3D Density of States

The density of states refers to the number of quantum states per unit energy. In other
words, the density of states, denoted by
( ) g E
, indicates how densely packed quantum
states in a particular system. So, what is the importance of the density of states?
onsider the e!pression
( ) g E dE
. Integrating the density of the quantum states o"er a
range of energy will produce a number of states.
( ) ( )
E
E
N E g E dE

Thus
( ) g E dE
represents the number of states between and E dE . The number of
quantum states is important in the determination of optical properties of a material such
as a semiconductor (i.e. carbon nanotubes as well as quantum dots).
#rom the Schrodinger equation, we know that the energy of a particle is quanti$ed and is
gi"en by
% %
%
k
E
m

h
The "ariable k is related to the physical quantity of momentum. & particle's energy is
% % %
%
(
% % %
m v p
E mv
m m

)elating the pre"ious two equations yields
% % %
% %
k p p
E k
m m

h
h
The momentum is a "ector which has components in the !, y, and $ directions.
Therefore, k must also ha"e direction components
, , and
x y z
k k k
. Since energy is not a
"ector, the more accurate e!pression for energy is
%
%
%
k
E
m

h
In a *+ system, then, the total energy is gi"en by
( )
%
% % %
%
x y z
E k k k
m
+ +
h
)ecall the result of the analysis of the (+ potential well. &n electron can only e!ist in the
well, and the wa"e function is gi"en by
( ) cos( ) sin( )
where,
x A kx B kx
n
k
a

where
a
is the width of the barrier. #or the cosine term in the wa"e function, n must be
an odd integer, and for the sine term, n must be an e"en integer. Therefore, the wa"e
function is only "alid for all integers greater than $ero. In three dimensions, each
directional component of k would be
, , and
y
x z
x y z
n
n n
k k k
a a a

The wa"e function is "alid at regular inter"als of
a

. -elow is a plot of the "alid

solutions in k.space.
/ach green or red dot represents two quantum states (one for an electron with 0spin up1
and one for 0spin down1). The red dots are those between the inter"als of and 2 k k dk .
To find the density of these states, we need to first e!amine the unit cell and its "olume.
The unit cell is the smallest shape which can be repeatedly be used to construct a lattice
as in a diamond crystal, for e!ample. /!amining the image abo"e and knowing that the
quantum states are separated by an inter"al of
a

, the unit cell would be a cube of which

the "olume would be
*
3
V
a
_

,
The density of states problem is a problem of finding the number of states in the inter"al
of and 2 E E dE . In k.space, the inter"al is simply and 2 k k dk . -ecause we are
operating three dimensions, k represents the radius of a sphere in k.space and dk is the
thickness of the sphere. 4ence, a shell is created which encloses a certain amount of
quantum states in an infinitesimal inter"al. 5e use the sphere because k is directly
related to E , and all the points on the sphere ha"e equal energy. Since we want to find
the density of states in an infinitesimal inter"al of energy, the shape used for the
boundaries of the inter"al must represent equal energies. The "olume of the shell is
essentially the surface area of the inner sphere (of radius k ) multiplied by the thickness of
the sphere ( dk ).
%
6 V k dk
&lternati"ely, we can find the "olume by subtracting the "olume inside the inner sphere
from the "olume inside the outer sphere (of radius k dk + ). The result lea"es a shell.
( ) ( )
( )
( )
* *
* % % * *
% *
% %
6 6
* *
6
* *
*
because and ha"e no real meaning,
the "olume is
6
* 6
*
V k dk k
k k dk kdk dk k
dk dk
k dk k dk

+
+ + +

/"en though the k.space image displays "alid wa"e equations solutions for both positi"e
and negati"e integers of
, , and
x y z
k k k
, the wa"e function should only be "alid for all
positi"e "alues of
, , and
x y z
k k k
. Therefore, the entire shell's "olume is unnecessary7 we
really only need to consider an eighth of the entire "olume (i.e. the upper right hand
quadrant which satisfies ! 8 3, y 8 3, and $ 8 3 collecti"ely). The re"ised shell "olume is
then,
%
%
(
6
9
(
%
V k dk
k dk

The number of quantum states in an inter"al of dk is found by di"iding the "olume of the
shell by the "olume of a single state (i.e. the "olume of the unit cell).
( )
%
*
*
%
%
(
%
( ) %
k dk
g k dk
a
a
k dk

_

,

Since we know the relation between k and E , we can find what we are searching, the
density of states as a function of energy. :nce again, the relationship between k and E is
%
(
%
% %
(
%
% %
%
( % %
%
%
mE
k
m mE
dk dE
m mE
dE

_ _

, ,
_

,
h
h h
h h
Substituting the results into the density of states equation will gi"e the density of states in
terms of energy.
*
%
%
(
*
%
% % % %
( )
% %
( )
a
g k dk k dk
a m mE mE
g E dE dE

_ _

, ,
h h h
;ultiplying out the e!pression gi"es the final result for the density of states.
( ) ( ) ( )
( )
(
%
(
%
( (
%
% %
*
% 6 (
*
%
%
*
% *
*
*
%
% %
% %
( )
% %
%
%
( )
%
m m E E
a
g E dE dE
m
a
EdE
a m
g E dE EdE

,
h h
h
h
2D Density of States
In %+, an electron is confined along one dimension but able to tra"el freely in the other
two directions. In the image below, an electron would be confined in the $.direction but
would tra"el freely in the <= plane.
In the *+ density of states analysis, a spherical "olume of width dk had to be used.
4owe"er, in %+, the problem of calculating becomes easier because we only need to
operate in two dimensions. Instead of using the "olume of a shell, the area of a ring with
width of dk is used. &nalogous to the sphere in three dimensions, the circle is used
because all points on the circle are an equal distance from the origin7 therefore, the circle
indicates equal "alues of energy. The radius becomes
% %
x y
k k k + . In the %+ case, the
unit cell is simply a square with side length of
a

.
#ollowing the same procedure which was used in the *+ situation, the area of the unit
cell is
%
3
A
a
_

,
>e!t, we need to find the area of the ring and then di"ide by the area of the unit cell. The
area of a circle is
%
r where r is the radius. The area of the ring, then, is
% %
( )
%
A k dk k
kdk

4owe"er, only positi"e "alues of k should be considered. The figure below highlights the
correct area.
Therefore, we only need one.fourth of the entire area of the ring. The re"ised area is
(
%
6
%
A kdk
kdk

+i"iding the ring area by the unit cell area, the density of states can be found.
3
%
%
( ) %
%
(%)
A
g k dk
A
kdk
a
a
kdk

_

,

Since we know the relation between k and E , we can find what we are searching, the
density of states as a function of energy. :nce again, the relationship between k and E is
%
(
%
% %
(
%
% %
%
( % %
%
%
mE
k
m mE
dk dE
m mE
dE

_ _

, ,
_

,
h
h h
h h
Substituting the results into the density of states equation will gi"e the density of states in
terms of energy.
( (
%
% %
% % %
%
%
% %
( )
( )
a mE m mE
g E dE dE
a m
g E dE dE

1
_ _
1

, , 1
]

h h h
h
>otice that the %+ density of states, interestingly, does not depend on energy.
1D Density of States
The density of states for a (+ quantum mechanical system e!hibits a unique solution
which has application in things such as nanowires and carbon nanotubes. In both the !
and y directions, the electron is confined, but it mo"es freely in the $ direction.
?oing from the %+ case to the (+ case, the unit cell becomes a line segment of length
a

.
@ust as a ring was used in the %+ system to find the number of quantum states in a
differential inter"al of energy, so a line segment is used in the (+ situation. The line
segment stretches from to k k dk + or to E E dE + , and the length of the line is simply
dE . +i"iding the infinitesimal line length ( dE ) by the line length of the unit cell and
then multiplying by two (i.e. accounting for the two electron spins), the density of states
equation is
3
( ) %
(%)
%
L
g k dk
L
dk
a
a
dk

_

,

Substituting dE for dk using the well defined relation yields

(
%
% %
( (
% %
(
%
% (
%
%
( )
% %
( )
(%)% ( )
% (
( )
a
g k dk dk
a m mE
g E dE dE
a m m
E dE
a m
g E dE dE
E

1
_
1

, 1
]
_

,
_

,
h h
h h
h