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between the atoms

* Introducing periodicity into the wave solutions

Electron bands

Energy gaps

Effective Mass

V

+ + +

ION ION ION

POSITION

P

O

T

E

N

T

I

A

L

E

N

E

R

G

Y

V = 0

We simplify the potential,

in order to be able to

solve the problem in any

simple manner.

Potential core around the

atom.

We will eventually let

V and d 0 in the

problem.

X=0

X=a

X=d

Potential barrier

between the atoms.

We now solve the time-independent Schrdinger equation.

a x < < 0

0 < < x d

0

2

1

2

2

1

2

1

2

1

2 2

= +

=

o

dx

d

E

dx

d

m

0

2

2

2

2

2

2

2 2

2

2

2 2

=

= +

dx

d

E V

dx

d

m

2

2

) ( 2

E V m

=

( ) ( ),

ikx

i i

x e u x = ) ( ) ( x u d a x u

i i

= + +

2

2

2

mE

= o

Bloch Theorem: The eigenfunction of the wave equation for a

periodic potential are the product of a plane wave exp( )

times a function ( ) with the periodicity of the crystal lattice.

k

ik r

u r

0 ) ( 2

1

2 2

1

2

1

2

= + + o k

dx

du

ik

dx

u d

0 ) ( 2

2

2 2

2

2

2

2

= + + u k

dx

du

ik

dx

u d

x

i

e u

o

=

0 ) ( 2

2 2

1

2

1

= + + k ik o o o 0 ) ( 2

2 2

2

2

2

= + k ik o o

o o i ik =

1

o = ik

2

x i ikx x i ikx

Be Ae u

o o +

+ =

1

x ikx x ikx

De Ce u

+

+ =

2

) 0 ( ) 0 (

2 1

u u =

D C B A + = +

0

2

0

1

= =

=

x x

dx

du

dx

du

D ik C ik

A k i A k i

) ( ) (

) ( ) (

o o

+ =

= +

) ( ) ( ) (

2 2 1

d u a u a u = =

d ik d ik

a k i a k i

De Ce

Be Ae

) ( ) (

) ( ) (

o o

+

+

+ =

= +

d x a x

dx

du

dx

du

= =

=

2 1

d ik d ik

a k i a k i

De ik Ce ik

Be k i Ae k i

) ( ) (

) ( ) (

) ( ) (

) ( ) (

o o

o o

+

+

+ =

= +

This simple b.c. enforces the

periodicity onto the solution.

( ) ( )

( ) ( )

0

) ( ) (

) ( ) (

1 1 1 1

) ( ) ( ) ( ) (

) ( ) ( ) ( ) (

=

(

(

(

(

(

(

(

(

(

+ +

+ +

+ +

+ +

D

C

B

A

e ik e ik e k i e k i

e e e e

ik ik k i k i

d ik d ik a k i a k i

d ik d ik a k i a k i

o o

o o

o o

o o

Since the RHS is 0, there must be an intrinsic solution that

arises without any forcing functions.

This requires the determinant of the large square matrix to vanish:

| | 0 . det = coeff

)] ( cos[ ) cos( ) cosh( ) sin( ) sinh(

2

2 2

d a k a d a d + = +

o o

o

o

To simplify this, we take the limit V , d 0, in such a manner that Vd = Q.

1

) sinh(

, 1 ) cosh(

d

d

d

2

2

ka a a

d

= + o o

o

Wavevector k

The wavevector k is real only for certain allowed ranges of E,

which we illustrate by a graphical solution.

Applying Bloch theorem and solving Schrdinger equation yields

) cos(

) sin(

a

a

a

P o

o

o

+

In general, as the energy increases (oa increases), each

successive band gets wider, and each successive gap gets

narrower.

No solution

exists, k

2

<0

Regions where the equation is satisfied, hence where

the solution exists.

) cos( ) cos( ) sin(

2

2

ka a a

d

= + o o

o

1

-1

Boundaries are for ka = nt.

oa

oa

1

-1

d

t

d

t

2

d

t

3

d

t

4

d

t

d

t

2

d

t

3

d

t

4

The Kronig-Penney model

gives us DETAILED solutions

for the bands, which are

almost, but not, cosinusoidal

in nature.

d

t

d

t

2

d

t

3

d

t

4

d

t

d

t

2

d

t

3

d

t

4

Extended zone scheme

d

t

d

t

2

d

t

3

d

t

4

d

t

d

t

2

d

t

3

d

t

4

Reduced zone scheme

As energy increases, the bands get WIDER

and the gaps get NARROWER

The Electrons Effective Mass

The energy bands are closer to cosines than to a

free electron parabola.

Hence, we will define an effective mass, which will

vary with energy!

As a result, we must return to our basic

connection for momentum: v * m k =

We introduce our effective mass through

this defining equation, which relates the

crystal momentum to the real momentum.

2

2

Remember in free e Fermi gas,

2

c

=

k

k

m

For a wave packet the group velocity is given by:

=

In presence of an electric field E, the energy change is:

Now we can say:

where p is the electron's momentum.

Substitute the expression for the group velocity into this last

equation and we get:

From this follows the definition of effective mass:

effective mass is the mass it seems to carry in the semiclassical model of

transport in a crystal. It can be shown that, under most conditions,

electrons and holes in a crystal respond to electric and magnetic fields

almost as if they were free particles in a vacuum, but with a different mass.

This mass is usually stated in units of the ordinary mass of an electron m

e

(9.1110-31 kg).

The Electrons Effective Mass

Some values of electron effective mass:

GaAs 0.067

InAs 0.22

InSb 0.13

Si 0.19,0.91*

* Minima are not at center of zone, but are ellipsoids.

O.K. We have energy bands and we have gaps. How do we know

whether the material is an insulator, a metal, or a semiconductor?

Well, let us reconsider some of the things we have learned so far:

1. The crystal potential and the wave functions are periodic functions.

If the crystal has length L, then we require

2. Hence, we have that the exponential part of the wave function must

satisfy

There are N, where N is the number of atoms, values of n.

dx

d

dx

L d

L

) 0 ( ) (

) 0 ( ) (

=

=

N n

L

n

k

n kL

e e

ik ikL

,..., 2 , 1

2

2

1

0

= =

=

= =

t

t

3. This means that each band can hold 2N electrons (the factor of 2 is

for spin).

4. Thus, a material with only 1 (outer shell) electron per atom, such as

Li, K, Cu, Au, Ag, etc., will be a metal, since only one-half of the

available states are filled. The highest band (which we will call the

conduction band) is one-half filled. (We assume that, in 3D, the

material has a comparable band structure to the simple cubic.)

5. In Si, however, there are 8 atoms per FCC cell: 8 corner atoms,

shared between 8 cubes, gives 1; 6 face atoms, shared between 2

cubes each, give 3; and 4 internal atoms, which are not shared with

any other cube, gives 4. But, this is considering the basis. The basic

FCC cell has only 4 atoms, and each can contribute 8 states, so that

there are 32 states per unit cell in the band. Now, we have 8 atoms,

each with 4 electrons, and this means 32 electrons. Hence, all the

states in the band are filled, and Si should be an insulator!

6. An insulator has all the states in the topmost occupied band FULL.

Si is therefore an insulator.

7. But, most insulators have a band gap of 4-10 eV. Silicon has a gap of

only 1.0 eV, so electrons can be excited over the gap, and we call Si a

semiconductor.

8. In a metal, the number of electrons does not change with

temperature. The scattering does increase with temperature, so that

the conductance goes down with T.

9. In a semiconductor, the number of electrons increases exponentially

with temperature, so that even though the scattering increases, the

conductance increases with T.

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