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VI. Electrons in a Periodic Potential A. Energy Bands and Energy Gaps in a Periodic Potential B. Metals, Insulators, and Semiconductors C. Energy Bands and Fermi Surfaces in 2-D and 3-D Systems D. Bloch’s Theorem E. Using Bloch’s Theorem: The Kronig-Penney Model F. Empty Lattice Bands and Simple Metals G. Density of States for a Periodic Potential H. E(k) and N(E) for d-electron Metals I. Dynamics of Bloch Electrons in a Periodic Potential J. Effective Mass of Electrons K. Electrons and Holes

VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

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Page 1: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

VI. Electrons in a Periodic Potential

A. Energy Bands and Energy Gaps in a Periodic Potential

B. Metals, Insulators, and Semiconductors

C. Energy Bands and Fermi Surfaces in 2-D and 3-D Systems

D. Bloch’s Theorem

E. Using Bloch’s Theorem: The Kronig-Penney Model

F. Empty Lattice Bands and Simple Metals

G. Density of States for a Periodic Potential

H. E(k) and N(E) for d-electron Metals

I. Dynamics of Bloch Electrons in a Periodic Potential

J. Effective Mass of Electrons

K. Electrons and Holes

Page 2: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

A. Energy Bands and Energy Gaps in a Periodic Potential Recall the electrostatic potential energy in a crystalline solid along a line passing through a line of atoms:

bare ions

solid

Along a line parallel to this but running between atoms, the divergences of the periodic potential energy are softened:

A simple 1–D mathematical model that captures the periodicity of such a potential is:

a

xUUxU

2cos)( 10

U

x

010 UU

Page 3: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Electron Wavefunctions in a Periodic Potential

Consider the following cases:

Electrons wavelengths much larger than a, so wavefunctions and energy bands are nearly the same as above

01 U )( tkxiAe m

kE

2

22

ak

U

01

Wavefunctions are plane waves and energy bands are parabolic:

ak

U01 Electrons waves are strongly back-scattered (Bragg scattering) so

standing waves are formed: tiikxikxtkxitkxi eeeAeeC

2

1)()(

ak

U

01 Electrons wavelengths approach a, so waves begin to be strongly back-scattered :

)()( tkxitkxi BeAe AB

Page 4: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Electron Energies in a Periodic Potential

There are two such standing waves possible:

titiikxikx ekxAeeeA )cos(2

21

21

titiikxikx ekxiAeeeA )sin(2

21

21

)(cos2 22*axA

)(sin2 22*axA

ak These two approximate solutions to the S. E. at have very different potential energies. has its peaks at x = a, 2a, 3a, …at the positions of the atoms, where U is at its minimum (low energy wavefunction). The other solution, has its peaks at x = a/2, 3a/2, 5a/2,… at positions in between atoms, where U is at its maximum (high energy wavefunction).

*

*

We can do an approximate calculation of the energy difference between these two states as follows. Letting U0 = 0 for simplicity, and remembering U1 < 0:

a

xax

ax

ax

a

x

dxUAdxxUEE0

2221

2

0

** )(sin)(cos)cos(2)(

ax2cosa

A 1

Page 5: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Origin of the Energy Gap

In between the two energies there are no allowed energies; i.e., an energy gap exists. We can sketch these 1-D results schematically:

a

xa

xa dxUEE

0

221

2 )(cos Now use the identity:

xx 2cos1cos 212

ga

axa

aU

a

xa

xa

U EUxdxEE

104

40

4 )sin()cos(1 11

E

kx

a

a

E-

E+

Eg

“energy gap”

The periodic potential U(x) splits the free-electron E(k) into “energy bands” separated by gaps at each BZ boundary.

Page 6: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Different Representations of E(k)

If we apply periodic boundary conditions to the 1-D crystal, the energy bands are invariant under a reciprocal lattice translation vector:

iGkEGkE an ˆ)()( 2

The bands can be graphically displayed in either the (i) extended zone scheme; (ii) periodic zone scheme; or (iii) reduced zone scheme.

(i) extended zone scheme: plot E(k) from k = 0 through all possible BZs (bold curve)

(ii) periodic zone scheme: redraw E(k) in each zone and superimpose

(iii) reduced zone scheme: all states with |k| > /a are translated back into 1st BZ

1G

Page 7: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

B. Metals, Insulators, and Semiconductors

It is easy to show that the number of k values in each BZ is just N, the number of primitive unit cells in the sample. Thus, each band can be occupied by 2N electrons due to their spin degeneracy.

E

kx

a

a

E-

E+

Eg

A monovalent element with one atom per primitive cell has only 1 valence electron per primitive cell and thus N electrons in the lowest energy band. This band will only be half-filled.

EF

The Fermi energy is the energy dividing the occupied and unoccupied states, as shown for a monovalent element.

Page 8: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Metals, Insulators, and Semiconductors

For reasons that will be explained more fully later:

• Metals are solids with incompletely filled energy bands

• Semiconductors and insulators have a completely filled or empty bands and an energy gap separating the highest filled and lowest unfilled band. Semiconductors have a small energy gap (Eg < 2.0 eV).

Quick quiz: Does this mean a divalent element will always be an insulator?

Answer: In 1-D, yes, but not necessarily in 2-D or 3-D! Bands along different directions in k-space can overlap, so that electrons can partially occupy both of the overlapping bands and thus form a metal. But it is true that only crystals with an

even number of valence electrons in a primitive cell can be insulators.

Page 9: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

C. Energy Bands and Fermi Surfaces in 2-D and 3-D Lattices

Let’s analyze a simple square lattice of atoms with interatomic distance a. Its reciprocal lattice will also be square, with reciprocal lattice base vector of length 2/a.

The Brillouin zones of the reciprocal lattice can be identified with a simple construction:

12

2

2

233

3 3

3

33

3 2 /a

2 /a

Now consider what happens if we have a weak periodic potential and have atoms with 1, 2, and 3 valence electrons per atom. A truly free electron system would have a Fermi circle to define the locus of states at the Fermi energy.

Let’s see how the shape of the Fermi circle is distorted by the periodic petential.

Page 10: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

2-D Energy Bands and Fermi Circles

This figure shows the Fermi circles corresponding to 2-D crystals with one, two and 3 valence electrons per atom.

Note how the divalent crystal has a Fermi circle that cuts across the 1st BZ boundary (in red).

The different Fermi circles correspond to systems with successively higher EF values, as shown in this 2D band diagram. EF1

EF2

EF3

Page 11: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Shape of 2-D Energy Bands and Fermi “Circles”

This 2D band diagram shows how a weak periodic potential introduces gaps in the free-electron bands at the BZ boundary. Here, bands are shown along the [10] and [11] directions in k-space.

Thus, there is a similar discontinuity introduced into a free-electron Fermi circle any time it crosses a BZ boundary. This is illustrated for a 2-D divalent crystal:

EF2

Note that the Fermi circle does not completely fill the 1st BZ, so some electrons are in the 2nd BZ.

Page 12: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Schematic Shape of a 3-D Fermi Surface

In 3D crystals the periodic potential distorts the shape of a Fermi sphere in the vicinity of the BZ boundary. A schematic example for a simple cubic lattice and a crude model E(k) function is shown here:

Note that the Fermi circle does not completely fill the 1st BZ but makes contact with the 1st BZ boundary along the [100] directions.

Page 13: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Shape of 3-D Energy Bands in a Real Metal

In 3D the energy bands are plotted along the major symmetry directions in the 1st BZ. Many of the high symmetry points on the 1st BZ boundary are labeled by letters.

The gamma point ( ) is always the zone center, where k = 0.

Free-electron bands in an fcc crystal

Electron bands in Al

Page 14: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Shape of 3-D Fermi Surface in a Real Metal

Even if the free-electron Fermi sphere does not intersect a BZ boundary, its shape can still be affected at points close to the boundary where the energy bands begin to deviate from the free-electron parabolic shape. This is the case with Cu.

Just a slightly perturbed free-electron sphere!

Page 15: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

D. Bloch’s Theorem and Bloch Wavefunctions

This theorem is one of the most important formal results in all of solid state physics because it tells us the mathematical form of an electron wavefunction in the presence of a periodic potential energy. We will prove the 1-D version, which is known as Floquet’s theorem.

What exactly did Felix Bloch prove in 1928? In the independent-electron approximation, the time-independent Schrodinger equation for an electron in a periodic potential is:

ErUm

)(

22

2

)()( rUTrU

where the potential energy is invariant under a lattice translation vector :T

Bloch showed that the solutions to the SE are the product of a plane wave and a function with the periodicity of the lattice:

rkikk

erur

)()(

“Bloch functions”

)()( ruTrukk

where

cwbvauT

and

Page 16: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Heisenberg and Bloch

Who says physicists don’t have any fun?

Page 17: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Proof of Bloch’s Theorem in 1-D

1. First notice that Bloch’s theorem implies:

It is easy to show that this equation formally implies Bloch’s theorem, so if we can prove it we will have proven Bloch’s theorem.

Tkirkikk

eeTruTr

)()( Tkirki

keeru

)( Tki

ker

)(

Or just:Tki

kkerTr

)()(

2. Prove the statement shown above in 1-D:

Consider N identical lattice points around a circular ring, each separated by a distance a. Our task is to prove:

ikaexax )()(

12 N

3

)()( xNax Built into the ring model is the periodic boundary condition:

The symmetry of the ring implies that we can find a solution to the wave equation:

)()( xCax

Page 18: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Proof of Bloch’s Theorem in 1-D: Conclusion

If we apply this translation N times we will return to the initial atom position:

Now that we know C we can rewrite

)()()( xxCNax N

This requires 1NCAnd has the most general solution: ,...2,1,02 neC niN

ikaNni eeC /2Or: Where we define the Bloch wavevector:Na

nk

2

...)()()( DEQxexCax ika

It is not hard to generalize this to 3-D:Tki

kkerTr

)()(

But what do these functions look like?

rkikk

erur

)()(

Page 19: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Bloch Wavefunctions

This result gives evidence to support the nearly-free electron approximation, in which the periodic potential is assumed to have a very small effect on the plane-wave character of a free electron wavefunction. It also explains why the free-electron gas model is so successful for the simple metals!

Page 20: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

A Remarkable Consequence of Bloch’s Theorem:In the case of lattice vibrations in a crystal, we can calculate the propagation speed (group velocity) of a wave pulse from a knowledge of the dispersion relation:

Similarly, it can be shown using Bloch’s theorem that the propagation speed of an electron wavepacket in a periodic crystal can be calculated from a knowledge of the energy band along that direction in reciprocal space:

dk

dvg

group velocity: (1-D)

dk

dE

dk

dvg

1

electron velocity: (1-D)

)()( kkvkg

(3-D)

)(1

)( kEkvkg

(3-D)

This means that an electron (with a specified wavevector) moves through a perfect periodic lattice with a constant velocity; i.e., it moves without being scattered or in any way having its velocity affected!

But wait…does Bloch’s theorem prove too much? If this result is true, then what is the origin of electrical resistivity in a crystal?

Page 21: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

E. Using Bloch’s Theorem: The Krönig-Penney Model

Bloch’s theorem, along with the use of periodic boundary conditions, allows us to calculate (in principle) the energy bands of electrons in a crystal if we know the potential energy function experienced by the electron. This was first done for a simple finite square well potential model by Krönig and Penney in 1931:

Each atom is represented by a finite square well of width a and depth U0. The atomic spacing is a+b.

We can solve the SE in each region of space: ExU

dx

d

m

)(

2 2

22

0 < x < a xixiI BeAex )(

mE

2

22

-b < x < 0

U

x

0 a a+b2a+b 2(a+b)

U0

-b

QxQxII DeCex )(

m

QEU

2

22

0

Now do you remember how to proceed?

Page 22: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Boundary Conditions and Bloch’s Theorem

x = 0

The solutions of the SE require that the wavefunction and its derivative be continuous across the potential boundaries. Thus, at the two boundaries (which are infinitely repeated):

xixiI BeAex )(

QxQxII DeCex )(

Now using Bloch’s theorem for a periodic potential with period a+b:

x = a )(aBeAe IIaiai

DCBA (1) )()( DCQBAi (2)

)()()( baikIIII eba k = Bloch wavevector

Now we can write the boundary conditions at x = a:

)()( baikQbQbaiai eDeCeBeAe (3)

)()()( baikQbQbaiai eDeCeQBeAei (4)

The four simultaneous equations (1-4) can be written compactly in matrix form

Page 23: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Results of the Krönig-Penney Model

Since the values of a and b are inputs to the model, and Q depends on U0 and the energy E, we can solve this system of equations to find the energy E at any specified value of the Bloch wavevector k. What is the easiest way to do this?

0

1111

)()(

)()(

D

C

B

A

eQeeQeeiei

eeeeee

QQii

baikQbbaikQbaiai

baikQbbaikQbaiai

Taking the determinant and setting it equal to zero gives:

)(coscoshcossinhsin2

22

bakQbaQbaQ

Q

Page 24: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Numerical Solution of the Krönig-Penney Model

Using the values of a, b, and U0 we can construct the energy bands as follows:

1. Choose a value of k

2. Solve for the allowed energies E1(k), E2(k), E3(k) … numerically

3. Choose a new value of k

Using “atomic units” where , length is measured in Bohr radii (a0 = 0.529Å) and energy has units of Rydbergs (1 Ry = 13.6 eV), I chose arbitrary values of:

a = 5.0 a0 b = 0.5 a0 U0 = 5.0 Ry

and obtained the following set of energy bands:

12

2

m

4. Repeat step 2

Page 25: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Numerical Results of the Krönig-Penney Model

The 1st BZ has a maximum k value given by:

00max 57.0

5.5 a

rad

abak

You can see the same qualitative 1-D band structure we deduced from the approximate band gap calculation earlier!

Page 26: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

F. Empty Lattice Bands and Simple Metals

We expect that for a very weak periodic potential the energy bands of a solid should look like those of a free-electron gas system. The limit of a vanishing potential is called the “empty lattice”, and the empty-lattice bands are often plotted for comparison with the energy bands of real solids. But how are the empty lattice bands calculated? It is desirable to plot them in the reduced zone scheme, so we need to represent all of the translations of the fully periodic E(k) back into the 1st BZ.

The symmetry of the reciprocal lattice requires: )()( 1 GkEkE

Where k1 is a wavevector

lying in the 1st BZ.

So to represent all of the periodic bands in the reduced zone scheme:

2

1

2

1 2)()( Gk

mGkEkE

The sign is redundant, and Myers chooses to use only the minus sign. In principle all reciprocal lattice vectors G will be represented, but electrons can only propagate when the G vector satisfies the Bragg condition (i.e.,only those G that give nonzero structure factors).

Page 27: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Empty Lattice Bands for bcc Lattice

Myers illustrates this procedure for the bcc lattice by plotting the empty lattice bands along the [100] direction in reciprocal space. (For HW you will do this for the fcc lattice and the [111] direction)

ClBkAhGhkl

The general reciprocal lattice translation vector:

In our analysis of the structure factor, we used a simple cubic lattice, for which the reciprocal lattice is also simple cubic:

za

Cya

Bxa

A ˆ2

ˆ2

ˆ2

And thus the general reciprocal lattice translation vector is:

zla

yka

xha

Ghkl ˆ2

ˆ2

ˆ2

We write the reciprocal lattice vectors that lie in the 1st BZ as:

zza

yya

xxa

k ˆ2

ˆ2

ˆ2

1

The maximum value(s) of x, y, and z depend on the reciprocal lattice type and the direction within the 1st BZ, as we can see…..

Page 28: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

k Values in 1st BZ for bcc Lattice

We write the reciprocal lattice vectors that lie in the 1st BZ as:

zza

yya

xxa

k ˆ2

ˆ2

ˆ2

1

[100] 0 < x < 1

[110] 0 < x < ½ 0 < y < ½

The maximum value(s) of x, y, and z depend on the reciprocal lattice type and the direction within the 1st BZ. For example:

Remember that the reciprocal lattice for a bcc direct lattice is fcc! Here is a top view, from the + kz direction:

ky

kx

H

H

N

a

2

a

2

Page 29: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Empty Lattice Bands for bcc Lattice

Thus the empty lattice energy bands are given by:

We can enumerate the lowest few bands for the y = z = 0 case, using only G vectors that have nonzero structure factors (h + k + l = even):

{G} = {000}

22222

2

1

2 2

22)( lzkyhx

amGk

mkE hkl

20

222 2

2xEx

amE

{G} = {110} 1111 20

220 xExEE)110()101()011()110(

)110()110()101()011( 211 20

2220 xExEE

)200( 20 2 xEE

1111 20

220 xExEE)011()101()101()011(

{G} = {200}

)002( 20 2 xEE

42 20

220 xExEE)200()002()020()020(

Page 30: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Empty Lattice Bands for bcc Lattice: Results

Thus the lowest energy empty lattice energy bands for the bcc lattice are: 222

0)( lkhxEkE

0

1

2

3

4

5

6

0 0.2 0.4 0.6 0.8 1

x

E/E0

Series1

Series2

Series3

Series4

Series6

Series7

Series8

These are identical to the bands on p. 196 of Myers, except one higher lying band is missing from my plot.

Page 31: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

G. Density of States for a Periodic Potential

A weak periodic potential only perturbs the free-electron energy bands in the vicinity of the Brillouin zone boundaries, so the density of states N(E) closely resembles the ideal free-electron form:

m

kkE

2)(

22

However, it is clear that the perturbation of free-electron bands near the BZ boundaries will introduce sharp features in the N(E) where the gradient of E(k) goes to zero. Thus we can schematically plot N(E) for the simple metals:

E

dSVEN

k

38

2)(

for a 3-D system2/1)( CEEN

Page 32: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

H. Energy Bands and N(E) for Transition Metals

One new feature arises in the transition metals—the appearance of a series of partially filled d-electron bands. The s-bands overlap the d-bands in the first row transition metals, leading to band hybridization, as we can see in the energy bands of the transition metals:

For elements with the same type of crystal lattice, an increasing Z is accompanied by an increase in the Fermi energy, populating more and more of the d-electron states in the lattice.

(Note the series V Cr Fe and also the series Co Ni Cu)

Page 33: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

N(E) for Transition Metals

The d-bands are much narrower than s- and p-bands due to the greater localization of the d-electrons. As a result, the transition metals with partially filled d-bands have a much higher N(EF) than the simple metals. This means that these transition metals:

• are often very chemically reactive (especially with O)

• have very large heat capacities and magnetic susceptibilities• often display superconductivity

• make good catalysts (supply electrons to molecules that stick to metal surface)

Page 34: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

I. Dynamics of Bloch Electrons in an E Field

Earlier we noted that metals have partially-filled upper bands, while semiconductors and insulators have completely filled upper bands. What is the qualitative difference between filled and partially-filled bands?

For a single electron: vnej

For a collection of electrons: k

kvneJ

)(

For each electron: )(1

kEvk

But the symmetry of the energy bands requires: )()( kEkE

Thus we conclude: )()( kvkv

So for a filled band, which has an equal number of electrons with k positive and negative,

0)( stBZ1

kvneJ Filled energy bands carry no

current! We will see that this is true even when an electric field is applied.

Note: the electrons in filled bands are not stationary…there are just the same number moving in each direction, so the net current is zero.

Page 35: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Dynamics of Bloch Electrons in an E Field

The same argument that we made for filled bands also applies to a partially filled band in the absence of an electric field. However, when an external electric field is applied to a periodic solid, the electrons all experience a force F that causes a change in their k values:

The rate at which each electron absorbs energy from the field is the absorbed power: dt

kdEvF

dt

rdF

dt

dWg

)(

Substituting for the group velocity and using the chain rule, we have:

By comparing both sides, we have:

dt

kdkE

dt

kdEkEF

kk

)(

)()(

1

dt

kdF

The acceleration theorem

We could go on to write: dt

pdF c

where kpc

“crystal momentum”

But remember…pc is not the electron’s momentum, because F is only the external force and does not include the force of the lattice on the moving electron.

Page 36: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

The Bottom Line

Now we see that the external electric field causes a change in the k vectors of all electrons:

Eedt

kdF

If the electrons are in a partially filled band, this will break the symmetry of electron states in the 1st BZ and produce a net current. But if they are in a filled band, even though all electrons change k vectors, the symmetry remains, so J = 0.

Ee

dt

kd

E

kx

a

a

v

kx

When an electron reaches the 1st BZ edge (at k = /a) it immediately reappears at the opposite edge (k = -/a) and continues to increase its k value.

As an electron’s k value increases, its velocity increases, then decreases to zero and then becomes negative when it re-emerges at k = -/a!!

Thus, an AC current is predicted to result from a DC field! (Bloch oscillations)

Page 37: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Do We Ever Observe This?

Not until fairly recently, due to the effect of collisions on electrons in a periodic but vibrating lattice. However…

In both experiments the periodic potential was fabricated in an artificial way to minimize the effect of collisions and make it possible to observe the Bloch oscillations of electrons (or atoms!).

Page 38: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

But in Reality…

Bloch oscillations are not routinely observed because the electrons in a periodic system undergo collisions with ions in the lattice much too frequently. In practice this occurs on the time scale of the collision time (10-14 s). Let’s analyze the effect of an external electric field in this more realistic case:

kEe

dt

kd

The steady-state situation can be represented (for a nearly free electron metal) by a very small shift in the Fermi sphere:

This leads to a net current, since there is no longer perfect cancellation of terms corresponding to ±k values, as when E = 0.

xx

eEk

kx

ky

kx Ex

stBZ1

xx kvneJ )(

We can also write this as:

Jx = density of uncompensated e- e

velocity of uncompensated e-

FxFx veEENJ )( E energy shift of Fermi sphere

Page 39: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Nearly-free Electron Conductivity

We can simplify this expression through the chain rule:

Now using the approximation of a free-electron band E(k):

For a spherical Fermi surface, we can write

Which then yields:

x

ExFFxFxFx k

dk

dEENveveEENJ

F

)()(

F

xFFxxFxFFxx

eEENvekvENveJ

)()( 2

xFFFxx EENveJ )(22

22222 3 FxFzFyFxF vvvvv 22

3

1FFx vv

xxFFFx EEENveJ )(3

1 22 )(3

1 22FFF ENve

This result reduces to the free-electron gas expression (see right) when the FEG value of N(EF) is substituted, but it is more general and highlights the importance of the N(EF) and F in determining the conductivity of a metal.

m

ne 2

Page 40: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

J. Band Effective Mass of an Electron

We can use our previous results to write the equation of motion of a Bloch electron in 1-D:

And we can write:dt

dk

dk

dv

dt

dva x

x

xxx

Also, from the acceleration theorem:

This gives:

This allows us to define a “band effective mass”

2

211

xxxx

g

x

x

dk

Ed

dk

dE

dk

d

dk

dv

dk

dv

xx F

dt

dk

x

xx

F

dk

Eda

2

21 Or, in the form of Newton’s 2nd law:

x

x

x a

dkEd

F

2

2

2

2

2

2

*

xdkEd

m

By contrast to the free-electron mass, the “band effective mass” varies depending on the electron’s energy and thus its location in the band!

2

2

2

1

*

1

xdk

Ed

m or

Page 41: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Physical Meaning of the Band Effective Mass

Of course, for a free electron,

In a 3-D solid we would find that m* is a second-order tensor with 9 components:

and

The effective mass concept if useful because it allows us to retain the notion of a free-electron even when we have a periodic potential, as long as we use m* to account for the effect of the lattice on the acceleration of the electron.

m

kE x

2

22

zyxjikk

E

m ji

,,,1

*

1 2

2

m

m

m

2

2

*

But what does it mean to have a varying “effective mass” for different materials?

Page 42: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Physical Meaning of the Band Effective Mass

Near the bottom of a nearly-free electron band m* is approximately constant, but it increases dramatically near the inflection point and even becomes negative (!) near the zone edge.

The effective mass is inversely proportional to the curvature of the energy band.

Page 43: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

K. Electrons and Holes

Remember that the Hall Effect gives us a way to measure the sign and concentration of the charge carriers in a metal. If electrons are the charge carriers, we expect the Hall coefficient RH = 1/ne to be negative. However, for some elements (Zn, Cd, Bi) RH is positive!

To understand this behavior, first consider the excitation of an electron from a filled band into an unfilled band:

This is what happens in a semiconductor. The electron in the upper band can now conduct electric current under a field. But how does the lower band now behave?

02/

1

N

iikWhen the lower band was filled, we had a net

electron wavevector of zero:

By the band symmetry, k-j = -kj

Page 44: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Electrons and Holes

So when the state +j is empty in a band, the (incomplete) band has effective wavevector k -j.

Now we analyze the current flow in the incomplete band under the influence of a field E:

02/

j

N

jii kk

This can also be written: jj

N

jii kkk

2/

2/2/

1

0N

jiji

N

ii veveve

jve

This shows that an incomplete band (with state +j empty) behaves just like a positive charge moving with the same velocity an electron would have in that state.

Thus the properties of all of the remaining electrons in the incomplete band are equivalent to those of the vacant state j if the vacant state has:

a. A k-vector k-j

b. A velocity v+j

c. A positive charge +e

We call this vacant state a positive “hole” (h+)

Page 45: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Dynamics of Electrons and Holes

But earlier we deduced that the hole velocity is the same as that of the corresponding “missing” electron:

If this hole is accelerated in an applied electric field:

So by equating the derivatives we find:

However, note that near the top of a band the band curvature is negative, so the effective electron mass is also negative. The corresponding hole mass is then positive!

So the equation of motion of a “hole” in an electromagnetic field is:

Eedt

vdm h

h

eh vv

The corresponding equation for the electron is: Eedt

vdm e

e

eh m

Ee

m

Ee

eh mm

BvEedt

kdF h

h

This explains why some metals have positive RH!

Page 46: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and

Dynamics of Electrons and Holes in K-Space

Remember that in a metal with the Fermi energy near the top of the band, we can EITHER describe the properties of the electrons OR the properties of the hole(s). The hole has no tangible existence apart from the electrons in the band.

So we see that electrons and holes in the same band move rigidly in the same direction in k-space without altering their relative position--“like beads on a string”.

The motion of electrons and holes in k-space is tricky to understand, because a hole has the opposite wavevector as the missing electron. So we need to use the following notation to describe hole motion in the presence of an electric field:

position of electron in k-space

position of hole at ke (site of hole)

position of hole at kh

Page 47: VI. Electrons in a Periodic Potential A.Energy Bands and Energy Gaps in a Periodic Potential B.Metals, Insulators, and Semiconductors C.Energy Bands and