
http://www.crystal.unito.it/mssc2006_cd/tutorials/defects/defects_tut.html
DOS
VB
- - - k
___
n
LiF
LiF
Overview
4. Drude model
Same as Lorentz model, but assuming zero restoring force
Metals: large electron concentration, no restoring force large charge motion
Looks like extremely strong Lorentz resonator with zero res. frequency
Optical propeties described by TA RT
Large reflection below e
p
, skin depth
Note: doped semiconductors with large free electron or free hole concentration:
Also partly described by Drude model
Refractive index vs. frequency Gold
Metals (free charges) can be described as oscillator with zero resonance frequency :
- high absorption near resonance (at low freq)
- anomalous dispersion and n<1 at low freq
From: http://www.ioffe.rssi.ru/SVA/NSM/nk
Color of metals look at frequency dependent reflectance
Ag c and R
Cu: effect of d-electrons insufficient to reach c
r
=0
Reduced reflectance at short (blue) wavelengths reddish color
Cu c and R
Ag
Ag
Cu
Cu
Band structure of metals?
Now that we know band structure, revisit metals:
Electron states in metals also described by Schrdinger equation in periodic structure
metals also display electronic band structure
Difference with insulators and semiconductors: Fermi level within a band
low-energy transitions possible, DC conduction possible
Gold band structure
From thesis Pina Romaniello (page 94, online PDF)
SR=scalar relativistic, SO=including spin-orbit effects
Overview
5. Quantum mechanics
(Matter and therefore) electron motion is wave-like in nature
Need wave equation to describe behavior of charges
QM model of charge position and motion QM description of _(e)
Started modeling electron motion quantum mechanically using square wells
P = -c z N p = e
= 1 + _ w o
12
= N w
12
l
I
Limited basis set method: DC charge displacement z dipole moment, _(0)
Time dependent perturbation: dipole moment _(e), transition rates o(e)
All electrons / quantum systems assumed to behave independently, no coupling
Time-independent Schrodinger equation
If p=mv is the electron momentum, then p
2
/2m = mv
2
is the kinetic energy
write wave equation in terms of kinetic energy = total energy E - potential energy V
Where V is the position dependent potential energy of the electron
(warning: V is not the electric potential ! Notation potentially confusing.. )
Alternative notation:
This is the Time-independent Schrdinger equation.
Left part is the energy operator, called the Hamiltonian H
light: affected by n, electrons: affected by V
Confined electron modes in infinite potential well
Depending on n, wavefunctions have different symmetry
Note: in sketch energy of +
n
indicated by dotted line, and + shown as solid line
Lowest order solution (n=1)
is symmetric (even), whereas n=2
solution is antisymmetric (odd)
(unfortunately the odd solutions are
represented by even numbers n)
Terminology:
+
1
has even parity and
+
2
has odd parity
Note increasing
level spacing
Solutions are called Eigensolutions or Eigenfunctions, and the
allowed energies are called Eigenvalues
Remember shape of
allowed modes
Corresponding wavefunctions of finite well
First three Eigenmodes in finite well with depth of 8 energy units
Second even mode
First odd mode
First even mode
[ Slightly lower energy than E
1
]
Note:
- at higher energy, wavefunction enters further into high-V region
- Energy level spacing increases as energy goes up, just as in inf. well case
- Finite number of bound modes
Linear applied field
Finite well with small applied field : perturbed system
Ground state will deform, and have slightly different energy
Wavefunction will still look similar to
n
, but not exactly

1
is no longer an Eigenfunction of
the perturbed system
Question: how can we find solutions to our perturbed system?
Looking for solutions to H+ = E+ (E=energy) with the Hamiltonian now given by
[ Warning: here E
z
is electric field magnitude ]
Concept of a perturbed Hamiltonian, notion of a perturbed wavefunction
Realize that weak perturbation new Eigenfunctions, look similar to unperturbed
n
Modified ground state in infinite well with applied electric field
Example: new lowest energy Eigenfunction has c
1
= 0.985, c
2
=0.174, c
3
=0.013
Corresponding to
Field has pulled wavefunction
to the left as expected
Exact solution (solid line) lies
close to result using limited
basis set (dashed line)
The dotted line indicates
first order perturbation theory,
which we will cover next
Energies close to inf. square well:
compared to 1, 4, and 9
Understand physical result of perturbing field
Pulsed perturbation with oscillatory field
To calculate time dependent polarization in response to oscillatory EM wave:
(note: electric field amplitude here is 2E
0
)
Describe H
p
(t) as with
To see how our system (e.g. atom) responds to perturbation:
- start with unperturbed system in one state (e.g. ground state)
- turn on perturbation at t=0
- turn off perturbation at t=t
0
Integrate amplitude in another state (e.g. 1
st
excited state) over time
Assume that amplitude in initial state does not change much (low power limit)
We will calculate the resulting amplitude in the excited state after the pulse
Functional form of time dependent perturbation due to incident field
Polarization under steady state illumination
Polarization
with
Which with leads to prediction of susceptibility
Question: Describe meaning of a
3
(1)
Be prepared to calculate an index

based on provided transition matrix element
Oscillatory perturbing potential find polarization from time dependent pert. theory:
Fermis Golden rule
- if the Eigenfunctions of a system are known, complete, and orthonormal
- if we know the form of the perturbation (e.g. ~linear in space for plane wave)
we can calculate susceptibility and absorption of a large collection of these systems
Quantum mechanical susceptibility for a system initially in ground state 1
_ =
c
2
e
0
lI

1
z
n
2
2
n1
n1
2
-
2
n

Transition rates (Fermis Golden Rule):
Absorption coefficient: or
Optical cross-section o
m]
=
4n
ncs
0

]
c z
m
2
g
]
(l) stimulated em/abs
o =
4n
nce
0
N g
]
l p
]m
2

Dipole matrix element
]
-c z
m
Joint density of states per atom / quantum system
Volume per absorber (here: V
-1
= N
e
= e
-
per unit volume)
o =
4n
nce
0
p
]
l p
]m
2

Joint density of states per volume
Blackbody model
Hot objects radiate due to thermal motion of charges (atom cores and electrons)
In an idealized object (perfect blackbody radiator), the emission spectrum is a
direct measure of energy present in the system
Perfect blackbody: reflectivity = transmission = 0 emissivity = 1
Model: aperture in large box that is at some equilibrium temperature
[Based on Verdeyen, Chapter 7]
Allowed modes
Like e
-
in semiconductors, optical modes in finite rectangular volume described by
grid of allowed k-vectors count allowed k-values find photon density of states

k
x

k
y

m=2, p=1
m=3, p=1
m=4, p=1
m=1, p=1
m=2, p=2
m=4, p=2
Result: states in frequency range
dv per unit volume given by p(v)dv =
p v =
8an
3
c
3
v
2
dv
Bose-Einstein distribution function:
BL
E =
1
c
EkT
-1
(valid for Bosons indistinguishable particles with integer spin)
Analytical solution for blackbody radiation
Photons are Bosons, thermal population (probability to be occupied) given by
Energy density of blackbody emitter at a given frequency v :
This is the Planck blackbody radiation formula
number of modes
energy of photon
average number of photons in mode with energy hv
Spectrum = modes x energy per photon x times photons per mode
Blackbody Radiation
Short wavelength behavior:
Result of quantum nature of light
mode density thermal population
Long wavelength behavior:
Result of the wave nature of light
(density of states / modes)
photon energy
Spontaneous emission
Excited atoms can spontaneously relax to a lower lying energy level:
Energy level diagram:
sp sp
N
AN
dt
dN
t
2
2
2
= = |
.
|
\
|
Rate equation
Absorption (stimulated absorption)
Electromagnetic field induces electronic transition from level 1 to level 2
Energy conservation requires phonon energy
) (
12 1
2
v B N
dt
dN
abs
= |
.
|
\
|
v
v o
v
h
I
N
dt
dN
abs
) (
12 1
2
= |
.
|
\
|
or
Rate equations:
Understand applicability:
atom in broad spectrum, or atom in narrowband light field)
Stimulated emission
Electromagnetic wave can induce transition from excited state to lower lying level
Rate equations
) (
21 2
2
v B N
dt
dN
st
= |
.
|
\
|
v
v o
v
h
I
N
dt
dN
st
) (
21 2
2
= |
.
|
\
|
or
Rate equations spontaneous emission
Suppose you can bring atoms in the excited state by some energy input
look at time dependence of N
2
after the energy input is turned off at t=0:
( ) ( )
sp
t
sp sp
e N t N
N
dt
dN t
t
/
2 2
2 2
0
= = |
.
|
\
|
Note that the N
2
drops to 1/e of its original value when t=t
sp
.
We have solved our first rate equation to calculate the time dependent
concentration of excited atoms (congratulations!)
Simplified rate equations for three-level system
The simplified rate equations for this quasi three level system become
Steady state solution can be found by setting dN
2
/dt = 0
This can easily be shown to result in
Question: can this system provide population inversion? (N
2
> N
1
, or AN
21
> 0)
Be able to solve a simple
steady state rate equation
Overview
6. Vibrations
Charged atoms can move under influence of E
Large mass low frequency resonances
Molecules: eigenmodes of Harmonic oscillator, well defined absorption energy
Polar solids: phonon dispersion relation: strong interaction with light at eT
Absorption peak, reflection band, high index at low freq.
EM interaction with polar di-atomic molecule
Electromagnetic waves can interact directly with molecular vibrations on
molecules with built-in dipoles
Assume slightly positive atom A and slightly negative atom B
coupling to rotation
coupling to vibration
E
E
Realize that charge separation is necessary to excite phonons with light
- Permanent dipole moment: far IR rotational absorption possible
- No permanent dipole, but dipole active vibrations: expect combined rot+vib trans.
EM interaction with tri-atomic molecule
E
E
Dipole inactive modes (due to symmetry of charge distribution)
Dipole active modes (dipole moment changes during vibration)
Understand what dipole active means
For this particular charge distribution, these modes cannot be directly excited
Requirement for activity: dipole moment needs to be changing during oscillation
Started taking into account atom cores (positive charge)
P u = N
p
0
2
SkI
E u _ =
Np
0
2
SkIe
0
1
(1 -i)
Consider field-induced alignment of polar molecules in liquid (Debye model)
Molecule-molecule interaction considered classically (statistical mechanics)
Molecular rotation in polar liquids low frequency susceptibility
Liquids: molecules can rotate, but many collisions between molecules
Polar molecules can be (partially) aligned by an applied field:
Field induced polarization dipolar molecules have a susceptibility
Amount of alignment depends on dipole moment and collisional reorientation
In gases: few collisions per second - sharp lines
In liquids: many collisions per second - mostly broad features
1
.
10
8
1
.
10
9
1
.
10
10
1
.
10
11
1
.
10
12
1
1.2
1.4
n e ( )
e
-
+
+
O
H
H
Microwave oven: ~122mm
Debye model
Index of water
http://www.philiplaven.com/p20.html
Good news! Your eyeball is transparent
Debye relaxation model
Time constant t implies: takes finite time to change polarization.
Time dependence of polarization can be empirically described by :
) (
3
2
0
t E
kT
Np
P
dt
P d

= + t
Debye relaxation equation
Be prepared to give physically reasonable
explanations for the various features in the
refractive index of water
Considered sustained molecule vibrations classically and quantum mechanically
P =. o =.
Ignored molecule-molecule interactions (assumed gas phase, dilute, few collisions)
Ignored quantum mechanical nature of electron states
Phenomenically considered electron-atom core interaction (Stokes shift)
Vibrations on a diatomic molecule 3/3
M m
1 1 1
+ =
reduced mass
remember frequency of stretch mode
m
m
1
X
2
X
K
Solve equation of motion:
and m K / 2
2
= e
Substitute into equation of motion
|
|
.
|
\
|
+
|
|
.
|
\
|
=
|
|
.
|
\
|
|
.
|
\
|
t
m
K
Kx t
m
K
Kx t
m
K
x
m
K
m
2
cos
2
cos
2
cos
2
22 12 12
gives
22 12 22 12 12
2 x x Kx Kx Kx = + = : equal and opposite motion
) (
2 1 1
X X K X m =

1 12 12
2
cos ) ( X t
m
K
x t X
|
|
.
|
\
|
=
2 22 22
2
cos ) ( X t
m
K
x t X
|
|
.
|
\
|
=
Note: unequal masses m and M would give with e /

2
K =
Vibration spectrum 1/2
Bound atoms are in low energy state, atoms oscillate around equilibrium positions
Binding potential ~harmonic (parabola) for small r
e /
0
K =
Quantum mechanics shows that a
harmonic oscillator can be excited
in discrete steps or vibrational quanta.
This results in equally spaced levels of
excitation with energies
E
vib
= (v + )e
0
, v = 0, 1, 2,
with v the vibrational quantum number and
e
0
the classical resonance frequency
Remember: for perfectly harmonic atomic binding potential absorption freq.
independent of number of phonons excited
Remember effect of anharmonicity
Rotational modes
Light can interact with rotations of polar molecules
Classically no restoring force
no absorption resonances?
Wrong: see absorption spectrum for HCl gas
H
+
Cl
-
Energy in wave numbers (cm
-1
) = how many
waves fit on a cm. Question: =1um ? cm
-1
Corresponding energy :
wavenumbers / 8 ~ E(meV)
Remember what these lines mean
Rotational modes 4/6
Example: H
2
has hcB = 5.8 x 10
-22
J, so lines at 2hcB spacing = 7.25 meV (~171 um)
Remember: thermal energy at room temperature ~25 meV
rotational levels thermally populated,
so high values of J less likely than low J
Result: absorption lines weaker at high energy
o(e)
0 2hcB 4hcB 6hcB 8hcB 10hcB 12hcB Energy
Note: H
2
not dipole active,
but this analysis gives order
of magnitude of rotational
transition energies
Heavier molecules:
spacings < 7.25 meV
wavelengths > 171 um
This represents the far infrared absorption spectrum of polar molecules
Remember: small masses fast rotation
remember typical frequency range, understand ~exponential decay of line strength
Interaction of light with vibrating molecules (simplified)
If polarizability depends on bond length, vibrating molecule develops (t) = o(t) E(t)
configuration 2
configuration 1
harmonic driving field
orientation 1: large induced dipole moment
orientation 2: small induced dipole moment
rotating molecule: beating in dipole moment
spacing dependent polarization modulated response
Excitation with single wavelength can generate polarization response at multiple
Interaction of light with vibrational modes: Raman scattering
This interaction of light with vibrations and rotations is called Raman scattering:
inelastic interaction of light with vibrational/rotational modes
e
i
e
s
O
e
i
e
s
O
Stokes
Scattering
Anti-Stokes
Scattering
e
i
e
s
O
e
i
e
s
O
Stokes
Scattering
Anti-Stokes
Scattering
Stokes scattering: illumination at e
i
produces light at lower frequency e
s
anti-Stokes scattering: illumination at e
i
produces light at higher frequency e
s
Virtual state: state of molecule only while light is present (not an intrinsic state)
virtual state
from http://neon.otago.ac.nz/chemlect/chem306/pca/IR_Raman/page8.html
example spectrum
Be able to calculate vibration energy from Raman shift
Relaxation + configuration diagram
Example: high frequency excitation (UV-VIS) changes electron wavefunctions
which in turn affects the atom-atom binding energy (and thus the equilibrium spacing)
(a)
(b)
(c)
(d)
(a)
(b)
(c)
(d)
(a)
Frank-Condon principle:
molecular reconfiguration much slower than electronic
transitions (related to Born-Oppenheimer approximation)
light comes in
excites electron
molecule reconfigures
electrons relax
molecule reconfigures (back)
Q = configuration
coordinate
Energy diagram:
E vs. configuration
Be able to describe steps leading to Stokes shift in molecular emission
Vibrations in solids - atomic chain model
m
1
X
o
o
X
K m
1 +
X
o
m
m
K K
a
Equation of motion can be rewritten as ) 2 (
1 1 +
=
o o o o
X X X K X m

ka i ikz
e x e x X
o
o 0 0
= =
Phase and amplitude at atom o
Look for solutions of the form e
ikz-iet
: propagating waves and correlated atom motion
with oscillation phase difference between neighboring atoms given by wave vector k
Remember the approach
Understand meaning of k
Note difference with Bloch waves (see semiconductor part):
- Phonons: wave amplitude only has meaning on discrete points in space
(around equilibrium positions NOT in between atoms)
- Bloch waves: (x) has physical meaning everywhere in crystal
Vibrations on an infinite chain
Coupled motion: { }
ka i ka i ka i ka i
e e e Kx e x m
o o o o
e 2
) 1 ( ) 1 (
0 0
2
+ =
+
| |
|
.
|
\
|
= |
.
|
\
|
= =
=
2
sin 2
2
sin 2
2
) cos( 1
2
) cos( 1
2
2
ka
m
K ka
m
K
ka
m
K
ka
m
K
e e
e
k
|
e
|
0
m
K
2
- t/a
+ t/a
Edge of Brillouin zone: Neighboring atoms 180

o
out of phase
animation from http://en.wikipedia.org/wiki/Image:1D_normal_modes_%28280_kB%29.gif
Coming up:
Modeled atom-atom interaction classically: dipole active lattice vibrations
Describe solid as chain of mechanically coupled positive and negative atoms
Look at all possible mechanical waves, find small subset that is dipole active
Find polarization waves trends in susceptibility for polar solids
Linear molecules with two types of atoms
Again, only consider nearest neighbor interactions
) v 2 ( v
) 2 v v (
1
1
s s s s
s s s s
u u K m
u K u M
+ =
+ =
+

t i iska
s
t i iska
s
e e u u e e
e e
= =
0 0
, v v
Note that in this case the unit cell of length a contains 2 atoms, in other words
the unit cell has an internal degree of freedom (this will become useful later)
Acceleration now depends on neighbor positions, but different for M and m
As before, substitute harmonic waves in the equations of motion,
but this time distinguishable atoms v and u can have different amplitude and phase:
s counts unit cells
understand unit cell (and realize that a large cell means t/a has a smaller value)
Phonons in di-atomic (or poly atomic) solids
Discuss vibrations on molecules and in solids
Model dispersion of vibration modes (phonons) in a linear chain of atoms
Atom-atom coupling results in mechanical modes with well defined e and k
Animations from: http://www.chembio.uoguelph.ca/educmat/chm729/Phonons/optmovie.htm

k
e
0
+
t
/a
m
2K
M
2K

K 2
) (
=
c
e
ck
transverse optical phonon
transverse acoustic phonon
Low-k amplitude solutions and resulting polarization
Define v in terms of u, and substitute in one of the simplified equations of motion:
2 2
0
0 2 2
0
0
/
,
/
e e e e
+
=
T T
m qE
v
M qE
u

e
K
T
2
=
Large mass small amplitude
Opposite charge opposite motion
Excitation near e
T
(natural frequency of optical k=0 branch) large amplitude
with
Lattice contribution to the polarization ) (
0 0
v u Ne P =
Total polarization given by

bound
P P P + =

Assume for now that q is equal to the unit charge e
(atoms have opposite and equal charge -e and +e)
atomic / nuclear / phonon response
important at low (infrared) frequencies electronic response
becomes important at high e
Number of atom pairs or unit cells
(dipole moment requires the 2 atoms here)
understand that knowing charge q and
atom positions u and v gives dipole moment
General shape of the dielectric function
Sketch of dielectric function (lossless phonon modes):
e e
T
e
L
c(0)
c()
1
c(e)
electronic transitions
(difference scales with how many charges available, and how easy to get large amplitude)
c negative
high reflection
Remember how you can recognize e
T
and e
L
in spectra of n, c, k, R, o and
at what wavelength they typically occur
Overview
7. Semiconductors
Valence electrons bound with binding energy < 4eV
Multiple valence electrons per atom and weak binding large index, large R
Electron excitation occurs into conduction band (continuum of allowed states)
Broad absorption bands
Predict o from Fermi Golden Rule, demanding energy and momentum conservation
Idealized case: parabolic increase of absorption above band gap
Can find index from predicted o together with Kramers-Kronig relations
Coming up:
Modeled solid as inifinite quantum mechanically coupled electron system
Ignore any motion of atom cores, consider coupling between adjacent atoms
Find all possible electronic states in periodic Coulomb potential
Assume matrix element
]
p
known, use Fermi Golden Rule to find shape of o(e)

Schrdinger equation
To describe interaction of light with electrons, need to describe electron states
( ) ( ) ( ) t x
t
i t x x V
x m
, ,
2
2
2 2
+
c
c
= +
(
+
c
c

Schrdinger equation describes behavior of matter in terms of the wave function +

Note that a high curvature corresponds to a high energy (as for light waves) and
that the time dependence scales with the energy of the wave function
In free space and choosing V=0 we find probability waves of the form
r k i
k
Ae r

= ) (
Hamiltonian, giving the energy density of the wave function
where the probability of finding matter at position x scales with |+|
2
or ++*
Compare: probability of detecting light scales with |E(x,t)|
2
or EE*
Effective mass
In case of periodic potential with finite potential fluctuations,
level repulsion occurs at the zone boundary:
E
0
t/a -t/a
Bands no longer periodic, but
approximately parabolic near k=0
Can describe energy vs. k as before,
but use effective mass m*:
* 2
2 2
m
k
E
e
=
Note: high curvature m* must be small
sharp parabola = low effective mass
Key point: even though the electron binding energies can be large,
the energy differences caused by interactions with neighbors are on the order of eVs
Remember relation of near-gap
band structure to effective mass
Interband absorption in indirect gap semiconductors

Indirect-gap semiconductor: highest occupied and lowest unoccupied state have Ak0
Direct transitions possible for Ak~0
strong direct interband absorption
occurs at E > E
gap

Other possibility: momentum and
energy can be conserved by photon
absorption and simultaneous absorption or
emission of a phonon:
Indirect transitions possible with
assistance of a phonon
Shown here are optically induced transitions
- during phonon emission
a phonon is generated in the process
- during phonon absorption
a phonon is generated in the process
E
gap
E
gap
Free carrier absorption (1/2)
At RT, predominant dopant related absorption is free carrier absorption
in which a photon excites an electron into a higher lying state
Example: p-type semiconductors: filled states in the conduction band:
optical transitions possible at E
phot
< E
gap
!
Note: free carrier absorption can be described by a Drude-like model with m the
effective electron or hole mass.
Free holes can make direct transitions
form the heavy-hole band
to the light-hole band
holes cause stronger free carrier
absorption than electrons
Counting allowed k-vectors in 2D systems
Density of states: how many states in energy interval {E,E+dE}
Two-dimensional system:
- look at energy interval dE around
a given |k|
- Find corresponding k-interval dk
- Look at k-area Ak : area taken up by
each allowed wavevector point
- Divide area of 2tkdk by Ak to
find number of k values within dE
Area of ring: 2tk dk
Note: assumed parabolic and isotropic conduction band around k=0 analysis
only valid near the band edge, and for isotropic direct gap semiconductors
Density of states for electrons and holes
Setting energy of the top of the valence band
to E=0 gives D(E) in conduction band as:
( )
2
1
2
3
2 2
* 2
2
1
) (
g e
E E
m
E |
.
|
\
|
=
t
( )
2
1
2
3
2 2
* 2
2
1
) ( E
m
E
LH
LH
|
.
|
\
|
=
t
And for light and heavy holes:

( )
2
1
2
3
2 2
* 2
2
1
) ( E
m
E
HH
HH
|
.
|
\
|
=
t
k
E

* 2
) (
2 2
e
g
m
k
E k E

+ =

* 2
) (
2 2
h
m
k
k E

=
Be able to draw DOS for holes and electrons (in parabolic band assumption)
Inter-band transitions - requirements
Light absorption from initial state (i) to final state (f) requires
- energy conservation :
- momentum conservation :
which due to small k
phot
becomes
Transitions from heavy holes to the conduction band:
k
E
E
i
E
f
e
E
f
= E
i
+ e
k
f
= k
i
+ k
k
f
~ k
i
g
e
c f
HH
V i
E
m
k
E E
m
k
E E + = = = =
*
2 2 2 2
2
,
2

HH
g V C
k
E E E
e
2
2 2
+ = =
HH
e
HH
m
m
1 1 1
*
+ =
The allowed k-dependent transition energy is thus given by: (for light holes replace HH by LH)
with
Joint density of states:
Initial energy
final energy
( )
2
1
2
3
2 2
2
2
1
) (
g J
E E E |
.
|
\
|
=
( ) ( )
2
1
2
3
) (
g
E e e o
Free carrier absorption (2/2)
Free charges? Use Drude model to approximate optical response
Carrier concentrations in semiconductors ~10
14
-10
18
/cm
3
(metals ~10
8
10
6
higher)
Plasma frequency of doped semiconductors 10
4
- 10
3
lower than of metals: IR
3
2
2
2
) ( " , 1 ) ( '
e
e
e c
e
e
e c
I
~ ~
p
r
p
r 2
2
2
2
) ( " ) (
p
p
c c c
e
e
e c
e
e o
I
=
I
~ ~
Electron FCA up for lower energies
Free hole absorption less well defined
3
2
2
2
) ( " , ) ( '
e
e
e c
e
e
c e c
I
~ ~

p
r
p
r 2
2
0
) ( " ) (
p
nc nc
e c
e
e o
I
~ ~
Drude model:
n
host
+ Drude:
Warning: in the second model,
c
r
does not become zero at
p
=
Nc
2
s
0
m
c

Additional electronic states: excitons
Thus far: e
-
bound to atoms (in valence band) or free (in conduction band)
Optical properties dominated by light-induced transitions from VB to CB
BUT: If electrons and holes are present in a semiconductor, Coulomb interaction
between + hole and - electron can lead to bound e-h states: excitons
Result: hydrogen-like bound states possible: excitonic states with E < E
gap
e
h
Coulomb
force
n=3
n=2
n=1
Note: exciton can move through crystal, i.e. not bound to specific atom!
Binding reduces energy
E
b
: exciton binding energy =
energy released upon
formation of a ground-state
exciton (1s type orbit), or
energy required for breakup
of 1s-like exciton into free e+h
Real-space sketch with m
h
= m
c
E
k
E
b
k-space sketch of new energy levels
Excitonic absorption
Light can excite an electron from the valence band and generate an exciton
at energies slightly below the bandgap
absorption observed at E
phot
= E
gap
E
b
(slightly below E
gap
)
Exciton binding energy on the order of a few meV (depends on semiconductor)
Thermal energy at room temperature: kT ~ 25 meV
exciton rapidly dissociates at room temperature, short lifetime = large I
absorption lines broaden / disappear at room temperature
E
k
E
b
GaAs
Note: T-dependent band gap
294 K
186 K
90 K
21 K
Dopant related transitions
Possible dopant-related transitions at low temperature:
Low temperature processes: sharp lines
High temperature (room temperature) : broad lines / shoulders
D + A
and high T
Donors only
Low T
Acceptors only
Low T
D + A
and high T
Optical absorption processes in semiconductors summary
Energy
k
Interband
absorption
*
2 2
0
2
e
C
m
k
E E

+ =
*
2 2
2
HH
m
k
E

=
*
2 2
2
LH
m
k
E

=
FHA
FCA
Midgap states
Excitons / Donor states
Acceptor states
tor:
CB
HH
LH
SO
The usual tips
- Read carefully. If I ask for the dielectric function, dont give me n !
- Give units
- Use acceptable significant digits: if I provide c
r
=9.1, dont tell me n=3.0166206
- show your work = spell out your logical steps
- Write something, anything for partial credit
Good luck studying!

OSE5312 Slides Class ZZ - Summary For Final - 2up

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OSE5312 Spring 2013 - Summary for Final Exam 1

College of Optics & Photonics, University of Central Florida www.creol.ucf.edu

All forces acting on the electrons

Be prepared to calculate an index

Note: unequal masses m and M would give with e /

Edge of Brillouin zone: Neighboring atoms 180

Total polarization given by

known, use Fermi Golden Rule to find shape of o(e)

Schrdinger equation describes behavior of matter in terms of the wave function +

And for light and heavy holes:

OSE5312 Spring 2013 - Summary for Final Exam 38

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