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.

http://www.sheffield.ac.uk/physics/teaching/phy380 1
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 2nd edition

Introduction to Solid State Physics, C Kittel, Wiley 7th 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
Electronics, computing Integrated circuit

http://www.aztex.biz/tag/integrated
-circuits/

25nm

32nm transistors. Intel web site

Data storage (cd,
dvd, blu-ray)
Lighting, displays
Telecommunications, internet

Multi- colour Telecommunications

LED strip light laser: Oclaro

6
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 (3rd and 4th 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=2.6x1028m-3

Insulators (e.g. diamond): electron density very small

(Eg ~ 5.6eV, ~5000K >>kBT at 300K)

Semiconductors: electron density controllable, and is

temperature dependent, in range ~1016m-3 to ~1025m-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
Space Lattice
The nature of the crystal plus basis
lattice, and the number of
This figure and
electrons in the outer shell slide 14 not
determine the conduction covered in lecture
(a) Space lattice
properties of most elements – here for extra
(useful) information
Periodic arrangement of (b) Basis, containing two
atoms different ions

Space lattice plus basis (Fig

Kittel)

Lattice translation vector (c) Crystal structure

T = u1a1 + u2a2 + u3a3

a1, a2, a3 lattice constants

(spacings of atoms)

Position vector r' = r +T 13

Space lattices in
two dimensions

Primitive (unit) cell

defined by
translation vectors
3D

14
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 a1, a2, a3

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 ( ) planes, [ ] directions (covered in 2nd year)

18
 The Crystalline Forms of Carbon

Diamond Carbon nanotube

Graphite

http://physics.berkeley.edu/research/lanzara/
http://diahttp://www.theage.com.au http://www.azonano.com/

Buckyball C60
Graphene

2010 Nobel Prize to

Geim and
Novoselov

http://en.wikipedia.org/wiki/Graphene
http://diahttp://www.theage.com.au
19
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

20
Comparison of two crystalline forms of carbon

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

21
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

22
 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 For T→ 0,

1 f(E) = 1 for E < EF

f (E) =
exp[(E − EF )] / kT f(E) = 0 for E > EF

~kBT

f(E)

E/kB in units of 104 K 24

Free Electron Theory

Leads to condition for

allowed k-values – next
two pages

25
Periodic boundary conditions (box, side L) – to count states

ψ ( x + L, y , z ) = ψ ( x, y , z )

ik .r i(kx x+k y y+kz z )

ψ k (r ) = e =e is travelling wave solution

provided that kx = 0, ±2π/L, ±4π/L .... 2πn/L, where n is a positive or

negative integer

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

26
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 kx = 0, ±2π/L, ±4π/L .... 2πn/L

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

27
Dispersion Relation

ik .r
Substituting ψ k (r ) = e into Schrödinger equation gives

2 2  2
Ek = (k x + k y2 + k z2 ) = k2
2m 2m

Parabolic dispersion of free particle with mass m

p2
Corresponds to E= , with p = k
2m

p is termed the crystal momentum, and k the wavevector

28
Density of States

The Fermi energy and Fermi surface

Key properties of metals

29
Need to determine number of states in k-space up to a given
energy (the Fermi energy)
3
One allowed wavevector in volume element of k-space of (2π/L)

Volume of sphere in k-space up to energy E, wavevector k is 4 πk F3

3

Then calculate number of available states from E = 0 to EF, and

hence derive expression for density of states

+ the Pauli exclusion principle

30
Number of states,
Fermi wavevector
and Fermi energy

EF =
2
2m
(
3π 2 n )
23

31
Values of TF, kF, EF,
vF for sodium and
their significance

(37000K, 0.96x1010 m-1,

3.2eV, 1.07x106m/sec)

32
Topic 2 summary

1. Electrons are Fermions and obey Fermi-Dirac statistics and

the Pauli exclusion principle

2. States up to EF filled, above EF empty

3. Form of the density of states proportional to E1/2

4. Expressions and quantitative values for EF, kF, vF (these are

important!)

33
Topic 3: Conductivity

• Drude theory of conductivity based on free electron model

• Ion cores ignored, periodic lattice ignored, effective mass

• Zero frequency approximation, Ohm’s Law

• Displacement of Fermi sphere by electric field and

scattering processes

• Phonon and defect scattering, Matthiesen’s rule

34
Newton’s 2nd Law Deduce velocity

Define mobility
dv
m = − e( E + v x B )
dt Deduce current density,
conductivity and Ohm’s
Law
dk
 = − e( E + v x B )
dt j = nev
Include scattering eτ
µ=
 dv v m
m +  = − e( E + v x B )
 dt τ  ne 2τ
σ=
τ scattering time
m

mv
d.c conditions , B = 0 = −e E
τ
35
Fermi sea of electrons in
applied electric field, and
scattering processes

For derivation of
displacement in k-
space see next slide

36
Motion of electrons in electric field and
scattering: change in wavevector
Alternatively:

eτE
vD = −
m
mv − eEτ
δk = =
 

5 x 108 smaller than kF

So displacement of Fermi sea by

electric field is very small

Scattering counters acceleration of

37
electrons by electric field
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
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
38
For phonons (conservation of energy and wavevector):

el el
k + k ph = k
i f

E + ω ph = E
i
el el
f

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

39
Combination of two types of scattering

Phonon scattering is temperature dependent

Scattering by imperfections is temperature independent

Matthiesen’s rule (additive combination of contributions from

phonon and defect scattering)

40
 Additional point (important)

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 lB> 1µm or more

lB >> interatomic spacing, so

collisions not with ions

41
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.

Matthiesen’s 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
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

43
Periodic lattice gives rise to
Bragg diffraction of electron
waves

44
 1D chain

2π
nλ = n = 2a sin θ = 2a
k
θ = 90o for waves travelling down 1D
chain

Therefore k=±nπ/a

Bragg condition for 1D chain

Electron wave is scattered by 2π/a

(= G) (reciprocal lattice vector)

45
Origin of band gap from Bragg diffraction (following Kittel, chapter 7, 7th edition)

Continued next 2 slides 46

 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. 47
Origin of band gap from Bragg diffraction

•Bragg diffraction
leads to band gaps,
since cos2(πx/a),
sin2(πx/a) charge
distributions at
k=±nπ/a

•Two solutions at
same wavelength
(k-vector)

•Energy gaps occur

when waves have
wavelength which is
in synchronism with
the lattice

48
As noted earlier, at Bragg condition electron wave is scattered by ∆k
= 2π/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)

49
 Continuing last slide

dω 1 dE
Group velocity vg = =
dk  dk

is zero at zone boundary, corresponds to standing wave

50
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, ∆k = G

• G is reciprocal lattice vector

51
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

52
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

53
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 ∆k = G
12. Outer shell electrons provide dominant contribution to conduction (see
periodic table) 54
Atomic configuration of sodium:

1s2, 2s2, 2p6, 3s1

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

55
 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

56
Counting of states and filling of bands
• Each unit cell contributes one value
of k to each Brillouin zone, and
Periodic boundary conditions
hence to each band
(following from pages 26, 27)
• Including spin, 2N states per band
k = 0, ±2π/L, ±4π/L .... 2πn/L
• If one atom per unit cell
L is length of chain of atoms, n is an
(monovalent), then band half filled
integer
– alkali, noble metals
If N is number of atoms, the lattice
• Insulators can only occur for even
constant a is equal to L/N
number of valence electrons per
primitive cell (e.g. C, Si, Ge, which
are 4 valent, plus have 2 atoms per
primitive cell)
Total number of states between ±π/a
• Group II elements could be
is N
insulators, but bands overlap, so
metals, but relatively poor metals
More strictly, N is number of primitive
(also see Hall effect where there is
unit cells in chain
hole conduction)
57
Conduction in half-filled
and filled bands

58
 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
 How bands can overlap

in

Ec can be less than Eb for:

And thus overlapping bands
2 2
 k i.e. energy in second band
Ec < Eb for Eg < less than that in first
2m 61
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
62
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.
63
Summary of Bragg diffraction, Brillouin zones

1. Bragg condition defines edges of Brillouin zones

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

3. In general ∆k = G
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.

64
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)

65
Bragg Diffraction:

66
In 1D, re-
derivation of
Bragg’s Law

G = 2π/a in 1D
67
Geometrical constructions
to obtain Brillouin Zones

Also see next slide

Perpendicular
Hook and Hall bisectors
(p334)
of G1

68
Construction of Brillouin Zones for Square Lattice

69
Definition of
Brillouin zones

70
1. Generalised Bragg condition

2. 2k .G = G defines boundaries of Brillouin zones . k lies

2

on perpendicular bisector of G.

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

4. If Fermi surface is sufficiently large that it crosses

Brillouin zone boundaries, then shape of Fermi surface
will be strongly modified.

71
Reduced
zone scheme Translation vector

Hook and Hall

(p116-118)

Also see Hook and Hall By reciprocal lattice translation

p39 for physical (2π/a), can translate points in
discussion higher zones into first zone 72
Repeated, reduced and
extended zone
schemes

Rely on reciprocal lattice

translations

One Brillouin zone → one

band in extended zone
scheme

73
Shapes of Fermi surface resulting from Brillouin Zone structure

Superimpose Fermi circle

on Brillouin Zones

using ψ (k + G ) = ψ (k )

• Additional
mechanism for
occurrence of
partially filled bands

• Complicated shapes
of Fermi surfaces 74
 Summary: Topic 6

Generalised Bragg Condition: 2k .G = G

2

Brillouin zone boundaries defined by intersection of k with perpendicular

bisectors of reciprocal lattice vectors G

Reciprocal lattice vector in 1D G = 2πx/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 2nd, nth zones

All Brillouin Zones have the same volume

ψ (k + G ) = ψ (k ) Basis of reduced, repeated and extended zones. Approximate

proof and consequences.
75
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

76
Band must intersect Brillouin Zone boundary
at right angles (2D picture, also holds in 3D)

(as for band at zone boundary in 1D)

77
Real Fermi surfaces
Fermi surface in copper
e.g. copper, silver , gold Repeated zone scheme

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)

Alkali metals e.g. Na, K Fermi surface lies

inside 1st Brillouin zone, and is only very
slightly distorted
78
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

‘Dog’s Bone’

Hole-like constant energy surface: easily visualised in

extended zone scheme

Other ways to produce holes??

79
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

80
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.
81
 Soft x-ray emission
spectrum

0 EF

82
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 dog’s 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

83
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

84
 Why?

See Rosenberg book

85
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
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

87
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

88
Derivation of At zone
boundary vg = ??
expression for
effective mass

89
 m*/me

Variation of
effective mass
with E and k
k

90
See diagram on
previous page

91
Electrons and
holes in
electric field

92
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

93
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
94
Summary Topic 9

1. Derivation of expression for effective mass for charge carrier

in energy band. *
2
2 d E
m =  2 
 dk 
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

95