Tutorial Vol. 33, No.

8 / August 2016 / Journal of the Optical Society of America A 1553

Optical Hall effect—model description: tutorial

MATHIAS SCHUBERT,1,2,3,4,* PHILIPP KÜHNE,1,2,3 VANYA DARAKCHIEVA,3 AND TINO HOFMANN1,2,3
1
Department of Electrical and Computer Engineering, University of Nebraska-Lincoln, Lincoln, Nebraska 68588-0511, USA
2
Center for Nanohybrid Functional Materials, University of Nebraska-Lincoln, Lincoln, Nebraska 68588-0511, USA
3
Department of Physics, Chemistry, and Biology (IFM), Linköping University, SE 581 83 Linköping, Sweden
4
Leibniz Institute for Polymer Research (IPF) Dresden, D 01005 Dresden, Germany
*Corresponding author: schubert@engr.unl.edu

Received 1 March 2016; revised 15 June 2016; accepted 17 June 2016; posted 17 June 2016 (Doc. ID 260265); published 19 July 2016

The optical Hall effect is a physical phenomenon that describes the occurrence of magnetic-field-induced dielec-
tric displacement at optical wavelengths, transverse and longitudinal to the incident electric field, and analogous
to the static electrical Hall effect. The electrical Hall effect and certain cases of the optical Hall effect observations
can be explained by extensions of the classic Drude model for the transport of electrons in metals. The optical Hall
effect is most useful for characterization of electrical properties in semiconductors. Among many advantages,
while the optical Hall effect dispenses with the need of electrical contacts, electrical material properties such
as effective mass and mobility parameters, including their anisotropy as well as carrier type and density, can
be determined from the optical Hall effect. Measurement of the optical Hall effect can be performed within
the concept of generalized ellipsometry at an oblique angle of incidence. In this paper, we review and discuss
physical model equations, which can be used to calculate the optical Hall effect in single- and multiple-layered
structures of semiconductor materials. We define the optical Hall effect dielectric function tensor, demonstrate
diagonalization approaches, and show requirements for the optical Hall effect tensor from energy conservation.
We discuss both continuum and quantum approaches, and we provide a brief description of the generalized
ellipsometry concept, the Mueller matrix calculus, and a 4 × 4 matrix algebra to calculate data accessible by
experiment. In a follow-up paper, we will discuss strategies and approaches for experimental data acquisition
and analysis. © 2016 Optical Society of America
OCIS codes: (120.2130) Ellipsometry and polarimetry; (240.2130) Ellipsometry and polarimetry; (260.2130) Ellipsometry and
polarimetry; (160.3820) Magneto-optical materials; (040.2235) Far infrared or terahertz.

http://dx.doi.org/10.1364/JOSAA.33.001553

1. INTRODUCTION speed. One of these pillars, the increase of processor frequen-

In this paper, we review and provide a tutorial on an emerging
optical concept and methodology: the optical Hall effect
[1–23]. By the first statement, the optical Hall effect measures
the analogue of the quasi-static electric-field-induced electrical
Hall effect at optical frequencies in conductive and complex
structured materials. Advances in materials preparation and
understanding of materials’ physical properties define today’s
abilities in electrical devices: for example, in power generation
[24], in power electronics and diagnostics components for the
advanced electrical grid [25], in manufacturing [26], in nu-
meric computation and processing [27], in solid-state lighting
[28], and in 3D flash data storage [29]. In many if not all
contemporary materials applications, properties of free charge
carriers are crucial for choices of materials in device design and
operation. The most prominent example, computer technol-
ogy, has seen rapid development over the last few decades. The
progress in this field is mainly based on two pillars: the minia-
turization of transistor structures and the increase of processor
cies, has only seen marginal improvements in the last 5 to 10
years. This is a consequence of the free charge carrier properties
of the core material in semiconductor industries: silicon. Future
increases of the clock rates of electronic device structures up
to terahertz frequencies might only become possible by employ-
ing new materials with high breakdown voltages, large charge
carrier saturation velocities, and high thermal stability [27].
Currently, two groups of materials, which are conveniently
accessible through manufacturing, satisfy these requirements:
group-III nitride semiconductor alloys [27,30] and graphene
[31]. On the other hand, miniaturization of silicon-based struc-
tures is still following Moore’s law [32], reaching structure sizes
of a few nanometers [33,34]. A side effect of the ongoing
miniaturization is that, in devices with structure sizes of a
few nanometers, free charge carriers will become more and
more subject to quantum mechanical phenomena (particle
in a box). Consequently, a better understanding of the high-
frequency behavior of free charge carriers in continuum and

1084-7529/16/081553-16 Journal © 2016 Optical Society of America

 1554 Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A
quantum regimes in semiconductors such as silicon, in group-
III nitride semiconductor, and in emerging 2D material such as
graphene is essential for future development in computer tech-
nology. A key element is measurement of the free charge carrier
parameters, effective mass, mobility, and density. In another
example, group-III sesquioxides have regained interest as wide
bandgap semiconductors with unexploited physical properties.
The stable but highly anisotropic monoclinic β-gallia crystal
structure (β phase [35,36]) of Ga2 O3 is of particular interest
due to its large bandgap energy of 4.85 eV, lending promise
for applications in short wavelength photonics and transparent
electronics [37]. The high electric breakdown field value of
β − Ga2 O3 , which is estimated at 8 MVcm−1 , exceeds those of
contemporary semiconductor materials such as Si, GaAs, SiC,
group-III nitrides, or ZnO [38]. Recent reports on device char-
acteristics indicate potential of β − Ga2 O3 for use in high-power
switches and transistors [38,39]. Details about free charge carrier
properties in β − Ga2 O3 are beginning to emerge [40,41].
Nondestructive and noninvasive measurement of the free
charge carriers is not only vital for making progress in modern
materials and device design but also constitutes a challenge.
While the underlying principles of the optical Hall effect,
the motion of free charge carriers within external magnetic
fields, is not new, the interaction of electromagnetic waves with
free charge carriers within conducting and semiconducting ma-
terials when subjected to arbitrarily oriented external magnetic
fields offers vast new opportunities for investigating charge car-
riers in continuum and quantum regimes. The optical Hall ef-
fect can be conveniently exploited to characterize the electrical
properties of materials. Brought upon the nature of the basic
underlying measurement principle (ellipsometry [42–47]), the
optical Hall effect can be studied in complex structured sys-
tems. Thereby free charge carrier properties become accessible
in structures with 3D densities (bulk materials), 2D or sheet
densities (ultra-thin layers), 1D densities (wires), or 0D den-
sities (quantum dots). Furthermore, the optical Hall effect is
capable of differentiating directionally dependent free charge
carrier properties in structures made from anisotropic materials
or structures that induce anisotropic properties by ordered ar-
rangement of nanoscopic building blocks [48]. Anisotropy is
inherent to many modern device architectures: for example,
the family of electronic and optoelectronic devices fabricated
from wurtzite-structure group-III nitrides [49], high-power
electronic devices based on hexagonal silicon carbide [23],
or the envisioned class of high-voltage high-power devices based
on monoclinic gallium oxide and related compounds [39,40].
In such materials, coupling with anisotropic longitudinal opti-
cal lattice modes and directionally dependent plasmon modes
causes electrical transport characteristics, which depend on the
direction of free charge carrier motion. The optical mobility
parameter, a crucial element in device design for high-frequency
operation, is affected primarily by phonon scattering, which is
anisotropic. Above all, and aside from knowledge about den-
sities and type of free charge carriers, the optical Hall effect
offers, as the only available technique as of today, access to
the determination of the effective mass tensor of the free charge
carriers without a priori knowledge of intrinsic major axes of
carrier displacement within a given material.
Tutorial
Traditionally, optical determination of the free charge carrier
properties, particularly the effective mass parameter, has been
performed by measuring the magneto-optic reflectance and/or
transmittance at long wavelengths, as reported for example in
[50–64]. Measurement of magnetic field induced polarization
rotation [65,66], such as Faraday rotation (normal incidence
transmission configuration, e.g., [67–69]) or Kerr rotation
(normal incidence reflection configuration, e.g., [70]) can pro-
vide accurate information, but the approaches are limited to
simple sample structures. Faraday rotation can only be mea-
sured in spectral regions of sufficient sample transparency.
Cyclotron resonance occurs when the incident photon energy
ℏω is equivalent to approximately the cyclotron energy,
ℏqjBj
ℏωc
m , ℏω ≈ ℏωc , provided that the plasma broadening
parameter γ p is small compared with ωc . This picture is correct
for isotropic materials, where the cyclotron frequency is propor-
tional to the magnitude of the magnetic field B and inversely
proportional to the free charge carrier effective mass m. Typical
frequencies of ωc in semiconductors with free charge carriers
are within the microwave region, where absorption features
can be observed for ω ≈ ωc . Such experiments are typically per-
formed at low temperatures to meet the condition ωc ≫ γ p
[66]. Hence, measurement of cyclotron resonance absorption
in reflection and/or transmission can provide ωc from which
the effective mass can be obtained. From broadening of the
resonance, the parameter γ p can be obtained, which can be re-
lated to the carrier scattering time. Terahertz (THz) measure-
ments of cyclotron resonance in static or pulsed magnetic fields
can be performed at fixed excitation frequencies from multiple
microwave or laser line sources [55,71–73] or continuous fem-
tosecond-laser-pumped THz time-domain spectroscopy (TDS)
systems [74–76]. Laser-based THz TDS is a time-domain tech-
nique, which employs optical delay paths and laser-switched
THz and far-infrared wave generation and detection, respec-
tively, using photoconductive antenna configurations and
nonlinear photosensitive detection materials [77–79]. In com-
bination with static or pulsed high-value magnetic fields
[80], TDS permits spectroscopic cyclotron resonance measure-
ments [80–84]. The use of polarizing elements permits deter-
mination of the complex-valued Faraday and Kerr responses
and access to THz-induced magneto gyrotropic and photo-
induced conductivity effects [85–95]. TDS magneto-optic
ellipsometric instrumentation and use for measurement of
the optical Hall effect has been reported [96,97]. TDS optical
Hall effect studies were reported on charge carrier systems in
quantum Hall regimes [98,99] and using cavity coupling
enhancement effects [23,100,101].
The optical Hall effect is introduced here as the physical
phenomenon whereby the occurrence of magnetic field-
induced anisotropy is observed, caused by the nonreciprocal
[102] magneto-optic response of mobile electric charges
[103–106]. The magneto-optic anisotropy observed in the op-
tical Hall effect is produced by the motion of the free charge
carriers and is thereby dependent on the strength and direction
of the external magnetic field. This is conceptually different
from anisotropy caused by spatially anisotropic molecular ar-
rangements with (achiral) or without (chiral) mirror symmetry.
The term “optical Hall effect” originates from its analogy to the
 Tutorial Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A
Fig. 1. Schematic of the electrical Hall effect in a thin conducting
sheet. Free charge carriers produce a transverse voltage by charge sep-
aration under the influence of the Lorentz force due to a magnetic field
B when driven by a DC current through the sheet. Accordingly, the
longitudinal voltage required to drive the DC current differs with and
without the magnetic field. Note that, ideally, the sheet should be
infinitesimally thin [107]. The electric Hall voltage is characteristic
of the sheet material and depends on the free charge carrier types
and density properties that constitute the current leading to the
Hall voltage. Note that transport must occur homogeneously across
the entire sheet, which makes analyses of the electric Hall voltage mea-
sured across complex sheet structures with multiple constituents
difficult.
electrical Hall effect [107]. Discovered by Edwin Herbert Hall
(November 7, 1855–November 20, 1938) in 1879, the elec-
trical Hall effect describes the observation of a potential differ-
ence across an electrical conductor, transverse to an electric
current in the conductor and a magnetic field perpendicular
to a current (Fig. 1) [108]. The electrical Hall effect and certain
cases of the optical Hall effect phenomenon can be explained by
extensions of the classic model for the transport of electrons in
matter (metals) developed by Paul Drude [109,110]. Hence,
we have adopted the term “optical Hall effect” for this associ-
ated optical phenomenon. An example of the effect of the in-
duced anisotropy in the optical Hall effect is depicted in Fig. 2.
An incident electromagnetic plane wave with linear polarization
parallel to the surface of a sample subjected to an external mag-
netic field causes displacement of the free charge carriers along
the direction of the electric field oscillation. The Lorentz force
acts on this movement, which is zero at the time of the maxi-
mum amplitudes of the driving electric field and strongest at
the reversal point. As a result, the motion of the free charge
carrier deviates from a straight line and adopts a small circular
component. The circular component only depends on the ef-
fective mass and the Fermi velocity of the free charge carrier and
can be brought into resonance, which is then known as cyclo-
tron resonance. However, for cyclotron resonance, the time be-
tween scattering events of the free charge carrier must be small
compared with the turnaround time within the cyclotron orbit.
Hence, cyclotron resonance is often measured in low-defect
density materials to reduce impurity potential scattering and
at very low temperatures to reduce phonon potential scattering
[71,103,111–115]. Regardless of resonance conditions, and
even for very short free charge carrier scattering times, the re-
flected (or transmitted) electromagnetic wave in the example in
Fig. 2 now contains a small fraction of circularly polarized light.
1555
Fig. 2. Schematic of the optical Hall effect in a conducting sample
consisting of single or multiple conducting layers and sheets, in reflec-
tion configuration. Free charge carriers produce a dielectric polariza-
tion following the electric field of an incident electromagnetic field
(analogous to the longitudinal Hall voltage), here for example parallel
to the surface. The induced polarization PFCC produces PHall due to
the Lorentz force, oriented perpendicular to B and the incident electric
field vector (analogous to the transverse Hall voltage). PFCC  PHall
are the source of the reflected light and contain a small circular polari-
zation component, which provides information on the type of charge
carrier, its density, mobility, and effective mass properties [1]. The
physical motion of the charges remains local within the lattice of
the material, describing pathways that depend on the Fermi velocity,
their average scattering time, the frequency of the incident light, and
the magnetic field direction. If multiple layers are thin enough against
the skin depth at long wavelengths, light interacts with multiple layers
and reveals, for example, free carrier properties within buried layers
otherwise inaccessible to direct electrical measurements. Hence, the
optical Hall effect can be measured across complex sheet and layer
structures.
The strength and handedness of this component are directly
analogous to the transverse potential difference measured in
the electrical Hall effect. This example can be conceptually re-
peated for any polarization state of an incident electromagnetic
wave as well as for any orientation and strength of the magnetic
field. Thereby, magneto-optic anisotropy induced for all
Cartesian directions as well as for all conceivable phases (left
or right handed elliptical or circular polarizations) can be de-
tected. In this manner, the optical Hall effect extends the elec-
trical Hall effect to a truly 3D phenomenon and dispenses with
the requirement of an ideal sheet with infinitesimal small thick-
ness. As will be discussed further below, for the optical Hall
effect, the classic Drude model is extended by a magnetic field
and frequency dependency, describing a free charge carrier’s
momentum and motion under the influence of the Lorentz
force. As a result, an antisymmetric contribution to the dielec-
tric polarizability density, whose sign depends on the type of the
free charge carrier (electron or hole), is then augmented onto
the dielectric tensor εω. The nonvanishing off-diagonal ele-
ments of the dielectric tensor reflect the frequency-dependent
magneto-optic anisotropy, which lead to conversion of p-polar-
ized into s-polarized electromagnetic waves and vice versa. The
magnitude and dispersion of this p- and s-polarization mode
conversion is a precise fingerprint of the density, mobility,
 1556 Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A
and effective mass properties of the free charge carriers in a
given sample. Thus, analysis of optical Hall effect data provides
insight into the high-frequency properties of free charge carriers
in complex layered samples [1–4,21,116], grants access to ef-
fective mass parameters [1,7,8,10,12,14–17], and can be used
to study quantum mechanical effects [6,20,117].
The optical Hall effect can be measured in terms of the so-
called Mueller matrix [118–120], which characterizes the trans-
formation of an electromagnetic wave’s polarization state [121].
Experimentally, the Mueller matrix is measured by generalized
ellipsometry [1,46,47,122–133]. During a generalized ellips-
ometry measurement, different polarization states of the inci-
dent light are prepared, and their change upon reflection from
or transmission through a sample is determined. Thus, an
optical Hall effect instrument is an instrument capable of con-
ducting generalized ellipsometry measurements with the sam-
ples exposed to high, quasi-static magnetic fields, and detects
magnetic-field-induced changes of the Mueller matrix [13,22].
So far optical Hall effect instruments are not commercially
available. Ellipsometry instrumentation for the terahertz spec-
tral range recently became commercially available (2012), while
instruments at far-infrared spectral range are not commercially
available. Therefore, the relatively new optical Hall effect tech-
nique [1] is still exotic. We reported recently on an optical Hall
effect instrument covering the spectral range from 3 cm−1 to
7000 cm−1 (0.1–210 THz or 0.4–870 meV) by combining
MIR (600–7000 cm−1 ), FIR (30–650 cm−1 ), and THz
(3.3–33 cm−1 ) magneto-optic generalized ellipsometry in a sin-
gle instrument. This optical Hall effect incorporates a commer-
cially available, closed-cycle refrigerated, superconducting 8
Tesla magneto cryostat, with four optical ports, providing sam-
ple temperatures between T
1.4 K and room temperature.
The ellipsometer subsystems were built in-house and operate in
the rotating-analyzer configuration, which is capable of deter-
mining the normalized upper 3 × 3 block of the sample Mueller
matrix [22].
2. OPTICAL HALL EFFECT IN MATERIALS
In this section we will showcase simple models that can explain
the occurrence of the optical Hall effect in materials. These the-
ories address changes in the dielectric function tensor and their
wavelength dependencies under the influence of an external
magnetic field. Without loss of generality, we address materials
whose free charge carriers may interact with polar lattice
vibrations or with internal electric fields, for example. We only
consider here the dielectric optical Hall effect, that is, magnetic-
field-induced anisotropy within the dielectric tensor [134].
A. Optical Hall Effect Tensor Definition
The optical Hall effect tensor may be defined as the dielectric
tensor ε under the influence of an external magnetic field, εB.
ε is a measure for the optical response of a medium and can be
defined by the electric displacement field D, which is an
auxiliary quantity used in the Maxwell equations. The electric
displacement field describes the electric flux density at the
surface of a medium and can be written as
D
ε0 E  P
ε0 E  χE
ε0 I  χE
ε0 εE; (1)
Tutorial
where ε0 , E, P, and χ denote the electric vacuum permittivity,
electric field vector, electric polarization vector, and electric sus-
ceptibility tensor of the medium, respectively [135]. If the op-
tical response of the material is linear, the total dielectric tensor
can be written as the sum of electric susceptibility tensors:
X
ε
Iχ
I χk ; (2)
k
where each χ k may describe an independent mechanism of
polarization within the medium: for example, long wavelength
active phonon modes or electronic band-to-band transitions
[136]. The electric susceptibility and dielectric tensor are
second-rank tensors. In Cartesian coordinates x; y; z, the
dielectric tensor takes the form
0 1 0 1
εxx εxy εxz χ xx χ xy χ xz
εx;y;z
@ εyx εyy εyz A
I  @ χ yx χ yy χ yz A:
εzx εzy εzz χ zx χ zy χ zz
(3)
In general, the dielectric function tensor, which comprises
then all linear dielectric responses of the material, is composed
of its symmetric part and its antisymmetric part:
1 1
εij
δij  χ ij  χ ji   χ ij − χ ji ; (4)
2 2
where δij is the Kronecker symbol. Processes that are symmetric
in time and space only produce contributions to the symmetric
part. Processes that involve symmetry breaking in time such as
by magnetic fields, or symmetry breaking in space such as
by chiral arrangement of matter produce nonsymmetric contri-
butions. In this work we ignore phenomena due to chiral
arrangement of matter.
It is often desirable to identify the physical mechanisms that
cause an optical Hall effect observation. For this purpose, iden-
tification of the parts of ε that depend on the external field and
those that do not can be useful:
εB
I  χ B
0  χ B : (5)
The term χ B
0 may comprise all contributions in Eq. (2)
that are not affected by a given magnetic field: for example,
lattice vibrations. The term χ B comprises then all contribu-
tions in Eq. (2) that are affected by a given magnetic field, for
example, due to polarization caused by free charge carriers or by
electronic level transitions. It is important to note that χ B is
composed of symmetric and antisymmetric parts. The antisym-
metric part of χ B vanishes for B
0. The symmetric part of
χ B may not necessarily vanish for B
0 and is only distin-
guishable from χ B
0 at B ≠ 0. These symmetry properties in-
spire procedures for measurement of the optical Hall effect
tensor where data are obtained at B
0 and B.
Combinations of these data allow us to differentiate between
the symmetric and antisymmetric changes in ε with B.
B. Optical Hall Effect Tensor Diagonalization
For the optical Hall effect, it is often useful to find the eigen-
values of the optical Hall effect tensor. The eigenvalues are
functions of frequency and are rendered by complex-valued
response functions. Examples will be given further below.
Note that we use the convention of positive notation for the
 Tutorial Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A
imaginary part of the complex-valued eigenfunctions
χ ξk ; χ ηk ; χ ςk . This choice results in positive imaginary parts
of the four complex-valued indices of refraction
[45,137,138]. The eigenvalues and the symmetry properties
of the optical Hall effect tensor often hint at the mechanisms
that may cause the observed optical Hall effect. Two transfor-
mations must be discussed: spatial rotations AR and decom-
positions using circularly (AC ), elliptically (AE ), or generally
(AG ) polarized eigenvectors. The goal is to diagonalize
by transformation, representing the optical Hall effect
tensor in an appropriate coordinate system (eigensystem).
Conceptually, such transformation from one eigensystem
ξ; η; ς into the laboratory coordinate system x; y; z may exist
for each of Athe contributions to the electric susceptibility
tensor, εξ;η;ς !εx;y;z :
0 1
X χ ξk 0 0 magnetic plane waves within a material, traveling parallel to
εx;y;z
A−1 εξ;η;ς A
I  A−1 @ 0 χ ηk 0 AA; (6)
k 0 0 χ ςk
where k denotes the index for each independent mechanism of
polarization within the medium, A is the invertible transforma-
tion matrix with x; y; z
Aξ; η; ςT , and χ ξk ; χ ηk ; χ ςk are the
electric susceptibilities, or eigenvalues, of the kth independent
mechanism of polarization in the corresponding eigensystem. A
special case is optically isotropic materials with χ ξk
χ ηk
χ ςk
(for all k). Because the transformation matrices are invertible,
the dielectric tensors take the same shape in the laboratory co-
ordinate system and the eigensystem εx;y;z
εξ;η;ς . Therefore,
the dielectric tensor can in this case be replaced by the scalar
dielectric function ε, with ε
εI.
1. Spatial Rotations
An explicit presentation of spatial rotations is given here using
the z − x 0 − z 0 0 convention. In the z − x 0 − z 0 0 convention, the
first rotation is performed around the z axis by the Euler angle
φ, the coordinate system is then rotated by the Euler angle θ
around the new x 0 axis, and finally a rotation by the Euler angle
ψ around the new z 0 0 axis is performed:
0 10 1
cos ψ sin ψ 0 1 0 0
B CB C
AR
φ;θ;ψ
@ − sin ψ cos ψ 0 A@ 0 cos θ sin θ A
0 0 1 0 − sin θ cos θ
0 1
cos φ sin φ 0
B C
× @ − sin φ cos φ 0 A: (7)
0 0 1
A rotation AR
φ;θ;ψ to diagonalize ε can always be found for
symmetric tensors. A necessary condition for the underlying
structure to represent an orthogonal system of electric suscep-
tibilities, A must be wavelength independent. Major dielectric
functions only can be obtained for materials with cubic, hex-
agonal, trigonal, tetragonal, and orthorhombic crystal systems
[139]. Such functions can no longer be meaningfully defined
for materials with monoclinic and triclinic crystal systems; in-
stead, one must consider the major dielectric polarizability
functions and their eigenvectors [40,47]. A coordinate transfor-
mation of an electric susceptibility tensor from its diagonal
form, using AR
φ;θ;ψ , always results in a fully symmetric electric
1557
susceptibility and therefore a fully symmetric dielectric tensor.
For real-valued arguments of ARφ;θ;ψ , the rotation corresponds
to a true physical rotation, such as an azimuthal rotation of a
sample between successive measurements, or to represent the
actual surface orientation of an anisotropic material in an
optical Hall effect experiment.
2. Decompositions Using Magneto-optic Eigenvectors
An ad hoc assumption for the form of the dielectric tensor of a
material subjected to a static magnetic field is that of a nonre-
ciprocal medium. As will be shown below, a nonreciprocal re-
sponse leads to anisotropic optical properties [47,140,141].
Circular eigenvector decomposition (C): The magneto-
optic anisotropy can be modeled by assuming different inter-
actions for right- and left-handed circularly polarized electro-
the magnetic field orientation [1,13] (Fig. 3). In this Ansatz,
and without loss of generality, if the quasi-static magnetic field
B is pointing in the z direction, the magnetic-field-induced
contribution to the displacement phasor field vector P can
be expressed by a pair of electric susceptibility functions, χ 
and χ − [6,9]:
!
χ 0 0
PC
0 χ − 0 EC : (8)
0 0 1
In Fig. 3 and Eq. (8) the electric field E is given by [142]
0 1 0 1 1
E pffiffi E x − iE y 
2
EC
@ E − A
@ p1ffiffi E x  iE y  A: (9)
2
Ez Ez
Fig. 3. Left-handed [E , Figs. 3(a) and 3(c)] and right-handed [E− ,
Figs. 3(b) and 3(d)] circularly polarized electromagnetic plane waves
interact with a dielectrically polarizable material under the influence of
an external quasi-static magnetic field B. The field B is collinear with
the wave propagation direction. The displacement field phasors P are
proportional to complex-valued, frequency-dependent response func-
tions χ  B. Symmetry requires switch of indices upon reversal of the
magnetic field: χ  B
χ  −B. The latter statement originates
from the assumption that P does not depend on propagation direc-
tion of E but only on the course of the electric field phasor at a given
plane within the material. Functions χ  then determine the symmetric
and antisymmetric parts in the optical Hall effect tensor [Eq. (11)].
 1558 Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A Tutorial

A transformation matrix can be found that projects from εΞk
λk Ξk ; k
1; 2; 3; (13)

the eigensystem of PC into the Cartesian laboratory system the electric field can be written on the basis of orthogonal ei-
[6,9,143]: genvectors:
0 1
1 −i 0 EG
a1 Ξ1  a2 Ξ2  a3 Ξ3 : (14)
1
AC
pffiffiffi @ 1 i p0ffiffiffi A: (10)
2 0 0 2 A transformation matrix can then be constructed that pro-
jects from the magneto-optic eigensystem into the Cartesian
Hence, the electric susceptibility tensors χ can be trans- laboratory system:
formed into the Cartesian laboratory system using AC : 0 1
0 1 Ξ1;x Ξ1;y Ξ1;z
χ   χ −  iχ  − χ −  0 1 @ Ξ2;x Ξ2;y Ξ2;z A:
AG
(15)
1B C detAG  Ξ
χB
@ iχ  − χ −  χ   χ −  0 A: (11) Ξ Ξ
3;x 3;y 3;z
2
0 0 0
C. Optical Hall Effect Tensor Energy Conservation
Equation (11) reveals important properties of χB, which Conditions
affect symmetry properties of the optical Hall effect data:
The introduction of the eigensystem polarizations λ1 , λ2 , λ3 re-
• χ is completely symmetric when electric susceptibilities for quires consideration of energy conservation. Energy conservation
left- and right-handed circularly polarized light are equal, i.e., in linear optics is commonly assured by requiring that the imagi-
when χ 
χ − . nary parts of the response functions are positive. Whether the
• χ is completely antisymmetric when electric susceptibilities imaginary parts of λ1 , λ2 , λ3 are positive or negative, in particular,
for left- and right-handed circularly polarized light differ only in is not immediately obvious. To begin with, we show that the
their sign, i.e., when χ 
−χ − .
product of λ1 , λ2 , λ3 is equal to the product of the dielectric
• χ changes sign of its skew symmetric part upon magnetic
tensor eigenvalues within the laboratory coordinate system:
field inversion.
0
detε 0  − λ1 λ2 λ3
Elliptical eigenvector decomposition (E): In more general
cases, χ may no longer be diagonalized using an eigensystem of
detAεA−1  − λ1 λ2 λ3
circular polarization AC . Instead, an eigensystem of two

detA detε detA−1  − λ1 λ2 λ3
orthogonal elliptically polarized electromagnetic waves has to
be chosen:
detε − λ1 λ2 λ3 : (16)
0 1
a 1 0 Note that the equivalence holds for both real and imaginary
1 @ −a−1 −1 A;
AE
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi 0
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi (12) part of the product λ1 λ2 λ3 . Thermodynamically, the dielectric
aa⋆ − 1 0 0 ⋆
aa − 1 tensor has to comply with the law of energy conservation. For
example, in case of an isotropic medium in thermodynamic
where a
tan ΨE eiΔE , and parameters ΨE and ΔE characterize
equilibrium, the dielectric function ε has to have a positive
the ellipticity of the orthogonal modes of the elliptic eigensys-
imaginary part, Imε ≥ 0, to ensure that the energy of ab-
tem, a⋆ is the complex conjugate of a [144]. Such situations
sorbed light is converted into heat [145]. With restrictions
occur, for example, when free charge carrier properties are
to monochromatic electromagnetic waves, a more general ex-
anisotropic within the plane perpendicular to the magnetic
pression can be derived for the optical Hall effect tensor. In
field. The magnetic-field-induced contribution to the dielectric
general, the time-averaged change of the electromagnetic en-
polarization vector P can then be expressed again by a pair of
ergy density h∂u
∂t i in an anisotropic media with dielectric tensor
electric susceptibility functions χ  .
ε, exposed to a monochromatic electromagnetic plane wave
General eigenvector decomposition (G): In general, three
with angular frequency ω, electric field E
E0 e −iωt , and mag-
different magneto-optic susceptibility functions may exist λ1 ,
netic field H
H0 e −iωt , has to be positive:
λ2 , λ3 , which may fully characterize the physical origin of  
the optical Hall effect. The circular and elliptical decomposi- ∂u

−hRediv S i
tion discussed above is possible for as long as there is no cou- ∂t
pling between polarization processes parallel and perpendicular _
 E
D _  HB_
 H
Bi

hED _
to the magnetic field and, hence, one of the functions λ1 , λ2 , λ3
is unity. However, in situations with anisotropic materials (for
ωhiEε
E
− iE
εE  iHμ
H
− iH
− Hi
example, when charge carrier effective mass and/or mobility are

ωImE
0 εE0  ωImH
0 μH0 ≥ 0; (17)
rendered by tensors instead of isotropic scalars), these param-
eters can differ along certain axes of a given material. The ex- where the field amplitudes E0 and H0 carry the spatial depend-
ternal magnetic field can further take an arbitrary orientation ency, S is the Poynting vector, ε is the dielectric tensor, and μ is
relative to these axes and coupling of displacement within the the magnetic permeability tensor [145]. Assuming a nonmag-
plane perpendicular to the magnetic field and the direction netic material with μ
μ0 I (μ0 : magnetic vacuum permeabil-
along the magnetic field occurs. Then the three functions ity) H
0 μH0 becomes real valued, and the second term vanishes.
λ1 , λ2 , λ3 may all differ from unity. One can make use of Replacing the electric field with its orthogonal eigenvectors
the eigenvectors Ξε obtained from the eigenvalue equation Ξk basis presentation, and with ω ≥ 0 and because of
of the optical Hall effect tensor εB: ak Ξk ak Ξk 
≥ 0 k
1; 2; 3, the inequality in Eq. (17)
 Tutorial Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A
is fulfilled if all imaginary parts of the eigenvalues of the optical
Hall effect tensor, λ1 ; λ2 ; λ3 , are non-negative [146]:
Imλk ≥ 0; (18)
and the optical Hall effect tensor does not violate the conser-
vation of energy.
D. Optical Hall Effect Tensor Models
1. Lorentz-Drude Model (Classical Mechanics Approach)
Charge carriers, subject to a slowly varying magnetic field, obey
the classical Newtonian equation of motion (Lorentz–Drude
model) [115]:
m̈x  mγ x_  mω20 x
qE  q_x × B; (19)
where x is the carrier’s spatial coordinate. The remaining con-
stitutive parameters are the effective mass tensor (m), the
Newtonian friction tensor (γ), the eigen-resonance frequency
tensor of the undamped system without external magnetic field
(ω0 ), and the carrier’s charge (q). A useful abbreviation is the
optical mobility tensor:
μopt
qm−1 γ −1 : (20)
With the Ansatz of a time harmonic electromagnetic plane
wave with an electric field E → E exp−iωt (phasor) with an-
gular frequency ω, the time derivative of the spatial displace-
ment of the charge carrier x_
v also becomes time
harmonic v → v exp−iωt, where v stands for the drift veloc-
ity of the charge carrier. Introducing the current density,
j
N qv, Eq. (19) reads:
 
1 m 2
E
i ω − ω I − iωγj  B × j ;
2
(21)
N q qω 0
where N is the charge density parameter. With the Levi–Cevita
symbol εijk , the conductivity tensor σ, the dielectric constant
ε0 , and using E
σ −1 j and ε
I  iεσ0 ω , the contribution χ D
to the dielectric tensor of free charge carriers subject to the ex-
ternal magnetic field B can be expressed as [147]
2
L−D
N q m ω2 − ω2 − iωγ  − iωε qB −1 :
χ ik (22)
ik ik ijk j
ε0 0;ik
Polar lattice vibrations (Lorentz oscillator): For conven-
iently achievable magnetic field strengths (10–15 T), the mass
of the vibrating atoms of polar lattice vibrations render the field
leading term in Eq. (22) small compared with the mass leading
term and can be neglected. Therefore, the dielectric tensor of
polar lattice vibrations εL can be approximated using Eq. (22)
with B
0. Hence, χ 
χ − , and χ LB
0. When assuming
isotropic constitutive parameters (fX ii
X jj ∧ X ij
0g ∀ i ≠ j,
for X
fm; ω0 ; γg), the result is a simple harmonic oscillator
function with Lorentzian-type broadening, εL [66,115,148].
For materials with orthorhombic crystal system, the effective
mass, eigenfrequency, and mobility tensors typically have the
same eigensystem. The dielectric tensor can in this case be
diagonalized to 0 L 1 tween discrete energy levels, e.g., inter-Landau level transitions,
εx 0 0
εL
I  χ L
@ 0 εLy 0 A: (23)
0 0 εLz
If this class of materials possesses multiple optical excitable
lattice vibrations, the diagonal elements εLk (k
fx; y; zg) can
be expressed by [149,150]
1559
Y
l ω2  iωγ
LO;k;j − ωLO;k;j
2
εLk
1  χ Lk
ε∞;k ; (24)
j
1
ω2  iωγ TO;k;j − ω2TO;k;j
where χ Lk , ε∞;k , ωLO;k;j , γ LO;k;j , ωTO;k;j , and γ TO;k;j denote the
k
fx; y; zg component of the electric susceptibility of polar
lattice vibration, the high-frequency dielectric constant, the
frequency and broadening parameters of the jth longitudinal
optical (LO), and transverse optical (TO) phonon modes, re-
spectively, while the index j runs over l modes [8,149–154].
Free charge carriers (extended Drude model): For free
charge carriers, no restoring force is present, and the eigenfre-
quency tensor of the system is ω0
0. For isotropic effective
mass and conductivity tensors, and magnetic fields aligned
along the z axis, Eq. (22) can be written in the form
χD
χD
B
0  χ B ;
D
(25)
with the Drude contribution to the dielectric tensor for B
0
ω2p
B
0
−
χD I
χ D I; (26)
ωω  iγ
where the isotropic plasma frequency is defined as
sffiffiffiffiffiffiffiffiffi
N q2
ωp
; (27)
mε0
and χ D is the isotropic Drude contribution to the dielectric
function for B
0. Using Eq. (11), the magneto-optic contri-
bution χ D
B to the dielectric tensor for isotropic effective masses
and conductivities can be expressed through susceptibility
functions for right- and left-handed circularly polarized light:
χD
χ
ωc ; (28)
1  ωiγ
where the isotropic cyclotron frequency is defined as
qjBj
ωc
: (29)
m
2. Landau Level Model (Quantum Mechanics Approach)
Absorption of light by free charge carriers changes their
momentum and is affected by the Lorentz force in the presence
of a magnetic field. If the free charge carrier scattering time is
high enough, cyclotron orbits of electrons (holes) in 2D con-
finement quantize into Landau levels. Such levels are charac-
terized by certain allowed orbits within momentum space.
Absorption of light can only occur by transitions between
Landau levels and must obey optical selection rules: for exam-
ple, jn 0 j
jnj  1 for transitions between levels with numbers
n and n 0 [60,155,156]. Landau level quantization can, for ex-
ample, appear in decoupled graphene mono-layers, coupled
graphene mono-layers, and graphite at low temperatures.
The absorption of light due to the transition of an electron be-
can be described by Fermi’s golden rule. At a given temperature
T ≠ 0 each Landau level possesses a mean lifetime τk
1∕γ k .
Therefore, the spectral function describing the absorption proc-
ess of a series of inter-Landau level transitions can be written as
a sum of Lorentz oscillators. The quantities χ  in Eq. (11) can
be expressed by
 1560 Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A Tutorial

X Ak either a field-phasor description (Jones vector approach) or

χ 
e iφ ; (30)
k
ω20;k − ω2 − iγ k ω an intensity description (Stokes vector approach). The concept
that permits both experimental and theoretical access to sample
where Ak , ω0;k , and γ k are the amplitude, energy, and broad- descriptive parameters (Jones or Mueller matrix elements) is
ening parameters of the kth transition, respectively, which in magneto-optic generalized ellipsometry. For samples with plane
general depend on the magnetic field. The phase factor φ surfaces and interfaces, the optical Hall effect can be measured
was introduced empirically here to describe the experimentally in reflection or transmission and at oblique and/or normal in-
observed line shapes of the optical Hall effect in graphite and cidence. The normal incidence situations are identical to the
graphene. For example, transitions in graphite or bi-layer traditional Faraday (normal transmission) and Kerr (normal re-
graphene are best described by φ
π∕4, and φ
0 for tran- flection) magneto-optic configurations. The Faraday and Kerr
sitions in single-layer graphene [20,157]. Note that for φ
0, configurations can therefore be regarded as special cases of the
the polarizabilities for left- and right-handed circularly polar- optical Hall effect. At oblique incidence one gains two advan-
ized light are equal χ 
χ − , and χ LLB is diagonal [158]. tages: first, the equality between p and s polarization is removed
The Hamiltonian for conduction band electrons in graphite providing added information. Second, light propagation at vari-
with effective mass m [159], situated in the parabolic energy ous directions can be imposed within the sample. Thereby, the
bands, at a magnetic field strength B ⊥ perpendicular to the tensor elements of the optical Hall effect, which relate to polari-
plane of confinement, is equivalent to the Hamiltonian of zation properties perpendicular to the sample surface, can be
the quantum mechanical oscillator. Therefore, the resulting measured.
eigenvalues of the Hamiltonian are linear in B ⊥ :
A. Jones and Mueller Matrix Calculus
Graphite n; B ⊥ 
ℏωc n  n0 ;
E LL (31)
Two conceptually different mathematical approaches are useful
where e, ℏ, n, n0
12 , and ωc
me B ⊥ denote the elementary to connect experimental optical Hall effect data with model
charge, the reduced Planck constant, the Landau level number,
calculations. The Jones calculus and the Mueller–Stokes calcu-
the factor for the zero-point energy, and the cyclotron fre-
lus assume that all electromagnetic interactions with optical
quency, respectively [145,148,160]. The eigenvalues of the
instrument components and the sample are linear in the
Hamiltonian of massless fermions in single-layer graphene
electromagnetic field amplitudes.
[161], decoupled graphene sheets [162], and the mono-
layer-like branch of the eigenvalues of the Hamiltonian of
1. Jones Formalism
Bernal-stacked N-layer
pffiffiffiffiffiffiffiffigraphene
ffi with an odd number of layers
[60] depend on jB ⊥ j: Linear interactions of a plane electromagnetic wave with an
pffiffiffiffiffiffi object, such as a sample (Fig. 4), can be characterized by a
SLG n; B ⊥ 
signnE 0
E LL jnj; (32) matrix J for the electric field vectors [164] Ein and Eout :
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
with E 0
c˜ 2ℏejB ⊥ j , where c˜ is the average Fermi velocity.
The bi-layer-like branch of the eigenvalues of the Hamiltonian Eout
JEin : (34)
of Bernal-stacked N-layer graphene follows a sublinear behavior
in B ⊥ [57,60,163]: The matrix J, called Jones matrix [165], is a dimensionless,
complex-valued 2 × 2 matrix, and can be written as
N −BLG n; μ; B ⊥ 
E LL
1

signn pffiffiffi λN γ2  2jnj  1E 20
2
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
 μ λN γ4  22jnj  1E 20 λN γ2  E 40 1∕2 ; (33)
with an inter-mono-layer coupling constant γ, layer number
parameter λN [60], and where μ
−1; 1 corresponds to
the higher and lower subbands in the limit of zero magnetic
field, respectively [60].

3. OPTICAL HALL EFFECT IN SAMPLES WITH

PLANE INTERFACES
Measurement of the optical Hall effect will be discussed in a
forthcoming second part of this paper. Here we introduce
the concepts required for setup of optical Hall effect instrumen-
tation and data analysis. The interaction of light with a speci-
men subjected to magnetic fields, internal or external to a given
specimen, can be described by the Maxwell’s postulates.
Conveniently accessible experimental conditions involve plane
electromagnetic waves and samples with plane surfaces and
interfaces. The interaction of the light can then be cast into
Fig. 4. Wave vector kin of the incoming electromagnetic plane wave
and the sample normal n define the angle of incidence Φ and the plane
of incidence. The amplitudes of the electric field of the incoming Ein
and the reflected Eout plane wave can be decomposed into complex
field amplitudes E in in out out
p , E s , E p , and E s , where the indices p and s
stand for parallel and perpendicular to the plane of incidence,
respectively.
 Tutorial Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A 1561

 
jpp jps Sout
MSin ; (38)
J
jsp jss : (35)
where S and S denote the Stokes vectors of the electromag-
out in

netic plane wave before and after the transformation. The

The four matrix elements jij are better known as the Fresnel Mueller matrix is a dimensionless, real-valued, 4 × 4 matrix:
coefficients [121] for polarized light. For example, the individ- 0 1
ual (e.g., reflection, Fig. 4) coefficients are defined by M 11 M 12 M 13 M 14
B M 21 M 22 M 23 M 24 C
   out  M
B @ M 31 M 32 M 33 M 34 A:
C (39)
E out
p Es
r pp
; r ps
; M 41 M 42 M 43 M 44
E in
p E inp
s
0
E in E in
0
   out 
s

E out
p Es 3. Jones to Mueller Matrix Transformation
r sp
; r ss
: (36)
E in
s p
0
E in E in
s p
0
E in Any Jones matrix can be converted into a Mueller matrix; the
inversion, however, is not possible in all cases. Individual
where E in in out out
p , E s , E p , and E s are the projections of the electric Mueller matrix elements can be calculated from the Jones
field vectors into the plane parallel (p) and perpendicular (s) to matrix by [167]
the plane of incidence of the incoming (in) and outgoing (out) 1
wave. For completely polarized light and nondepolarizing inter- M ij
TrJσ i J† σ j ; (40)
2
actions, the Jones matrix represents a complete mathematical
where J† is the Hermitian conjugate of the Jones matrix, and σ i
description of any nondepolarizing transformation of the
is a set of 2 × 2 matrices comprising of the unity matrix and the
polarization state of a plane electromagnetic wave, e.g., on a
Pauli matrices [167]:
surface [46,166,167].    
1 0 1 0
σ1
; σ2
; (41)
2. Mueller–Stokes Formalism 0 1 0 −1
Instead of electric field amplitudes, the Mueller–Stokes formal-
ism describes the transformation of the polarization state based    
0 1 0 −i
on time-averaged polarized intensities. The polarization state is σ3
; σ4
: (42)
determined by the real-valued, 4 × 1 Stokes vector S [168]. The 1 0 i 0
Stokes vector can be obtained from time averages over products The resulting Mueller matrix can be expressed as the sum of
of the electric field components in terms of the p- and two matrices M
Mis  Man , with Mis including only terms
s-coordinate system independent of jps and jsp . With the reflection case as an example,

0 1

2 r pp r pp  r ss r ss  2 r pp r pp − r ss r ss 
1 1
0 0
B



C
2 r pp r pp − r ss r ss  2 r pp r pp  r ss r ss 
1 1
B 0 0 C
Mis
B C; (43)
@ 0 0 Rer pp r
ss  Imr pp r
ss  A
0 0 −Imr pp r
ss  Rer pp r
ss 
and Man including all terms dependent on r ps and r sp ,
0 1 r r
 r r
 − 12 r ps r
ps − r sp r
sp  Rer pp r
ps  r ss r
sp  Imr pp r
ps − r ss r
sp  1
2 ps ps sp sp
B 1 r r
− r r
 − 12 r ps r
ps  r sp r
sp  Rer pp r
ps − r ss r
sp  Imr pp r
ps  r ss r
sp  C
B ps ps sp sp C
Man
B 2 C: (44)
@ Rer pp r
sp  r ss r
ps  Rer pp r
sp − r ss r
ps  Rer ps r
sp  −Imr ps r
sp  A
−Imr pp r
sp − r ss r
ps  −Imr pp r
sp  r ss r
ps  −Imr ps r
sp  −Rer ps r
sp 

0 1 0 1 0 1

 E E
Equations (43) and (44) display that the Mueller matrix can
E
B S 1 C B p p
E s s C B Ip  Is C be decomposed into four sub-matrices, where the matrix
B S 2 C B E p E p − E s E
s C B I p − I s C 
B C
B C B C
B S 3 C B E p E
s  E
p E s C
B I 45 − I −45 C (37) elements of the two off-diagonal blocks
M 13 M 14
and
@ A @ A @ A M 23 M 24
S4 iE p E
s − E
p E s  I σ − I σ−  
M 31 M 32
only deviate from zero if p- and s-polarization
M 41 M 42
and, thus, provides experimental access through quantities I p ,
mode conversion appears, that is, r ps ≠ 0 and r sp ≠ 0. The ma-
I s , I 45 , I −45 , I σ  , and I σ− , which denote the intensities for the  
p-, s-, 45°, −45°, right- and left-handed circularly polarized M 11 M 12
trix elements in the two on-diagonal blocks and
light components, respectively [46,169]. The Mueller matrix M 21 M 22
 
M is a convenient mathematical construct that transforms M 33 M 34
are typically different from zero and contain
Stokes vectors S [45,46,118,170]: M 43 M 44
 1562 Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A Tutorial

information about p- and s-polarization mode conserving particular optical Hall effect. An example is discussed further
processes. below for the occurrence of Faraday rotation at Landau level
transitions in graphene [86].
4. Optical Hall Effect Mueller Matrix
The Mueller matrix of a sample consisting of multiple (k) con- B. 4 × 4 Matrix Formalism
stituents of dielectric materials with dielectric function tensor ε The Jones and Mueller matrix formalisms describe the changes of
and subjected to a magnetic field may be written as polarization, observable by magneto-optic generalized ellipsom-
MB
Mεk
B≠0 : (45) etry from the external perspective to a given sample. The sample
internal processes leading to the external change in the polariza-
Explicit expressions for the elements of MB
are complex and tion state can be treated conveniently by a 4 × 4 matrix formal-
intricate and depend on many parameters and experimental ism. Extending and generalizing the work by Berreman [174], a
circumstances. A matrix formalism is described further 4 × 4 matrix formalism was introduced [124], which enables fast
below, which allows for convenient calculation of MB . The computational modeling of generalized ellipsometry parameters
decomposition M
Mis  Man is conceptually important for arbitrary anisotropic media [45–47,175]. Quintessential to
when inspecting changes of the elements upon field reversal. Schubert’s version of the 4 × 4 formalism is the replacement
For example, when the optical Hall effect tensor is diagonal, of the first-order differential equation:
the field-induced changes in the off-diagonal blocks are zero. ∂Ψ ω

i ΔΨ; (47)
5. Faraday and Kerr Rotations ∂z c
In the literature, magneto-optic effects are often quantified for the electromagnetic fields components Ψ

in terms of the Faraday or Kerr rotation in case of transmission- E x ; E y ; H x ; H y T within a plane (x, y) at arbitrary z, by the
or reflection-type experiments, respectively (see, e.g., transfer matrix equation:
0 I1 0 T1
[56,62,68,86,103,114,171–173], and references in Section 1). Ep Ep
The Faraday and Kerr rotations are the simplest cases where, B E Is C B ET C
B C B s C
experimentally, magneto-optic effects can be accessed and @ E Rp A
L@ E B A; (48)
p
quantified. These cases establish the optical Hall effect at nor- EsR
E Bs
mal incidence. In both cases a sample is exposed to a homo-
geneous quasi-static magnetic field, and linear polarized light for the electric field amplitudes E p (E s ) parallel (perpendicular)
is sent onto the sample. After interaction with the sample, to the plane of incidence, of the incoming (I), reflected (R),
the light becomes elliptically polarized due to the magneto-op- transmitted (T), and backward-traveling (B) electromagnetic
tic birefringence. The Faraday or Kerr angle is defined as the waves (Fig. 5). The medium in which the reflected electromag-
angle a linear polarizer must be oriented in the reflected/ netic plane wave travels shall be called R (complex index of re-
transmitted beam with respect to the incoming polarization fraction nR ), the medium in which the transmitted wave travels
direction in order to detect maximum signal. The incoming T (nT ). Between medium R and T m layers with parallel inter-
polarization direction can be arbitrarily chosen but must re- faces and homogenous optical properties are embedded. For op-
main fixed during the procedure of finding the Faraday or tically isotropic media R and T, the complex-valued 4 × 4
Kerr angle. In the Mueller matrix formalism, this angle can transfer matrix L can be expressed as the product
Y m 
be expressed generally for both Faraday and Kerr rotation
L
L−1R L Pk LT : (49)
configurations, by elements of the optical Hall effect k
1
Mueller matrix M Bij :

 B 
1 M 31  M B32 cos2β  M B33 sin2β  tan2β M B21  M B22 cos2β  M B23 sin2β 
ϕKF
arctan ; (46)
2 M B21  M B22 cos2β  M B23 sin2β  tan2β M B31  M B32 cos2β  M B33 sin2β 

where β is the angle of the input polarization with respect to the

p direction of the coordinate system into which MB is cast. The The elements of the incident and exit matrix LR;T i;j

upper or lower signs in Eq. (46) stand for Faraday or Kerr an- ΞR;T ji are composed of eigenvectors ΞR;T of matrices ΔR;T
gles, respectively. Equation (46) is the most general description for incident and exit mediums, respectively. Matrix Δ is the
of Faraday and Kerr rotation angles. It covers the possibilities characteristic matrix of a given homogeneous medium, defined
that the sample itself is anisotropic. The equation also is valid through Eq. (47):
for arbitrary orientation of the magnetic field. Note further that 0 ε 2 1
it is often assumed for a Faraday or Kerr rotation measurement −k x εεzxzz −kx εzzzy 0 1 − εkzzx
that the sample itself is not anisotropic. Faraday and Kerr ro- B −1 0 C
B 0 0 C
tation measurements convolute the information from multiple Δ
B −ε  ε εzx k2 − ε  ε εzy 0 kx εzzyz C
ε ;
@ yx yz εzz x yy yz εzz A
Mueller matrix elements M Bij into one result. A deconvolution εxx − εxz εzz εzx
εxy − εxz εzz
εzy εxz
0 −kx εzz
is difficult, in general, and Faraday or Kerr rotation measure-
ments may provide insufficient insight into the cause of a (50)
 Tutorial Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A 1563

as qj (j
0…3). Two eigenvalues q j , associated with the

eigenmodes Ξj within each layer k, have positive real parts
and correspond to the transmitted (forward traveling) electro-
magnetic plane. Accordingly, the two eigenvalues with negative
real parts belong to backward-traveling electromagnetic waves.
The eigenvalues qj (j
0…3) are the key to using the matrix
formalism for calculating optical Hall effect Mueller matrix el-
ements. Explicit solutions for these eigenvalues were provided
Fig. 5. Schematic presentation, under the incoming angle Φ, of the in [124] when the dielectric tensor elements are symmetric (no
electromagnetic wave EI , and the reflected ER , transmitted ET , and magneto-optic effects) and in [178] for dielectric tensor ele-
backward-traveling electromagnetic waves EB used in the 4 × 4 matrix ments, which are fully nonsymmetric (including magneto-optic
formalism. The medium into which the wave is reflected (transmitted) effects). The eigenvalues q j (j
0…3) are further key to cal-
is labeled R (T). Between the media R and T, n slabs of parallel layers culating matrix elements LR;T i;j when either or both incident
with homogenous optical properties may be located. Backward- and exit medium consist of materials, which reveal magneto-
traveling waves EB in the medium T are permitted. Plane (x, y) is
parallel to the interfaces/surfaces; z points into the surface. The surface
optic properties. For example, the case of a substrate-ambient
is the interface against which the incoming beam is directed. situation is calculated by Eq. (49) with all partial transfer ma-
trices replaced by unity matrices, and matrix LT contains any of
the dielectric tensor models described above via characteristic
matrix Δ and its subsequently derived eigenvectors ΞT ji .
where kx
nR sin Φ is the projection of the wave vector of the The complex Fresnel reflection coefficients [Eq. (36)] [179]
incoming electromagnetic plane wave onto the x axis. For are calculated from the elements Lij of the transfer matrix L in
isotropic materials, Eq. (49):
0 1
0 1 −nR cos Φ−1 0 L11 L43 − L13 L41 L33 L41 − L31 L43
1B 0 1 nR cos Φ−1 0 C r pp
; r ps
;
L−1 B
R
@ cos Φ−1
C; (51) L11 L33 − L13 L31 L11 L33 − L13 L31
2 0 0 n−1 A
R L L − L13 L21 L L − L31 L23
−cos Φ−1 0 0 n−1
R r sp
11 23 ; r ss
33 21 : (57)
L11 L33 − L13 L31 L11 L33 − L13 L31
0 1 Using the 4 × 4 matrix formalism, it can be shown that, if
0 0 cos ΦT cos ΦT the dielectric tensors of all k layers have diagonal shape εl m
0
B 1 1 0 0 C (with l ≠ m), the off-diagonal elements of the Jones matrix van-
LT
B
@ −nT cos ΦT
C:
nT cos ΦT 0 0 A ish, i.e., r ps
r sp
0. Thus, isotropic media and anisotropic
0 0 nT nT media in special measurement configurations (crystallographic
(52) or magnetic field orientations) exhibit no p- or s-polarization
mode conversion. Therefore, the p- and s-polarization mode
The angle ΦT under which the electromagnetic plane wave
conversion describing Jones matrix ellipsometry parameters
is transmitted into medium T is given by
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi vanish Ψps
Ψsp
0. Accordingly, all elements in Man
cos ΦT
1 − nR ∕nT 2 sin2 Φ: (53) vanish.

The partial transfer matrices of the layers k with thickness C. Example: The Optical Hall Effect at Normal
d k are obtained from a serial expansion of the matrix Δk for Incidence in Graphene
layer k:   X 3 Explicit expressions for description of the Mueller matrix ele-
ω j ments MB are lengthy and may be cumbersome to obtain.
LPk
exp −i Δk d k
βjk Δk : (54)
c j
0 However, it is insightful to derive such expressions, in particular
The complex scalars βjk j
0…3 are defined by (the in- for comparatively simple cases. An example is included here for
dex k is dropped) [176] description of the optical Hall effect on a 2D gas of free charge
carriers. A nearly ideal realization of such system is single-layer
X
3 expiωqj −d ∕c graphene. Depending on the level of the Fermi energy, the sys-
βn
αn ; (55)
j
0
qj − q k qj − ql q j − qm  tem is composed of free electrons or free holes and may trans-
late laterally under the influence of electric fields with large
with the parameters scattering times and hence small plasma broadening. If brought
α0
−qk ql qm ; into an external magnetic field, quantization into Landau levels
occurs. As a result, carriers can only uptake energy by transi-
α1
q k q l  q k q m  q l q m ; tions into higher Landau levels, separated by energy quanta,
α2
−qk  ql  q m ; which reveal, for example, the linear dispersion of holes and
electrons in graphene in the vicinity of the Fermi energy. It
α3
1; (56)
is insightful to use the above-described model system and derive
with fk; l ; mg
f0; 1; 2; 3gnfjg [177]. The four complex- explicit expressions for the Faraday rotation angle. The 4 × 4
valued eigenvalues of the matrix Δ for layer k are denoted matrix algorithm is exploited for this purpose where one partial
 1564 Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A
transfer matrix is evaluated to represent the single-layer gra-
phene. When conducted in the far- to mid-infrared spectral
range, the thickness d graphene of the transfer matrix model layer
is much smaller than the wavelength λ. Therefore the partial
transfer matrix is most easily obtained by simple linearization
in Eq. (54). Matrices LR;T are as shown above.
A key question is which model system to select. Ideally, sym-
metric bands for holes and electrons should permit Landau
level transitions in single-layer graphene with equal probability
for left- and right-handed circularly polarized light. As dis-
cussed in Section 2.D.2, the polarizabilities for left- and right-
handed circularly polarized light are equal χ 
χ  , and
χ LL
B is diagonal. Accordingly, at normal incidence, no
Faraday or Kerr rotation should be observable in single-layer
graphene. This is intriguing because clear experimental evi-
dence was recently shown by Crassee et al. [86]. On the other
hand, oblique angle of incidence optical Hall effect measure-
ments provided clear evidence that Landau-level transitions
in single-layer graphene are independent on polarization, as
shown by Kühne et al. [20]. Indeed, if the Landau-level model
described in Section 2.D.2 is implemented for the dielectric
function tensor of the graphene layer, at normal incidence, all
elements of Man vanish, and the Faraday/Kerr rotation is zero
regardless of B. However, as detected and discussed by Kühne
et al. [20], a certain amount of free charge carriers remains
unaffected by confinement into Landau levels, and a Drude
term needs to be augmented to the model system. Then,
M 21
M 31
0, M 22
M 33 , and M 32
M 23 , where
the upper stands for transmission through (Faraday) and the
lower for reflection from (Kerr) the sample. The Faraday/
Kerr angle can then be expressed as
 
1 M 23
ϕ
arctan : (58)
2 M 33
A sheet carrier density can be introduced N s
N d graphene
where N is the volume carrier density, and the meaning of
the plasma frequency parameter can be redefined as that
of a 2D sheet (ωp → ωp d graphene ). As a result, in the limit
for d graphene → 0, the Faraday/Kerr rotation angle for single-
layer graphene at normal incidence can be expressed as
1
ϕ
 arctan
2 Governmental Agency for Innovation Systems (2011-03486,


Reχ eff
B 1  nT − iχ LL  − γjχ B j
eff 2
× 2ωc ; (59)
j1  nT  iω  iγχ eff
B  χ LL j − jχ B j
2 eff 2
where nT is the index of refraction of the isotropic substrate and
ω ω  iγ ω2p 1 REFERENCES AND NOTES
B

χ eff ; χD
B
0
− : 1. M. Schubert, T. Hofmann, and C. M. Herzinger, “Generalized far-in-
c ω  iγ2 − ω2c c ω  iγ2 − ω2c
(60)
It is then clear that the Landau-level transitions in single-
layer graphene contribute to the Faraday/Kerr rotation only be-
cause of the presence of free charge carriers. Because only one
type of free charge carrier can be available in graphene (set by
the location of the Fermi level), at long wavelength a small ro-
tation angle is measurable. The rotation angle vanishes when
the sheet density is zero. The Landau contributions only enter
B χ LL . This is an interesting observation because it
as product χ eff
Tutorial
appears as if the species contributing to Landau transitions cou-
ple with the species that contribute to the plasma motion, while
no coupling was explicitly introduced, except for merely adding
the two contributions. Such addition is frequently used to ren-
der the actual physical coupling of longitudinal-optical phonon
modes with plasmon modes in polar semiconductors with free
charge carriers [40,148]. A similar coupling mechanism can be
described here when inspecting the determinant of the inverse
of the dielectric function tensor and which shall be the subject
of future work.
4. SUMMARY
We provided a rationale for the inception of the optical Hall
effect as a physical phenomenon, which describes the occur-
rence of magnetic-field-induced dielectric displacement at op-
tical wavelengths analogous to the static electrical Hall effect.
We presented an overview of approaches to model the optical
Hall effect suitable for complex layered semiconductor materi-
als. The optical Hall effect dispenses with the need for electrical
contacts, and electrical material properties such as effective
mass and mobility parameters, including their anisotropy as
well as carrier type and density, can be obtained. We provided
a review on the concept of generalized ellipsometry, which per-
mits measurement of the optical Hall effect. In a forthcoming
report, we will describe approaches and strategies in data
acquisition and data analysis. We will review previous cases
and discuss that spectroscopic data taken over large regions
of the wavelength spectrum and at multiple angles of incidence,
combined with variations of magnetic field strength and direc-
tion, for example, can provide unique sensitivity to volume or
sheet charge density, optical mobility, effective mass, and
signature (hole, electron) of free charge carriers. We believe that
the physical model approach presented in this paper will stimu-
late development of further theories for emerging materials and
device structures. We also envision the optical Hall effect to
become a useful and widespread technique analogous to the
electrical Hall effect.
Funding. National Science Foundation (NSF) (CMMI
1337856, DMR 1420645, EAR 1521428, EPS 1004094);
Vetenskapsrådet (VR) (2010-3848, 2013-5580); Swedish
2014-04712); Swedish Foundation for Strategic Research
(SSF) (FFL12-0181, RIF14-055); J. A. Woollam Foundation.
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 1568 Vol. 33, No. 8 / August 2016 / Journal of the Optical Society of America A
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142. Corresponding expressions for arbitrary orientations of the magnetic
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AR ϕ;θ;ψ EC , with the Euler angles given by
B R
jBj
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T parameters can be used to characterize the electric field amplitude,
143. Corresponding transformation matrices for arbitrary orientations of
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AR −1 C R
φ;θ;ψ  A Aφ;θ;ψ , with
the Euler angles given by jBj B

AR
φ;θ;ψ 0; 0; 1 T.
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!
177. For example, j
2 f k; l ; mg
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