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Yuri M. Galperin
FYS 448
Department of Physics, P.O. Box 1048 Blindern, 0316 Oslo, Room 427A Phone: +47 22 85 64 95, Email: iouri.galperinefys.uio.no
Contents
I Basic concepts
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3 3 8 10 18 21 21 23 38 43 44 45 45 46 47 50 52 52 53 54 54 55 57 57 63 65 67
1 Geometry of Lattices ... 1.1 Periodicity: Crystal Structures . . . . . . 1.2 The Reciprocal Lattice . . . . . . . . . . 1.3 XRay Diﬀraction in Periodic Structures 1.4 Problems . . . . . . . . . . . . . . . . . .
2 Lattice Vibrations: Phonons 2.1 Interactions Between Atoms . . . . . . . . 2.2 Lattice Vibrations . . . . . . . . . . . . . . 2.3 Quantum Mechanics of Atomic Vibrations 2.4 Phonon Dispersion Measurement . . . . . 2.5 Problems . . . . . . . . . . . . . . . . . . .
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3 Electrons in a Lattice. 3.1 Electron in a Periodic Field . . . . . . . . . . . . . . . . . 3.1.1 Electron in a Periodic Potential . . . . . . . . . . . 3.2 Tight Binding Approximation . . . . . . . . . . . . . . . . 3.3 The Model of Near Free Electrons . . . . . . . . . . . . . . 3.4 Main Properties of Bloch Electrons . . . . . . . . . . . . . 3.4.1 Eﬀective Mass . . . . . . . . . . . . . . . . . . . . . 3.4.2 Wannier Theorem → Eﬀective Mass Approach . . . 3.5 Electron Velocity . . . . . . . . . . . . . . . . . . . . . . . 3.5.1 Electric current in a Bloch State. Concept of Holes. 3.6 Classiﬁcation of Materials . . . . . . . . . . . . . . . . . . 3.7 Dynamics of Bloch Electrons . . . . . . . . . . . . . . . . . 3.7.1 Classical Mechanics . . . . . . . . . . . . . . . . . . 3.7.2 Quantum Mechanics of Bloch Electron . . . . . . . 3.8 Second Quantization of Bosons and Electrons . . . . . . . 3.9 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
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ii
CONTENTS
II
Normal metals and semiconductors
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71 71 75 80 81 91 93 97 97 101 106 109 112 114 125 130 140 142 145 148 150 152 155 155 158 165 168 169 171 171 173 174 175 180
4 Statistics and Thermodynamics ... 4.1 Speciﬁc Heat of Crystal Lattice . . . 4.2 Statistics of Electrons in Solids . . . 4.3 Speciﬁc Heat of the Electron System 4.4 Magnetic Properties of Electron Gas. 4.5 Problems . . . . . . . . . . . . . . . . 5 Summary of basic concepts
6 Classical dc Transport ... 6.1 The Boltzmann Equation for Electrons . . . . . 6.2 Conductivity and Thermoelectric Phenomena. . 6.3 Energy Transport . . . . . . . . . . . . . . . . . 6.4 Neutral and Ionized Impurities . . . . . . . . . . 6.5 ElectronElectron Scattering . . . . . . . . . . . 6.6 Scattering by Lattice Vibrations . . . . . . . . . 6.7 ElectronPhonon Interaction in Semiconductors 6.8 Galvano and Thermomagnetic .. . . . . . . . . 6.9 Shubnikovde Haas eﬀect . . . . . . . . . . . . . 6.10 Response to “slow” perturbations . . . . . . . . 6.11 “Hot” electrons . . . . . . . . . . . . . . . . . . 6.12 Impact ionization . . . . . . . . . . . . . . . . . 6.13 Few Words About Phonon Kinetics. . . . . . . . 6.14 Problems . . . . . . . . . . . . . . . . . . . . . . 7 Electrodynamics of Metals 7.1 Skin Eﬀect. . . . . . . . . . . 7.2 Cyclotron Resonance . . . . . 7.3 Time and Spatial Dispersion . 7.4 ... Waves in a Magnetic Field 7.5 Problems . . . . . . . . . . . .
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8 Acoustical Properties... 8.1 Landau Attenuation. . . . . . . . . . . 8.2 Geometric Oscillations . . . . . . . . . 8.3 Giant Quantum Oscillations. . . . . . . 8.4 Acoustical properties of semicondictors 8.5 Problems . . . . . . . . . . . . . . . . .
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CONTENTS 9 Optical Properties of Semiconductors 9.1 Preliminary discussion . . . . . . . . . . . . 9.2 PhotonMaterial Interaction . . . . . . . . . 9.3 Microscopic singleelectron theory . . . . . . 9.4 Selection rules . . . . . . . . . . . . . . . . . 9.5 Intraband Transitions . . . . . . . . . . . . . 9.6 Problems . . . . . . . . . . . . . . . . . . . . 9.7 Excitons . . . . . . . . . . . . . . . . . . . . 9.7.1 Excitonic states in semiconductors . 9.7.2 Excitonic eﬀects in optical properties 9.7.3 Excitonic states in quantum wells . .
iii 181 181 182 189 191 198 202 202 203 205 206 211 211 215 219 225 232
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10 Doped semiconductors 10.1 Impurity states . . . . . . . . . . . . . . . . . . 10.2 Localization of electronic states . . . . . . . . . 10.3 Impurity band for lightly doped semiconductors. 10.4 AC conductance due to localized states . . . . . 10.5 Interband light absorption . . . . . . . . . . . .
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III
Basics of quantum transport
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239 239 240 250 251 255 255 260 265 266
11 Preliminary Concepts 11.1 TwoDimensional Electron Gas . . . . . . . 11.2 Basic Properties . . . . . . . . . . . . . . . . 11.3 Degenerate and nondegenerate electron gas 11.4 Relevant length scales . . . . . . . . . . . . 12 Ballistic Transport 12.1 Landauer formula . . . . . . . . . . . . 12.2 Application of Landauer formula . . . 12.3 Additional aspects of ballistic transport 12.4 e − e interaction in ballistic systems . .
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13 Tunneling and Coulomb blockage 273 13.1 Tunneling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 13.2 Coulomb blockade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 14 Quantum Hall Eﬀect 14.1 Ordinary Hall eﬀect . . . . . . . . . . . . . . . 14.2 Integer Quantum Hall eﬀect  General Picture 14.3 Edge Channels and Adiabatic Transport . . . 14.4 Fractional Quantum Hall Eﬀect . . . . . . . . 285 285 285 289 294
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iv
CONTENTS
IV
Superconductivity
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15 Fundamental Properties 309 15.1 General properties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 16 Properties of Type I .. 16.1 Thermodynamics in a Magnetic Field. 16.2 Penetration Depth . . . . . . . . . . . 16.3 ...Arbitrary Shape . . . . . . . . . . . . 16.4 The Nature of the Surface Energy. . . . 16.5 Problems . . . . . . . . . . . . . . . . . 313 313 314 318 328 329 331 331 335 343 347 352 353 353 355 357 360 362 364 369 376 377 377 382 388 391 391 395 397 402 405 407
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17 Magnetic Properties Type II 17.1 Magnetization Curve for a Long Cylinder 17.2 Microscopic Structure of the Mixed State 17.3 Magnetization curves. . . . . . . . . . . . 17.4 NonEquilibrium Properties. Pinning. . . 17.5 Problems . . . . . . . . . . . . . . . . . . 18 Microscopic Theory 18.1 PhononMediated Attraction . . . . . . 18.2 Cooper Pairs . . . . . . . . . . . . . . 18.3 Energy Spectrum . . . . . . . . . . . . 18.4 Temperature Dependence ... . . . . . . 18.5 Thermodynamics of a Superconductor 18.6 Electromagnetic Response ... . . . . . . 18.7 Kinetics of Superconductors . . . . . . 18.8 Problems . . . . . . . . . . . . . . . . .
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19 GinzburgLandau Theory 19.1 GinzburgLandau Equations . . . . . . . . . . . . . . . . . . . . . . . . . . 19.2 Applications of the GL Theory . . . . . . . . . . . . . . . . . . . . . . . . 19.3 NS Boundary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Tunnel Junction. Josephson Eﬀect. 20.1 OneParticle Tunnel Current . . . . . 20.2 Josephson Eﬀect . . . . . . . . . . . 20.3 Josephson Eﬀect in a Magnetic Field 20.4 NonStationary Josephson Eﬀect . . 20.5 Wave in Josephson Junctions . . . . 20.6 Problems . . . . . . . . . . . . . . . .
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CONTENTS 21 Mesoscopic Superconductivity 21.1 Introduction . . . . . . . . . . . . . 21.2 Bogoliubovde Gennes equation . . 21.3 NS interface . . . . . . . . . . . . 21.4 Andreev levels and Josephson eﬀect 21.5 Superconducting nanoparticles . . .
v 409 409 410 412 421 425
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V
Appendices
431
433
22 Solutions of the Problems
A Band structure of semiconductors 451 A.1 Symmetry of the band edge states . . . . . . . . . . . . . . . . . . . . . . . 456 A.2 Modiﬁcations in heterostructures. . . . . . . . . . . . . . . . . . . . . . . . 457 A.3 Impurity states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458 B Useful Relations 465 B.1 Trigonometry Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465 B.2 Application of the Poisson summation formula . . . . . . . . . . . . . . . . 465 C Vector and Matrix Relations 467
vi
CONTENTS
Part I Basic concepts
1
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4. We assume that there are 3 noncoplanar vectors a1 . All the lattice can be obtained by repetition of a building block called basis. Note that • There is no unique way to choose ai . Such a lattice of building blocks is called the Bravais lattice.1) where mi are integers. • The volume of the primitive cell is V0 V0 = (a1 [a2 a3 ]) 3 (1. • The volume cell enclosed by the primitive vectors is called the primitive unit cell.. We emphasize basic principles of the crystal structure description.Chapter 1 Geometry of Lattices and XRay Diﬀraction In this Chapter the general static properties of crystals. More detailed information can be obtained. are reviewed. 1.1 Periodicity: Crystal Structures Most of solid materials possess crystalline structure that means spatial periodicity or translation symmetry. as well as possibilities to observe crystal structures. 5]. • Vectors ai chosen in such a way are called primitive. a3 as the shortest period not coplanar to a1 and a2 . and a3 that leave all the properties of the crystal unchanged after the shift as a whole by any of those vectors. We choose a1 as shortest period of the lattice. a2 . e.g. a2 as the shortest period not parallel to a1 . any lattice point R could be obtained from another point R as R = R + m1 a1 + m2 a2 + m3 a3 (1. The crystal structure could be understood by the combination of the propertied of the building block (basis) and of the Bravais lattice. As a result.2) . from the books [1.
GEOMETRY OF LATTICES . Sn : Rotation Cn . Figure 1.. We shall see that symmetry provide important restrictions upon vibration and electron properties (in particular.2. followed by reﬂection in the plane normal to the rotation axis.4 CHAPTER 1. Improper Rotation.. 1. Reﬂection. if a is the lattice constant. We have only 1 translation vector a1  = a.1) Consequently. . Usually are discussed: Rotation. 1. Examples Now we discuss few examples of the lattices.Chains Figure 1. cos φ = i/2 where i is integer. V0 = a. I: Transformation r → −r. There are restrictions for n.2: One dimensional lattices 1D chains are shown in Fig. σ: Reﬂection across a plane. Cn : Rotation by an angle 2π/n about the speciﬁed axis. OneDimensional Lattices . The natural way to describe a crystal structure is a set of point group operations which involve operations applied around a point of the lattice. Indeed. spectrum degeneracy). ﬁxed point is selected as origin (lack of inversion symmetry may lead to piezoelectricity).1: On the determination of rotation symmetry Inversion. the quantity b = a + 2a cos φ (see Fig.
TwoDimensional Lattices The are 5 basic classes of 2D lattices (see Fig.3) Figure 1.1. PERIODICITY: CRYSTAL STRUCTURES 5 White and black circles are the atoms of diﬀerent kind. 1. .3: The ﬁve classes of 2D lattices (from the book [4]).1. a is a primitive lattice with one atom in a primitive cell. b and c are composite lattice with two atoms in a cell.
a. . 1. Cubic and Hexagonal Lattices. c is facecentered lattice (1/8 × 8 + 1/2 × 6 = 4 atoms).5 shows hexagonal cell. 1. b is the body centered cubic lattice (1/8 × 8 + 1 = 2 atoms).. GEOMETRY OF LATTICES . 1. b. The part c of the Fig. There are 14 types of lattices in 3 dimensions. The types of lattices diﬀer by the relations between the lengths ai and the angles αi .. Figure 1. Some primitive lattices are shown in Fig.5. a is the simple cubic lattice (1 atom per primitive cell).4: Types of 3D lattices We will concentrate on cubic lattices which are very important for many materials.4.6 ThreeDimensional Lattices CHAPTER 1. end c show cubic lattices. Several primitive cells is shown in Fig.
e. procedure to choose the cell which reﬂects the symmetry of the lattice. Draw lines connecting a given lattice point to all neighboring points.1..6. g.7 where speciﬁc choices for cubic lattices are shown). .1. There is a very convenient Figure 1.5: Primitive lattices We shall see that discrimination between simple and complex lattices is important. 1. Draw bisecting lines (or planes) to the previous lines. The procedure is as follows: 1. say. the procedure of choose of the elementary cell is not unique and sometimes an arbitrary cell does not reﬂect the symmetry of the lattice (see. 2. Fig.6: Primitive vectors for bcc (left panel) and (right panel) lattices. and 1. in analysis of lattice vibrations. PERIODICITY: CRYSTAL STRUCTURES 7 Figure 1. The WignerSeitz cell As we have mentioned.
2 The Reciprocal Lattice The crystal periodicity leads to many important consequences..7: More symmetric choice of lattice vectors for bcc lattice.8 CHAPTER 1. say electrostatic potential V . Figure 1.3) . all the properties.8: To the determination of WignerSeitz cell.8. Namely. Figure 1. (1. We shall come back to this procedure later analyzing electron band structure.. are periodic V (r) = V (r + an ). 1. an ≡ n1 a1 + n2 a2 + n2 a3 . For complex lattices such a procedure should be done for one of simple sublattices. GEOMETRY OF LATTICES . 1. The procedure is outlined in Fig.
V0 (1.k2 . ba3 = 2πg3 (1. ba2 = 2πg2 .9) (1. b2 = .4) that bg ≡ b = g1 b1 + g2 b2 + g3 b3 2π[a2 a3 ] 2π[a3 a1 ] . where b3 = 2π[a1 a2 ] .5) Finally we get V (r) = b Vb eibr . THE RECIPROCAL LATTICE 9 It implies the Fourier transform.12) . V0 V0 It is easy to show that scalar products b1 = ai bk = 2πδi. the axes being directed along ai .k .k3 exp 2πi s ks ξs as .10) (1.4) Then we can return to Cartesian coordinates by the transform ξi = k αik xk (1.6) From the condition of periodicity (1. that could be met at ba1 = 2πg1 .7) We see that eiban should be equal to 1. It could be shown (see Problem 1.3) we get V (r + an ) = b Vb eibr eiban . (1.1. First we write lattice vectors for bcc as a a1 = (y + z − x) . the elementary cell volume being (b1 [b2 . Consequently. b3 ]) = (2π)3 /V0 .11) Vectors bk are called the basic vectors of the reciprocal lattice. 2 a a2 = (z + x − y) . Usually the oblique coordinate system is introduced.2. one can construct reciprocal lattice using those vectors.k2 . 2 a a1 = (x + y − z) 2 (1. Reciprocal Lattices for Cubic Lattices.8) where gi are integers. Now we demonstrate the general procedure using as examples body centered (bcc) and face centered (fcc) cubic lattices. (1.k3 =−∞ Vk1 . (1. If we denote coordinates as ξs having periods as we get ∞ V (r) = k1 . Simple cubic lattice (sc) has simple cubic reciprocal lattice with the vectors’ lengths bi = 2π/ai .
. 1. It is shown in Fig.1. a 2π = (z + x) .10 CHAPTER 1. z are introduced (see Fig. The corresponding WignerSeitz cell is shown in the right panel of Fig. In a very similar way one can show that bcc lattice is the reciprocal to the fcc one. So we can get the WignerSeitz cell for bcc reciprocal lattice (later we shall see that this cell bounds the 1st Brillouin zone for vibration and electron spectrum).13) One can see from right panel of Fig. 1.9: The WignerSeitz cell for the bcc (left panel) and for the fcc (right panel) lattices.. Making use of the deﬁnition (1. 1.14) .9.7). The volume of the cell is V0 = a3 /2. Figure 1. 1.10) we get b1 = b2 b1 2π (y + z) . y. where unit vectors x.9 (left panel) .3 XRay Diﬀraction in Periodic Structures The Laue Condition Consider a plane wave described as F(r) = F0 exp(ikr − ωt) (1.6 that they form a facecentered cubic lattice. GEOMETRY OF LATTICES . a 2π = (x + y) a (1.
n.p ∆k = 2πn (1. ∆k = k − k . 1. Unfortunately.n.p ∆k (1.10: Geometry of scattering by a periodic atomic structure.p are equal the only phase factors are important. R).p fm. R) by k ρ where k is the scattered vector in the direction of R.p F0 exp(−iρm. assume R ρ and consequently r ≈ R. R being the detector’s position (see Fig. the phase needs more exact treatment: kρ + kr = kρ + kR − kρ cos(ρ. we Figure 1. Note that the Laue condition (1. .18) is just the same as the deﬁnition of the reciprocal vectors.15).10) Then.18) is just the same as the famous Bragg condition of strong light scattering by periodic gratings. ei(kR−ωt) R Now we can sum the contributions of all the atoms Fsc (R) = m.3.15) Fsc (r) = f F(ρ) r r where r = R − ρ cos(ρ. The condition (1.n.n.17) If all the scattering factors fm. Each atom placed at the point ρ produces a scattered spherical wave eikρ ei(kr−ωt) eikr = f F0 (1. (1. XRAY DIFFRACTION IN PERIODIC STRUCTURES 11 which acts upon a periodic structure. R).n. (1. scattering is strong if the transferred momentum proportional to the reciprocal lattice factor.1. and strong diﬀraction takes place at ρm. we replace r by R in the denominator of Eq.18) with integer n. the phase equal to kR − ρ∆k. So.16) Now we can replace kρ cos(ρ. Finally.
For G = ∆k where G is the reciprocal lattice vector we get Isc ∝  i eiGRi  ·  i e−iGRi  eiG(Ri −Rj )  . Another source of disorder is a ﬁnite size of the sample (important for small semiconductor samples). Let us discuss the role of a weak disorder where Ri = R0 + ∆Ri i where ∆Ri is small timeindependent variation. If G(Ri − Rj ) ≡ GRij = 2πn (1. (1.19) or Isc ∝  i 1+ i j=i (1. GEOMETRY OF LATTICES . (1.12 CHAPTER 1.21) the second term is N (N − 1) ≈ N 2 .. (1. Let us also introduce ∆Rij = ∆Ri − ∆Rj .j exp i G0 ∆Rij + ∆GR0 + ∆G∆Rij ij 0 ∆R ] ij i. In the vicinity of the diﬀraction maximum we can also write G = G0 + ∆G.23) sin2 (a∆k/2) n=0 This function has maxima at a∆k = 2mπ equal to N 2 (l‘Hopital’s rule) the width being ∆k a = 2. We get N −1 sin2 (N a∆k/2)  exp(ina∆k)2 ∝ .6). If the arrangement is random all the phases cancel and the second term cancels. while the second includes correlation.20) and neglecting the terms ∝ N we get Isc (G0 + ∆G) = Isc (G0 ) i..22) So we see that there is a ﬁnite width of the scattering pattern which is called rocking curve. Role of Disorder The scattering intensity is proportional to the amplitude squared. the width being the characteristics of the amount of disorder. In this case Isc ∝ N and it is angular independent.20) The ﬁrst term is equal to the total number of sites N . Using (1. .j exp [iG . To get an impression let us consider a chain of N atoms separated by a distance a.76/N (see Problem 1. and Isc ∝ N 2 .
25) The ﬁrst sum is just the same as the result for the oneatom lattice. 1. Now we can extract the sum over the cell for ∆k = G which is called the structure factor: SG = j fj exp −iρj G .n. . XRAY DIFFRACTION IN PERIODIC STRUCTURES 13 Scattering factor fmnp Now we come to the situation with complex lattices where there are more than 1 atoms per basis.11).11: Scattering from a crystal with more than one atom per basis.n. So.1.3. Coming back to our derivation (1.24) where fj is in general diﬀerent for diﬀerent atoms in the cell. • The coordinate ρj for the position of jth atom in the unit cell.p j (1. we come to the rule • The Xray pattern can be obtained by the product of the result for lattice sites times the structure factor. To discuss this case we introduce • The coordinate ρmnp of the initial point of unit cell (see Fig.p + ρj )∆k m. (1.17) Fsc (R) = F0 ei(kR−ωt) R fj exp −i(ρm. Figure 1.
12: The twoatomic structure of interpenetrating fcc lattices. and CdS). For the diamond structure ρ1 = 0 a ρ2 = (x + y + z) . it is called the zincblend structure (GaAs. 2π (−x + y + z) . Consequently. the structure is called the diamond structure (elementary semiconductors: Si.12) which are important for semiconductor crystals. a 2π = (−y + z + x) . The coordinates of two basis atoms are (000) and (a/4)(111). Ge. [ The Diamond and ZincBlend Lattices]Example: The Diamond and ZincBlend Lattices To make a simple example we discuss the lattices with a twoatom basis (see Fig.. It the atoms are diﬀerent. a (1.26) . SG = f 1 + exp iπ (n1 + n2 + n3 ) 2 . 4 We also have introduced the reciprocal vectors (see Problem 1. a 2π = (−z + x + y) . 1. GEOMETRY OF LATTICES .14 CHAPTER 1. AlAs. so we have 2 interpenetrating fcc lattices shifted by a distance (a/4)(111) along the body diagonal. If atoms are identical. and C)..5) b1 = b2 b3 the general reciprocal vector being G = n 1 b1 + n 2 b2 + n 3 b3 . Figure 1.
XRAY DIFFRACTION IN PERIODIC STRUCTURES It is equal to 2f . We draw the reciprocal lattice Figure 1. 0. n1 + n2 + n3 = (2k + 1) . 1. The scattered vector k is determined as in Fig.13) for the vectors satisfying the Laue condition. Experimental Methods Her we review few most important experimental methods to study scattering. The prescription is as follows. 1. n1 + n2 + n3 = (2k + 1) . n1 + n2 + n3 = 4k . k = 2π/λX starting at the RL point. Using the tip as a center we draw a sphere. n1 + n2 + n3 = 4k . for Xrays they are due to Coulomb charge density and are proportional to the Fourier components of local charge densities. (RL) and then an incident vector k. SG = (1 ± i)f .13: The Ewald construction.3.27) f1 + f2 .27) So. the diamond lattice has some spots missing in comparison with the fcc lattice. f1 − f2 . In this case one has instead of (1. (1. In the zincblend structure the atomic factors fi are diﬀerent and we should come to more understanding what do they mean.28) We see that one can extract a lot of information on the structure from Xray scattering. SG = (f1 ± if2 ) . n1 + n2 + n3 = 2(2k + 1) . the intensity being proportional to SG . n1 + n2 + n3 = 2(2k + 1) .1. Namely. 15 (1. . Most of them are based on the simple geometrical Ewald construction (see Fig.13.
Double Crystal Diﬀraction This is a very powerful method which uses one very highquality crystal to produce a beam acting upon the specimen (see Fig. So. a broad Xray spectrum (from λ0 to λ1 is used).14: The powder method. 1. it is possible to ﬁnd diﬀraction peaks according to the Ewald picture.15). GN . The Powder or DebyeScherrer Method This method is very useful for powders or microcrystallites. . Those ratios could be calculated for a given structure. Both the positions of the crystal and the detector are ﬁxed. So one can determine the ratios sin φ1 2 : sin φ2 2 . So one can determine the structure of an unknown crystal. . This method is mainly used to determine the orientation of a single crystal with a known structure. 1. As long as the Xray wave vector is not too small one can ﬁnd the intersection with the Ewald sphere at some angles. The Rotating Crystal Method The crystal is placed in a holder.16 The Laue Method CHAPTER 1. ∆k = 2k sin(φ/2) = G. .. The sample is ﬁxed and the pattern is recorded on a ﬁlm strip (see Fig. . The Xray source is ﬁxed and monochromatic. which can rotate with a high precision. .. In the Ewald picture it means the rotating of reciprocal basis vectors. Figure 1.14) According to the Laue condition. sin φN N = G1 : G2 . GEOMETRY OF LATTICES . At some angle the Bragg conditions are met and the diﬀraction takes place.
15: The doublecrystal diﬀractometer. exp(−∆k u) = 1 − i ∆k u − The second item is equal to zero. Finally. the average over vibrations is observed (the typical vibration frequency is 101 2 s−1 ). the narrow diﬀraction peaks are observed. the position of an atom is determined as ρ(t) = ρ0 + u(t) where u(t) is the timedependent displacement due to vibrations. In the experiments. study epitaxial layer which are grown on the substrate. while the third is 1 (∆k u)2 = (∆k)2 u2 3 (the factor 1/3 comes from geometric average).3. In fact. Nevertheless there is exact theorem exp(iϕ) = exp − (ϕ)2 /2 for any Gaussian ﬂuctuations with ϕ = 0. When the Bragg angles for two crystals are the same. So. we get an extra phase shift ∆k u(t) of the scattered wave. .1. . in particular. XRAY DIFFRACTION IN PERIODIC STRUCTURES 17 Figure 1. We have used the expression 1 − x = exp(−x) which in general is not true. This method allows. . 2 (∆k)2 u2 6 . with some amount of cheating 1 we get exp(−∆k u) ≈ exp − 1 1 (∆k u)2 + . Since u(t) is small. Temperature Dependent Eﬀects Now we discuss the role of thermal vibration of the atoms.
. 6 are available. For T = O. 1.2.10) for reciprocal lattice vectors. 2.4 Problems 1. We have mentioned that primitive vectors are not unique. For lowdimensional structures the method of reﬂection high energy electron diﬀraction (RHEED) is extensively used. and we get CHAPTER 1. in particular. At the present time. neutron diﬀraction. even at zero temperature there are zeropoint vibrations with3 3 u2 = . E = 3 ω/4.18 Again ∆k = G.3. G = 109 cm−1 . Thus. . Isc = I0 exp − kB T G2 .2 3kB T u2 = mω 2 where ω is the lattice vibrations frequency (1013 –1014 s−1 ). 1. Show that this equality is suﬃcient. 2 3 (1. many powerful diﬀraction methods are used.1. From the pure classical considerations. ω = 2π · 1014 s−1 . 3.. m = 10−22 g the exponential factor is 0.4. 1. It means that vibrations do not destroy the diﬀraction pattern which can be studied even at high enough temperatures. mω 2 (1.32) E = mω 2 u2 /2 = 3kB T /2. 2mω In this case G2 Isc = I0R exp − (1.997. New vectors can be deﬁned as ai = k βik ak . Isc = I0 e−G 2 u2 /3 (1. Derive the expressions (1. Show that (a1 [a2 a3 ]) = (a3 [ a1 a2 ]) = (a2 [a3 a1 ]).30) According to quantum mechanics.31) 2mω where I0R is the intensity for a rigid classical lattice. GEOMETRY OF LATTICES . 1.29) where I0 is the intensity from the perfect lattice with points ρ0 . Show that only n = 1. ˆ the suﬃcient condition for the matrix β is det(βik ) = ±1.
5. Find the reciprocal lattice vectors for fcc lattice. PROBLEMS 19 1.1. 1.4.6. Find the width of the scattering peak at the half intensity due to ﬁnite size of the chain with N .
. . GEOMETRY OF LATTICES .20 CHAPTER 1..
namely lattice vibrations and their consequences. e. Indeed. 2]. the main principle being • Keep the charges of the same sign apart • Keep electrons close to ions • Keep electron kinetic energy low by quantum mechanical spreading of electrons To analyze the interaction forces one should develop a full quantum mechanical treatment of the electron motion in the atom (ion) ﬁelds.Chapter 2 Lattice Vibrations: Phonons In this Chapter we consider the dynamic properties of crystal lattice. the total energy appears dependent on the atomic conﬁguration as on external parameters. 2. at intermediate distances the repulsive potential is usually expressed as ∆V (R) = A/R12 . They can be due both to Coulomb repulsive forces between the ions with the same sign of the charge and to repulsive forces caused by interpenetrating of electron shells at low distances. that penetration leads to the increase of kinetic energy due to Pauli principle – the kinetic energy of Fermi gas increases with its density. Let us start with the discussion of the nature of repulsive forces. Consequently. the heavy atoms being considered as ﬁxed. There are several reasons for atom attraction.1) . Although usually the bonding mechanisms are mixed. in [1. and we discuss only main physical principles.g. All the procedure looks very complicated.1 Interactions Between Atoms in Solids The reasons to form a crystal from free atoms are manifold. One can ﬁnd detailed theory in many books. The quantum mechanical treatment leads to the law V ∝ exp(−R/a) for the repulsive forces at large distances. 4 types of bonds are speciﬁed: 21 (2. .
For most of semiconductor compounds the bonding is mixed – it is partly ionic and partly covalent. Typical values of α for 3D lattices are: 1. To make very rough estimates we can express the interaction energy as Vij = λe−R/ρ − e2 ± R∗ ij e2 ∗ R for nearest neighbors. Van der Waal’s (or dispersive) bonding. For a linear chain α=2 1− 1 1 + − ··· 2 3 == 2 ln(1 + x)x=1 = 2 ln 2. e∗ is the eﬀective charge.2) with Rij = Rpij where pij represent distances for the lattice sites.22 CHAPTER 2. consequently they are directed. It is important for the alkali crystals NaCl.j ± pij is the socalled Madelung constant.van der Waal’s ones. etc. Because the ions at the ﬁrst coordination group have opposite sign in comparison with the central one the resulting Coulomb interaction is an attraction. CsCl. KI. (2. One can consider the interaction as the Coulomb one for point charges at the lattice sites. The nature of this bonding is pure quantum mechanical. At large distances universal attraction forces appear . The physical reason is the polarization of electron shells of the atoms and resulting dipoledipole interaction which behaves as ∆V (R) = −B/R6 .3) The two names are due i) to the fact that these forces has the same nature as the forces in real gases which determine their diﬀerence with the ideal ones. So the total energy is e2 U = L zλe−R/ρ − α ∗ R where z is the number of nearest neighbors while α= i. otherwise (2. it is just the same as bonding in the H2 molecule where the atoms share the two electron with antiparallel spins. The covalent bonding is dependent on the electron orbitals. This bonding appears at small distances of the order of atomic length 10−8 cm. Covalent (or homopolar) bonding. The table of the ionicity numbers (eﬀective charge) is given below Covalent bonding depends both on atomic orbital and on the distance – it exponentially decreases with the distance. LATTICE VIBRATIONS: PHONONS Ionic (or electrostatic) bonding. 1.748 (NaCl). The physical reason is near complete transfer of the electron from the anion to the cation. and ii) because they are .638 (zincblend crystals).
irrespective to the nature of the bonding.46 0.0 0. 2. In such crystals the interaction potential is described by the LennardJones formula V (R) = 4 σ R 12 − σ R 6 (2. determined by the same parameters as light dispersion. 2. Metallic bonding. the general form of the binding energy is like shown in Fig. molecular crystals). Cr.1: Ionicity numbers for semiconductor crystals. LATTICE VIBRATIONS Crystal Si SiC Ge ZnSe ZnS CdSe InP InAs InSb GaAs GaSb Ionicity 0.2 Lattice Vibrations For small displacement on an atom from its equilibrium position one can expand the potential energy near its minimal value (see Fig.31 0. Xe.63 0.42 0.18 0.62 0.5) . The bonding energy is determined by a balance between the negative energy of Coulomb interaction of electrons and positive ions (this energy is proportional to e2 /a) and positive kinetic energy of electron Fermi gas (which is.09σ.1) V (R) = V (R) + 1 + 6 d3 V dR3 dV dR (R − R0 ) + R0 1 2 d2 V dR2 (R − R0 )2 + + R0 (R − R0 )3 + · · · R0 (2.2.2.0 0. or hcp structures where electrons are shared by all the atoms. ∝ n2/3 ∝ 1/a2 ). 2. as we will see later. The most important thing for us is that.4) the equilibrium point where dV /dR = 0 being R0 = 1.1. bcc.36 23 Table 2.70 0. This bonding is typical for inert gas crystals (Ar.32 0. Metals usually form closed packed fcc.
.1: General form of binding energy. F =− (2.6) OneAtomic Linear Chain Dispersion relation We start with the simplest case of oneatomic linear chain with nearest neighbor interaction (see Fig.24 CHAPTER 2. R0 d3 V dR3 ≡ −2γ > 0 R0 we get the following expression for the restoring force for a given displacement x ≡ R − R0 dV = −Cx + γx2 dx The force under the limit F = −Cx is called quasi elastic. LATTICE VIBRATIONS: PHONONS Figure 2.2) If one expands the energy near the equilibrium point for the nth atom and Figure 2. 2.2: Vibrations of a linear oneatomic chain (displacements). If we expand the energy near the equilibrium point and denote d2 V dR2 ≡ C > 0.
The usual way to overcome the problem is to take into account that actual . This law is shown in Fig. λmin = 2π/qmax = 2a. (2.2.8) It is just a plane wave but for the discrete coordinate na.1) C qa . Another important feature is that if we replace the wave number q as 2πg q→q =q+ . We can fulﬁll this condition automatically by searching the solution as un = Aei(qan−ωt) . u 25 (2. Note that there is the maximal frequency ωm that corresponds to the minimal wave length Figure 2. It diﬀers from the dispersion relation for an homogeneous string.3.9) is called the dispersion law. Now we should recall that any crystal is ﬁnite and the translation symmetry we have used fails.8) does not change (because exp(2πi × integer) = 1). Consequently.10) a a to represent the dispersion law in the whole qspace. it is impossible to discriminate between q and q and it is natural to choose the region π π − ≤q≤ (2. a where g is an integer.2. 2. the solution (2.6) he comes to the Newton equation m¨n + C(2un − un−1 − un+1 ) = 0. ω = sq. ωm = 2 2 m The expression (2.7) To solve this inﬁnite set of equations let us take into account that the equation does not change if we shift the system as a whole by the quantity a times an integer. Immediately we get (see Problem 2. The maximal frequency is a typical feature of discrete systems vibrations. LATTICE VIBRATIONS use quasi elastic approximation (2.3: Vibrations of a linear oneatomic chain (spectrum).9) ω = ωm  sin . (2.
Indeed. for a linear chain. 2. the wave number q takes L discrete values in the interval (−π/a.8) we get exp(±iqaL) = 1. Density of States Because of the discrete character of the vibration states one can calculate the number of states. Note that this interval is just the same as the WignerSeitz cell of the onedimensional reciprocal lattice. One easily obtains (see Problem 2. So. 1 .26 CHAPTER 2.12) (it is convenient to consider L as a large even number). that DOS is strongly dependent on the dimensionality of the structure. substituting the condition (2. LATTICE VIBRATIONS: PHONONS number L of sites is large and to introduce Bornvon Karmann cyclic boundary conditions un±L = nn . Violation of this assumption leads to the speciﬁc interface modes. z. q= 2π g . (2. π/a). ω + dω.1 Immediately. Consequently.11) into the solution (2. qaL = 2πg with an integer g.11) This condition make a sort of ring of a very big radius that physically does not diﬀer from the long chain. We shall see Figure 2. (2. Note that for small structures of modern electronics this assumption need revision.4: Density of states for a linear oneatomic chain. a L − L L <g< 2 2 (2.4. with diﬀerent q in the frequency interval ω. we get that the wave number q should be discrete. It is plotted in Fig.2) dz 2L 1 = .13) 2 − ω2 dω π ωm This function is called the density of states (DOS).
Diatomic Chain. We have s=a sp = sg ω sin(aq/2) =s .16) At the boundaries of the interval we get sp = (2/π)s while sg = 0 (boundary modes cannot transfer energy). there is the dispersion of the waves.15) m is the sound velocity in a homogeneous elastic medium.17) . where C (2.9) ω = sq .14) (2. elastic constants to be C1. (2. ¨ (2. i. If we assume the Figure 2. e. q aq/2 dω = = s cos(aq/2) . Let us consider the chain shown in Fig. 2.2 we come to the following equations of motion: m1 un = −C1 (un − vn ) − C2 (un − vn−1 ) . dq (2. We use this case to discuss vibrations of compound lattices.2. LATTICE VIBRATIONS Phase and Group Velocity 27 Now we discuss the properties of long wave vibrations. At small q we get from Eq. In a general case.5: Linear diatomic chain. Acoustic and Optical branches. One can discriminate between the phase (sp ) and group (sg ) velocities. the sound velocity becomes qdependent.2.5 One can see that the elementary cell contains 2 atoms. The ﬁrst is responsible for the propagation of the equal phase planes while the last one describes the energy transfer. ¨ m2 vn = −C1 (vn − un ) − C2 (vn − un−1 ) .
28 CHAPTER 2.6: Optical and acoustic vibration branches. (2.20) (2. To formulate these equations it is convenient to express these equations in a matrix form introducing the vector A ≡ Au Av and the socalled dynamic matrix ˆ D= C1 +C2 m1 iaq 2 − C1 +C2 e m − C1 +C21e m −iaq C1 +C2 m1 (2.2 are real because γ ≤ 1. To understand . 1 ˆ This is just the equation which determines the eigenfrequencies.6 The lower branch Figure 2.18) After substitution to Eqs. m1 m2 γ 2 = 16 C1 C2 (C1 + C2 )2 . 0 This is homogeneous equation. LATTICE VIBRATIONS: PHONONS It is natural to use once more the translation symmetry condition and search the solution as un = Au ei(qan−ωt) . it has a solution only if det (ω 2 ˆ − D) = 0 . vn = Av ei(qan−ωt) . 2.2 for a given value of q.17) we get the set of equations for the constants Ai . The branches are shown in Fig.22) where ω2 = (C1 + C2 )(m1 + m2 ) .21) 1 − γ 2 sin2 aq 2 m1 m2 (m1 + m2 )2 (2.2 = 2 ω0 1 2 (2. The frequencies ω1. We see a very important diﬀerence with the case of monoatomic chain: there are 2 branches ω1. is called the acoustic branch while the upper one is called the optical branch.19) The equation for A has the form (see matrix notations in Appendix B) ˆ ω 2 A − DA = ˆ . (2. We get 2 ω1.
in center remains unperturbed. we see that in the acoustic mode all the atoms move an acoustic wave in homogeneous medium. Contrary.opt = Au C1 + C2 e−iqa un = = . Consequently.8. 2. Assume an elementary cell with s diﬀerent atoms having masses mk .24) At very long waves (q → 0) we get (Problem 2. We also introduce the main region of the crystal . like in the optical mode. m1 = m2 ? This situation is illustrated in Fig. 2 vn ac. the dispersion equation (2. the gravity vibration produce alternating The situation is illustrated in So. What happens in the degenerate case when C1 = C2 . LATTICE VIBRATIONS 29 the physical reason for these names let us consider the limits of zero and maximal q. In an ionic crystal such a dipole moment. 1 − γ2 . From Figure 2.3) Pac = 1 .7 Now we can discuss the structure of vibrations in both modes. the mode is optical active. ωopt (π/a) = So. Popt = − m2 m1 (2. Fig. ωac (π/a) = ω √0 2 ω √0 2 1− 1+ 1 − γ2 .20) we get Pac.25) next to synchronously.opt (2. (2.opt Av (C1 + C2 ) − m1 ωac.2. we have the inequality chain ωopt (0) = ω0 > ωopt (π/a) > ωac (π/a) > ωac (0) = 0 . Vibration modes of 3D lattices Now we are prepared to describe the general case of 3D lattice. We get ωac (0) = 0 . 2.2.7: Degenerate case.23) ωopt (0) = ω0 .
8: Transverse optical and acoustic waves.30) .27) (Greek letters mean Cartesian projections). The coeﬃcient do not change if one changes the order of columns in their arguments Φαβ kk nn = Φαβ kk nn . (2. The position of each atom is Rk = an + Rk .30 CHAPTER 2. n − n . etc. So. n (2. (2. (2. LATTICE VIBRATIONS: PHONONS Figure 2. nn kk Φαβγ kk k nn n = 0.26) Here Rk determines the atom’s position within the cell. Φαβ nk kk nn = 0.27) because the energy should not change if one shifts the crystal as a whole. The displacementinduced change of the potential energy Φ of the crystal is a n function of all the displacements with a minimum at uk = 0. There are important relations between the coeﬃcients Φ in Eq. 1. as a body restricted by the rims Lai .28) 2.29) 3. we can expand it as n Φ= 1 2 Φαβ all kk nn u k α uk β + n n 1 6 Φαβγ all kk k nn n uk α uk β uk n n n γ (2. Similarly. Φαβ kk nn = Φαβ kk n−n . we introduce displacements uk . (2. The coeﬃcients are dependent only on the diﬀerences n − n . The sums of the coeﬃcients over all the subscripts vanish. the volume being V = L3 V0 while the number of sites N = L3 .
Just as in 1D case. One can show that they are also positive using the request of the potential energy to be minimal in the equilibrium. e. Consequently. the qspace is the same as the reciprocal lattice one. ˆ The general way is as follows.20) with kk Dαβ (q) = √ n 1 Φαβ mk mk kk nn eiq(an −an ) (2.34) This matrix equation is in fact the same is the set of 3s equations for 3s complex unknowns Ak . One can show form its deﬁnition that in general case ˆ ˆ D(−q) = D(q) That means important properties of solutions: ωj (−q) = ωj (q) . (2. Finally. . Now we come exactly to the same procedure as was described in the previous α subsection.33) that coincides with the deﬁnition of the ﬁrst Brillouin zone (or the WignerSeitz cell). the matrix D is Hermitian.32) Here we introduce wave vector q. Let us discuss general properties of this equation.31) As in 1D case.2.37) These properties are in fact the consequences of the time reversibility of the mechanical problem we discuss. the dispersion equation has the form (2. One should determine 3s eigenvalues of the matrix D for a given q to get the values of ωj (q). (2.21). (2. Ak (−q) = Ak (q) jα jα ∗ ∗ . ˜n mk α (2. LATTICE VIBRATIONS Now we can formulate the Newton equations m k uk α = ¨n nkβ 31 Φαβ kk nn uk β n (2. we come to the equation (2. These values have to be substituted into Eq.2.20) to ﬁnd corresponding complex amplitudes Ak (q) which are proportional to the eigenvectors jα ˆ of the dynamic matrix D. we search the solution as (it is more convenient to use symmetric form) 1 uk α = √ Ak (q)ei(qan −ωt) . In fact. its eigenvalues are real (see Appendix B). The wave vector q is deﬁned with the accuracy of an arbitrary reciprocal vector G. we can consider it in a restricted region −π < qai < π (2.35) ˆ i. (2.36) .5) that kk kk Dαβ = Dβα ∗ . One can show (see Problem 2.
3. there are 3 acoustic branches and 3s3 optical ones. 2.30) Φαβ nk kk nn =0 we get m k uk α = 0 . the center of gravity for optical modes remains constant. .30) we readily get ωj (0) = 0 for all jβ the 3 components α = 1.9: Typical vibration spectrum in 3D case. LATTICE VIBRATIONS: PHONONS Finally. If we put the real displacement √ Ak / mk to be kindependent and use the property (2. 2. A typical vibration spectrum is shown in Fig. So. The symmetry of those curves are determined by the lattice symmetry. we analyze the long wave properties of 3D lattice. Continual Approximation for Lattice Vibrations To elucidate the diﬀerence between acoustic and optical vibrations we discuss here the long wave limit in continual approximation. To describe their behavior we should write down the dynamic equation for real displacements for q = 0 as 1 Ak (0) kk α = Φαβ Ak (0) (2. one can construct a set of isofrequency curves ωj (q) =const which are periodic in qspace the period being the reciprocal lattice vector G. that at q = 0 the component of Dmatrix are real. In the end of this subsection.38) ω 2 (0)mk √ √ β nn mk mk k βn and then sum over k (over the atoms in the primitive cell).9 Figure 2. It is ˆ clear. n k (2. Using the property (2.39) i. e.32 CHAPTER 2.
(2. 1 ϕ = [qu] . ϕ: ∂2ϑ = s2 l ∂t2 ∂2ϕ = s2 t ∂t2 where sl = If u = A exp(iqr − iωt) we get ϑ = div u = iqu . one can write equations of motion as ρ ∂2u = (Υ + Λ)grad divu + Υ ∂t2 2 33 u (2.2.t 2 ϑ. the number 2 of vibrations in the region R. we can obtain the equations for the quantities ϑ. we see that the compression ϑ wave is longitudinal while the ϕ rotation wave is transversal. Λ are elastic constants.41) (2.43) 4πR2 dR V = 2 8 2π 1 2 + 3 s3 st l ω 2 dω . ϕ.40) where ρ is the mass density while Υ. 2 ≡ div grad . LATTICE VIBRATIONS Acoustic vibrations According to the theory of elasticity. Denoting the corresponding displacements as u± and the force constant as κ we get the following equations of motion d2 u+ = −κ(u+ − u− ) + e∗ Ee . dt2 d2 u− M− 2 = −κ(u− − u+ ) − e∗ Ee dt M+ (2. t) 1 is the relative volume change while ϕ = 2 curl u is the rotation angle. ρ st = Υ . (2. It is known that ϑ = div u(r. ρ (2.44) 2 So.46) . Taking into account that curl grad ψ(r) = 0.42) 2 2Υ + Λ . div curl k(r) = 0 .45) Optical vibrations Consider a ionic crystal with 2 ions in a primitive cell with eﬀective charges ±e∗ . (2. We can also calculate the number of the vibrations if we restrict ourselves with a cube with the rim L and put zero boundary conditions. These wave are the analogs of 3 acoustic modes in a crystal. R + dR where R = i ni is g(ω) dω = l.2. Consequently. We get ϑ = A sin(ωt) sin(qx x) sin(qy y) sin(qz z) for each mode with π 2 2 2 qi = ni L . We have ω = qs = s qx + qy + qz for each branch.
46) we obtain Mr d2 s = −κs + e∗ Ee . . respectively. It the absence of free charges div D = 0 → div E = −4πdiv P . by the contribution of the polarization. let us introduce reduced mass 1 1 1 = + Mr M+ M− and relative displacement s = u+ − u− . Combining Eqs.50) Mr 9Mr While 0(∞) are. γ22 = ∞ −1 .34 CHAPTER 2. In this way. we get the following set of equations for the normalized √ displacement w = N0 Mr s ¨ w + γ11 w − γ12 E = 0 γ12 w + γ22 E − P = 0 . (2. P = ω0 4π 4π (2. (2. (2. LATTICE VIBRATIONS: PHONONS where Ee is the eﬀective electric ﬁeld acting from the external sources and from other ions. P. static and highfrequency dielectric constants. Finally. The eﬀective ﬁeld diﬀers from average ﬁeld. 2 dt 4π 0− ∞ ∞−1 w+ E. Using (2.51) we get E=− ω0 ∞ 4π( 0 − ∞ )wl . 4π (2.47) Now one should express the eﬀective ﬁeld Ee through s to make all the set of equations complete. Then. E. γ12 = ω0 0 − 4π ∞ .49) κ 4πN0 e∗2 ( ∞ + 2) − .48) The coeﬃcients γik can be expressed through dielectric parameters of the crystal (see derivation below) 2 γ11 = ω0 . (E + 4πP) = 0 .51) This is the ﬁnal set of equation we should analyze. dt2 (2. To do it we split the displacement w into the potential wl (curl wl = 0) and solenoidal wt (div wt = 0) parts. we come to the set of equations 2 ω0 = Here d2 w 0− ∞ 2 = −ω0 w + ω0 E.
they are called polar. 2 dt ∞ (2.2.54) and introduce the dielectric function according to the electrostatic equation for the displacement vector D = E + 4πP = E . Let us denote this limit as ∞ and put for this limit s = 0 in Eq.57) Then we can substitute it once more in Eq.54).53) (the LyddaneSaxTeller relation).54) for s = 0 with (2. is frequency dependent and at high frequencies ions cannot react on the a. where polarizability is a scalar. We see that the two types of optical vibrations diﬀer because of the longrange electric forces which are produced only by longitudinal modes.52) Consequently.2. (2. 2. (2.56) we get α= −1 . we come to the picture of longitudinal and transversal optical modes with ωl = ωt 0 ∞ (2.55) This function is dependent on the vibration frequency ω.10 taken from the book [4]. (2. Consequently. 4π (2. Combining (2.c.56) Actually. we have P = N0 e∗ s + αE 1 − (4N0 π/3)α (2. Derivation of the constants γik In a cubic crystal. The diﬀerence between the frequencies of polar and nonpolar modes depends on the crystal ionicity and allows one to estimate the latter.58) . We get P= −1 E. dt2 d2 wl 2 0 = −ω0 wl . (4πN0 /3)( ∞ + 2) ∞ (2. The ion motion in the transversal and longitudinal modes is shown in Fig.51) and separating potential and solenoidal parts we get d2 wt 2 = −ω0 wt . electric ﬁeld. 4π (2.54) and get P = N0 e∗ ( ∞ + 2) 3 s+ ∞ −1 E. LATTICE VIBRATIONS 35 Substituting this relation into the equations (2.
LATTICE VIBRATIONS: PHONONS Figure 2. P = Mr 3 4π (2. (2.60) Mr 9Mr √ Usually the normalized displacement w = N0 Mr s is introduced. Making use of this equation we get Mr where d2 s e∗ ( ∞ + 2) 2 = −Mr ω0 s + E dt2 4π (2.61) . 2 dt Mr 3 N0 ∗ ∞ + 2 ∞−1 e w+ E.10: Optical modes of vibration of a ion crystal.59) κ 4πN0 e∗2 ( ∞ + 2) − .36 CHAPTER 2. so ﬁnally we come to the set of equations 2 ω0 = d2 w N0 ∗ ∞ + 2 2 = −ω0 w + e E.
= 0. 0. 2 Mr 9ω0 (2. (2.67) 2 We use the socalled Gaussian system of units. (2. = 0. (2.63) − ∞ ∞−1 .66) Consequently. (2. (2. γ12 = ω0 0 The equations for the complex amplitudes are (Check!) iω 4πiω E − iqB + P c c iω iqE − B c γ12 E + (ω 2 − γ11 )w γ22 E − P + γ12 w = 0. .65) 2 γ11 = ω0 . 0. B y. q z. Optical Vibration–Light Interaction It is clear that optical vibrations in ionic compounds should interact with electromagnetic waves. ( · B) · (E + 4πP) ¨ w + γ11 w − γ12 E P Here B is magnetic induction. = 0. (2. We have2 [ [ × B] = × E] = = = = = ∂E ∂P + 4π ∂t ∂t 1 ∂B − . LATTICE VIBRATIONS It is reasonable to introduce the static dielectric constant ishing of the righthand side of Eq. to get eigenfrequencies one should request ω/c 4πω/c −q 0 q 0 −ω/c 0 2 γ12 0 0 ω − γ11 γ22 −1 0 γ12 det = 0. γ22 = . so we search solutions proportional to exp(iqr − iωt) with E P w x. c ∂t 0. γ12 w + γ22 E .62) Thus we arrive to the set of equations to be analyzed.59): 0 0 37 from the request of van − ∞ = N0 ∗2 4π( ∞ + 2)2 e .2. 1 c .64) 4π 4π We are interested in the transversal modes.2. To take this interaction into account one should add the Maxwell equations to the complete set of equations for the vibrations.
One can easily understand that longitudinal model do not couple to the light. kβ . It is important that there is no possibility for the light Figure 2. The coupled TOvibrationphoton modes are often called the polaritons. (2. with the frequencies between ωt and ωl to penetrate the crystal. ˆ Let us introduce the eigenvectors ejk (q) of the dynamical matrix D which correspond 2 to the eigenvalues ωj (q). 2. (2.68) This equation is quadratic in ω 2 the roots being ω1.69) This spectrum is shown in Fig. kk 2 Dαβ (q)ejk β (q) = ωj (q)ejkα (q) .3 Quantum Mechanics of Atomic Vibrations Normal CoOrdinates for Lattice Vibrations Now we formulate the dynamic equations in a universal form to prepare them to quantum mechanical description. According to the deﬁnition of eigenvectors.11: Coupled TOphoton modes. it is completely reﬂected.11. LATTICE VIBRATIONS: PHONONS After the substitution of all the values of γik we get ω4 ∞ 2 2 − ω 2 (ωt + c2 q 2 ) + ωt c2 q 2 = 0 . 2.2 = 1 2 ∞ 2 (ωt 0 + c2 q 2 ) ± 1 (ω 2 42 t 0 0 2 + c2 q 2 )2 − ωt q 2 c2 ∞ .38 CHAPTER 2. The broken lines – spectra without interaction.
the eigenvectors are orthogonal and normalized.71) The general displacements may diﬀer from eigenvectors only by normalization. QUANTUM MECHANICS OF ATOMIC VIBRATIONS 39 According to the properties of Hermitian matrices. t)2 . t) are called the normal coordinates (or normal modes). qj (2.70) j jk αk j Also. t)2 . ejkα e∗ kα = δjj ejkα e∗ β = δkk δαβ .2. ˙ qj (2. One can prove that a(−q) = a∗ (q) (otherwise we cannot obtain real displacements). (2. t) are called the complex normal coordinates. The quantities aj (q. qj (2.3. Now we calculate the kinetic energy of vibrations: T = 1 mk (uk α )2 . Let us introduce real coordinates ˙ Qj (q) and real canonic momentum Pj (q) ≡ Qj (q) with the help of the transform aj (q) = 1 Qj (q) + Q∗ (−q) + j 2 i ˙ ˙j + Qj (q) − Q∗ (−q) . ejkα (q) = e∗ (−q) .73) It is easy to show (see Problem 2. It is convenient to come to the socalled real normal coordinates to apply all the laws of mechanics.74) Now we come to the potential energy.75) (2. t)2 + ωj (q) aj (q.76) We see that the total energy is the sum of the energies of independent oscillators. t)2 . Consequently. After some calculations (see Problem 2. ˙n 2 nkα (2.77) .7) we get Φ= the total energy being E= 1 2 2 aj (q. ˙ qj 1 2 2 ωj (q) aj (q. it is convenient to expand the displacements in terms of the eigenvectors as uk α (t) = √ n 1 N mk ejkα (q)aj (q. t)eiqan . Usually. The total number of the amplitudes is 3sN (3s values for the mode’s number j and N for the discrete q number). it is done with the help of the socalled Pierls transform. jkα (2. 2ωj (q) (2.72) The amplitudes aj (q.6 ) that it is equal to T = 1 2 aj (q.
80) Finally. So. Q) = qj ∂ . It is known that in such a case the total wave function is the product of the oneoscillator functions. Making use of the j equality ωj (−q = ωj (q) one can easily show that the coordinates Qj obey the equation 2 ¨ Qj (±q) = −ωj (q)Qj (±q) .78) After very simple calculations (see Problem 2.85) .83) − ∂2 1 2 − ωj (q)Q2 (q) j 2 2 ∂Qj (q) 2 2 . (2.82) Quantization of Atomic Vibrations: Phonons The quantum mechanical prescription to obtain the Hamiltonian from the classical Hamilton function is to replace classical momenta by the operators: ˙ ˆ Qj (q) = Pj (q) → Pj (q) = Consequently we come to the Schr¨dinger equation o ˆ ˆ H(P .8) we get E= 1 2 2 ˙j Q2 (q) + ωj (q)Q2 (q) . i ∂Qj (q) (2.40 CHAPTER 2. we have expressed the classical Hamiltonian as the one for the set of independent oscillators. LATTICE VIBRATIONS: PHONONS We observe that the condition aj (q) = a∗ (−q) is automatically met. coordinate Qj (q) and eigenfrequency ωj (q). j qj (2. P ) = E = qj Pj2 (q) Q2 (q) j 2 + ωj (q) .79) Now we can use the general principles of mechanics and introduce canonic momenta as Pj (q) = ∂E ˙ = Qj (q) .84) It is a sum of the Schr¨dinger equations for independent oscillators with the mass equal o to 1. (2. 2 2 (2. 2 ∂Q2 2 2 (2. (2. ˙ ∂ Qj (2.81) As a result. At the end of this section we express the displacement in terms of the canonic variables (later we will need this expression) uk α = √ n 1 N mk Re ejαk (q) Qj (q) + qj i Pj (q) eiqan ωj (q) . let us start with oneoscillator equation for the wave function ψ − ∂2ψ 1 2 2 + ω Q ψ = εψ . we can write down the classical Hamilton function of the system as H(Q.
√ − N. To describe quasiparticles it is convenient to introduce operators which act directly upon the occupation numbers Njq . (2. ω 1/2 41 Q . According to the table of integrals. ω √ = i × N +1 2 0. Because it is impossible to discriminate between the modes with given jq the numbers Njq completely describe the system.90) .2. They are introduced as b = b† = One can show directly that √ bψN = N ψN −1 . otherwise .88) ˆ N P N The equations introduced above describe the quantum mechanical approach to the lattice vibrations. (2. if N = N + 1 . QUANTUM MECHANICS OF ATOMIC VIBRATIONS Its solution is ψ = ψN (Q) = 1 ω 1/4 2 √ e−ωQ /2 HN π 2N N ! ε = εN = ω(N + 1/2) . if N = N − 1 . √ † b ψN = N + 1ψN +1 .3. ω 2 ω 2 1/2 ˆ Q+i ˆ Q−i 1 2 ω 1 2 ω 1/2 ˆ P.87) ˆ In the following we will need the matrix elements of the operators Q and P deﬁned as ∞ ˆ αAβ ≡ −∞ ∗ ˆ dQψα (Q)Aψβ (Q) . HN (ξ) is the Hermit polynom which is dependent on the dimensionless coordinate ξ = Q ω/ . (2. if N = N − 1 . the total wave function is the symmetrized product of the oscillator wave functions with quantum numbers Njq . = × N +1 2ω 0. (2.86) Here N is the oscillator’s quantum number.89) (2. if N = N + 1 . ˆ N QN √ √N . In the following we employ this system to introduce a very general and widely used concept of secondary quantization. otherwise . Second Quantization In the Qrepresentation. 1/2 1/2 ˆ P.
According to quantum mechanics ˆ ˆ ˆ QP − P Q ≡ [Q. It will be shown that the conservation laws for the quasiparticle interaction 3 We will see the reasons later. b† into the Hamiltonian (2. b† ] = 1 (2. Consequently. we have obtained the eﬀective Hamiltonian as sum of the independent oscillator Hamiltonians under the harmonic approximation where only quadratic in displacement terms are kept. After very simple algebra (Check!) we get H= j.91) This relation could be generalized for the case of diﬀerent modes because the modes with diﬀerent jq are independent under harmonic approximation.N −1 .q (2. Inserting in these commutation relations the deﬁnitions (2. Now we can insert the operators b. N b† N = N + 1δN . the normal vibrations behave as particles with the energy ωj (q) and quasimomentum q. they are described by the BoseEinstein statistics.q ωj (q) bj (q)b† (q) + b† (q)bj (q) = ωj (q) b† (q)bj (q) + 1/2 .89) we get bb† − b† b = [b.42 CHAPTER 2. To be more precise.84). Consequently. The higher approximation lead to an interaction between the introduced quasiparticles.3 The quasiparticles obeying the commutation relations (2. it is useful to remember matrix elements of the creation and annihilation operators: √ √ N bN = N δN .95) Consequently. j j j 2 j. the operator b† (q)bj (q) has eiqnevalues Nj. the corresponding operators commute and we get [bj (q). they are called quasiparticles.94) Applying the product b† b to the wave function ψN we get b† bψN = N ψN . j (2. the operators are called creation and annihilation operators.93) So we come to the picture of independent particles.93) are called bosons.92) (2.N +1 . (2. b† (q)] = δjj δ qq . .q . LATTICE VIBRATIONS: PHONONS We see that the operator b† increases the occupation number by one while the operator b decreases this number also by one. (2. The quasiparticles are called phonons. Let us consider the properties of the creation and annihilation operators in more details. P ] = i .96) As will be demonstrated in the following. In particular. The part quasi is very important for some reasons which we will discuss in detail later. j Finally.
98) The processes involving ﬁnite G are called the Umklapp ones. q(Nj q − Nj q ) + G . It is convenient to introduce operators for lattice vibrations.100) . = p − q + G. One Phonon Scattering We get: • Absorption: E p • Emission: E p = E − ωj (q) .97) 2N mk qj 2.4 Phonon Dispersion Measurement Techniques Here be describe very brieﬂy the main experimental techniques to investigate phonon spectra.2. PHONON DISPERSION MEASUREMENT 43 diﬀer from the ones for free particles.82) we obtain q uk α (t) = ˆn ejαk (q) bq eiqan −iωjq t + b† e−iqan +iωjq t . the Laue condition p − p = G.67 · 10−24 g are incident upon the crystal. = E + ωj (q) .q p −p = − (2. j. Using deﬁnitions of the operators bq and b† and Eq. Mn = 1.4. = p + q + G. Neutron Scattering In this method. neutron with the energy E = p2 /2Mn . Zero Phonon Scattering If no phonon are emitted or absorbed we have the same conditions as for Xray scattering.99) (2. (2.q ωj (q)(Nj q − Nj q ) . namely i qi is conserved with the accuracy of the arbitrary reciprocal lattice vector G. (2. The phonon dispersion is mapped exploiting the momentumenergy conservation law E −E = j. √ q ωjq (2.
3. The interaction with acoustic phonons is called Brillouin scattering while the interaction with optical modes is called the Raman one. It is clear that ωj (q) ω. k ≈ k  and ωη θ sin . Because this wave vector is much less than the size of the Brillouin zone only central phonons contribute.13).6.9. Prove the expression (2.25).75) for the potential energy.2.74).90). q=2 c 2 where θ is the scattering angle. 2. Light Scattering Usually the photons with k ∼ 105 cm−1 are used that corresponds to the photon energy ≈ 1 eV. Prove the expression (2.5 2. Problems Derive the dispersion relation (2. Prove the relation of the Section 4.101) The equations allow one to analyze the phonon spectra. 2.5. Once more one should apply the conservation laws. 2. = ηk ± q + G (2. Introducing photon wave vector k we get ω ηk = ω ± ωj (q) . Derive the expression (2.7. Prove the expression (2. Consequently.4. . 2. + corresponds to a phonon absorption (the socalled antiStokes process) while − correspond to an emission (Stokes process). The corresponding phonon frequency is determined as ∆ω. (2.8.1.9). LATTICE VIBRATIONS: PHONONS Making use of the periodicity of the phonon spectra ωj (q) we have • Absorption: p2 p2 = + ωj 2Mn 2Mn • Emission p2 p2 = − ωj 2Mn 2Mn p+p . 2. Prove the relation (2. p−p . Prove the equation (2. 2. 2. 2. 2. (2.102) where η is the refractive index.35).79).44 CHAPTER 2. Derive Eq.
it is natural to neglect the atomic kinetic energy. considering atoms as ﬁxed. Band Structure. In this chapter the properties of electron gas will be considered. e. So. It is very diﬃcult to calculate this ﬁeld but it is clear that it has the same symmetry as the lattice.1 General Discussion. [1. 2]. 2 − 2 2m i + V (r. • The atomic mass M is much greater than the electron one m. g. Electron in a Periodic Field To understand electron properties one should in general case solve the Schr¨dinger equation o (SE) for the whole system of electrons and atoms including their interaction. 3.Chapter 3 Electrons in a Lattice. • We will see that the behavior of interacting electrons is very similar to the one of noninteracting particles (i. R) ψ = Eψ (3. In this way we come to the SE for the manyelectron wave function. gas) in an external selfconsistent ﬁeld produced by the lattice ions and other electrons. So let us take advantage of this fact and study the general properties of the electron motion. e. for the beginning. 45 .1) i where atomic coordinates are considered as external parameters ψ(r. Extra information can be found in many books. R) . There are several very important simpliﬁcations. E(R) .
7) (3.8) is very similar to the plane wave. if the level ε is nondegenerate we get ψ(r + a) = Cψ(r) .8) . We get C(a)C(a ) = C(a + a ) that means the ϕfunction should be linear ϕ(a) = pa/ .6) It is clear that vector p is deﬁned with the accuracy of G where G is the reciprocal lattice vector. As in the situation with lattice vibrations. (3. Because of periodicity.46 CHAPTER 3. a and a . we can consider only one cell in the reciprocal lattice space. The Bloch function (3.1.3) 2m should also have the solution ψ(r + a) corresponding to the same energy.9) is a periodic function.2) The one electron SE − 2 2 ψ(r) + V (r)ψ(r) = εψ(r) (3.1 Electron in a Periodic Potential Let us forget about the nature of the potential and take into account only the periodicity condition V (r + a) = V (r) . The vector p is called quasimomentum because it is deﬁned with the accuracy G. Finally.10) pi = Li (3.8) is known as the Bloch theorem. The expression (3.4) According to the normalization condition C2 = 1 one can write C = eiϕ(a) (3. (3. Now we can apply the translation symmetry and make consequential displacements. the general form of the electron wave function in a lattice is ψ(r) = eipr/ u(r) where u(r + a) = u(r) (3. (3. C = constant . Consequently. 3. ELECTRONS IN A LATTICE. so the vector p is a discrete variable: 2π ni . (3. the diﬀerence being the presence of the modulation u. we apply cyclic boundary conditions.5) where ϕ is some real function of the lattice vector.
Thus. (3. Consequently. after the shift a these functions acquire diﬀerent factors. The functions εl (p) are periodic in the reciprocal space. It means that if ψlp (r. If the lattice symmetry is high enough the extrema of the functions εl (p) are either in the center or at the borders of BZ.3. TIGHT BINDING APPROXIMATION the number of states being ∆ni = i 47 V (2π )3 ∆pi . this overlap can be considered as perturbation and we start with the potential V (x) = the SE equation being − d2 ψ + 2m dx2 2 U (x − na) . In the following we will specify the region of the reciprocal space in the same way as for lattice vibrations. n (3.2 Tight Binding Approximation To get some simple example we consider the socalled tightbindingapproximation. Let us consider some other general properties of wave functions. But it is known that Hamiltonian is a Hermitian operator and H = H∗ . i (3. At the same time.11) It means that the density of states is V/(2π )3 . the energy levels are speciﬁed as εl (p) where p acquires N values where N is the number of primitive cells in the sample. t) = exp [−iεl (p)t/ ] ψlp (r) ∗ is an eigenfunction of H the function ψlp (r.13) . −t) is also the eigenfunction. 3. Brillouin zones (BZ). If one writes down the complex conjugate to the Schr¨dinger equation and then replaces t → −t he gets the o same equation with the Hamiltonian H∗ . We will very often replace the sums over discrete states by the integrals V i →V 2 d3 p ≡V (2π )3 (dp) . the total number of states for a quantum number l is 2N . Here we have taken into account that an electron has spin 1/2. namely. e±ipa/ respectively. These band can overlap or some energy gaps can exist.2. Hence.12) U (x − na)ψ(x) = εψ(x) . the projection to a given axis being ±1/2 that doubles the number of states. Let us start with the 1D case and assume that the overlap of the electron shells is very small. It means εl (p) = εl (−p) . so they have maximal and minimal values and form bands.
. We construct the socalled Wannier functions as 1 wn (x) = √ N e−ipna/ ψp (x) . ELECTRONS IN A LATTICE. It is important that the Wannier function wn is large only near the nth ion position (without Bloch modulation it will be δfunction δ(x−na)). because of periodicity wn (x) = w0 (x − na) .15) The Wannier functions are orthogonal and normalized (Problem 3. One can check (Problem 3. Now we can substitute the function (3. Consequently ε(0) (p) = ε0 . p (3. As a result we get w(0) = ψ0 (x) where ψ0 (x) is the wave function of a free atom.14) where N is the total number of atoms in the chain while p belongs to the 1st BZ. n (3. ψp (x) = eipx/ up (x) with the eigenvalues ε(p). and we can neglect it as a zeroth approximation.1) that the inverse transform is 1 ψp (x) = √ N eipna/ wn (x) . The product hn (x) eikan wn (x) at is small because it contains only the items U (x − ma) wn (x) for m = n.16) Here we have introduced the electron wave vector k ≡ p/ .2). We get − n d2 + U (x − na) eikan wn (x) + 2m dx2 2 hn (x)eikan wn (x) = n = ε(k) n eikan wn (x) .48 Let the exact wave functions be CHAPTER 3. (3. Moreover.15) into the exact SE and make the auxiliary transform 2 d2 H= − + U (x − na) + hn (x) 2m dx2 n where hn (x) ≡ V (x) − U (x − na) between the exact potential V (x) and the nearest atomic one.
I(−n) = I(n). so h(−n) = h(n). both functions rapidly decrease with increasing n (small overlap!).3) ε − ε0 = h(0) + 2[h(1) − h(0)I(1)] cos(ka) . In a similar case of fcc lattice one gets (Check!) ε(k) − ε0 = h(0) + 4W [cos(kx a/2) cos(ky a/2) + cos(ky a/2) cos(kz a/2) + + cos(kz a/2) cos(kx a/2)] . ±1) . atoms’ positions are connected by the symmetry transforms which diﬀer from a simple translation. (3. we get h(n)eikan (3.17) This is nonuniform linear equation for wn . (3.20) The 3D case is more complicated if there are more than 1 atom in a primitive cell.22) where W = [h(1) − h(0)I(1)] is the characteristics of bandwidth. ±1. ∗ dx ψ0 (x)ψ0 (x − na) . (3. (3.3. This solution is wn . we get (Problem 3.18) ε(p) − ε0 = n ikan n I(n)e where h(n) = I(n) = ∗ dx ψ0 (x)hn (x)ψ0 (x − na) . In this case we come to a similar expression ε(p) − ε0 = h(n)eika . Since the Hamiltonian is Hermitian. is orthogonal to the solution of the corresponding uniform (0) equation with the same boundary conditions. (3. Eq.23) . We discuss here the simplest case with 1 atom per a primitive cell and for sstates of the atoms having spherical symmetry. atomic levels for higher momenta are degenerate. (3. Finally. First.21) In a bcc lattice taking into account nearest neighbors we get a = (a/2)(±1.h. I(n)eka (3. As a result.2.19) The atomic wave function can be chosen as real.s. and ε(k) − ε0 = h(0) + 8W cos(kx a/2) cos(ky a/2) cos(kz a/2) . TIGHT BINDING APPROXIMATION In the next approximation we put w = w(0) + w(1) and ﬁnd − n 49 d2 2m dx2 2 (1) + U (x − na) − ε0 ] eikan wn (x) = = − n (0) hn (x)eikan wn (x) + (ε(p) − ε0 ) n (1) (0) eikan wn (x) .17) has a solution only if the r. Second.
We start from 1D model for a very weak periodic potential. (3. 3. L the energy being ε(0) (k) = We can expand the periodic potential as V (x) = n 2 2 k = p/ .50 In a sc lattice one gets (Problem 3.4) CHAPTER 3.25) k /2m . (3. k ) = 1 L dx V (x)e−i(k−k )x = Vn δ k − k − 2πn a . Another application is to produce starting empirical formulas having proper symmetry.2) E Ec Nfold Eb Nfold Ea Nfold Solid Atomic separation Figure 3.26) Vn e2πinx/a (3. (3. ELECTRONS IN A LATTICE.3 The Model of Near Free Electrons Now we come to the opposite limiting case where electrons are almost free.24) The physical meaning of the results is the spreading of atomic levels into narrow bands (Fig. ε(k) − ε0 = h(0) + 2W [cos(kx a) + cos(ky a) + cos(kz a)] .1: Spreading of atomic levels into bands The tight binding approximation is useful when the overlap is small (transition and rare earth metals).27) where V (k. 3. The starting approximation is a plane wave (we have in mind periodic boundary conditions) 1 √ eikx . .
As a result.3. (3. 3.2 Because the energy spectrum is periodic in kspace. ∗ ∗ Then we multiply the equation ﬁrst by ψ1 and second by ψ2 .3.29) As a result. Integrating over x we get (ε1 − ε + V0 )A1 + Vn A2 = 0 . . the perturbation theory being destroyed at ε(0) (k) = ε(0) (k − G) . So let us recall the famous problem of quantum mechanics. THE MODEL OF NEAR FREE ELECTRONS 51 The ﬁrst perturbation correction ε(1) = V0 is not important (shift of energy) while the second one is Vn 2 ε(2) (k) = (3. We chose the wave function as their superposition. Substituting this function into SE we get A1 (ε1 − ε)ψ1 + V (A1 ψ1 + A2 ψ2 ) + A2 (ε2 − ε)ψ2 = 0 . 2 correspond to the states 1. the energy has a drop 2Vn  near the points k = ±πn/a. We have once more the picture of bands with gaps in between. Assume that the functions ψi where i = 1. which has solutions (ε1 − ε2 )2 ε1 + ε2 ± + Vn 2 . 2. ∗ Vn A1 + (ε2 − ε + V0 )A2 = 0 . So we come from the left panel to the right one. In the 3D case the periodicity of the potential is taken into account by the expansion ε= V (r) = G VG eiGr where G is the reciprocal lattice vector. Consequently. the gaps being small in comparison with the widths of the allowed bands. we get a quadratic equation for ε (we include the constant V0 into this quantity): ε2 − (ε1 + ε2 )ε + ε1 ε2 − Vn 2 = 0 . At the same time. (3.30) 2 4 The sign is chosen from the request that far from the “dangerous” point ε should be close to ε0 . ψ = A1 ψ1 + A2 ψ2 . it is convenient to make use of the periodicity of ε in kspace and to subtract from each value of k the reciprocal lattice vector in order to come within BZ. one has to use the perturbation theory for degenerate states.28) ε(0) (k) − ε(0) (k − 2πn/a) n=0 The perturbation theory is valid if ε(2) ε(1) that cannot be met at small denominators. at k → πn/a the quantity k → −πn/a and denominator tends to zero. This situation is illustrated in Fig.
4 3.2: Energy spectrum in a weak periodic potential. k= 2 2 2 kx + ky + kz .32) where εb is the energy of the minimum. From the expression (3. To make it as simple as possible we start with the case of a simple cubic crystal in the tight binding limit. Thus the structure of BZ is extremely important for understanding of electron properties.52 CHAPTER 3. So the spectrum is just the same as the one of a particle with the eﬀective mass m∗ (b) n = ∂2ε ∂p2 x −1 2 = b 2W a2 (3. E E 2 1 0 1 2 Quasimomentum (in units h/a) 1 0 1 Quasimomentum (in units h/a) Figure 3.33) .24) for small product ki a 1 we get ε = ε b + W k 2 a2 .1 Main Properties of Bloch Electrons Eﬀective Mass Let us discuss general properties on electrons in periodic potential.31) It is just the equation for the plane boundary of the BZ.24) we see that there is a minimum b in the BZ center k = 0. Near the minimum expanding (3. 3. Substituting ε(0) = 2 2 k /2m we get kG = G/2 . ELECTRONS IN A LATTICE.4. (3. (3.
2 Wannier Theorem → Eﬀective Mass Approach Now we come to a very important concept of solid state physics which allows one to treat electrons in a periodic ﬁeld like ordinary particles . How does the operator exp (a ) act upon the Bloch function? One can immediately show that it is just the operator.β and introduce the inverse eﬀective mass tensor (m−1 )αβ = ∂ 2 ε(k) ∂kα ∂kβ (3.5): exp(a )ψl (r) = ψl (r + a) . Very often such a quasiparticle is called a hole (see later) and we deﬁne its mass as the electron mass with opposite sign. m∗ = m∗ . We know that the energy in a given band is periodic in the kspace that is the same as the reciprocal lattice space.35) that is negative.38) where a are lattice vectors (Check!).39) . Then we come to the very important formula: εl (−i ) ψl (r) = εl (k) ψl (r) . So we can expand εl (k) = a ca eika (3. we get the expression for the eﬀective mass m∗ (a) = − n 2 2W a2 (3.40) (3. near the band top is the same as the electron mass near its bottom. 3. which shifts the coordinate by a (Problem 3. MAIN PROPERTIES OF BLOCH ELECTRONS 53 (the subscript n indicates that the material is of ntype. (3.34) In a similar way. Substituting ki = π/a − ki and expanding (3.36) α.to the socalled eﬀective mass approach.24) in powers of ki a 1 we get ε = εa − W a 2 k 2 . Now we can analyze the BZ boundary a with ki ≈ π/a. electronlike). So. (3. p n In the general case one can expand the energy as in lth band near an extremum as 1 εl (k) = 2 ∂ 2 ε(k) ∂kα ∂kβ (kα − kα0 )(kβ − kβ0 ) 0 (3. in a simple cubic crystal the hole mass.37) 0 This 2ndorder tensor can be transformed to its principal axes.3.4.4.
If we return to the situation where quadratic expansion is possible we come to the problem of a particle with (anisotropic) eﬀective mass which can strongly diﬀer from the free electron mass m0 . It is valid only if the spectrum is nondegenerate in the point k. ∂t 3. v(−k) = −v(k) and one can easily show that v(k) = 0 (3.43) where summation is performed inside the BZ. The electric current is jγ = −evγ . It is important to note that the prescription has essentially singleband character.42) We know that ε(−k) = ε(k). Taking into account relation (3. 3.5 Electron Velocity Let us calculate quantum mechanical average electron velocity v in a Bloch state γ ≡ lk. Suppose that the electron has the charge −e (we suppose e to be positive). To get the total current one should multiply the equation (3. we can replace k → −i in the SE (which can also contain external ﬁelds) and analyze the electron’s quantum dynamics. We see that if the spectrum is determined by quadratic expansion we get the usual expression for a particle with the mass m∗ . This relation is called the Wannier theorem. Consequently. it needs a very serious generalization if the bands are degenerate (or the gaps are narrow and interband transitions are possible).6).43) . As far as we know the spectrum εl (k). For a free electron one would obtain v = 1 i k p =− γ γ = . ELECTRONS IN A LATTICE.1 Electric current in a Bloch State. Concept of Holes. v= ∂ε 1 ∂ε = ∂p ∂k (3.54 CHAPTER 3. So we come to the following prescription. (3.42) by 2 (number of spin projections).5. m0 m0 m0 It is natural that for a quantum particle the average velocity is just the group velocity of the wave package representing quantum particle. In and external ﬁeld we get the Newton equation ∂v m∗ = F.41) (see Problem 3. It is important in many situations in semiconductor crystals and we will come back to this point in the corresponding Section.
There is one atom per cell.s [ε(k) − eϕ]v(k) + k. s)[−ε(k) + eϕ]v(k) So we see that holes can be considered as particles with the energy −ε(k).s [1 − νp (k.s νp (k. mp = −mn > 0 where subscript n characterizes an electron variable.s νn (k. The current can be expressed as j = −e k. at T = 0 the band is halffull. The band is full. One atom per cell and 2 electrons per atom. In such a way we come to the description of the particles with the charge e and eﬀective mass mp . One can discuss the following variants. . To formulate the current we introduce the occupation factor νn (k. If the band is only ﬁlled partly. Characterizing the energy current in a state k as v[ε(k) − eϕ] where ϕ is the electric potential we get w = k.6 Band Filling and Classiﬁcation of Materials We have discussed the picture of allowed bands and forbidden gaps. the total current is determined by the diﬀerence of ﬁlled states with k and −k.s νn (k. Now we are prepared to discuss the actual presence of electrons in these bands. 2. CLASSIFICATION OF MATERIALS 55 one can prove that the total current of completely ﬁlled band vanishes.3. Consequently. It remains valid also in an external electric ﬁeld (if the ﬁeld is small enough and electrons are not transferred to higher bands). s)][ε(k) − eϕ]v(k) = (3.s νp (k.6. s)v(k) = e k.34) is valid is to deﬁne the hole energy as εp (k) = εa − εn (k) . One can also introduce the occupation number of holes as νp (k. 1. s)[ε(k) − eϕ]v(k) = k. 3. It is a very important statement. there is a band gap and the next band is empty.44) = k. s)v(k) (the current of a completely ﬁlled band is zero!). To get a more deep analogy let us calculate the energy current due to the ﬂux of electrons and holes. s) = 1 − νn (k. The usual way to treat the quasiparticles near the top of the band where the expansion (3. s) which characterizes the probability of empty states. s) which is equal to 1 if the state with the quasimomentum k and spin s is occupied and 0 otherwise. So we can express the current of a partly full band as the current of holes with the charge +e > 0.
The impurity level are usually situated in the forbidden gap. conduction one. their conductivity exponentially decreases at low temperatures. We will come back to this classiﬁcation later to describe special features of diﬀerent materials. At ﬁnite temperatures some electrons are excited from the lower valence band to the upper.3 Energy Insulator Metal Semiconductor Semiconductor Figure 3. ELECTRONS IN A LATTICE.3: Electron occupation of bands (schematically). if the levels are near the top of the valence band they take electrons from the band producing holes (they are called accepters). The cases 2 and 3 correspond to insulators. The modern way to produce materials for electronics is to “dope” semiconductor material with impurity atoms which introduce carriers in a controllable way. Such materials are often call semimetals if eﬀective number of carriers is small. 3. This is shown in Fig. Contrary. Such semiconductor is called intrinsic. There are two atoms per cell and each atom contributes 1 electron. All this scheme is valid if the bands do not overlap. So there are holes in the valence band and the electrons in the conduction one. The same as in the previous case. A typical example of semimetals is Bi. If the impurity level are situated near the bottom of conduction band the atom are ionized at low enough temperatures and provide extra electrons to the band (such impurities are called donors). If the bans overlap the conduction is usually metallic (see Fig.4). The semiconductors are deﬁned as insulators with small forbidden gaps. 3. it is a metal. In the case 1 the material has high conductivity at very low temperatures. 3. .56 CHAPTER 3.
3.7. DYNAMICS OF BLOCH ELECTRONS
E
57
2nd band
1st band
k
Figure 3.4: The case of band overlap.
3.7
Dynamics of Bloch Electrons
Now we discuss dynamic properties of Bloch electrons both classical and quantum.
3.7.1
Classical Mechanics
As we have seen, under the one band approximation the Bloch electron can be described as a particle with the classical Hamilton function H(p, r) = ε(p) + U(r), p = k.
Here U(r) is the total potential energy due to external ﬁelds. To take account of magnetic ﬁeld one should replace the momentum p by the kinematic one1 e p → P = p + A(r) c where A is the vectorpotential of the magnetic ﬁeld which is connected with the magnetic ﬁeld H by the relation H =curl A. Consequently, we have e H(p, r) = ε p+ A(r) + U(r), c where U(r) = U (r) − eϕ(r) ,
1
p= k
Remember that we denote the electron charge as −e.
58
CHAPTER 3. ELECTRONS IN A LATTICE.
U is the potential energy due to nonelectric ﬁelds (like deformation), while ϕ is the electrostatic potential. To analyze the dynamics one should use classical Hamilton equations r=v= ˙ ∂H , ∂p p=− ˙ ∂H . ∂r
The ﬁrst equation reduces to the one we have discussed earlier, v= ∂ε ∂p
while the second one needs more care because the vectorpotential is rdependent. We get pi = − ˙ The ﬁrst item is − e c ∂ e ∂U(r) ε p+ A(r) − . ∂xi c ∂xi ∂ε ∂Ak e =− ∂pk ∂xi c vk
k
k
∂Ak . ∂xi
We will consider for simplicity the case of a homogeneous magnetic ﬁeld. It is convenient to choose the socalled Landau gauge 0 A = Hx , H =Hˆ. z (3.45) 0 e ∂Ay e e − vy = − vy Hz = − [v × H]x . c ∂x c c As a result, we come to the very usual formula 1 p = (−e) E+ [v × H] − ˙ c U (r), E = − ϕ(r). (3.46) In this case we have
which is just the Newton law for the particle with the charge −e. In the absence of external the electric ﬁeld and the potential U , as one can easily show, energy is conserved. Indeed dε ∂ε ∂p e = = − (v [v × H]) = 0. dt ∂p ∂t c So we have 2 integrals of motion, ε = const, pz = const.
Thus we come to a geometric picture: one should take the surface ε(p) = const and intersect this surface by the plane pz = const. The resulting line is just the electron orbit in pspace.
3.7. DYNAMICS OF BLOCH ELECTRONS
59
It is clear that the result is strongly dependent on the shape of the surface ε(p) = const. In semiconductors usually only the electrons near band extrema are important and all the orbits are closed lines. The situation is much more rich in metals where the number of conduction electrons is large and (because of the Pauli principle) at small temperatures they occupy the states below the certain energy which is called the Fermi level F . The electrons near the surface ε(p) =
F
(the Fermi surface, FS) are most important for all the properties of metals. If the Fermi surface is conﬁned within one BZ it is called closed. In general, FS can touch the boundaries of the BZ. In this case it is called open. The examples of closed and open FS in 2D case are shown in Fig. 3.5 while some FS in 3D case are shown in Fig. 3.6 and Fig. 3.7.
Figure 3.5: Closed and open FS in twodimensional case (examples). The closed orbits can be both electron and holelike. Electron orbits are the ones with the velocity v = p ε(p) is directed “outside” the orbit, the hole ones have to velocity directed “inside”. It easy to show that it is just the same deﬁnition as we have used previously (see later). If the magnetic ﬁeld is tilted with respect to the symmetry axes both closed and open orbits can exist (see Fig. 3.8). To study the motion in momentum space one can introduce the element dp ≡ (dpx )2 + (dpy )2 .
Taking squares of Eq. (3.46) for px and py and adding them we get dp e = Hv⊥ , dt c or dt = c dp . eH v⊥
60
CHAPTER 3. ELECTRONS IN A LATTICE.
Figure 3.6: (a) 1st BZ for a fcc crystal (Al). (b) 2nd BZ for a fcc crystal. (c) The free electron sphere for a trivalent fcc Bravais lattice. It completely encloses the 1st zone, passing trough and beyond the 2nd zone into the third and (at the corners) ever slightly into the fourth. (d) Portion of the free electron surface in the second zone when translated into the 1st zone. The convex surface encloses holes. (e) portion of the free electron sphere in the 3d zone when translated into the 1st zone. The surface encloses electrons. If the orbit is closed we immediately get the expression for the period through the integral along the orbit c dp T = . eH v⊥ This period can be easily expressed in terms of the orbit’s area S S(pz ) = dpx dpy
pz =const
.
To do this integral we can take 2 contours corresponding to ε and ε + dε, the width in pspace in the normal direction being dε ∂ε/∂p⊥ −1 = dε/v⊥ . Thus S= dε dp . v⊥ (3.47)
3.7. DYNAMICS OF BLOCH ELECTRONS
61
H
A B A
Electrons y Holes H Electrons x Holes x
Electrons
y
A
B
Figure 3.7: Possible FS for a cubic metal. Lower panel: Left part  electron orbits, right part  hole ones.
62
CHAPTER 3. ELECTRONS IN A LATTICE.
Figure 3.8: Electron orbits for tilted magnetic ﬁeld. Finally, we get the following formula for the cyclotron frequency ωc = eH 1 ∂S , where mc (ε, pz ) = cmc 2π ∂ε
pz
is the cyclotron eﬀective mass. For a free electron ε = (p2 + p2 )/2m0 , and z ⊥ S(pz ) = πp2 = 2πm0 ε − πp2 , and mc = m0 . ⊥ z Thus, the cyclotron mass appears constant. The same holds for all the quasiparticles with isotropic and quadratic spectrum ε(p). Returning to real space, one can rewrite the equation of motion as e dp = − [dr × H] . c We see that the projection of the motion in the real space on the plane normal to H can be obtained by the substitution x→ cH py , e y→ cH px . e
Also remains the motion along zaxis with the velocity vz = ∂ε/∂z. Now we discuss one very useful trick to calculate the properties of electrons in a magnetic ﬁeld. Namely, let us introduce the time of the motion along the orbit as t1 = c eH dp v⊥
3.7. DYNAMICS OF BLOCH ELECTRONS
63
One should keep in mind that it is not the real time but some function of the point in the pspace. We get 2 eH 2 dpx dpy dpz = dpz dε dt1 3 (2π ) (2π )3 c Here we have used the relation (3.47). This trick will be extensively used later. Cyclotron resonance. Now we discuss one of the ways to measure the characteristics of electron spectra. Let us assume that the electron with eﬀective mass m moves in a weak a.c. electric ﬁeld E = E0 exp(−iωt), and in a constant magnetic ﬁeld H ˆ. We get z E0 x ˆ
−iωmvx = −eEx − e vy H, c −iωmvy = e vx H. c To solve this set it is convenient to introduce the complex velocity v ≡ vx + ivy and get i(ω − ωc )v = eEx . We see that at ω → ωc the amplitude of velocity increases. It means that electron absorbs the energy from the electric ﬁeld. To get more adequate theory of the cyclotron resonance one needs to take into account relaxation (we will come back to this problem later). The cyclotron resonance is a very useful tool to determine the cyclotron eﬀective mass.
3.7.2
Quantum Mechanics of Bloch Electron
An electron with isotropic quadratic spectrum We start our considerations with the simplest case of where the periodic potential can be taken into account by the eﬀective mass approximation (we will denote is as m). We also use the Landau gauge (3.45). To get the SE2 one can replace p in the classical Hamilton function with the operator p = −i ˆ − ∂2ψ + 2m ∂x2
2
∂ ieHx + ∂y c
2
ψ+
∂2ψ = εψ. ∂z 2
(3.48)
It is convenient to search the solution as ψ(r) =ϕ(x)ei(ky y+kz z) .
2
We ignore for a while the electron spin.
64
CHAPTER 3. ELECTRONS IN A LATTICE.
Substituting this expression into (3.48) we get the equation for ϕ(x) (Check!) − ∂2ϕ 1 2 + mωc (x − x0 )2 ϕ = ε1 ϕ 2m ∂x2 2
2
where ωc is the cyclotron frequency, x0 = −a2 ky , H aH = c , eH ε1 = ε −
2 2 kz
2m
.
The quantity aH is often called the magnetic length or Landau length. Finally we came to the SE for a harmonic oscillator and we can write down both the energies and wave functions: ε1 = εN ≡ ωc (N + 1/2), (3.49) the socalled Landau levels, 1 1 ϕ(x) = √ exp − aH 2 x − x0 aH
2
HN
x − x0 aH
(3.50)
where HN is the Hermite polynomial. We see that the electron states in a magnetic ﬁeld could be speciﬁed by the set of quantum numbers α = N, ky , kz , the energy levels εα = εN +
2 2 kz
2m
(3.51)
being dependent only on N, kz . One can ask: why the coordinates x and y are not equivalent? The reason is that the wave functions (3.50) correspond to the energy independent of ky . Consequently, any function of the type C(ky )ψN,ky ,kz
ky
corresponds to the same energy and one can chose convenient linear combinations to get correct asymptotic behavior. General case. The spectrum (3.51) has a very simple form for the case of any isotropic quadratic spectrum. Nevertheless it is possible to obtain important results even in the case of very complicated FS if we are interested in the Landau levels for large quantum numbers N. In this case one can expect that one can use the BohrSommerfeld quantization procedure. Indeed, in the presence of magnetic ﬁeld, as we have seen the kinematic momentum operator is P = −i e + A. c
3.8. SECOND QUANTIZATION OF BOSONS AND ELECTRONS Consequently, Px = −i ∂/∂x, the commutator being [Px , Py ] = iπ One can see that the coordinate Y =− is canonically conjugated to Py , [Py , Y ] = i . Now we can directly apply the quantization rule Py dY = c eH Py dPx = cS = 2π [N + γ(N )] . eH eH . c Py = −i ∂/∂y + (e/c)Hx,
65
c Px eH
Here γ(N ) is a slow function of N, 0 < γ < 1. It is easy to show that the distance between the levels is just ωc . Indeed, neglecting γ(N ) − γ(N − 1) we get c ∂S(ε) ∆ε = 2π . eH ∂ε
3.8
Second Quantization of Bosons and Electrons
Now we brieﬂy discuss the way to describe manyelectron states by the occupation numbers. Such a procedure was introduced for phonons which are Bose particles and we ﬁrst generalize that procedure. In general case, the total wave function of bosons is symmetric in replacement of the particles. Thus it can be expressed as a symmetric product of individual wave functions ΦN1 N2 ... = N1 !N2 ! . . . N!
1/2
ϕp1 (ξ1 )ϕp2 (ξ2 ) . . . ϕpN (ξN ) ,
P
(3.52)
where pi label the states, ϕpi are while the sum is calculated over all the permutations of {pi }. The coeﬃcient is introduced to make the to total function normalized: Φ2
i
dξi = 1 .
The main idea is to consider ΦN1 N2 ... as a function of the occupation numbers Ni . Assume that we have an arbitrary oneparticle symmetric operator F (1) =
a (1) fa
(3.53)
56) One can easily prove this relation comparing both diagonal and oﬀdiagonal matrix elements of the operators. So the occupation numbers could be 0 or 1.. But oﬀdiagonal elements are F (1) 1i 0k 0i 1k = ±fik (1) (3.. where fa acts only upon the functions of ξa ..60) can be expressed as the determinant of the matrix with the elements Mik = (N !)−1/2 ϕpi (ξk ) which is often called the Slater determinant.62) .52) 1 ΦN1 N2 .60) with opposite signs (we take the sign ‘+’ for the term with p1 < p2 < . The symbol (−1)P shows that odd and even permutations enter the expression (3. .55) where fik = (1) ϕ∗ (ξ1 )f (1) (ξ1 )ϕk (ξ) dξ1 . According to the Pauli principle. .58) where ik flm = ϕ∗ (ξ1 )ϕ∗ (ξ2 )f (2) (ξ1 . < pN ).b (2) fab (2) (3.53) can be expressed in terms of the creationannihilation operators as F (1) = ik fik b† bk i (1) (3. ELECTRONS IN A LATTICE. i k (3. A 2particle symmetric operator F (2) = a. p2 . The diagonal matrix elements of the operator F (1) are ¯ F (1) = i fii Ni (1) (3. pN are diﬀerent. The operator (3.. .66 (1) CHAPTER 3. . In this case we get instead of (3. . In is clear that acting upon ΦN1 N2 .59) Now we turn to the Fermi statistics to describe electrons. ϕpN (ξN ) P (3. . it changes the state of only one particle. Note that the expression (3.60) where all the numbers p1 . . the total wave function should be antisymmetric over all the variables. = √ N! (−1)P ϕp1 (ξ1 )ϕp2 (ξ2 ) .57) where fab acts upon the functions of the variables ξa and ξb can be expressed as F (2) = iklm ik flm b† b† bl bm i k (3. . So it is reasonable to introduce the operators with matrix elements ∗ (bi )Ni −1 = Ni . (b† )Ni −1 = (bi )Ni −1 = Ni (3. ξ2 )ϕl (ξ1 )ϕm (ξ2 ) dξ1 dξ2 .61) just as for the Bose particles.54) i Ni Ni Ni It is just annihilation and creation operators introduced earlier. k (3.
Nk −1 Ni −1.3 Consequently. Prove the orthogonality of the Wannier functions. Derive expression (3.5.3.Nk = fik (1) √ Ni Nk . i (3.39).41). for Fermi particles it is convenient to introduce the annihilation and creation operators as (ai )0 = (a† )1 = (−1) 1 i 0 i−1 l=1 Nl . 3.9 3.55). 3.64) {ai . Derive expression (3.2. 3. a† k ≡ ai a† + a† ak = δik . (3. (3.15).65) One can express all the operators for Fermi particles exactly in the same way as the Bose ones.6. Prove the formula (3. 3. i k a† . Problems Derive Eq.58).1. (3. (3. i ai a† = 1 − Ni . a† i k = 0. 3 Note that for Bose particles similar matrix elements are F (1) Ni .63) We immediately get (Check!) the commutation rules for the Fermi operators: ai .4. 3. Prove the identity (3. PROBLEMS 67 where the sign is determined by the parity of the total number of particles in the states between the i and k ones. ak } = The product of Fermi operators are a† ai = N i .16).3. .24). 3. (3. Eqs.9.
68 CHAPTER 3. . ELECTRONS IN A LATTICE.
Part II Normal metals and semiconductors 69 .
.
4.1) This relation is violated at low temperatures as far as the temperature becomes less than the socalled Debye temperature (which is for most of solids is within the interval 100400 K). the average kinetic energy per degree of freedom is the total energy being ε = εpot + εkin = 2εkin . namely it decreases with the temperature decrease.1 Speciﬁc Heat of Crystal Lattice 1 εk = kB T. To understand this behavior one should apply quantum mechanics.Chapter 4 Statistics and Thermodynamics of Phonons and Electrons In this Chapter we discuss thermodynamics of crystal lattice. 71 . As a result. the total energy is E = 3N0 · εkin = 3RT. As a result. We have seen that normal vibrations can be described as quasiparticles with the energy εN = ω(N + 1/2).96 kal/K · mole. Let us calculate the average electron energy from the point of view of quantum mechanics. 2 From the classical statistical physics. where R is the Rydberg constant while N0 is the Avogadro one. (4. the speciﬁc heat is cV = 3R = 5.
STATISTICS AND THERMODYNAMICS .1) Z= Making use of this formula we get ε= ω + ω N (ω).. where we have omitted the indices q and j which characterize a given oscillator. Therefore their should be determined from the condition of equilibrium. e. Such a picture allows one to consider the phonons as elementary excitations over the zeropoint vibration energy E0 = (1/2) ωj (q). The probability to ﬁnd the oscillator in the state N is wN = The average energy is ε= N e−εN /kB T . In general the Bose distribution has the form 1 exp ε−ζ kB T −1 where ζ is chemical potential which is equal to the derivative of the free energy: ∂F ∂N = ζ.V Usually the chemical potential is determined by the conservation of the particles’ number.3) where N (ω) is the Planck function. from the request of minimum of free energy. for phonons ζ = 0. T. The number of phonons is not conserved: they can be created or annihilated in course of interactions. As a result.72 CHAPTER 4. 2 N (ω) = 1 e ω/kB T β = 1/kB T. (4. The Planck function determines the equilibrium number of phonons with a given frequency.2) N =0 We get ε = −d ln Z/dβ. Form the deﬁnition (see Problem 4.. jq . −εN /kB T N e To demonstrate the way to calculate the average energy we introduce the partition function as Z= e−εN /kB T . e− ω/2kB T . −εN /kB T N e εN e−εN /kB T . i. The ﬁrst item is energyindependent while the second one is just the average energy of bosons with zero chemical potential. 1 − e− ω/kB T −1 (4.
Introducing the average sound velocity s0 as 1 1 = 3 s0 3 1 2 + 3 3 sl st we get the following contribution of acoustic modes Eac = 3V 2π 3 s3 0 ωD dω 0 ω3 e ω/kB T −1 where the socalled Debye frequency is determined from the condition of the total number of modes to be equal to 3N for all acoustic branches. s0 = 105 cm/s.4. the Debye temperature is introduced as ωD s0 Θ= = kB kB 6π 2 V0 1/3 . kB . Θ = 100 K. (4. qD = ωD s0 where V0 is the cell volume. Consequently.4).4) We get E= 0 ∞ g(ω) ωN (ω) dω.3) over all the frequencies and vibration branches.2. ωD 3N = 0 g(ω) dω. In the ﬁrst approximation let us assume that the frequencies of the optical branches are qindependent and equal to ωj0 . The typical value of this temperature can be obtained from the rough estimate a = 10−8 cm. the summation is just the multiplication by the Planck function N (ωj0 ). SPECIFIC HEAT OF CRYSTAL LATTICE 73 To get the total energy one should sum (4. So according to the socalled Debye model all the values of q are conﬁned in a sphere with the radius qD . Usually. From this equation ωD = s0 6π 2 V0 1/3 . We get ωD = 1013 s−1 .1. It is conventional also to introduce the temperatures corresponding to optical branches as Θj = ωj0 . It is convenient to express this sum through the DOS according to the general deﬁnition g(ω) = j. The orderofmagnitude estimate for the maximal wave vector qD is π/a. For acoustic modes we use the Debye model (see Section 2.q δ [ω − ωj (q)] .
. Usually. we get the following expression for the internal energy E = E0 + N kB T 3D where the Debye function D(z) is D(z) = 3 z3 z 0 Θ T 3s + j=4 Θj /T Θj /T − e 1 (4. is temperature dependent.1) for the speciﬁc heat. ex − 1 This function is shown in Fig.6) At high temperatures.. 4. (4. Θ. ex − 1 (4. people still ﬁt the results on speciﬁc heat by Debye approximation but assume that the Debye temperature. In real life. We have cac =3 3kB N T Θ 3 0 Θ/T x4 dx . STATISTICS AND THERMODYNAMICS . we get the classical expression E = E0 + 3sN kB T that leads to the classical expression (4. and we get for the sum 3s − 3. consequently. At low temperatures we immediately see that optical modes give exponentially small contributions and we can discard them.2 (lower panel) .74 CHAPTER 4. The Debye model is very good for low temperatures where only long wave acoustic modes are excited. consequently.6) and then expand the integrand in powers of x. Finally. T Θ) we get z 1 in Eq. The dependence Θ(T ) is shown in Fig. At the same time. T Θj (and. The acoustic contribution to the speciﬁc heat can be expressed through the derivative of the Debye function.5) are equal to 1. The experimental DOS for NaCl is shown in Fig.1 One can see that really the border between the classical and quantum region corresponds to T ≤ Θ/3 rather that to T ≤ Θ. the dash curve showing Debye approximation.5) x3 dx . These energies are of the order of 102 − 103 K. We see that D(0) = 1.2 (upper panel). 4. The item under the sum sign in Eq (4. DOS behavior is much more complicated because of the real band structure eﬀects.6) by inﬁnity. Taking into account that ∞ 0 x3 dx π4 = ex − 1 15 we get π 2 V(kB T )4 10 3 s3 0 that leads to the following expression for the speciﬁc heat E = E0 + 12π 4 kB cV = 5 T Θ 3 . 4. we can replace the upper limit of the integral in (4. The physical reason is strong frequency dependence of phonon DOS.
the average number of electrons in this state being f0 (εk ) = exp 1 εk −ζ kB T .8) deﬁnes the dependence of the chemical potential ζ on the electron density n = N/V. It is also convenient to introduce the density of electron states with the formula similar to Eq.2) √ 2 m3/2 √ g(ε) = 2 3 ε .11) . The equation (4.4) g(ε) = 2 k δ (ε − εk ) (4. (4.9) where we have taken into account spin degeneracy. We get ∞ n= 0 g(ε)f0 (ε) dε. As we have seen. The chemical potential ζ is determined by the normalization condition N= k 1 exp εk −ζ kB T .7) is called the FermiDirac function.8) The summation here should be done also over spin indices. +1 (4. (4.2 Statistics of Electrons in Solids Now we turn to the electron system in thermodynamic equilibrium. +1 (4.7) The function (4.10) For the quadratic spectrum with the eﬀective mass m we have (see Problem 4.1: Temperature dependence of acoustic contribution to the speciﬁc heat. π (4.4.2. 4. STATISTICS OF ELECTRONS IN SOLIDS 75 Figure 4. the electron state for a given energy band is characterized by the quantum number k.
The large density of conduction electrons means that ζ ∗ 1..76 CHAPTER 4. That leads to the following approximate presentation for the Fermi function f0 (ε) = Θ(ζ − ε) where Θ(x) = 1. The ﬁrst one is the case for good metals or highly doped semiconductors in which the density of conduction electrons is large. if x < 0 . Figure 4. ex−z + 1 Degenerated Electron Gas Now we discuss the important limiting cases. Inserting this formula to the normalization condition (4.10) and introducing the dimensionless chemical potential ζ ∗ = ζ/kB T we get the following equation for ζ ∗ √ 2 (mkB T )3/2 n= 2 F1/2 (ζ ∗ ) 3 π where F1/2 (z) is a particular case of the Fermi integrals ∞ Fn (z) = 0 xn dx . 0.2: DOS and eﬀective Debye temperature for NaCl . if x > 0. STATISTICS AND THERMODYNAMICS ..
F and at room temperature kB T ≈ 102 . In this approximation we easily get ζ0 = 2 2 kF 2 77 2m = 2m (3π 2 n)2/3 . In this case the Fermi distribution tends to the MaxwellBoltzmann distribution f0 (ε) ≈ eζ e−ε/kB T where µ∗ = ln eζ ∗ ∗ 4π 3 3 n . Fig.3 (the origin of energies is the bottom of the conduction band).12) So we see that the gas is degenerate at big enough electron density and small eﬀective mass.2. exp(−ζ ∗ ) 1. To do it let us request that the second item in the brackets to be small. NonDegenerate Electron Gas Now we discuss the situation when the electron density in the conduction band is not very high and the electrons are nondegenerate. (2πmkB T )3/2 (4. To get insight into the problem let us consider the band scheme of a typical semiconductor with one donor level εD and one accepter one εA . So the dependence n vs. The degeneracy for room temperature is intermediate at n ≈ 1019 cm−3 . T remains unknown. To get temperature dependent corrections one should calculate the integral in Eq. m ≈ 10−27 g. It means that ζ < 0. (4. These formulas are not very interesting in typical semiconductors because electrons are taken from impurities which can be partly ionized. This quantity is often called the Fermi level because it is just the border between the full and empty states. We get F 2 kB T = (3π 2 n)2/3 2mkB T 1. In a typical metal n ≈ 1022 cm−3 .12) can be not too strong (usually 57 is enough). We will also use this word and denote it as F . The most important feature is that in . Note that the criterion has the exponential character and inequality (4. (2πmkB T )3/2 4π 3 3 n = . STATISTICS OF ELECTRONS IN SOLIDS is the Heaviside unit step function. (4. ζ = F 1− 12 F Now we can check when our approximation is really good.13) We see that the chemical potential of non degenerate electron gas is strongly temperature dependent. 4. One obtains (see Problem 4.10) more carefully.4.3) 2 π 2 kBT .
78 CHAPTER 4. gp (ε )f0 (ε ) dε + D 1 e εD +ζ +1 kB T . To get the position of the chemical potential now we should apply the neutrality condition numberofelectrons = numberofholes which reads gn (ε)f0 (ε) dε + c.. In the following we analyze few most important cases.p = .b.3: Band scheme of a typical semiconductor. ζ → ζ . at the accepter level ε = −εA . +1 It is natural to call the function f (ε) as the Fermi function of holes.b. 4π 3 3 Even now we have a rather complicated situation which depends on the relation between the energies and the temperature. If the also introduce the hole chemical potential.14) where we have introduced (2πmn. while in the valence band ε = −εG − ε where εG is the width of the forbidden gap while ε = 2 k 2 /2mp . such situation we have both electrons (in the conduction band) and holes (in the valence band). Figure 4.. ζ = −εG − ζ we come to exactly the same form for the hole Fermi function as for electrons with the replacement ε → ε . STATISTICS AND THERMODYNAMICS . The occupation factor for holes is f0 (ε) = 1 − f0 (ε) = e 1 ζ−ε kB T . A 1 e −εA −ζ +1 kB T = v. νn. at the donor level ε = −εD . the electron energy in the conduction band is ε = 2 k 2 /2mn . This equation is strongly simpliﬁed if both electrons and holes obey the Boltzmann statistics.p kB T )3/2 . Denoting A = exp(ζ ∗ ) 1 and assuming that exp(ζ ∗ + εG /kB T ) 1 we get νn A + nA 1 A exp − kεAT B = νp A−1 e +1 −k εG BT + nD A exp + kεDT B +1 (4. According to our prescription for energies.
2.14) εD εD . In this case we get from Eq.14) we have A = εG mp exp − .15) We see that the chemical potential in an intrinsic semiconductor is close to the middle of the forbidden gap. Concentrations of the electrons and holes are the same ni = nT exp − εG 2kB T . νn We see that the chemical potential is near the middle of the distance between the donor level and the bottom of the conduction band. mn 2kB T εG 3 mp ζ = − + kB T ln . (4. the concentration in the conduction band being ε √ nD − kεDT − D nn ≈ e B = νn nD e 2kB T . Extrinsic semiconductor Let us assume that only donors are present and εG (4. The concentration nT for the room temperature and the free electron mass is 2. νn nn ≈ nD . STATISTICS OF ELECTRONS IN SOLIDS 79 Intrinsic semiconductor It is the simplest case where there is no both donors and accepters. and A= ε nD − 2k DT e B . νn A Ae kB T + 1 = nD . At very low temperatures the ﬁrst term is the most important one.4. it scales as (mn mp )3/4 T 3/2 . A At high temperatures we get A= nD . . From the Eq. The situation in accepter semiconductor is just the mirror one. The result is clear enough: at high temperature all the donors are ionized while at low temperatures electrons “freezeout” into the donor states.44 · 1019 cm−3 . nT = √ νn νp . 2 4 mn 3/4 (4.
the chemical potential ζ is also temperaturedependent.16) Making use of the Problem 4. In our case. √ . (4. For the Boltzmann statistics one can substitute the Boltzmann distribution function into Eq. and 2 5π 2 kB T 5/2 ζ 5/2 = F 1 − . it goes to zero at T → 0 (the Nernst theorem). their number being g( F )kB T while the contribution of each one to the speciﬁc heat being kB . 4. According to the same problem.18) is very simple .3 Speciﬁc Heat of the Electron System ∞ Now we calculate the speciﬁc heat of the electron subsystem. 5π 2 3 Then exactly as in the Problem 4.. The physical meaning of Eq. It is interesting to compare electron and phonon contributions to speciﬁc heat. STATISTICS AND THERMODYNAMICS . we have E= 0 ∞ εg(ε)f0 (ε) dε .only the electrons in the narrow layer kB T could be excited. we get cV = 5/2 F 5π 2 1+ 12 kB T F 2 . 2 m3/2 √ 2 (4.4) cV = (3/2)nkB . ∞ (4.3 we can write the integral in the universal form I= 0 χ(ε)f (ε) dε = 0 ε ϕ(ε) − ∂f0 dε dε (4.80 CHAPTER 4. 24 F Making use of this equation. At room temperature and F ≈ 1 eV we get that the electron contribution is only few percents in comparison with the phonon one..17) with ϕ(ε) = 0 χ(x) dx.(4.18) F kB T. we get the ﬁnal result (2m)3/2 E= 5π 2 3 Finally. Just as in the case of phonons.16). The result is (see Problem 4. 3 3 We see that cV ∝ T . But it is not the case at low temperatures where the phonon contribution goes like T 3 while the electron one is ∝ T .3 we obtain ϕ(ε) = 5π 2 (2m)3/2 5/2 E= ζ 1− 5π 2 3 8 kB T F 2 . (2m)3/2 5/2 ε .
H=0 So. As it is known.4.4 Magnetic Properties of Electron Gas. H The derivative M =− ∂F ∂H . Consequently. L(x) = coth(x) − (4. 3kB T Note that we have reproduced the Curie law χ ∝ 1/T . It is a dimensionless quantity. According to the thermodynamics. Classical theory. the average magnetic moment in this model is lA H 1 l = lA L . Now suppose that the gas consists of the molecules with magnetic momenta lA (we reproduce the Langevin theory of a paramagnet gas). 81 4.4.4). the change of the internal energy is χ= dE = dQ + dA where dQ = T dS is the transferred heat (S is the entropy) while dA is the work with the system. dA = −M dH. MAGNETIC PROPERTIES OF ELECTRON GAS. dM dH H=0 is called magnetic susceptibility. Now we will discuss the basic magnetic properties of electron gas.19) kB T x is the Langevin function (see Problem 4. M = n l = χH. the main quantity is the free energy. Basic thermodynamic relations. χ= . For a volume dV one can introduce magnetization dM = M(H) dV. Finally dE = T dS − M dH. T χ=− ∂2F ∂H 2 . for the free energy F = E − T S we get dF = −S dT − M dH. We start from the recalling of the main thermodynamic relations for magnetics. Magnetic susceptibility of a molecular system. which is pure classical. T . At low ﬁelds or at high temperatures one can expand this function as L(x) ≈ x/3 and get 2 lA n . and S=− ∂F ∂T . In a magnetic ﬁeld H a sample acquires the magnetic moment M.
20) 1.21) Paramagnetism of Free Electrons (Pauli Paramagnetism). j −1. The energy in magnetic ﬁeld is determined as −µj H cos ϑm = −µB HgL m The average magnetic moment could be calculated just as in the Problem 4. We do not come here deeply into quantum mechanics of a spin. l is the orbital quantum number (the total orbital moment being l(l + 1)). . j = s = 1/2 and gL = 2.. and µef f = µB gL j(j + 1). In weak ﬁeld α χ= µ2 f n ef .4 with the only diﬀerence that we have discrete sums instead of integrals ∂ µ = µB gL ln ∂α where α = µB gL H/kB T. Now we are prepared to discuss the magnetic susceptibility of a gas of near free electrons.82 Quantum theory. the angles between the magnetic moment and the magnetic ﬁeld can take only discrete values. −j +1. CHAPTER 4. A free electron also posses the spin momentum sz = ± /2 and magnetic momentum µB ( note that the ratio Mz /Lz for a free electron is twice greater than for the orbital motion). . In this case the orbital moment l = 0. 2j(j + 1) Here gL is the socalled Lande factor. Consequently one could . Let us just mention that the result is that there is a quantum number j for a total mechanical momentum which is equal to j(j + 1). the magnetic moment is not parallel to the mechanical one. . 3kB T j eαm m=−j (4. .. the magnetic momentum being µj = µB gL j. −j. gL = 1 + j(j + 1) + s(s + 1) − l(l + 1) . the magnetic momentum being Mz = µB l where e µB = = 0. (4. there are 2j + 1 discrete orientations with the angles ϑm determined by the condition cos ϑm = m/j where magnetic quantum number m takes the values j.927 · 10−20 erg/Oe 2mc is the Bohr magneton. STATISTICS AND THERMODYNAMICS . while s = ±1/2 is the spin quantum number. As a result. To get the total momentum. one should sum the orbital and spin momenta in a vector form. To take into account quantum eﬀects one should recall that for an electron in the atomic stationary state the orbital momentum projection is Lz = l where l is the magnetic quantum number. According to the quantum mechanics. As a result.
the temperaturedependent part for a strongly degenerate gas (see Problem 4. For example. (the factor 1/2 is due to the fact that we have introduced the DOS g(ε) including spin factor 2). MAGNETIC PROPERTIES OF ELECTRON GAS.4. This very important problem was solved by Pauli in 1927 and it was just the beginning of quantum theory of metals.4. This quantity is often called the thermodynamic density of states. Paramagnet Resonance (Electron Spin Resonance) We take the opportunity to discuss here a very important tool of the modern solid state physics to investigate the properties of both the conduction electrons and the electrons . (4.20) taking into account the Pauli principle.21).5) χ= µ2 g( F ) B π2 1− 12 kB T F 2 .21). ∂ζ i. e. The key idea is that the electrons have Fermi statistics and one should calculate the average in Eq. This statement strongly contradicts with the experiment . the derivative of electron concentration with respect to the chemical potential. To get the ﬁnal formula one should take into account that − ∂f0 (ε) ∂ε g(ε) dε = ∂n . For the Boltzmann gas we return to the formula (4.in fact the susceptibility is small. Comparing the free electron susceptibility (4.22) with the Langevin one (4. For small magnetic ﬁelds we can expand the square brackets and get χ = µ2 B − ∂f0 (ε) ∂ε g(ε) dε. ∂ζ Now the magnetic susceptibility can be calculated for any limiting case.22) We see very important features: at low temperatures the main part of magnetic susceptibility is temperatureindependent. 83 expect quite big magnetic susceptibility according to Eq. (4. So we get χ = µ2 B ∂n . To make such a calculation let us recall that the electron energy in a magnetic ﬁeld depends on the momentum orientation ε± = ε Consequently M = M+ − M− = µB 2 [f0 (ε+ ) − f0 (ε− )] g(ε) dε. (4.21) we see that for electrons the role of characteristic energy plays the Fermi energy F . µB H.
interaction with neighboring magnetic atoms and with the lattice vibrations. If M is the magnetization vector and L is the mechanical momentum of a volume unit. STATISTICS AND THERMODYNAMICS . etc. According to very general concepts of quantum mechanics egs M =γL.84 CHAPTER 4. we have the following equation of motion dL = [M × H] dt (just the sum of equations for diﬀerent particles). 2mc So we get the close vector equation for M dM = γ [M × H] .23) −iωMx = γM1y H0 −iωMy = γ(Mz H1x − Mx H0 ) ≈ γ(M0z H1x − Mx H0 ) −iωM1z = −γM1y H1x ≈ 0 (4. This factor is often called simply gfactor. Here we show a very simple theory of EPR (Bloch.23) . belonging to impurity centers. The very similar picture hold for atomic nuclei in a crystal. The position and width of the resonant peaks allows one to make many conclusions on the symmetry of the local ﬁeld in a crystal. The solution can be expressed in the form M = M0 + M1 exp(−iωt). in general case the splittingcan be much more complicated. γ = . Consequently. one can determine the behavior of gfactor which is a very instructive quantity. In general case gs = 2... (4. as well as the interaction with the lattice. 1946). in an atomic electron the level’s splitting in the magnetic ﬁeld is proportional to the Lande factor gL . the corresponding approach is called the nuclear magnetic resonance (NMR). Phenomenological theory of EPR. H0 z. dt To get explicit results let us assume that H = H0 + H1 exp(−iωt). it can be anisotropic and also depend on the magnetic ﬁeld direction. the electron level splits into doublet corresponding to s = ±1. Under the external magnetic ﬁeld the levels split. (4. We get instead of Eq. As we have seen. It is important that in any case the selection rule for a dipole magnetic transitions ∆m = ±1. So one can study resonant absorption of electromagnetic ﬁeld in the sample obeying the condition ω = gs µB H .24) M0 z. H1 x. In a solid state electron there is also spinorbital interaction. So one could introduce instead of the Lande factor the socalled spectroscopic factor gs which eﬀectively describes the level’s splitting. In simplest case.
Gas of atoms. The corresponding magnetic moment is −µH. where we keep only linear in the ﬁeld H1 terms. MAGNETIC PROPERTIES OF ELECTRON GAS. Let us start from an isolated atom with Z electrons which is place in a magnetic ﬁeld H z.4.4. i i=1 2 The order of magnitude estimate for Z (x2 + yi ) is Za2 . According to the Larmor theorem the inﬂuence of magnetic ﬁeld is the rotation around zaxis with the Larmor frequency ωL = eH/2mc . χp e /a Usually this ration is 10−2 at room temperature. Diamagnetism of Atoms and Electrons (Landau Diamagnetism). Consequently. Now we are going to show that there is also diamagnetic contribution to the magnetic response which is usually masked by more strong paramagnetism. Solving this equation we get χx = where χ0 = χ0 Mx = Hx 1 − (ω/ω0 )2 M0z . We see that at ω → ω0 χx → ∞ (note that the relaxation is neglected). . if we introduce the mechanical momentum l we come to a universal relation µ= Taking into account that Z e l. If we compare this result with i i=1 2 the Langevin paramagnetic response µB n/kB T we get χd k0 T ≈Z 2 . Hz 85 ω0 = γH0 . 2mc l = mωL i=1 2 (x2 + yi ) i we come to the following expression for diamagnetic susceptibility nµ e2 n χd = = H 4mc2 Z 2 (x2 + yi ).
the shift being pindependent. So we will be more careful and show that according to classical physics one should get zero susceptibility for free electrons. It appears that surface orbits which are not circles contribute to the surface current. The free energy is. STATISTICS AND THERMODYNAMICS . The corresponding magnetic moment is ωc = µ= 2 mv⊥ /2 erc v⊥ = .28) by (e/c)A(r). Indeed. One can imagine that such a description holds for electrons.28) where N is the total number of particles.86 CHAPTER 4. F = −kB T ln Z . For H z we have A y.26) mc is the cyclotron frequency.25) eH (4. It is interesting that the wrong result is due to the assumption that all the electrons have circular orbits.. Ay = xH. where the Larmor frequency ωL was introduced earlier. Classical theory. One can shift the integration variables p in Eq. . 2c H 2 Making use of the classical statistics. as usual.27) where U(r) is the potential energy (remember that we denote the electron charge as −e). because it is chargeindependent. Note that ωc = 2ωL . (4. We come to the conclusion that the partition function is ﬁeldindependent and χ = 0. The partition function is Z= H (dp) (dr) exp − kB T V N (4. The classical Hamilton function is H= 1 e p+ A 2m c 2 + U(r) (4. Let us introduce the vectorpotential A(r) of the magnetic ﬁeld as H =curlA .. namely assuming mv⊥ /2 = kB T . we get χ=n kB T . Free electrons. H2 It is clear that we have got a wrong equation. a free electron’s orbit moves along a circle in the plane normal to H. the radius being rc = where mcv⊥ v⊥ = eH ωc (4.
To get DOS one should to diﬀerentiate this equation with respect to ε. the energy levels εα = εN + 2 2 kz 2m = ωc (N + 1/2) + 2 2 kz 2m (4. kz = nz . To obtain thermodynamic functions one should calculate the density of states in a magnetic ﬁeld. kz .4. To understand the result let us apply a uniform magnetic ﬁeld and assume that we have taken into account the periodic potential by the eﬀective mass approximation. we assume that the solution exists only in the region 0 < x0  < Lx . the total number of states for a given spin is √ 2 2m Zs (ε) = ZsN (ε) = ε − ωc (N + 1/2) (2π)2 a2 N H N where one has to sum over all the values of N with nonnegative ε− ωc (N +1/2). 2π 2πa2 0 2πa2 H H (4. the electron states in a magnetic ﬁeld could be speciﬁed by the set of quantum numbers α = N. Ly Lz At the same time. we apply cyclic boundary conditions along y and z axes and get 2π 2π ky = n y .30) This is very important relation which shows that one can imagine Landau states as cells with the area a2 . H Now it is easy to calculate density of states treating the kz variable as for the usual 1D motion √ 2kz Lz 2 2mLz = ε − ωc (N + 1/2) 2π 2π for each state with a given N. 87 Electron gas.4. We will come back to this property later. Finally. As usual. kz . Quantum theory. Quantum mechanics changes the situation completely. The total number of sates is Z(ε) = 2Zs (ε). ky . As was shown. First we should count the number of the values ky corresponding to the energy εα (the socalled degeneracy factor).29) being dependent only on N. MAGNETIC PROPERTIES OF ELECTRON GAS. the result is √ dZ(ε) 2m 1 . the degeneracy factor is Ly max Ly max Ly Lx ky = x = . So. gs (ε) = = 2 a2 dε (2π) H N ε − ωc (N + 1/2) To take the spin into account one should add the spin splitting ±µB gs H .
To illustrate the oscillations the functions 1 ˜ x−N − Z(x) = 2 N as well as the diﬀerence between its classical limit (2/3)x3/2 are plotted in Fig.4: Landau levels as functions of H.88 CHAPTER 4. for the ﬁeld HN −1 determined from the equation εN −1 (HN −1 ) = F the (N −1) becomes empty.29). magnetic ﬁelds its dependence on magnetic ﬁeld is very weak. Let us start with some value of magnetic ﬁeld and follow the upper ﬁlled level N . The behavior of the density of states could be interpreted qualitatively in the following way. so∆ N 1 H ≈ e mc c .. We see that if magnetic ﬁeld is small many levels are ﬁlled. As the ﬁeld increases. They form the socalled Landau fan. The Fermi level is also shown.. The Landay levels as functions of magnetic ﬁeld for a given value of pz are shown in Fig. the slopes of the ”fan” also increase and at a given treshold value HN for which εN (HN ) = F.4. As the ﬁeld increases the electrons are transferred from the N th Landau level to the other ones. F We see that electron numbers at given levels oscillate with magnetic ﬁeld and one can expect the oscillating behavior of all the thermodynamic functions. We take it into account automatically using g(ε) = 2gs (ε).5. . 4. We get HN ≈ mc c e F 1 . At low Figure 4. to the energy levels (4. 4. STATISTICS AND THERMODYNAMICS . If we ignore the spin splitting we can assume spin degeneracy and multiply all the formulas by the factor 2. Then.
5: Number of ﬁlled states as a function of the energy. Using the known formula for the entropy of the Fermi gas we get the following expression for the free energy ∞ ζ−ε ∞ F = nζ − kB T ε0 ln 1 + e kB T g(ε) dε = nζ − ε0 f0 (ε)Z(ε) dε . Now we are prepared to calculate the magnetic susceptibility. Making the second integration by part we get ∞ F = nζ − ε0 − ∂f0 ∂ε Φ(ε) dε (4.4. Quantitative theory of magnetic susceptibility.31) where ε Φ(ε) = N εN ZN (ε) dε . MAGNETIC PROPERTIES OF ELECTRON GAS.4. Here ε0 = ωc /2 and we have integrated by parts. . 89 Figure 4.
In the opposite limiting case. It is the socalled de Haasvan Alphen oscillations which were ﬁrst observed in Bi (1930).. kB T ≤ ωc the oscillations of the free energy and of the susceptibility are pronounced.31) is Φ(ε) = AK At strong degeneracy − ∂f0 ∂ε ≈ δ(ε − F) ε ωc .90 CHAPTER 4.6. It is very important eﬀect to determine the characteristics of the Fermi surface of metals. 3π 2 3 and we see that the free energy oscillates in magnetic ﬁeld. The behavior of the function Φ(ε) depends on the number of level which are present in the summation over N. A typical shape of these oscillations is shown in Fig. and we get √ ∂2F 1 2 m0 =− χ=− ∂H 2 3 π2 m 2 m3/2 µ2 B 3 F . As a result the function Φ in (4. and F =n 2 −A 5 5/2 F F ωc 1 − 16 1/2 F ωc .. A= (2m)3/2 ( ωc )5/2 . STATISTICS AND THERMODYNAMICS . at kB T ωc the oscillations are smeared. One can derive the auxiliary formula (see Appendix B) K(x) = 3 − 8π2 ∞ l=1 N (x 1 − n − 1/2)3/2 = 2 x5/2 − 16 x1/2 − 5 √ √ 4lx + cos(2πlx)C 4lx sin(2πlx)S . The second item is ﬁeldindependent.32) . At the same time. the period of the lth item being ωc /l. One can easily show that the ratio of this diamagnetic susceptibility to the Pauli paramagnetic one is 1 m0 2 . 3 m This ratio can be large in semiconductors. In a nondegenerate gas we have the Boltzmann distribution instead of the Fermi one and we get (Check!) A ωc ζ ∗ F = nζ − e kB T N =0 ∞ ε 1 −N − ωc 2 3/2 e−ε/kB T . (4. 4.
6. 4.33) for magnetic susceptibility of Boltzmann gas.6) √ 3 π F = nζ − A 4 kB T ωc 5/2 eζ ∗ 2zez 1 − e−2z (4. 4.5. 4.5. Prove the expression (4. . Diﬀerentiating with respect to magnetic ﬁeld we get χ=− 1 m0 3 m 2 µB n .1. Then we easily get (Problem 4. 4.5 Problems 4.33) where z = ωc /2kB T. 4.4. 4. Calculate temperaturedependent corrections to the chemical potential of a Fermi gas. Derive expression (4. At low magnetic ﬁelds we can expand the expression in square brackets as 1−z 2 /6. kB T So we come to the conclusion that the relation between the diamagnetic and paramagnetic parts holds also for non degenerate gas. Derive the formula (4.3. The only magnetic ﬁeld dependence is due to the last factor.2.6: De Haasvan Alphen oscillations.4.11). Calculate speciﬁc heat for the Boltzmann gas. PROBLEMS 91 Figure 4. Calculate the partition function for a harmonic oscillator.22) for magnetic susceptibility.
92 CHAPTER 4. .. STATISTICS AND THERMODYNAMICS ..
because of translation symmetry. Consequently.the concept of quasiparticles. There are 3 acoustic branches and 3s − 3 optical ones. 2. The dispersion law ω(q) is periodic in qspace. As a result. these displacements propagate as plane waves which are characterized by the wave vector q and frequency ω(q). this approach do not take into account surface states. as a result. Namely. to scattering of the waves. It is clear that the exact periodicity is not the case in real life because i) all the samples are ﬁnite. Remember. The properties of the dispersion law ω(q) are determined by the crystal structure. Consequently. the period being the reciprocal lattice vector G which can be constructed from the basis bi as G = i ni bi where ni are integers. It means that a quasiparticle is not exact eigenvalue of the total Hamiltonian of the system and the quasi93 . The ﬁrst concept was translation symmetry of crystalline materials. The properties of the lattice waves allowed us to introduce the central concept of solid state physics . interface states. introductory part of the course and try to understand their range of applicability. in particular. by the number s of atoms in a primitive cell. The lattice anharmonicity leads to the interaction between quasiparticles. the only (but very important) diﬀerence being that (as we will see later) in all the interaction processes quasimomenta q are conserved with the accuracy of G. one can chose a basic volume in the reciprocal lattice space (the Brillouin zone. the lattice vibrations can be described as a set of quasiparticles (phonons) with quasimomentum q and energy ωj (q). all the picture developed above needs important corrections. that all the formulation is base on the harmonic approximation. 1. Moreover. the imperfections of the crystal lattice (defects. BZ). impurities) lead to violation of the translation symmetry and. This concept allowed us to classify the structure of crystals and to formulate the basic theory of lattice vibrations. This interaction together with the scattering by defects lead to the dumping of quasiparticles. and ii) many important systems are inhomogeneous. if the degree of disorder is large.Chapter 5 Summary of basic concepts In this very short chapter we discuss main concepts of the ﬁrst. They can be treated as the Bose particles with zero chemical potential. It was shown that under harmonic approximation one can introduce normal coordinates of lattice displacements which are independent. In particular. In fact. some localized modes can appear which are completely beyond the scope of Part 1.
3. phonons can interact with electrons. we come to next to independent quasiparticles with the quasimomentum( k = p/ conﬁned in the BZ. Nevertheless. The main advantage is that the periodic potential created by the lattice and other electrons in the ﬁrst approximation leads only to the renormalization of the electron spectrum from p2 /2m0 to more complicated function ε(p) which is periodic in pspace ε(p + G) =ε(p). It is clear that in such a situation the concept of independent weakly interacting phonons fails. In particular this approach fails if the frequency ω of external ﬁeld is close to the εi (p)−εj (p) for a given p. Indeed. In most situation this condition holds because the anharmonicity is rather weak (we will estimate it later). Another formulation of this inequality is that the wave length 2π/q should be much less than the mean free path . the concept of Bloch electrons can be developed. εj (p). electrons have several energy bands. Indeed. dependent of the problem under consideration. quantum system should have enough space to form a stationary state.The translation symmetry inﬂuences strongly upon the electron system.94 CHAPTER 5. The length is very important property for all the transport phenomena. in fact. Another criterion is that the typical spatial scale of motion. One can see that one cannot use the simpliﬁed eﬀective mass approach for the case of degenerate bands in semiconductors (one should bear in mind that there are some special methods to treat this case. Its range of applicability is limited mainly by oneband approximation . we will discuss some of them later). In particular. This is very important statement because it allows one to analyze the electron motion in external ﬁelds.it is implicitly assumed that interband transitions do not take place due to external ﬁelds. and external ﬁelds should not interfere with the formation of the electron state. the Bloch state is formed at the distances much greater than a. SUMMARY OF BASIC CONCEPTS momentum q is not exact quantum number. Again. there are some important situations where phonons could not be considered as independent quasiparticles. In some situations this interaction appears strong enough to form bound states polarons. One can understand that the concept of quasiparticles can be valid only if qph 1 ph . As in the case of phonons. Physically. As we have seen. the quasiparticles have ﬁnite mean free path that is the characteristic distance of the wave function dumping due to all the interactions. It is the typical problem of . Suppose that we are interested in the formation of a bound state Bloch electron+impurity with Coulomb potential. L. The most important for applications feature is that one can treat the function e H(p. should be greater than the lattice constant a. r) =εj p+ A(r) + U (r)−eϕ(r) c as the Hamiltonian to describe the motion of a Bloch electron in external ﬁelds. The latter criterion is.
There is another important criterion which is connected with the lifetime τϕ with the respect of the phase destruction of the wave function. Form the ﬁrst glance. The properties of superconductors will be discussed in a special Part. The energy diﬀerence ∆ε which can be resolved cannot be greater than /τϕ . The previous part of the course has outlined the physics of independent quasiparticles which are very often called the elementary excitations.53 . Substituting the Hamiltonian p2 /2m + eϕ = p2 /2m − e2 / r with ˆ ˆ the eﬀective mass m to the SE we get the eﬀective Bohr radius 2 aB = me2 = a0 B m0 m0 ˚ = 0. another one is the formation of a superconductor states. Nevertheless. we come to the criterion p . So. i) the total system is electrically neutral. We will come back to the electronelectron interaction in the following parts. At the same time. This criterion can be mat only in materials with small eﬀective mass and large dielectric constant . we have described the electron states as stationary solutions ψ = eikr uk (r) of the SE. The upper limit for ∆p is p. if we want to localize the quasiparticle. Coulomb interaction appears mostly included in the selfconsistent potential and the remaining eﬀects can be not important for many actual problems. and we have kB T τϕ .95 semiconductor physics. For a typical metal p ≈ /a. A. In the most cases ∆ε ≈ kB T . and ii) electrons eﬀectively screen electric ﬁelds. electron should interact with each other via very strong Coulomb forces and it is impossible for them to be near independent. The electron states as the phonon ones can be destroyed by the impurity scattering. the uncertainty ∆r should be. as well as for some interface states this approach is not valid. Now. as well as by electronphonon and electronelectron interaction. ∆p∆r ≈ . p+∆p. Up to now. less than the mean free path . One example is the formation of the polaron (electron+phonon) states. According to the uncertainty principle. m m In this case the criterion for oneband approximation is aB a. Note that elastic scattering does not contribute to the phase destruction. . To describe the transport it is useful to form a package of the electrons with the quasimomenta p. For the socalled deep levels. there are important physical situations where the interaction play crucial role and change the ground state of the system. at least. and we get a. As a result.
SUMMARY OF BASIC CONCEPTS .96 CHAPTER 5.
and one can write df = I(f ) dt where I(f ) ≡ (∂f /∂t)coll is called the collision integral. It can be speciﬁed if one knows the collision probability W (p.1 The Boltzmann Equation for Electrons General Form The description of quasiparticles as wave packages allows one to introduce the nonequilibrium distribution function f (p. the change of the distribution induced by the collisions is decrease: − p W (p. Otherwise it becomes time dependent. Indeed. p )f (p) [1 − f (p )] → “out” term. p ).Chapter 6 Classical dc Transport in Electron and Phonon Systems In this chapter we discuss transport properties of bulk normal conductors and insulators.s. One can write the l. as ∂f ∂f ∂r ∂f ∂p + + . f0 .h. 97 . 6. r) which is the average occupation number for the state p at the point r. ∂t ∂r ∂t ∂p ∂t Using the Newton equation we can write the previous formula as ∂f ∂f 1 +v − e E+ [v × H] ∂t ∂r c ∂f . ∂p The collision integral describes transitions between the states with diﬀerent p due to collisions. In the absense of external ﬁelds and interactions this function is equal to the equilibrium one.
It is clear that if the system is in equilibrium the collision integral should vanish. p ) exp ε kB T where ε = ε(p). p)f (p ) [1 − f (p)] → “in” term. p)f (p ) [1 − f (p)] − W (p. p )f (p) [1 − f (p )]} . the impurity scattering. Now we will discuss one important collision mechanism to show the main properties of the transport. Making use of the relation ε−ζ 1 − f0 (ε) = f0 (ε) exp kB T we get the general property W (p .3) We see that the Pauli principle is not important for elastic collisions because it is met automatically.. The ﬁrst term describes the scattering processes in which the electron leaves the state p while the second one describes the processes where an electron comes to the state p from other states p . So I(f ) = p {W (p . ∂p (6.1) Finally.. p ) = 2π Vpp 2 δ [ε(p) − ε(p )] (6. p) exp ε kB T = W (p. W (p . This mechanism is important at low temperatures and in rather dirty materials. p) = W (p. The factors [1 − f (p)] takes account of the Pauli principle.4) where Vpp is the matrix elements of the impurity potential V (r) = i v(r − Ri ) (6. namely. Impurity scattering Under the Born approximation. (6. the scattering probability for impurities is W (p. p ) and we get I(f ) = p W (p. CLASSICAL DC TRANSPORT .98 increase: p CHAPTER 6. p ) [f (p ) − f (p)] . (6. ε = ε(p ). I(f0 ) ≡ 0.2) Let us investigate general properties of the collision integral. For any elastic scattering W (p .5) . we get the Boltzmann equation for electrons ∂f ∂f 1 +v − e E + [v × H] ∂t ∂r c ∂f = I(f ) .
We get 2π 1 V2 V(dp ) vp p 2 δ [ε(p) − ε(p )] i.k ei(k−k )(Ri −Rk ) where we replaced the summation over the discrete quasimomenta by the integration →V p (dp ) ≡ 2V (2π )3 d3 p . So we have shifted the origin of the frame of reference for each cell by an appropriate lattice vector. THE BOLTZMANN EQUATION FOR ELECTRONS 99 which is the sum of the potentials v of the individual impurities between the Bloch states 1 √ eikr uk (r).5) into the expression for matrix elements we get Vpp = V −1 i v(r − ri ) ei(k−k )r u∗ (r)uk (r) d3 r k ei(k−k )Ri i = V −1 = V −1 i v(r)u∗ (r)uk (r) ei(k−k )r d3 r k ei(k−k )Ri vp p . So we can average over their positions and the only terms important are the ones with i = k (the other oscillate strongly. The last sum can be strongly simpliﬁed because the positions of the impurities are random the distance between them is much greater than interatomic spacing a.4). Now we change the variables from p to the energy ε and the surface S deﬁned as ε(p ) = ε . ei(k−k )(Ri −Rk ) = Nimp i. Finally.1. As a result. we get the following collision integral I(f ) = 2π ni (dp ) vp p 2 δ [ε(p) − ε(p )] f (p ) − f (p) (6. Here we have assumed all the impurity atoms be of the same kind and their positions in the primitive cells are equivalent.6) where we introduced the impurity concentration as ni = Nimp /V. V k≡ p .6. Substituting (6. We get 2 2 2 dε d3 p = dS dp⊥ = dS = dε (dsε ) 3 3 3 (2π ) (2π ) (2π ) ∂ε /∂p  . Now we can calculate the scattering probability (6. their contribution being very small).k where Nimp is the number of impurities.
Consequently p = p . Now let us rewrite the equation p · f = pz fz + p⊥ · f⊥ .. (2π )3 v Note that the densoty of states is given by the expression g(ε) = Sε (dsε ) where the integral is calculated over the surface of constant energy ε(p). To get explicit results we assume that the spectrum ε(p) is isotropic.8) where Ω is the solid angle in the p space. f ) 4π n ≡ p/p (6. vp. CLASSICAL DC TRANSPORT . f ) − cos(p. Chose the polar axis z along the vector p. In this case I(f ) = f (ε) dΩ W (θ) cos(p .7) The Transport Relaxation Time Now we demonstrate a very useful representation of the collision integral that makes the solution of the Boltzmann equation rather simple. p is the angle between p and p . Using the above mentioned notations we can than apply the δfunction to integrate over the ε . f1  f0 . Let us assume that the deviation from equilibrium is small.100 where we have denoted CHAPTER 6. while (Check!) ni v(θ)2 W (θ) = π g(ε) . (6. (dsε ) ≡ 2 dS . is the unit vector directed along p.. The result has a simple form I(f ) = 2π ni Sε (dsε ) vp p 2 f (p ) − f (p) . It is convenient to write the function f1 as f1 = −n · f (ε).p depends only on the angle between p and p . the surface S is a sphere and the integration is in fact performed over the solid angle. (6. Because I(f0 ) = 0 we have I(f ) = I(f1 ). so that f = f0 + f1 .9) Then we can transform the integral as follows. θ ≡ p.
let us assume that a weak stationary electric ﬁeld E is applied to the sample. f1  f0 .f⊥ is the angle between the projections of p and f to the plane normal to p. • The form (6. f ) = cos(p . DC Electric Conductivity Let us apply the outlined approach to calculate the conductivity of a conductor. In many situations the Boltzmann equation is represented in the form ∂f ∂f 1 +v − e E + [v × H] ∂t ∂r c ∂f = ∂p (6. Note that the angle p. One should remember that we have made several important simpliﬁcations: • Isotropic spectrum. p = θ.f⊥ . 6. p) sin(f . Nevertheless the form (6.2. (6. f1 ∝ E .10) Here ϕp⊥ . Namely.12) Here we have shown that this form is exact for elastic impurity scattering if the nonequilibrium function can be expressed as (6. p) + sin(p .13) −e E · ∂p τtr Because the ﬁeld is weak we can assume that f = f0 + f1 . The second term in (6.8).11) The quantity τtr is called the transport relaxation time. • Elastic scattering. 101 (6.10) vanishes after integration over ϕp . CONDUCTIVITY AND THERMOELECTRIC PHENOMENA.8) for the nonequilibrium distribution function.12) allows one to get good orderofmagnitude estimates and we will extensively use it. ⊥ ⊥ Finally we get f1 f − f0 I(f ) = − = − τtr τtr where 1 1 = τtr 2 π W (θ) (1 − cos θ) sin θ dθ .f . as cos(p. p) cos ϕp⊥ . The Boltzmann equation has the form ∂f f − f0 =− .2 Conductivity and Thermoelectric Phenomena. All these assumptions are important and in some cases they can be wrong. 0 (6. p) cos(f .6.
Now we calculate the current as ∂f0 j = −e (dp) vf1 = e2 (dp) τtr v(E · v) − (6.15) is just the average over the angles. and get e(E · v) (−∂f0 /∂ε).. Indeed. = vτtr . and we can replace f → f0 in the l. 3 ∂x According to the deﬁnition of the diﬀusivity (diﬀusion coeﬃcient).8) that justiﬁes our approach. consider a gas of electrons with the mean free time τ and mean free path = vτ . (6. noncompensated current is iD = − ∂ne v ∂x 2 1 cos2 θ d(cos θ) = − −1 v ∂ne . Finally for the isotropic spectrum we get Ohm’s law j = σE with σ = e2 where dε − ∂f0 ∂ε g(ε)D(ε) (6. We see that it has just the form of (6. we can average over the surface of a constant energy as M (p)(dp) = where M (p) ε dε Sε M (p) (dsε ) = dε g(ε) M (p) ε ≡ Sε M (p) (dsε ) g(ε) . Immediately we get f1 = e(E · v) τtr (∂f0 /∂ε) ..s. . Again. ne be nonuniform along the xaxis. In this case the ﬂux of the electrons through 1 cm2 of the surface normal to x is equal D(ε) = iD (x) = ne (x − cos θ) v cos θ dΩ 4π where θ is the angle between v and x while is the electron mean free path. CLASSICAL DC TRANSPORT .102 CHAPTER 6.14) ∂ε (the function f0 is even in p and does not contribute to the current). As a result. we get D = v/3 = v 2 τtr /3.h.15) In the case of an isotropic spectrum the average (6. Let the density of electrons. Here we have taken into account that the electrons have arrived at the point with coordinate x from the point with the coordinate x − cos θ in a ballistic way.16) 1 2 v τtr ε 3 is the partial diﬀusivity for the electrons with the given energy.
m F) 103 we get the Drude formula (6. Here the formal ”inverse collision operator” is introduced which shows that one should in fact solve the Boltzmann equation. represents ac loss in the sample. while imaginary part is the contribution to dielectric function.6. This is just the case for semiconductors. The typical scale for the momentum relaxation time is about 10−12 –10−14 s. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA.16) if the ˆ diﬀusivity tensor Dik = vi I −1 vk ε is known. If the degeneracy is not so strong.17) The ﬁrst expression is known as the Einstein relation. AC Conductivity Solving the Boltzmann equation for the perturbation ∝ exp(−iωt) we obtain σ(ω) = σ0 Here angular brackets mean A = The real part of this expression. In the case of Fermi statistics where (−∂f0 /∂ε) = δ(ε − (Problem 6.2. dε ε3/2 A(ε) (∂f0 /∂ε) . dε ε3/2 (∂f0 /∂ε) 1 τtr τtr 1 − iωτtr . The conductivity tensor σ can be calculated with the help of the relation (6. Re σ(ω) = σ0 1 τtr τtr 2 1 + ω 2 τtr . the energy dependence of the factor D(ε) becomes important.2) ne2 τtr σ0 = e2 D( F )g( F ) = . ˆ or ji = k σik Ek . . In general anisotropic case the Ohms law has the form j = σ E. frequency dependence is important at microwave frequencies. We will come back to this problem after the analysis of important scattering mechanisms which determine the dependence τtr (ε). Consequently.
If the characteristic scale of the spatial variation of the temperature. since it depends on the temparature. The quantity ϕ∗ = ϕ − ζ/e is called the electrochemical potential.h.104 CHAPTER 6.h..14) and calculate the current. (6.18) kB T Here we take into account that the chemical potential ζ is also coordinatedependent. T1 ≡ T (r1 ) . we get r f0 = − ∂f0 ∂ε ζ(r)+ ε−ζ T T (r) . r) = exp +1 (6.19) T ∂ε Now we substitute this expression into Eq. Consequently. T / T . As for the second one. of the Boltzmann equation we get (v · ζ) + ε−ζ (v · T T) − ∂f0 ∂ε .s. CLASSICAL DC TRANSPORT . Thermoelectric Phenomena Now we demonstrate another kind of problems which appear if a temperature gradient s created in the sample. is large in comparison with the scale at which temperature is formed (that is usually the phonon mean free path. −1 ε − ζ(r) f0 (ε.13) of the Boltzmann equation in the case of electric ﬁeld we observe that an additional eﬀective δE = (ζ/e) electric ﬁeld appears. Comparing this expression with the corresponding l. the total ﬁeld being E∗ = ζ −ϕ e = − ϕ∗ . we can plug it into the equation v· to get ε−ζ ∂f0 (v · T ) . Thus in the l. In the following we will assume that the static electric ﬁeld includes this correction. (6. of Eq. Thus the ﬁrst item leads to the extra contribution to the Ohmic current and ﬁnally j = σE∗ . (6. This quantity rather the pure electric potential ϕ describes the transport..20) r f0 (r) = ε−ζ (v · T T) − ∂f0 ∂ε =− f − f0 τtr .s. ph ) one can assume that at any point the distribution is close to equilibrium one. In this case the temperature is a slow function of coordinates and can be expressed as T (r) = T1 + (r − r1 ) T . The result can be expressed as jT = −η T with f1 = τtr η=− e T dε g(ε)D(ε)(ε − ζ) − ∂f0 ∂ε . (6.
Both quasiparticles are dragged by the temperature gradient in the same direction. Consequently. To calculate the second contribution we extract the constant factor (gD)F ≡ (d g(ε)D(ε) /dε F out of the integral. the remainder has the order of kB T / F . assume that the temperature is zero. some electrons are excited above the Fermi level forming quasielectron excitations and leaving quasihole ones below the Fermi level. we have seen that in our simplest case the current can be written as j =σE∗ − η T. Indeed. Thermoelectric eﬀects have important applications.6. γ ≡ kB T (ε−ζ). Indeed. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA. In the remaining intergral. Indeed. we introduce a new variable. so (−∂f0 /∂ε) = δ(ε − F ). .2. We are left with the integral η= The results is 2 ekB T (gD)F 4 ∞ −∞ γ 2 dγ cosh2 γ/2 π2 2 ek T (gD)F . There are some important comments in connection with this formula. 105 This expression diﬀers strongly from the corresponding expression for the conductivity by the factor (ε − ζ) under the integral. 9 B This is the well known CutlerMott formula. • In the case of nondegenerate materials the thermoelectric coeﬃcient is much more sensitive to the dependence of D( F ) on the energy than the conductivity because in contains the derivative. and extend the limits of integration over γ to −∞. but they have diﬀerent charges. We see that η = 0. ∞. At ﬁnite temperatures. there is almost exact compensation of the contributions. it feels the type of the carriers and provides the way to determine it from the experiment. (6. • If there are several kinds of carriers the behavior of thermoelectric coeﬃcient becomes rich and very instructive to understand what happens. η= • The thermoelectric coeﬃcient is proportional to the ﬁrst power of the charge.20). because (−∂f0 /∂ε) is a sharp function we can expand the integrand as g(ε)D(ε) = g( F )D( F ) + (ε − ζ) d g(ε)D(ε) dε . The contribution of the ﬁrst item vanishes after substitution to Eq. Consequently. ε= F Note that F ≡ ζ(T = 0).
w − ϕ∗ j = γE∗ − β T . To measure this voltage one should prepare the thermocouple. The voltage T 2 a T0 b E a T 1 T0 V Figure 6. First we should deﬁne the energy ﬂux.. or Seebeck coeﬃcient. We see that it is a relative eﬀect. to measure absolute thermoe.1. one branch is made of a superconductor. The ﬁrst one is to express both currents through the ﬁeld E∗ and T .3 Energy Transport Now we discuss the energy transport in an electron system in the presence of electric ﬁeld and temperature gradient.106 CHAPTER 6. In this way j = σE∗ − η T . system depicted in Fig. j and w. (6. It should contain 2 branches fabricated from diﬀerent materials. Indeed. e.f. 6.21) . the voltage across the sample is 2 T2 V = 1 α(dr · T) = T1 α(T ) dT.f. measured between the leads is T2 VT = T1 [αa (T ) − αb (T )] dT.m. i. 6. If the circuit is open j = 0 and we obtain the thermoelectric ﬁeld E∗ = α T. CLASSICAL DC TRANSPORT .m. respectively. α= η .. σ The quantity α is called the diﬀerential thermoe. There are 2 conventional ways to express the charge and energy currents.1: The scheme of thermocouple.
ENERGY TRANSPORT 107 The quantity w − ϕ∗ j has a physical meaning of the heat ﬂux since we subtact the “convectional” energy ﬂux ϕ∗ j = (ζ − ϕ) v from the total energy ﬂux.f. while Π is called the Peltier coeﬃcient. To apply the Onsager relations we have to specify forces and currents. and the Joule heating jE∗ contribute to the entropy production. the tensor Q must be symmetric. The nature of the Peltier coeﬃcient can be visualized if one induces a current through the boundary between two materials at a given temperature. . see below. − div w. T In the presence of a magnetic ﬁeld they should be generalized. σ σ σ The quantity ρ is called resistivity. Π = .6. So. Consequently. In our case. The physical nature of the diﬀerential thermoe.3.f.m. one has the way to cool. ˆ Consequently. This is very important property for applications. κ is called thermal conductivity. say diﬀerential thermoe. both the divergence of the energy ﬂux. Assume that some generalized forces Xi are applied to the system. or to heat special regions.22) η γ 1 . w − ϕ∗ j = Πj − κ T . It is clear that (6. ˙ S=− 1 div w dV + T jE∗ dV.m. κ = β + Πη. The Onsager relations follow from the fact that the entropy production must be positive. In this case we get E∗ = ρj + α T . If Π1 = Π2 the ﬂuxes are diﬀerent and it means that some energy is taken from the contact or it is given to the contact. α = . They are deﬁned so that the entropy production can be expressed as ˙ S=− i Ji Xi . has been already discussed. They induce currents ρ= Ji = k Qik Xk where the quantities Qik are called the kinetic coeﬃcients. Due to fundamental Onsager relations all the thermoelectric coeﬃcients can be expressed through only one.1 Qik = Qki . More usual way is to express the electric ﬁeld and the energy ﬂux through the current j and T. α.
As a result. T − 1 T . i.e. T ) ∝ T a εr → D(ε. −γT. Tσ 3e2 π2 2 k T g( F )D( F ).. We use the formula (6. Consequently. T ) ∝ T a εr+1 . transport are determined by the energy dependence of the quantity D(ε). 9 B This relation is called the WiedemannFranz law while its r. So we see that all the characteristics of the d.m. instead of Eq. One can show that only the last one is necessary. Integrating the ﬁrst term by parts we get ˙ S= w 1 T dV + jE∗ dV. Here we are interested only in the electron contribution which is usually the main one in typical metals if the temperature is not too low. we get Π = αT . −ηT 2 . (6. One can estimate the coeﬃcient β from the kinetic equation in a similar way as we have done to the thermoe.c.5). (6. κ is determined both by electrons and phonons.108 CHAPTER 6. to analyze the thermal conductivity of a metal it is enough to calculate β.20) we get κ≈β= 1 T dε g(ε)D(ε)(ε − ζ)2 − ∂f0 ∂ε . T We see that the generalized forces are − E∗ . The second contribution to the thermal conductivity is always small in the degenerate gas (Problem 6. is called the Lorenz number. In the case of strong degeneracy we get κ= It is interesting to calculate the ratio 2 κ π 2 kB = . by the energy dependence of the transport relaxation time.s.. Using a similar approach for the Eqs. CLASSICAL DC TRANSPORT . Combining the above eqialities we get κ = β − T ηα. −βT 2 .f. If the relaxation time is described by a power law τtr (ε. Thus the kinetic coeﬃcients for our problem are −σT. This law is derived under assumptions of isotropic spectrum and elastic scattering. In fact.19) for the distribution function and take into account that the energy ﬂux transferred by one electron is (ε − ζ)v.h. Applying the Onsager relations we obtain γ = ηT .22).
To study scattering it is convenient to determine the scattering cross section.6. 6. The main goal is to learn how to make those estimates. The simplest idea one can use is that the atom is neutral and behaves as a hard sphere. Consequently. The boundary where −ene is the excess electric charge while condition for this equation is ϕ= Ze r at r → 0. ∂ζ (6. in many important situations it is not the case. Rather we will outline the main physics and obtain important estimates.4. Now we should remember that in the presence of electric potential the chemical potential ζ is changed to the electrochemical one.23) ϕ− ϕ =0 2 rs −1/2 (6. In the next section we will discuss the scattering processes in more detail and then we come back to the case of semiconductors to discuss the temperature dependencies of the kinetic coeﬃcients. Consequently.16) σ ∝ T a for the degenerate gas.4 Scattering by Neutral and Ionized Impurities.24) where rs = 4πe2 ∂ne ∂ζ .25) . (6. For the Boltzmann gas with the distribution f0 ∝ exp(−ε/kB T ) substituting D(ε. Nevertheless. g(ε) = g(T )(ε/kB T )1/2 we obtain e2 D(T )ne σ= kB T ∞ r+3/2 −x x e dx 0 ∞ 1/2 −x x e dx 0 = e2 D(T )ne Γ(r + 5/2) ∝ T a+r . T ) = D0 (T )(ε/kB T )r+1 . ζ − eϕ. the atom is ionized and has an electric charge. ne = ne (ζ − eϕ) − ne (ζ) ≈ −eϕ Finally. NEUTRAL AND IONIZED IMPURITIES 109 we get from Eq. the Poisson equation has the form 2 ∂ne . one should calculate the electric potential which acts upon the electrons from the Poisson equation 2 ϕ = −4πene is the dielectric constant. The very important concept is that the electrons in the vicinity of the impurity atom rearrange to screen the potential. (6. kB T Γ(3/2) Here Γ(x) is the Γfunction. In the following we will not perform very cumbersome calculations to solve the Boltzmann equation.
ϕ= F This is the socalled ThomasFermi length. • We have assumed that the electron response in local. For a typical metal we get 1 rT F ∼ e2 p3 m F 3 p2 F 1/2 = pF e2 vF 1/2 . i. So one can use the ThomasFermi approximation to get estimates. Consequently. r ∼ /pF and r ¯ F e2 /¯ r e2 ∼ . (6.23) fails. (6.24) has the form (Problem 6. The function K cannot be derived from classical considerations because the typical spatial scale of the potential variation appears of the order of the de Broglie wave length /p.. F So ∂ne 3 ne = ∂ζ 2 F and −1/2 6πe2 ne rs = ≡ rT F . Indeed. The solution of the Eq.110 CHAPTER 6. e.it is just the ratio of the typical potential energy e2 /¯ to the typical kinetic energy p2 /2m. There two important things to be mentioned. the electron density ne (r) feels the potential at the same point.. p2 /m vF F This ratio is or the order 1 because the metal is “glued” by the conduction electrons. . In fact. ne (r) = −e K(r − r ) ϕ(r ) dV . The function K(r) reads (in the isotropic case) K(r) = −g( F ) p3 cos(2kF r) sin(2kF r) F − . In general. 3 (π ) (2kF r)3 (2kF r)4 We see that the response oscillates in space that is a consequence of the Fermi degeneracy (Friedel oscillations). These oscillations are important for speciﬁc eﬀects −1 but if we are interested in the distances much greater than kF the oscillations are smeared and we return to the picture of the spheres of atomic scale. We will come back to this problem later in connection with the quantum transport. we get ne ∝ p3 ∝ F . CLASSICAL DC TRANSPORT . it is not the case because the resulting electrical potential ϕ varies sharply in space.26) r so the quantity rs is called the screening length. In a degenerate gas. 3/2 Now let us estimate the screening length. in a typical metal. and the selfconsistent approach (6. we get that the screening length in a typical metal is of the order of the interatomic distance a and one comes back to the model of hard spheres. rT F . The ratio e2 / vF has a clear physical meaning .6) Ze −r/rs e .
We get σ∼ ne e2 τ ne e2 ne e2 ∼ ∼ . If the electrons are nondegenerate one should plug into the general expression (6. We will come back to the problem discussing hopping transport in semiconductors. the quantity rD is called the DebyeHukkel length.6. 4πe2 / r ¯ so the estimate diﬀers from the ThomasFermi length by the presence kB T instead of the Fermi energy F . NEUTRAL AND IONIZED IMPURITIES 111 • In the expression (6. One can get rD = r ¯ kB T . m pF ni pF Q Here we have taken into account that = 1 ni Q where Q is the eﬀective cross section.4. In this case both a typical de Broglie wave length ∼ /p and the screening length rs appear much greater than a typical interatomic distance. In typical metals it is the case but in some semiconductors with small electron density one needs some generalizations (not enough electrons to screen). As a result r s ≡ rD = 4πe2 ne kB T −1/2 ζ −ε kB T . To analyze the situation with the Boltzmann gas one should be more careful because the energy dependence of the relaxation time is important. a. ni /ne ∼ ci where ci is the atomic impurity concentration (the numbers of electrons and atoms are the same) we get σ ∼ 1016 /ci s−1 . while calculating the matrix element v(θ) for scattering against charged inpurities one can forget about the periodic potential and . e2 ∼ vF . Making use of the estimates Q ∼ ( /pF )2 .25) the Boltzmann distribution function f0 (ε) = exp to get ∂ne /∂ζ = ne /kB T. Now we can make a very rough estimate of the conductivity of a typical metal. Consequently.23) we have assumed linear response to the external potential.
1+η η= 2 4m2 v 2 rs 2 = 2 8mεrs 2 . We observe if the screening is neglected rs → ∞ than the the transport relaxation time τtr → 0. p1 + p2 = p1 + p2 . 6. W (θ) = 4πni v e2 / 2ε(1 − cos θ) + 2 2 /2mr 2 s .. so τtr ∝ ε3/2 .27) After substitution of the cross section in the deﬁnition of the transport relaxation time (6.112 CHAPTER 6. 1 2’ p’ 1 1’ pF 2 p 2 p p’ 1 2 p + p = p’ + p’ 1 2 1 2 Figure 6. As a result. . and the transport relaxation rate diverges (longrange potential!). and as usual. CLASSICAL DC TRANSPORT . (6.28) 2πe4 ni Φ(η) πe4 ni Φ(η) where Φ(η) = ln(1 + η) − η . the ﬁrstorder decay is as follows from Fig.2: Particle 1 interacts with particle 2 inside the Fermi shpere. Suppose that particle 1 is excited outside the Fermi sea. just calculate the matrix element of the potential (6...7). 6.2: Scattering processes for electronelectron interaction. The function Φ(η) slowly depends on the energy. we start from the case of Fermi gas.5 ElectronElectron Scattering Now we estimate the electronelectron scattering. and both subsequently make transitions tostates 1’ and 2’ outside the Fermi sphere (Pauli principle!). According to the momentum conservation law.26) between the plane wave states.11) we get √ 2 2 3 mv 2m 2 ε3/2 τtr = = (6. (Problem 6.
Indeed.29) F. Consequently. Now let us recall that p2 > pF . . p2 < p F . Consequently. 0 α1 +α2 0 < p1 − pF < (p1 − pF ) + (p2 − pF ). p1. Thus p1 + p2 − pF > pF . We came to an important conclusion: the quasiparticles near the Fermi level. p1 < p1 + p2 − pF . Finally. they are shown together for convenience.5. the only quantity which is proportional to (ε − F )2 and has the time dimensionality is τ∼ F (ε − 2 F) .2. But at the same time. 113 The momentum conservation law is shown graphically in the right panel of Fig. The energy conservation law actually determines the angle between p1 and p2 for given absolute values of these vectors. As a result. the upper limit for p2 is pF . So let us assume cosines of these angles to be the same and from the relation between the projections write down p1 ≈ p1 + p2 − p2 . p2 > pF . 6. F (6. Let p1 be close to pF . the rest is to integrate over p2 = p2  and p1 = p1 . Consequently. p2 ) and (p1 . p1 > pF . One should keep in mind that the planes (p1 . 2 α1 2 dp2 dp1 = −α1 dα2 0 dα1 = where we have introduced αi = pi − pF . But from the Pauli principle. Now we should remember that ε − F = vF (p − pF ). as we have seen. or p2 > 2pF − p1 . the average potential and kinetic energies are of the order of F . So W ∝ (ε − F )2 . W ∝ δ(ε1 + ε2 − ε1 − ε2 ) (dp2 ) (dp1 ) since p2 is ﬁxed by the momentum conservation. It means that all the momenta are close to pF and the angles with the resultant vector p1 + p2 are almost the same. The simplest way to estimate τ is to use the dimensionality approach. p1 . ELECTRONELECTRON SCATTERING and.6. To get the scattering probability for particle 1 one should integrate over the intermediate momenta p2 and p1 . p2 ) are not the same. ε− can be treated as free partiicles provided (ε − ≈ ε− F F F )τ 1. we come to the following chain of inequalities 0 > p 2 − pF > p F − p1 .
CLASSICAL DC TRANSPORT . 6. t) = q uq eiq·r−iωq t + u∗ e−iq·r+iωq t . First. Substituting (6. we the following estimate for the Fourier component of the interaction potential Uq ∼ ie2 a2 na ωq uq . s (6.29) in the Drude formula we easily get the estimate of the conductivity. If u(r. the deformed lattice creates a polarization P. m0 → m∗ . As a result the estimate of Q(r − r ) is Q(r − r ) ≈ a2 δ(r − r ). Note that electronelectron interaction is the typically inelastic one. Finally. Consequently. The polarization.30) . one can write down the interaction energy as −e Q(r − r ) div P(r ) dV . We will discuss this problem later..114 CHAPTER 6. in its turn. the polarization charge being div P. This is why the electronelectron interaction can be treated in the leading approximation in a selfconsistent approximation which results in a renormalization of the particle mass. Here we consider the case of acoustic phonons when q = ωq /s and s is sound velocity. One should also know that disorder drastically increases the electronelectron interaction. and in a relatively weak damping with the rate τ −1 ..6 Scattering by Lattice Vibrations Now we come to a very important point . Electronelectron interaction is usually unimportant for the Boltzmann gas (not too many electrons!). Interaction Hamiltonian (Estimates for Metals) There are several mechanisms of electronphonon interaction. Q(r − r ) ∝ r − r −1 but in a typical metal the screening makes it local. limited by the electronelectron scattering σ∼ ne e2 F ∼ 1016 m(kB T )2 2 F kB T s−1 . is of the order of na eu where na is the atomic density which is of the order of the electron one while u is the displacement vector. In the absence of screening. The typical value for the quasiparticle energy is kB T F .to the electron phonon interaction which leads to many important consequences including superconductivity. q then qth Fourier component of the quantity div P(r) has the estimate ina e(q · u) ≈ i(ωq /s)na eu.
According to this approach.k+q a† ak bq + h. It is easy to check the following important properties of the creation and annihilation operators.k+q bq + Cj (q)∆k .6. q k .k+q (6. Nq.c.j . + ∗ matrix element : Mk.j .k = Cq Nq + 1 k e−iqr k operator form : G (6. Finally e can express the interaction Hamiltonian as Hint = jqkk ∗ a† ak Cj (q)∆k .6.32) Here h.31) G where G are the reciprocal lattice vectors. b† are deﬁned by the properties q √ √ bN = N N − 1 b† N = N + 1 N + 1 . stands for Hermitian conjugate. The socalled phonon annihilation (or creation) operators bq . SCATTERING BY LATTICE VIBRATIONS 115 In the following we use the second quantization scheme. k (6. The form (6. . phonon system is characterized by number of phonons. From the properties of Bloch functions and lattice vibrations one can prove (Check!) that k eiqr k = δ(k − k q − G) ≡ ∆k . q Here Cj (q) absorbs proportionality coeﬃcients between the perturbation potential and normal coordinates. N b† N = √ N bN = N + 1 δN . the commutation rules being bb† − b† b ≡ [b. b† ]− = 1 .k−q b† q k = jqkk Cj (q)∆k .N −1 . We can specify the following processes • Phonon emission: electron : scattered.33) ∗ Cq a† ak b† δ(k − k + q − G) . The interaction Hamiltonian in terms of electron creation and annihilation operators can be written as Hint = kk k U (r)k a† ak = k kk a† ak k jq ∗ Cj (q) k eiqr k bq + Cj (q) k e−iqr k b† . so the state is speciﬁed as Vq. = N N .32) is very illustrative to show the important transitions.c.N +1 . √ b† b N N δN . The creation and annihilation operators for diﬀerent modes commute. k → k = k − q + G phonon : created with the momentum q. having the wave vector q and belonging to the branch j.
electron : scattered.34) Cq a† ak bq δ(k − k − q − G) k To estimate the quantities Cq one has to substitute to Eq.36) emission absorption . that is the case for the most interesting situations (see later). e2 /a ∼ √ vF m. eq is the unit vector parallel to uq . k → k = k + q + G phonon : absorbed with the momentum q.k = Cq Nq k eiqr k operator form : G (6.30) the expression for uq . we have taken into account that na a3 ∼ 1. We have taken into account only one acoustic mode. s M ∼ F Transition Probability Now we can construct the transition probabilities from the Fermi golden rule. For a simple lattice the coeﬃcients uq acquire the following operator form: ˆ uq → 2ωq N M eq bq . (6. b and b† . f stand for the initial and ﬁnal state. M is the atomic mass. For the case (6. to express the lattice displacemnt in terms of phonon annihilation and creation operators.. i.33) we get 2π + Wk−q. respectively. For simplicity we assume here that G = 0. e. This procedure leads to the following estimate for C(q) e2 a2 na ω Cq ∼ i √ NM s ω ∼i na ω e2 a2 na e2 1 √ ∼ i n a a3 Vna M s as M ω ∼i Vna F Here na = N/V. ω pF . CLASSICAL DC TRANSPORT . ˆq u∗ → 2ωq N M eq b† . The probability of the absorption process (6.. The total probability for the k → k − q transitions for a given phonon brach is then: Wk−q←k = (2π/ ) Cq 2 × (Nq + 1)δ [ε(k − q)−ε(k)+ ωq ] + N−q δ [ε(k − q) − ε(k) − ωq )] . 2π Wf i = Mf i 2 δ(εf − εi ) where the subscripts i. respectively. (6.35) Vmna √ ∼ p2 /2m.k = Cjq 2 (Nq + 1)δ [ε(k − q)−ε(k)+ ωj (q)] . q Here N is the number of atoms in the sample.116 • Phonon absorption CHAPTER 6. for the absorption one. (6.k = Cjq 2 Nq δ [ε(k + q)−ε(k)− ωj (q)] .34) is 2π − Wk+q. − matrix element : Mk.
1. The transtion rate to the state k is given by multiplication of Eq. the most probable are the processes with highfrequency phonons. Rough Estimate.37) by the factor fk−q (1 − fk ) with subsequent similar summation. So there are two limiting cases which diﬀer by the relation between ωD and kB T. (6.39) Now we start from rough estimates and then derive the relaxation rate more carefully. Finally we come to the following collision integral I= where + Fk. One has the estimate ωD ∼ sπ/a ∼ spF . − Fk. F Using the estimate (6. (6. and we can use the classical limit for the Planck function Nq ≈ kB T kB T ≈ ωq ωD 1.k−q = fk (1 − fk−q )N−qj − fk−q (1 − fk )(N−qj + 1). The integral over the q is of the order 3 qD mpF ∼ 3 . kB T ωD . one should ﬁrst replace k → k + q and then q → −q.35) for the coeﬃcient Cq we get 1 1 ωD kB T mpF kB T ∼ p2 ∼ .36) by the factor fk (1 − fk−q ) and then sum over the phonon brancehs j and wave vectors q.k−q δ(εk−q −εk + ωjq ) (6. We see that all the items in the collision integral have the same order. SCATTERING BY LATTICE VIBRATIONS 117 To get the probability of the reverse transition. (6.k−q δ(εk−q −εk − ωjq ) + Fk. F 3 τtr mna ωD . ω ≈ ωD . At high temperature. 2π jq + − Cj (q)2 Fk.k−q = fk (1 − fk−q )(Nqj + 1) − fk−q (1 − fk )Nqj .37) emission absorption To construct the transition rate from the state k one has to multiply Eq.6. Relaxation Time for Phonon Scattering. To get a rough estimate we ﬁrst understand that the maximal phonon frequency is ωD that corresponds to qD ∼ π/a ∼ kF .6.38) (6. We get Wk←k−q = (2π/ ) Cq 2 × (N−q + 1)δ [ε(k − q)−ε(k) − ωq ] + Nq δ [ε(k − q) − ε(k) + ωq )] . Wk←k−q .
The δfunction in the conservation laws can be written as δ (p− q)2 p2 − ± ωq = δ 2m 2m 2 2 pq q m q ms − ± ωq = δ cos ϑ − ± . the WiedemannFranz law is not valid any more. Finally. We see that qT kF . every collision is eﬀective and the proper estimate for the relaxation rate is the escape time τ.the change of the excitation energy (with respect to the Fermi level) is of the order of the excitation energy itself.. and κ k2 ∼ B Tσ e2 kB T ωD 2 .118 The estimate for conductivity is σ= CHAPTER 6. To get the estimate one should multiply this quantity by the characteristic value of 1 − cos θ ≈ θ2 /2 ∼ ( q/pF )2 ∼ (kB T / ωD )2 . ne e2 τ p2 F F ∼ F ∼ 1016 s−1 . we get the following estimate 1 p2 ω m 3 1 p2 ω ms ω 1 F F ∼ q ∼ τ mna pF q mna pF ω s 3 1 p 2 kB T ms (kB T )3 kB T F ∼ ∼ 3p k T 3 s3 m(pF / ) F B kB T ωD 2 . So these collisions are strongly inelastic . We see that for smallangle scattering the transport time is much longer than the escape time. As a result. their wave vector being qT ∼ kB T / s . It is interesting that in the expression for the thermal conductivity one can study the relaxation of the energy ﬂux.. As a result. The integral over q splits into the integral over the length of the wave vector and over the angles. m m kB T kB T kB T ωD 2. while the change of momentum is relatively small. . Thus the δfunction gives 1 after the integration over the angles because is requests  cos ϑ 1. This is the good estimate for the escape relaxation time. For the energy ﬂux. 1 kB T ∼ τtr kB T ωD 4 4 and the conductivity acquires an extra factor ( ωD /kB T )4 : σ ∼ 10 16 F kB T ωD kB T s−1 . At low temperatures where the thermal phonons with ω ∼ kB T are most important. m 2m pq 2p q We see that both the items under the δfunction are small (the second one is of the order ms/pF ∼ s/vF 1). CLASSICAL DC TRANSPORT .
f = cos ϑ cos(f .40) Optional section . k)+ sin(k. k) can be extracted from the integral over q and we have proved that I(f1 ) ∝ f1 . To prove it let us (as we have done earlier) search the solution as f1 = −nf (ε) = −f cos(f . that I(f1 ) ∝ f1 . The term cos(f . k) is ϕq. k). or cos(f . k).f independent. q) cos(f .6. q) dϕ = 2π cos ϑ cos(f . one should prove the relaxation time approximation. 6. In our notations 1 − cos (k.f .e. q) sin(f . k)+ sin ϑ sin(f . it is convenient to use the relation fq =fz qz +f ⊥ q⊥ .f taking into account that the angle (f . ϑ ≡ (q. k − q) = (q · k)/qk = cos ϑ .(see Fig. 2 Now we outline the procedure of more rigorous derivation of the relaxation rate which includes the summation over q → q V (2π)3 qmax π 2π q 2 dq qmin 0 sin ϑ dϑ 0 dϕ where qmin and qmax are determined by the conservation laws. k) cos ϕq. First. n ≡ k/k and chose the polar axis z along the vector k.6. i.3). Finally. q) = cos(k. 8π 2 2 k 3 qmin 2 (6. k). We get cos(f . SCATTERING BY LATTICE VIBRATIONS 119 Derivation of the Relaxation Time. after neglecting of the term proportional to s/v we get qmax 1 (2π)2 V m q π = − q 2 dq C(q)2 2 sin ϑ cos θ dϑ τtr (2π)3 qmin kq k 0 × [Nq δ (q/2k + cos θ) − (Nq + 1)δ (q/2k − cos θ)] qmax V m = C(q)2 (2Nq + 1) q 3 dq . As in the case of impurity scattering. k) cos ϕq. Now we can integrate this equation over ϕq.
In typical metals.k are equilibrium functions.38). Actually. k ϕ β θ f q α Figure 6.1 K. Remember that for the Boltzmann gas the typical √ value of k is mkB T . At high temperature. and then linearize with respect to ϕi . The result is determined by its limits determined by the conservation law and by the phonon spectrum. This case is much more tricky because the collisions are inelastic and we cannot use the expression (6. 2ks) . The main steps of the derivation are given below. where fi. sk ≈ kB T ms2 . at ωmax ≤ kB T. We get + Fk.120 CHAPTER 6. Nq ≈ kB T / s and we get 1 1 ∝ 3 τtr k qD q kB T 3 T q4 q dq ∝ 3D sq k 4 qD for qD < 2k ∝T (2k)4 for qD > 2k ε−3/2 ε1/2 That is consistent with the rough estimates given above. one should linearize the collision integral (6. First we denote fk = f1 + ϕ1 . kB T ms2 → 0. k ∼ kF ∼ qD . 2k).. fk−q = f2 + ϕ2 . We have qmin = 0 while qmax = min(qD . as is was shown. We transform the collision integral as follows. Indeed.3: The arrangement of angles. ωmax = max(ωD . The last case is important for semiconductors with low values of k. and at low temperatures we meet the case ωmax ≤ kB T..11) for the relaxation time.k−q = → = = fk (1 − fk−q )N−q − fk−q (1 − fk )(N−q + 1) [ϕ1 (1 − f2 ) − ϕ2 f1 ] N − [ϕ2 (1 − f1 ) − ϕ1 f2 ] (N + 1) ϕ1 [N (1 − f2 ) + f2 (N + 1)] − ϕ2 [N f1 + (N + 1)(1 − f1 )] ϕ1 (N + f2 ) − ϕ2 (N + 1 − f1 ) . CLASSICAL DC TRANSPORT .
.k−q = → = = 121 fk (1 − fk−q )(Nq + 1) − fk−q (1 − fk )Nq (ϕ1 (1 − f2 ) − ϕ2 f1 ) (N + 1) − (ϕ2 (1 − f1 ) − ϕ1 f2 ) N ϕ1 ((N + 1)(1 − f2 ) + f2 N ) − ϕ2 ((N + 1)f1 + N (1 − f1 )) ϕ1 (N + 1 − f2 ) − ϕ2 (N + f1 ) ∂f0 ∂ε a(k) f0 (1 − f0 ) kB T for the absorption. As a result. The result can be obtained from that above by the replacement N ↔ N + 1. ν −1 e e +1 f2 1 1 f2 + x+ν = N f2 ex+ν + 1 + eν − 1 = (N + 1) −1 e +1 f1 where x = (ε − ζ)/kB T . As a result.6. Unfortunately. SCATTERING BY LATTICE VIBRATIONS for the phonon emission and − Fk. Finally.k−q = a1 f2 (1 − f2 ) (N + 1 − f1 ) − a2 f1 (1 − f1 ) (N + f2 ) → absorptiom Combining with the expression for the emission and absorption we get (a1 − a2 ) [f2 (1 − f2 ) (N + 1 − f1 ) + f1 (1 − f1 ) (N + f2 )] . we get in the brackets eν N f1 (1 − f2 ) + (N + 1)f2 (1 − f1 ) = 2N f1 (1 − f2 ) and the integrand in the collision integral becomes proportional to 2N f1 (1 − f2 ) (a1 − a2 ). Then we search solution in a form ϕ(k) =a(k) − = where a(k) weakly depends on the energy. we have + kB T Fk.6. the relaxation time approximation is not exact in this case and one should solve the Boltzmann equation numerically. ν = ω/kB T . kB T Fragments in the square brackets are N + 1 − f1 = N + f2 = eν 1 f1 − x = N f1 ex+ν + eν − eν + 1 = N . we have proved the estimates made above.k−q = a1 f1 (1 − f1 )(N + f2 ) − a2 f2 (1 − f2 )(N + 1 − f1 ) → emission To get a similar formula for absorption one should make a similar substitution. a1 f1 (1 − f1 ) (N + 1 − f2 ) − a2 f2 (1 − f2 ) (N + f1 ) and then replace 1 ↔ 2 in the δfunctions to take into account the conservation law. but strongly depends on the direction of k. f ↔ 1 − f . kB T We see that only thermal phonons are important since the integrand of the collision operator decreases exponentially at ν 1. − kB T Fk. Finally.
.122 CHAPTER 6. How can the total momentum of the whole electron system relax? To understand this important problem one should remember that there are processes where the quasimomentum is not conserved but there is a momentum transfer G. Using the detailed balance equation f1 f2 (1 − f1 )(1 − f2 ) − f1 f2 (1 − f1 )(1 − f2 ) = 0 we transform the previous equation as (Check!) − a1 f1 f2 (1 − f1 )(1 − f2 ) .41). kB T The same transformation can be done with all other terms and we get the following combinations in the collision integral (6.42) We have 4 terms proportional to a. kB T (6. Because the process is inelastic we search the nonequilibrium function f1 as f1 (p) = a(p) − ∂f0 ∂ε = a(p) f0 (1 − f0 ) . To analyze the situation more carefully we write down the collision integral I(f ) = − Wp11p22 fp1 fp2 (1 − fp )(1 − fp ) − fp fp (1 − fp1 )(1 − fp2 ) 1 2 1 2 p p × δ(ε1 + ε2 − ε1 − ε2 ) (dp2 ) (dp1 ) . The terms proportional to a(p1 ) ≡ a1 are − a1 f1 (1 − f1 ) f2 (1 − f1 )(1 − f2 ) + f1 f2 (1 − f2 ) kB T where all the functions are the equilibrium Fermi ones.41) and one should integrate over the remaining 2 variables. CLASSICAL DC TRANSPORT .. suppose that we have only electrons which do not know anything about the lattice. kB T If we assume that a ∝ pi we get that the last bracket vanishes because of the momentum conservations. UmklappProcesses3 It was a sort of cheating in our previous calculations of the electronelectron scattering. 1 f1 f2 (1 − f1 )(1 − f2 )(a1 + a2 − a1 − a2 ) . Indeed. we have no relaxation and a ﬁnite current in the absence of 3 Optional section . Here we assume that the momentum p2 is determined by the conservation law p1 + p2 = p1 + p2 + G (6. Consequently.
It means that the radius of the FS is greater that 1/2 of the reciprocal lattice vector. This relation is deﬁnitely met if the FS reaches the boundary of the BZ. one should construct the Boltzmann equation for phonons ∂Nq ∂ω(q) ∂Nq + = Iph (Nq ). any ﬁeld. Thus to get a ﬁnite resistance one should request max(p1 + p2 − p1 − p2 ) = Gmin or 4 max pF (n) > Gmin . all the vectors being in the BZ.42) and for phonon in the form N1 (q) =b(q) − ∂N0 ∂( ω) = b(q) N0 (1 + N0 ). The same is true for the metals with nearspherical FS because the volume of the FS is equal to 1/2 of the BZ volume (half full band). We have seen that if p1 is close to the Fermi surface all other momenta are also close to the Fermi surface. say. Consequently. scattering of phonons by defects or phononphonon interaction including Umklapp processes. ∂t ∂q ∂r The collision integral with electrons has the form Iph−e = W [f1 (1 − f2 )(Nq + 1) − (1 − f1 )f2 Nq ] δ(ε1 − ε2 − ωq ) (dp1 ) Again. To get a ﬁnite answer one should take into account the processes with ﬁnite G.6. we can search the solution for electrons as (6. The situation is more complicated for electronphonon collisions. kB T . In semimetals like Bi the FS contains quasielectron and quasihole valleys and electronelectron interaction is important for intervalley transitions (see Fig. 6. SCATTERING BY LATTICE VIBRATIONS 123 Figure 6. the socalled Pierls Umklapp processes. We have assumed the phonons to be equilibrium.4). If the metal is very pure and the temperature is low the only scattering mechanism for phonons is their scattering by the electrons. It means that we assume some eﬀective mechanism to create equilibrium in the phonon gas.6.4: The Fermi surfaces of alkali metals and semimetals.
Umklapp processes mean hops between diﬀerent branches. number of phonons part of time The last factor is just the part of time which electron spends near the region to which it can hop. The resulting situation appears very tricky. we come to a crossover between the power and exponential temperature dependencies. we need the Umklapp processes to get ﬁnite electric and thermal conductivity. CLASSICAL DC TRANSPORT . The total relaxation time is a sum τ = τe + τ u of the diﬀusion time over the closes surface and the time τu . At high temperatures it is not a problem to ﬁnd such processes. . Indeed. If the FS is open the electron momenta relaxation is just a diﬀusion along this surface and we have shown that 1 τe ∼ ωD ωD kB T 5 . the longest being most important. To get an insight. δp ≈ kB T /s. As a result. Note that here we add partial times rather than rates. As a result. we get I≈ CHAPTER 6. and δp/pF ∼ kB T / ωD . their number being proportional to exp(−T0 /T ) where T0 ∼ ωD /kB .. we need highfrequency phonons with q ∼ qD . if a ∝ pi . otherwise impurity scattering is the most important at low temperatures. it means the sum of electron and phonon quasimomenta conserve. Physically. W f10 (1 − f20 )(Nq0 + 1)(a1 − a2 − b) (dp1 ) . Consequently. But at low temperatures the momenta of thermal phonons are small. b ∝ qi we get zero. The reason is that the scattering events take place sequentially. Remember that all this physics is relevant only to very clean metals. Again. Again. As a result. and one can neglect the phonon quasimomenta in the conservation law p1 −p2 − q = G . So we come to the criterion 2 max pF (n) > Gmin that cannon be met if the FS does not touch the BZ boundary. let us come to the picture of extended BZs periodic in the reciprocal space. If the FS is closed. we get 3 kB T0 kB T 1 ∼ ωD e−T0 /T · τu ωD ωD .124 As a result. That changes all the kinetics because thermal phonons cannot take the electron momentum.. we have a persistent motion of electrons accompanied by a ”phonon wind”.
In real life there is a mixture of the mechanisms. This contribution cannot be analyzed with the help of the Boltzmann equation and we will also discuss it later. 6.6.7 ElectronPhonon Interaction in Semiconductors Acoustic Phonons Deformational interaction Usually. at low temperatures ρ = c + aT 2 + bT 5 ee eph (except alkali metals) while at high temperatures phonon scattering is the most important and ρ = AT. If we assume the mechanisms to be independent the resistivities ρ are approximately additive because one should sum the scattering rates. Note that the strain leads to a diﬀerent inﬂuence than an electric ﬁeld which shifts both bands in the same direction. A typical picture of the change of the forbidden gap width under the inﬂuence of an acoustic vibration is shown in Fig. So. of the bottom of the conduction band as Ec (ˆ) = Ec (0) + u ik Λik uik .7. We will come back to this problem later. The temperature dependence of the resistivity of semiconductors is more tricky because the electron concentration is temperature dependent. The corresponding dependences of the thermal conductivity are κ −1 = dT −1 + f T + gT 2 . It is also important to know. Consequently. the electron energies change. the deformation being characterized by the strain tensor u → uik = ˆ 1 2 ∂ui ∂uk + ∂xk ∂xi .5). say. the interaction with acoustic phonons in semiconductors is expressed in terms of the socalled deformation potential. For long waves one can describe the crystal a an elastic continuum. The strain changes the distances between atoms and. according to the results of Boltzmann equation. . ELECTRONPHONON INTERACTION IN SEMICONDUCTORS 125 Temperature Dependence of Resistivity in Metals Now we review the temperature dependence of the conductivity of metals. that at very low temperatures quantum contribution to resistivity becomes important. one can expand the position. the interplay being temperature dependent. (6. as a result. We have assumed recently that only one scattering mechanism is important. and κ = const .
2N M ωq (6. The strain uik induces in such crystals the electric polarization with the components Pi = kl βi. As a result. Piezoelectric materials (ZnS.43) The deformation potential can be calculated for a real band structure and measured experimentally. Piezoelectric interaction.) are ionic crystals without inversion symmetry. One can show that in a cubic crystal oﬀdiagonal components of the deformation potential ˆ tensor Λ vanish. The corresponding electric potential is determined from the Poisson equation − ik ik ∂2ϕ + 4π ∂xi ∂xk ikl ∂ ∂ βi. ˆ where β is called the piezoelectric tensor. because all the axis are equivalent.kl ukl . ZnSe. ∂xi ∂xk . The only diﬀerence is the replacement of the estimate e2 a2 na by the deformation potential Λ.kl ul = 0 . we come to the interaction energy of the form (6. The selection rules for electronphonon transitions are determined by the symmetry.5: The variation of the forbidden gap... etc. u Consequently. Moreover. Λii = Λ and we get Ec (ˆ) = Ec (0) + Λ div u.126 CHAPTER 6. CLASSICAL DC TRANSPORT . the interaction constant C(q) can be expressed as C(q)2 = Λ2 q 2 ∝ q. Cds.30) Uq ∼ Λiquq . C V A a0 Figure 6.
optical phonons produce electric ﬁelds.44) = 1 ∞ − 1 0 . see Sec. We take into account only longitudinal vibrations which eﬀectively interact with the electrons. we get ϕq = 4π ikl 127 u = uq eiqr βi. 2. as we have seen. Then.6. In these materials the displacement s = u+ − u− . creates the polarization (Problem 6. page 33 for notations.8) P= where N0 Mr ωl2 (u+ − u− ) 4π ∗ 1 ∗ (6.7. 4πN0 Mr ωl2 2 ϕ = 4π div P = div (u+ − u− ).2. Since piezoelectric interaction is mediated by electric ﬁelds their screening by charge −1 cariers at q rs can be important. ik ik qi qk Specifying the polarization vector ej (q) and the unit vector of the propagation direction n = q/q we get −eϕq = Gu0 . ELECTRONPHONON INTERACTION IN SEMICONDUCTORS If we assume ϕ = ϕq eiqr . It means that at low temperatures piezoelectric interaction is more important than the deformational one. ∗ Then. Much more interesting is the interaction in polar crystals where.43) we see that for a given q one should replace Λik ni ek → G(q)/q. we expand the displacements in terms of the normal coordinates uk (r) = √ j 1 N Mk ejk (q)bj (q.kl ni nk ejl (q) ik ik ni nk Comparing this expression with the expression (6. as usual.45) .kl qi qk uql .t)eiqr qj (6. G(q) = − 4πe ikl βi. ik We see that the corresponding scattering factors C(q)2 behave as q/q 2 ∝ 1/q. Optical Phonons In nonpolar materials one can also characterize the interaction as He−ph = Λ0 u where u is the relative displacement of the atoms in the basis.
τtr = 2 e2 mkB T 2. and take into account that at long waves the center of gravity does not move. kB T ωl the scattering is elastic.46) Using the second quantization procedure (page 41) we arrive at the famous Fr¨lich Hamilo tonian 1 Mj † He−ph = √ ap− q ap (bqj + b† ) (6. 1.. M1 + M2 M2 ej2 = 0.9) φ = −i 4πωl2 ∗ q 1 (bq eiqr − b∗ e−iqr ) q q (6. 2 2 2 kq cos ϑ 2m ωl = 0 . 2m α= e2 ∗ m . q2 = −k cos ϑ ± 2 k 2 cos2 ϑ − k0 2 where 2 k0 /2m = ωl . M1 + M2 ej2 = − M2 ij .47) qj V q. 2 ωl The dimensionless constant α is called the polaron constant. qmax = 2k. M1 ej1 + As a result. If k k0 we get for both absorption and emission the old conditions qmin = 0. Using Eq.45) for u± and get (Problem 6. (6. CLASSICAL DC TRANSPORT . j1 j2 Finally we substitute these expressions to Eqs.40) we get √ 2 ∗ 2 √ ε3/2 ∝ T −1 ε3/2 . At high temperatures. and we return to the same expression as for acoustic phonons. ωl kB T .j q with Mj2 = 2πe2 ωl.j / ∗ . The case of low temperatures. .. Sometimes it is expressed as M2 = 4πα ( ωl )3/2 √ . (6. ej1 = M1 ij . Now we can analyze the conservation laws εk±q = εk ± ωl which can be rewritten as q ± 2m The roots of this equation are q1 = −k cos ϑ ± 2 k 2 cos2 ϑ + k0 . e2 + e2 = 1.128 CHAPTER 6.
The polaron. As a result. ELECTRONPHONON INTERACTION IN SEMICONDUCTORS is more tricky. Indeed. note that the ratio of the emission and absorption probabilities is (Nq + 1)/Nq ≈ exp ( ωl /kB T ) 1. Optional section . According to quantum mechanics. and qmin = 2 k 2 + k0 − k 129 (ϑ = 0). In this case only absorption processes can take place. the change of energy appears small while the change of the quasimomentum is large. The corresponding δfunction is δ q + 2m 2 2 2 2 2 kq cos ϑ k0 − 2m 2m = m δ 2 kq 2 q 2 − k0 + cos ϑ 2kq while the relaxation time can be obtained as 1 m 1 = τtr 8π 2 2 k 3 qmax w(q) Nq qmin 2 q 2 − k0 2 q dq q ≈ (e2 mωl / 2 ∗ 3 2 k 2 + k0 − k0 ln 2 k 2 + k0 + k 2 k 2 + k0 − k . qmax = 2 k 2 + k0 + k (ϑ = π). k ) exp(− ωl /kB T ) 2k ≈ (4/3)k 3 /k0 Expanding this expression in powers of k/k0 we get/k0 √ 2 ∗ 2 2 ωl √ τtr = exp 2 m ω 2 e kB T l . So if the electron absorbs an optical phonon it should immediately emit another one. the change of the ground state energy due to interaction is (0) En − En = nHint n + m=n 4  mHint n 2 En − E0 (0) (0) . One can get the result taking into account only the absorption processes.7. that the scattering is strongly inelastic and in general one cannot use the relaxation time approximation. It is clear.6. Note that it is not the case of the socalled hot electrons with high energies. 4 We take the opportunity to demonstrate the role of interaction when it cannot be considered as weak. some simpliﬁcation does exist. Nevertheless. This scattering is very weak. Let us consider the interaction of an electron with optical phonons. which can emit optical phonons.
Nq = 1. is less than the mean free path at which all the kinetic coeﬃcients are formed.080 0. We have α 0. k 2 h2 k 2 h2 (k − q)2 − − ωl 2m 2m ∗ = 2πe2 ωl (dq) q2 h2 k 2 h2 (k − q)2 − − ωl 2m 2m −1 . and the result is 2 2 2 2 2 2 k k k − α ωl + ≡ −α ωl + εk = 2m 12m 2mpol where α has been introduced in the previous section as the polaron constant while mpol = m ≈ m(1 + α/6). Its inﬂuence is strong if the characteristic radius of cyclotron orbit. we get εk − εk (0) = q  1. We have Nq = 0. As a result. As usual we introduce polar coordinates with the axis along k (dq) → (2π)−2 q 2 dq sin ϑ dϑ. Consider the interaction with a polarized crystal. The integral can be calculated easily..130 CHAPTER 6. To estimate the inﬂuence of a weak magnetic ﬁeld on . k − q−eΦ0. kq = kq cos ϑ and expand the integrand in powers of k. 6.. The qualitative conclusions are that interaction with phonons leads to the shift of the energy levels (the relative shift is α at α 1) and to its ”dressing” . 1 − α/6 1. The diagonal matrix element is zero because it contains the same number of phonons. k = k − q. the interaction for the two last materials is strong and one cannot use the perturbation theory in the simplest way.65 All these considerations are good only when α Material InSb InP CdTe CdS Consequently.8 Galvano.015 0.increase of the eﬀective mass. One can treat the distortion as an eﬀective decrease of the mean free path . CLASSICAL DC TRANSPORT . rc = v⊥ /ωc .39 0. At T = 0 only emission of phonons is possible.and Thermomagnetic Phenomena The Physical Reason The external magnetic ﬁeld distort electron trajectories.
6) with the distance 2rc sin φ/2. r) 1 − e E + [v × H] c p f+ f − f0 = 0. ∂ε (6. τtr . .48) G ∝ E . Conductivity Tensor. Simpliﬁed version for isotropic case In a magnetic ﬁeld the Boltzmann equation reads (v We look for a solution as f = f0 + (v · G) . If we put rc φ ∼ we get ∆ρ/ρ ∼ ( /rc )2 ∼ (ωc τ )2 . the resistance one can compare the path between two scattering centers along the circle rc φ (see Fig. GALVANO. Calculations..6: A trajectory fragment. 131 y φ x Figure 6. one can expect creation of oﬀdiagonal components of the conductivity tensor with σxy  ∼ σ0 (ωc τ ) . Indeed. Another eﬀect that one can expect is the creation of a current perpendicular to the electric and magnetic ﬁeld direction. 6.AND THERMOMAGNETIC . We have e ∂ 1 − [v × H] + c ∂p τtr (v · G) = e ∂f0 (E · v) . To get the results in strong magnetic ﬁelds is more tricky and we will do it later. under the inﬂuence of magnetic ﬁeld an electron moves in the [E × H] direction by the distance ∼ rc (1 − cos φ) ≈ (1/2)rc φ2 ∼ ( /rc ) ∼ (ωc τ ) . The diﬀerence is ∼ rc φ3 . As a result..6.8.
49) and using the equality ([v × H] · H) = 0 we get µ µ α ([v × H] · E) + γ (H · E)(v · H) − H 2 (v · E) c c +α(v · E) + β(v · H) + γ(v · [H × E])} = eτtr (v · E) ∂f0 . (Problem 6. ∂ε 1 + µ2 H 2 /c2 (6.50) m is the partial electron mobility. (v · H) and (v · [H × E]).49) in the form G = αE + βH + γ[H × E] . Since ∂ε/∂p = v we have ∂(v · G) G dG = +v v· ∂p m dε Since [v × H] · v v · we get µ ∂f0 ([v × H] · G) + (v · G) = eτtr (v · E) c ∂ε where µ(ε) = (6.. The conductivity tensor is easily calculated from the expression ji = −e 2d3 p vi (2π )3 vk Gk . =0 eτtr (ε) (6. CLASSICAL DC TRANSPORT . k .51) The quantity µH/c is nothing else than the product ωc τtr We see that in the presence of magnetic ﬁeld there is a current along the direction of [E × H]. for a given ε the vector G is independent of the direction of p and depends only on the energy ε = p2 /2m. It is natural to look for a solution of the equation (6.8) G = eτtr ∂f0 E + (µ/c)2 (HE) · H + (µ/c)[E × H] . (6. c µ α + γ = 0. As we’ll check.49) dG dε . ∂ε Then we can collect the coeﬃcients at (v · E). We have µ ∂f0 α − γ H 2 = eτtr c ∂ε µ γ (HE) + β = 0 .132 CHAPTER 6. Substitution this form to (6. c As a result.52) ..
7. (6.55) ∂t ∂pz ∂ε 5 Optional section . v⊥ (6. 3. we get σzz = σ0 .. but rather a function of p deﬁned by the equation of motion ˙ p = −(e/c)[v × H].8. see Sec. Since ∂ε dp e =v· = −v · [v × H] + eE = −e(v · E) . it is convenient to introduce two diﬀerent variables instead of px and py – the energy ε and the “trajectory time” deﬁned as t1 = c eH dl . dpx dpy = dε dl/v⊥ or dpx dpy dpz = eH c dt1 dε dpz . ε as independent variables.1. Note that denominaator of this expression is nothing else then thermodynamic density of states. . .s. dt and in a weak (comparing to vH/c) electric ﬁeld ∂t1 /∂t = 1 we arrive at the Boltzmann equation ∂f ∂f ∂f − eEz − e(v · E) = Icol (f ) . σxx = σyy = while σxy = −σyx = Here the average A is understood as A ≡ A(p)(−∂f0 /∂ε) (dp) . GALVANO. For an isotopic spectrum. In the presence of external ﬁelds the l. ∂t dt c dpz = −eEz . According to our previous treatment. (−∂f0 /∂ε) (dp) ne2 m ne2 m τtr 2 2 1 + ωc τtr 2 ωc τtr 2 2 1 + ωc τtr 133 .6.54) This is not a real time. General case 5 In the presence of a magnetic ﬁeld. gT ≡ ∂ne /∂ζ (6.AND THERMOMAGNETIC . pz .53) where ne is the electron density while ζ is the chemical potential. of the Boltzmann equation can be written as ∂f ∂t1 ∂f ∂pz ∂f ∂ε + + ∂t1 ∂t ∂pz ∂t ∂ε ∂t where we consider the quantities t1 .h.
To make estimates we use the relaxation time approximation to get a ∂a + = −e (v(t1 ) · E) .56) We should solve this equation with proper boundary conditions. pz . The function f0 depends only on the energy.. CLASSICAL DC TRANSPORT . In the case of closed orbits it is just the periodicity while for open orbits the function should be ﬁnite. and we get in the linear approximation ∂a − I(a) = −e(v · E) . we search the solution as CHAPTER 6. Now we assume that E ⊥ H and i. ωc = − eH . Now we can extract v⊥ and analyze Ix Iy T vy = −v⊥ sin ωc t1. We need to analyze the solution of this equation in diﬀerent cases. We see that the conductivity is a tensor with the components σik = − 2e3 H (2π )3 c dε − ∂f0 ∂ε pF T t1 dpz −pF 0 dt1 vi (t1 ) −∞ dt2 k vk (t2 )e−(t1 −t2 )/τ . k are x. mc = 0 dt1 cos ωc t1 − sin ωc t1 t1 −∞ dt2 e−(t1 −t2 )/τ (Ex cos ωc t2 − Ey sin ωc t1 ) . The electric current is ji = −e 2e3 H =− (2π )3 c vi f (dp) = − dε ∂f0 − ∂ε 2e2 H (2π )3 c pF dε T − ∂f0 ∂ε t1 dpz dt1 vi a(ε.57) a(t1 ) = c −e (v(t2 ) · E) e−(t1 −t2 )/τ dt2 . ∂t1 (6. If the spectrum is isotropic. t) = dt2 −∞ k dpz −pF 0 dt1 vi (t1 ) vk (t2 )e−(t1 −t2 )/τ Ek . f = f0 + a − ∂f0 ∂ε .. ycomponents.134 As usual. vx = v⊥ cos ωc t1. If the orbits are closed one should apply the periodic conditions a(t1 ) = a(t1 + T ) In this case one has to put c = −∞ (Problem 6. ∂t1 τ The general solution is t1 (6.11).
In general jx = σxx Ex + σxy Ey . 1 The typical conﬁguration to measure oﬀdiagonal components of the conductivity tensor is shown in Fig. when ωc τ we get σ⊥ = σ0 ˆ 1 ωc τ −ωc τ 1 .58) . jy = σyx Ex + σyy Ey . For degenerate electrons the integral over the energy locates the internal integral to the Fermi surface. (6. the last integral being pF 2 v⊥ dpz = −pF 1 m2 pF (p2 − p2 ) dpz = F z −pF 4 p2 F .6.AND THERMOMAGNETIC . GALVANO. It is convenient to employ an auxiliary integral t1 135 dt2 et2 /τ eiωc t2 = et1 /τ eiωc t1 −∞ τ −1 − iωc = 2 τ −2 + ωc = et1 /τ τ −2 1 (τ −1 cos ωc t1 + ωc sin ωc t1 ) + i(τ −1 sin ωc t1 − ωc cos ωc t1 ) . 2 + ωc T Finally.7). .8. Finally we get jx jy =− 2e3 H T (2π )3 c 2 dε − ∂f0 ∂ε 1 2 τ −2 + ωc τ −1 Ex + ωc Ey −ωc Ex + τ −1 Ey 2 dpz v⊥ .. (6. 3 m2 The ﬁnal result is σ⊥ = ˆ ne e2 1 −2 + ω 2 m τ c τ −1 ωc −ωc τ −1 . We have used the integrals T 0 cos2 ωc t dt = 0 sin2 ωc t dt = T cos ωc t sin ωc t dt = 0. Weak Magnetic Field In weak magnetic ﬁelds. 0 T T 2 . we come to the integral Ix Iy = 0 dt1 cos ωc t1 − sin ωc t1 × × Ex (τ −1 cos ωc t1 + ωc sin ωc t1 ) − Ey (τ −1 sin ωc t1 − ωc cos ωc t1 ) .
60). Hσo ne ec (6.60) We came to the conclusion that the Hall coeﬃcient depends only on the electron density. Ey = − σxy = −σyx . Thus. The Hall coeﬃcient is deﬁned as Ey σxy R= =− 2 . σxx +  + j. (6. etc. It is not the case in real materials because we have canceled the factor τ which in real life depends on the energy. a ﬁeld Ey = − appears. E x σxy Ex σxx (6. H + Ey Figure 6. at weak magnetic ﬁeld R=− ωc τ 1 = . The resistivity component ρxx = 1/σ0 in a weak ﬁeld because σxy  σxx . If the circuit in ydirection is open we have jy = 0. 2 + σxy 2 2 σxx + σxy Ex .59) 2 σxx The creation of a transverse ﬁeld directed along [E × H] is called the Hall eﬀect. the current density being j = jx = ρxx Ex = We have taken into account that σxx = σyy .7: Arrangement to measure oﬀdiagonal conductivity components.136 CHAPTER 6. Usually. σxy j. it is taken into account by introduction the Hall factor in Eq. 2 Hjx (σxx + σxy )H As we see.. CLASSICAL DC TRANSPORT .. In nondegenerate semiconductors the Hall coeﬃcient becomes dependent on the scattering mechanisms. directions. As a result. .
[I(ak−1 ) − e (v(t2 )E)] dt2 + Ck . . i. t1 a1 = 0 t1 [I(C0 ) − e (v(t2 )E)] dt2 + C1 . 137 High Magnetic Field. c a1 = H t1 dpy e = vx H. dt c (6. Closed Orbits In this case vx = vy = 0. ak ∼ γ k and substitute the Boltzmann equation (6. I(ak=0 ) = 0.AND THERMOMAGNETIC . we introduce a speciﬁc perturbation theory to solve the Boltzmann equation in strong magnetic ﬁelds.56) ∂a0 /∂t1 = 0 . The results obtained above can be used to get estimates also in the case of high magnetic ﬁelds.e. These equations determine the constant items Ci . ∂a2 /∂t1 − I(a1 ) = 0 . But we will make more rigorous calculations because many results can be obtained for an arbitrary energy spectrum. . The solutions are: a0 = C0 . As a result. −I(a0 ) = −e(vE).. . ∂a1 /∂t1 − I(a0 ) = −e(vE) . 0 ak = Then we average all the equations over the time taking into account that ∂a/∂t1 = 0. we are interested in a1 and we can substitute dpx e = − vy H. GALVANO. . First. . Consequently.6.61) dt2 0 dpx dpy Ey − Ex dt2 dt2 t1 −e 0 dt2 vz (t2 )Ez + const(v) . . . .8. Now we proceed with calculation of the conductivity tensor. expansion in power of γ = (ωc τ )−1 . and C0 depends only on vz Ez . . We write the function a as a= k ak . dt c As a result. .
Let us calculate. H dt1 The result is σxy = 2ec (2π )3 H T dpz 0 dt1 px dpy 2ec = dt1 (2π )3 H dpz px dpy . We have jx 2He2 = (2π )3 c 2e = (2π )3 T dpz 0 T 2e vx (t1 )a1 dt1 = (2π )3 dt1 (px (t1 ) − px (0)) Ey T dpz 0 a(t1 ) dpy dt1 dt1 dpz 0 c dpy + vanishing items . ρik = γ −1 byx bzx bzy bzz The case of compensated materials with ne = nh (like Bi) needs a special treatment. volume The result can be expressed through the densities of electronlike and holelike excitations: ec σxy = − H (ne − nh ). It is very important that the result is independent on scattering mechanisms and the shape of the surfaces ε = const. it is the most common way to determine the carriers’ density. Actually. Another conclusion is that there is no linear in γ contributions to the diagonal components of the conductivity tensor.. Under such a transform magnetic ﬁeld changes its sign). say. we come to the following structure of the conductivity tensor 2 γ axx γaxy γaxz σik = γayx γ 2 ayy γayz γazx γazy azz while the resistivity tensor ρ = (ˆ )−1 is ˆ σ bxx γ −1 bxy bxz byy byz . jx for the Fermi gas. The physical reason is that the Lorenz force has diﬀerent signs for electrons and holes and the Hall eﬀect feels the sign of charge carriers. .138 CHAPTER 6. Now it is very simple to calculate σxy . CLASSICAL DC TRANSPORT .. Note that the components of the conductivity tensor should meet the Onsager principle which in the presence of the magnetic ﬁeld reads as σik (H) =σki (−H) (the reason is that the Onsager principle is derived by use the symmetry with respect to time reversion. Finally.
Open Orbits The case of open orbits is more tricky.AND THERMOMAGNETIC . To understand what happens let us consider the case shown in Fig. 139 p x p’ x p’ z p .8. GALVANO. . As a result. 6.9. eH T1 →∞ T1 vx = 0. having a sharp crossover at θ → 0. and a magnetic ﬁeld leads to oﬀdiagonal transport.61) we get vy = − c px (T1 ) − px (0) lim = 0. As a result. 6. 6. It is clear that the temperature gradient also produces electric currents.6. We observe that the trajectory in pz direction is inﬁnite while in py direction it is ﬁnite. and the component σyy is not small. 2 γ axx γaxy γaxz σik = γayx ayy ayz . Taking the average of the equations of motion (6.8 that the conductivity tensor strongly depends on the tilt angle of the magnetic ﬁeld. Thermomagnetic Eﬀects.H z py Figure 6. As we have seen these currents are produced by the ..8: The case of open orbits..8. . the quantity a0 contains a component ∝ Ey . γazx azy azz One can see from Fig. The schematic angular dependencies of the Hall coeﬃcient and transverse resistivity are shown in Fig.
(6. In this case we get ∂T B = Hjx ∂y κ (the Ettingshausen eﬀect). κik (H) =κki (−H). In high magnetic ﬁelds all the coeﬃcients become ﬁelddependent. θ ”eﬀective force” (ε − ζ) T /T . suppose that x T = 0. but jx = 0.62) describe many eﬀects. All these eﬀects have important applications. 4. For example. As a result. B = N T. The expressions (6.4.62) According to the Onsager principle. CLASSICAL DC TRANSPORT . . see Sec. According to the Onsager principle ρik (H) =ρki (−H). exist also for kinetic coeﬃcients. It is clear that 21 independent components lead to a very complicated picture and usually people study simplest cases. For example. we have 36 kinetic coeﬃcients which obey 15 Onsager relations. jy = 0. Another eﬀect is creation of a ﬁeld Ey by the gradient ∂T /∂x (the Nernst eﬀect) Ey = N H(∂T /∂x).140 CHAPTER 6. w − jζ = Πj + B [H × j] − κ T + L [H × T ] . in an isotropic material in a weak magnetic ﬁeld one can write j = ρE + R [H × j] + α T + N [H × T ] . wy = 0.9 Shubnikovde Haas eﬀect Oscillations similar to the de Haasvan Alphen eﬀect. Consequently. ρ xx R θ Figure 6. all the kinetic coeﬃcients become tensors. 6. Πik (H) =T αki (−H). Although quantum transport is out of the scope of the present part of the course we will discuss the main picture.9: Crossover from closed to open orbits...
The equation for ϕ has the form d2 ϕ 1 − + 2 2m dx 2m 2 eH c 2 x + 2 eH ky + eE x + mc 2 2 2 (ky + kz) 2m − ε ϕ = 0. δε = −a2 eEky − ν H 2m 2 H for the energy and xE = x0 + δx0 . Similar oscillations are also present for thermo. it also oscillates in magnetic ﬁeld. Let us outline main principles of these eﬀects.6. 0 0 Then we expand the expression up to the linear in E term and get σxx = e2 ν. The electric current is 0 jx = −e ν.magnetic coeﬃcients. SHUBNIKOVDE HAAS EFFECT 141 Kinetic coeﬃcients depend both on the density of states and on the scattering probability. 3. ν ν ν ν The prime over the sum means that the state ν has xE < 0. E x) ∂2ψ 1 + − 2 2m ∂x 2m 2 ∂ e + Hx i ∂y c 2 ψ− ∂2ψ + (eEx − ε)ψ = 0. 2 . in its term. We have have seen that DOS oscillated because of the energy quantization. 0 δx0 = − eEa2 H . ωc for the oscillator center x0 (see Sec. Assume that the electron in the state ν is is situated at the point xE . as well on the scattering matrix element. Quantum oscillations of kinetic coeﬃcients are widely used for investigation of the properties of metals and semiconductors. The quantum oscillations of conductivity is called the Shubnikovde Haas eﬀect. Now we introduce the following concept. Consequently.2). is also dependent on the density of states.ν − ∂f0 (εν ) ∂εv (x0 − x0 )2 Wνν . The result can be expressed just in the same way as for the case E = 0 with the additional terms 2 2 2 kz mc2 E εE = εN + + δε.7. To take the electric ﬁeld into account one should analyze the SE in crossed electric and magnetic ﬁeld (H z. and it appears that the last contribution is the most important. The scattering probability.9.ν E E f0 (εE ) 1 − f0 (εE ) Wνν − f0 (εE ) 1 − f0 (εE ) Wν ν . 2m ∂z 2 2 We can also search the solution as ϕ(x) exp(iky y + ikz z). while the state ν has xE > 0.
∂f − ∂f + ∂f + f − +v + eE + = 0. The key point of the following consideration is that the relaxation rates for the odd and even in p components can be very much diﬀerent. CLASSICAL DC TRANSPORT . Assuming that inelastic processes are weak. ∂t ∂r ∂p τtr (6. t). As a result. ν to the 2D diﬀusion coeﬃcient in the plane (x.. y). f ± (−p) = ±f ± (p) . Consider electron gas in a weak ac electric ﬁeld E(r.64) .63) Such a procedure is not correct for f + because the main part of f + depends only on the electron energy. and the average distribution function F ( ) = f (p) ≡ (dp) f + (p) δ( p − ) (dp) δ( p − ) is not eﬀected by elastic scattering. we leave in the equation for f − only elastic processes in the collision operator. ∂t ∂r ∂p (6.. Let us separate odd and even in p parts of the electron distribution function. 6. Indeed.142 CHAPTER 6. This formula has an explicit physical meaning. Thus one has to write ∂f + ∂f − ∂f − +v + eE + I{f + } = 0 . f (p) = f + (p) + f − (p) .10 Response to “slow” perturbations In this section we will discuss electron response to lowfrequency perturbation which vary slowly in space. elastic processes do not aﬀect any function dependent only on the energy. the quantity (x0 − x0 )2 Wνν 2 is just the contribution of the states ν. D(ε) = 1 g(ε) δ(ε − εν ) ν. Indeed. thus we come to the old formula σ = e2 dε g(ε) D(ε) − ∂f0 ∂ε where both g(ε) and D(ε) should be calculated with the help of quantum mechanics: g(ε) = ν δ(ε − εν ). 2 One can see that the result is strongly dependent on the scattering mechanism and oscillates in the case of the Fermi statistics.ν (x0 − x0 )2 Wνν .
(6. ∂F1 ∂ 2 F1 ∂Ek ∂f0 − Dik ( ) + I{F1 } = eDik ( ) . 6.63). 6. ¯ Neglecting this diﬀerence we arrive at the following equation for F ( ). (6. t)/n0 . ∂t ∂xi ∂xk ∂xi ∂ Here we have introduced F1 = F ( ) − f0 ( ) and Dik = vi τtr vk .and position dependent electron density. That can be done assuming that F1 ( .66) depends on the dimensionless quantities ωτin . τtr 1. 1. In this way (in the isotropic case) we get ∂n ∂2n ∂Ex ∂n0 − D 2 = eD − .6.h. q 2 Dτin . The typical estimate for the third term in Eq. Here n(r.64 is F1 /τin where τin is the inelastic relaxation time. Thus the solution of Eq. Now let us assume ωτtr and solve Eq. of Eq 6.66) Because usually in semiconductors at low temperatures τin these quantities can be large even at ωτtr . In this case the third term in l. (6. One can show that the diﬀerence between f + (p) and F ( p ) can be neglected if − eEτtr p. q Very low frequancies. RESPONSE TO “SLOW” PERTURBATIONS where the collision operator includes inelastic processes. t)f0 ( ) . t) ∝ f0 ( ) = A(r.67) ∂t ∂x ∂x ∂ζ . q 1 143 ∂f + ∂f + − eτtr E . ωτin . r.66 is most important and one has to vanish this term. t) = n(r. (6.64 and average over the constant energy surface. q 2 Dτin 1.s. t) is the time. (6. Multiplying this equation by the density of states g( ) and integrating over the energies we get A(r.10.65) f (p) = −τtr v ∂r ∂p then substitute into Eq.
.144 Here ζ is the chemical potential while Dik = 1 n0 CHAPTER 6. and one obtains j = −iq(eDn + σφ) .70) (6. and φ are Fourier components of the concentration and the potential.h.69) ∂n .c.s. To relate the potential φ to the external ﬁeld one has to employ Poisson equation iqD = 4πen . (6. Moving all the terms into l. (6. ∂x Here n. In the end of this section let us obtain a simpliﬁed expression for dielectric function at low frequencies. φ + iqDe = 4πen .67 ∂n 1 ∂ + ∂t e ∂x −eD ∂n ∂n + e2 D Ex ∂x ∂ζ = 0. due to Einstein relation σ = e2 D ∂n0 ∂ζ ∂n + div j = 0 . d g( ) f0 ( )Dik ( ) .68) This is nothing else than the charge conservation law e Indeed. ∂t we have a usual expression for the current density’ jx = σEx − eD We conclude that at ωτin 1.. Then all the quantities are ∝ exp(iqx − iωt). CLASSICAL DC TRANSPORT . respectively. We get 0q 2 D = −i 0 qφ + De . the charge conservation law being (−iω + q 2 D)n + e−1 q 2 σφ = 0 . q 2 τtr τin 1 one can employ very simple diﬀusion description of the response. Let us assume that one applies an external ﬁeld with the electrical induction De exp(iqx − iωt) + h. 6. . we get instead of Eq.
eE ∂f − ∂p + I{f + − f0 } e = 0. ∂p Now we can average this equation over the constant energy surface. 0) = 0 q2 where 4πσ 4πe2 ∂n0 κ2 = = ∂ζ 0D 0 is the square of inverse static screening length.71) (q. The second term is the relaxation rate for the isotropic part of the nonequilibrium distribution function.6.70) as n=− to get −iω + q 2 D + 1/τm q φ0 = −iqDe . For this case let us calculate the second approximation in the electric ﬁeld.72) The ﬁrst item in l. Using (6. (6. ω) we get −iω + q 2 D + 1/τm .s.h. ω) = 0 −iω + q 2 D As ω → 0 q2 + κ2 (q.65) and neglecting the diﬀerence between f + and its average over the constant energy surface we get −e2 Ei Ek 1 ∂ ∂F ( ) g( ) Dik ( ) + I{F ( )} g( ) ∂ ∂ e = 0. (6. (6.11 “Hot” electrons Now let us come back to the static case and discuss the diﬀerence between the function F ( ) and the equilibrium function f0 ( ). “HOT” ELECTRONS Now we can substitute n from Eq. Having in mind that E = −iqφ and E = De / (q. Substituting f − from (6. has a meaning of the power transferred from the ﬁeld to the electrons with a given energy . . 6.11. −iω + q 2 D 2 145 q2σ 1 φ e q 2 D − iω Here τm ≡ 0 /4πσ is the well known Maxwell relaxation time.65) for the spatially uniform case we get eE ∂f − + I{f + − f0 } = 0 .
146 CHAPTER 6. (6. τtr ms2 s mkT Thus. We get 1 I{F ( )} = (dp) (dp ) [δ( − p ) − δ( − p )] 2g( ) × [Wpp F ( p ) − Wp p F ( p )] 1 ∂ ≈ (dp) (dp ) ( p − p ) δ( − p ) 2g( ) ∂ × [Wpp F ( p ) − Wp p F ( p )] . I{F ( )} = − Here 1 ∂ kT g( ) g( ) ∂ τ 1 + kT ∂ ∂ p F( ). − kT 2 p (6. Then let us take into account that − p kT and expand it up to the ﬁrst order in the energy diﬀerence. scattering by acoustic phonons is a quasielastic process. p )Wpp (6. .. CLASSICAL DC TRANSPORT . Substituting the transition probability for the case of deformationalpotential scattering one can rewrite the collision operator through a dimensionless variable x = /kT .74) Energy relaxation rate for electronphonon scattering To give an example let us discuss the energy relaxation rate for electronphonon collisions. We have 1 I{F ( )} e = (dp) (dp ) δ( − p ) [Wpp F ( p ) − Wp p F ( p )] . 4 2Λm5/2 kT The typical ratio 2 τ kT kT √ = = 1. Let us calculate the relaxation rate of the power transferred from the ﬁeld to the electrons with a given energy. g( ) Let us replace p → p and take a symmetric combination of the expressions.75) 2τ x dx dx where π 3/2 4 ρ √ τ = √ . √ π 1 d 2 d √ I{F ( )} = − x 1+ F (x) . Wp p = Wpp exp p − p kT Expanding also the distribution function we get ﬁnally Wp p = Wpp 1 + p ..73) 1 1 = (dp) (dp ) δ( − τ() g( ) has a meaning of the energy relaxation rate.
(6. The general solution of Eq. To take it into account one has to add the proper collision operator. we can express h as σE 2 τ .72). at large x the function F must vanish as well as its derivative.11.77) dx Indeed. However. We arrive at the qualitative picture of heating shown in Fig. “HOT” ELECTRONS Nonequilibrium distribution function 147 Now we can substitute the expression for collision operator into Eq.76) is the socalled heating parameter. (6. n0 kT that is as the ratio of the energy absorbed during the relaxation time to the average energy. Having in mind Einstein relation for nondegenerate electron gas. It has a transparent physical meaning. (6.6. σ = e2 n0 D/kT . Te . We have dF hxs+1/2 + x2 + x2 F = constant = 0 .10 If τee τ one can think that the distribution function is ∝ exp(− /kTe ) and substitute F (x) ∝ exp − T x Te . dξ 2 ξ + hξ 3/2+s A h∼ the constant A being determined from the normalization condition n = kT g(kT ) dx √ x F (x) .77) is x ξ2 F (x) = exp − . Assuming τtr ( ) = τtr (kT ) · xs we get dF d 1 d √ hxs+3/2 + x2 1 + F dx dx x dx Here 2 e2 Ei Ek Dik (kT )τ h≡ √ (kT )2 π = 0. (6. 6. In many cases electronelectron scattering is very much important. Electronelectron collisions do not remove the energy form the electronic system. they redistribute electrons between diﬀerent energy levels leading to establishment of the Maxwell distribution with some eﬀective temperature.
At large ﬁelds (E ≥ 105 V/cm) this assumption breaks down. into Eq. x = (Te /T )y and making integration over y we obtain the equation for θ ≡ Te /T Γ(s + 7/2) θ − hθs−1/2 − 1 = 0.2 K. integrate over x.79) Γ(4) For example. i. (6.. A typical process of bandtoband impact ionization is shown in Fig. the ionization energy of shallow impurities in Ge is about 10−2 eV. and the breakdown occurs at the ﬁelds of few V/cm. Introducing new variable as. Indeed. We get x2 − (hxs+3/2 + x2 ) T T exp − x Te Te = 0. One ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ To the lattice ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ (3/2)kT ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¢ £ ¢ £ ¢ £ ¢ £ In the electron gas ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¡ ¤ ¥ ¡ ¢ £ ¢ £ ¢ £ (3/2)kTe ¢ £ ¢ £ ¢ £ ¢ £ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¡ ¡ ¡ ¡ ¡ ¡ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¡ ¡ ¡ ¡ ¡ ¡ . (6.12 Impact ionization We have assumed earlier that the charge carrier remains in the same band. It leads to important limitations in electron mobility.11. Electron heating is important in many devices.12 I − V curves of nGe are shown in the temperature range 4. (6.10: Schematic representation of the carrier energy balance. The most common is impact ionization of shallow impurities where the critical ﬁeld is very low. 6. 6. In Fig. (6. to the socalled “overshoot”).148 CHAPTER 6. g.78) To determine Te one can use the energy balance.78) by the dimensionless “energy” x.254. 6. From electric filed ¢ £ ¢ £ ¢ £ ¢ £ ¤ ¥ ¤ ¥ ¤ ¥ Figure 6. CLASSICAL DC TRANSPORT . and then solve the equation for the ratio T /Te . at s = 1/2 Te /T = 1 + h .. multiply Eq. as well a to a speciﬁc time response (e.77).e.
IMPACT IONIZATION 149 Figure 6. The decrease of Hall mobility is due to crossover to lattice scattering from the impurity one as the electron energy increases. this is just the breakdown point. It can be found from the expression BT (T. while BI (T.13 where the reciprocal Hall coeﬃcient and Hall mobility are shown.11: The impact ionization process where a high energy electron scatters from a valence band electron producing 2 conduction band electrons and a a hole. . The breakdown is governed by the equation dn = AT (ND − NA ) + AI n[ND − (NA + n)] dt − BT n(NA + n) − BI n2 (NA + n) . The onset of the breakdown is shown more clearly in Fig. E) is the coeﬃcient of thermal recombination of a single electron with an ionized donor.12. 6. BT NA − AI (ND − NA ) At a proper electric ﬁeld.80) Here AT and AI are the coeﬃcients for thermal and impact ionization processes. the denominator vanishes. Eb . clearly observed a threshold in the current which is masked at large temperatures as the impurities become ionized. NA + n is the concentration of ionized donors and ND − (NA + n) is the concentration of neutral donors. This term is not important at small n. BT (T. E) is the coeﬃcient for the Auger process in which two electrons collide at an ionized donor. Eb )NA = AI (Eb )(ND − NA ) .6. At small n NA we obtain for the steady state concentration n0 = AT (ND − NA ) . The concentrations of neutral acceptors and holes are assumed to be negligible. (6. To understand the formula above note that ND − NA is the concentration of uncompensated donors. one being captured with the other taking the excess energy.
Figure 6. (6. To analyze the phonon kinetics one can . Impact breakdown is often accompanied my instabilities of I − V curves.13 Few Words About Phonon Kinetics. phonon distribution can be nonequilibrium. In particular. If one deﬁnes a time constant. At the same time. Actually. it depends only on the degree of compensation NA /ND . it has been studied experimentally. it is the case when a temperature gradient exists. AT (ND − NA ) so the recovery from breakdown must be exponential. CLASSICAL DC TRANSPORT . dt τ n0 . phonon system form a thermal bath for electrons.. Consequently. τ= then Eq. In most of our consideration we have assumed the phonon distribution to be equilibrium.12: Currentvoltage curves of nGe at low temperatures. Such a assumption is based on the belief that phonons have eﬃcient enough scattering which brings them to the equilibrium..150 CHAPTER 6.80) can be rewritten as − dn n − n0 = . the temperature T is just the temperature of the phonon system. 6.
f ). These processes are rather complicated in comparison with the electronelectron ones because the number of phonons does not conserve.6. Their −1 −1 frequency and temperature dependencies are diﬀerent (τN ∝ T ω.2 × 1014 cm−3 ).13. Consequently. • Scattering by static defects. investigate the Boltzmann equation for phonons ∂N ∂N + sg = Iph (N. ∂t ∂r sg ≡ ∂ω ∂q where the collision integral is determined by the scattering processes. The current density. Scattering processes could be normal (N) or Umklapp ones. We are not going to discuss it in detail. τU ∝ exp(Θ/T )). phonon ﬂux transfers the energy and this contribution in many cases is the .13: Impact ionization at low temperatures in nGe doped by Sb (ND − NA = 2. as well as extrapolated Ohm’s law. 151 Figure 6. Usually it is the Rayleigh scattering (scattering by imperfections with the size less than the wave length. Rather we restrict ourselves with few comments. reciprocal Hall coeﬃcient and Hall mobility are shown. • Scattering phonons by electrons. The most important of them are • Phononphonon processes. Probably most important phenomenon is phonon contribution to thermal conductivity. τ −1 ∝ ω 4 ). FEW WORDS ABOUT PHONON KINETICS. along with the scattering processes (2 → 2) there are processes (2 → 1) and (1 → 2). Indeed. All these processes make the phonon physics rather complicated.
the phonon thermal conductivity increases with the decrease of the temperature. In this case at low temperatures (when Umklapp processes are not important) electron and phonon systems strongly interact (electronphonon drag). T ) ∝ εr . Derive the Drude formula. the impurity scattering appears ineﬀective both for phonons and electrons. An electron with an energy spectrum is placed into a magnetic ﬁeld parallel to zaxis. at low temperatures the phonon mean free path becomes of the order of the sample size. most important. The result is κph = where dω ω gph (ω) Dph (ω) ∂Nω ∂T 1 sg I −1 sg ω 3 is the phonon diﬀusion coeﬃcient. Assume that that the electrons obey Boltzmann statistics. and boundary scattering appears very important.2. Nprocesses cannot lead to ﬁnite thermal conductivity and one take into account defect scattering.152 CHAPTER 6. .1. It is the case in many devices of modern electronics. the kinetics becomes rather complicated and very interesting. or Umklappprocesses. Usually. T ) = τ0 (T )(ε/kT )r ζ −ε T . Dph (ω) = 6. the phonon contribution can be derived in the same way as for electrons.. CLASSICAL DC TRANSPORT . Expressing the transport relaxation time as τtr (ε. In very clean materials. As a result.. Nevertheless. 6.14 Problems p2 p2 p2 y x + + z ε(p) = 2mx 2my 2mz 6. τph . Find the cyclotron eﬀective mass and compare it with the densityofstates eﬀective mass deﬁned as √ 3/2 1/2 2md ε g(ε) = .3. If one introduced the phonon transport relaxation time. π2 3 6. As we have discussed. f0 (ε) = exp and that τtr (ε.
6. ∂ε 1 + µ2 H 2 /c2 Use this expression to calculate the conductivity tensor. ϕ= Ze −r/rs e .14.12. Using the WiedemannFranz law compare the coeﬃcients κ and β for a typical metal.44) for the polarization. Assume τtr (ε. e2 / W (θ) = 4πni v 2ε(1 − cos θ) + 2 2 /2mr 2 s 6. T ) = τ0 (T )(ε/kT )r . 6. . Derive the condition c = −∞ for Eq. (6.71) ﬁnd imaginary part of 1/ (q.9.7.46). Derive Eq. Compare thermopower α = η/σ for degenerate and nondegenerate electron gas.5. (6. 6. ω) which is responsible for damping of the wave of electrical polarization. PROBLEMS ﬁnd the expressions for Drude conductance at ωτ0 1 and ωτ0 1. 6. Derive the expression (6. Derive the expression (6. 6.6.10.4. 153 6.11. Derive the expression for the solution of the Boltzmann equation G = eτtr ∂f0 E + (µ/c)2 (HE)H + (µ/c)[EH] . 6.56).27). r 6.26) for the screened Coulomb potential.8. Using the expression (6. Derive Eq. (6. 6.
.154 CHAPTER 6.. . CLASSICAL DC TRANSPORT .
1 Skin Eﬀect. Let all the ﬁelds be proportional to x Metal H E y Figure 7. Normal Skin Eﬀect.1: E y.Chapter 7 Electrodynamics of Metals In this Chapter we discuss ac properties of metals.1: Arrangement for the calculation of the skineﬀect. c z Vacuum . c ∂t c As a starting point we assume that j = σE and consider the arrangement shown in Fig. c −iqHz = 155 4π σEy . Assume that the sample is placed in an external ac electromagnetic ﬁeld. curl H = j. We get the following equations ω iqEy = i Hz . 7. H z. 7. the propagation direction is x. The Maxwell equations read 1 ∂H 4π curl E = − . exp [i(qx − ωt)] .
1) in more detail. The picture of the fragment of the electron orbit near the surface is shown in Fig. Let us consider the expression (7. The active (R) and reactive (X) components can be measured by monitoring the amplitude and phase of the reﬂected wave. this expression can be valid only if all the ﬁelds change slowly at the scale of . On the other hand. the mean free path increases with the decrease of the temperature. The part R is responsible for the heating of the metal (surface quenching).156 Combining these equations we get q 2 = 4πiωσ/c2 → q = CHAPTER 7. and the solid angle element being dΩ ∼ 2π sin θ dθ ≈ 2πδ/ . The eﬀective density of electrons participating in the interaction is neﬀ ∼ ne dΩ ∼ ne δ/ .1) we get R=X= 2πω . 7. At low temperatures σ increases and in clean metals it can be large. Only the electrons with small component vx contribute to the interaction with the ﬁeld (the other ones spend a very small part of time within the region where the ﬁeld is present). one can face the violation of the simple expression j = σE we have employed. the penetration depth being δ= c 1 =√ . Finally.1) Usually the surface impedance is introduced as a sheet resistance of a surface layer ∞ Z = Ey (0)/ 0 jy dx ≡ R − iX. Indeed. Using the Maxwell equations we can rewrite Z= Substituting (7. (θ ≈ π/2). 4π .2. Introducing the spherical coordinate system with the polar axis along x we estimate dθ ∼ δ/ . ELECTRODYNAMICS OF METALS 4πiωσ/c2 = (1 + i) 2πωσ/c2 = q1 + iq2 . ∞ −(c/4π)Hz 0 c Hz (0) c q Anomalous Skin Eﬀect. σc2 Ey (0) 4π Ey (0) 4π ω = = 2 . So the skin depth decreases (at least at high frequencies). We see that the wave dumps in the metal. 1940). Now we consider the case δ that leads to the anomalous skin eﬀect (London. q2 2πωσ (7.
1) 4πωσ0 b q= c2 Consequently. The typical √ dependence of the surface conductance R on σ0 is shown in Fig. Now we can use the expression q= and get (Problem 7.2: On the anomalous skineﬀect. we come to the conclusion that the eﬀective conductivity should also contain the factor ∼ δ/ . while the complex coeﬃcient cannot be determined by these simple considerations. (7. (7.3. 7. X = R 3. This dependence is conﬁrmed by the experiment. √ We get: Z ∝ ω 2/3 .7.2) c2 4πσω0 b 1/3 . .3) πω c2 2/3 1/3 σ0 (1 − √ 3). So.1. This estimate means that the the mean free path is replaced by the imaginary quantity i/q. It is important that the conductivity σ0 enters only in the combination σ0 / which is determined only by the electron spectrum. 1 2 δ= =√ Im q 3 The surface impedance could be found as Z= 4πω = c2 q 2 b 1/3 1/3 4πiωσeﬀ /c2 eiπ/3 . It can be shown by exact calculation that σeﬀ = σ0 ib q where q is the wave vector while b ∼ 1. 157 l δ dθ θ x Figure 7. SKIN EFFECT.
ELECTRODYNAMICS OF METALS R1 B A σ1/2 0 Figure 7. yplane being shown in the picture. It is clear that the resonance condition depends on the orbit shape and one can study the latter observing the resonance. .4. pF ∼ 10−19 g·cm/s we get ω ∼ 10−2 −3 . s−1 where is measured in cm. 1956). We do not demonstrate here quite complicated procedure of solution of the Boltzmann equation. This is the source of the cyclotron resonance in metals (Azbel. 7. Assume that the ﬁeld is strong enough and rc . let us estimate the border between the normal skin eﬀect and the anomalous one. In this case electrons move along helicoidal lines. From the criterion δ ≈ we get ω ∼ c2 pF /(2πne e2 3 ).158 CHAPTER 7. If the frequency ω of the external electromagnetic ﬁeld is high and the temperature is low the condition δ rc is also met. The main physics is connected with the possibility for some electrons to return into the skin layer while the most part of time they spend in a ﬁeldfree region.2 Cyclotron Resonance Now we consider the case where an external magnetic ﬁeld is also applied. We understand that if the frequency ω equals to ωc the returning electrons are each time accelerated by the electromagnetic ﬁeld. To understand the physical picture let us look at Fig.3: Dependence of the surface conductance on the bulk conductivity. 7. Finally. For ∼ 10−3 m we get ω ∼ 107 s−1 . the projection to x. Kaner. For ne ∼ 1022 cm−3 .
Namely.2. ∂t ∂t1 ∂r ∂pz ∂ε τ where the “trajectory time” t1 was introduced by Eq. To estimate the eﬀect we write down the nonstationary Boltzmann equation ∂f ∂f ∂f ∂f ∂f f − f0 + +v − eEz − e(vE) =− . CYCLOTRON RESONANCE ϕ m δ P ϕm Q z. The reason is that the only small group of electrons is important and ”in” term of the collision integral is much less than the ”out” one.H y x 159 rL Figure 7. (6. Consequently.4: On the cyclotron resonance in metals. ∂t1 ∂r Now we remember the characteristic method to solve partial diﬀerential equations. in this equation 1 = τ (p) Wp. p Considfering the electric ﬁeld. vx vy −e(vE)−(−iω + τ −1 )a The ﬁrst two equations give the electron trajectory t2 ∂f0 ∂ε r(t2 ) − r(t1 ) = t1 v(t3 ) dt3 .54).7. we can write dx dy da dt1 = = = . E as small. It is important that the relaxation time approximation is exact in this case. we put f = f0 + a − and get ∂a ∂a + (−iω + τ −1 )a + v = −e(vE) . .p δ(εp − εp ).
we get δ = rc (1 − cos ϕm ). eﬀective interaction region.5: Surface orbits. As a result. As we have seen.1 It is important. if the orbit does not touch the surface one can put c = −∞. that we are interested in the function a at a given point r at the time t1 .4. 7. we get the equation ∂a + (−iω + τ −1 )a = −ev(t1 )E (r(t1 )) ∂t1 The solution is t1 a(r. Consider the orbit depicted in Fig. rc The electrons which touch the surface are not important for the resonance. they produce a background current. So we should pick up the electrons with t 2 r(t2 ) = r+ t1 v(t3 ) dt3 . If we introduce the maximal angle ϕm for 2φm x δ Figure 7.160 CHAPTER 7. Rather we will make the orderofmagnitude estimates. ELECTRODYNAMICS OF METALS It corresponds to the instant position of the electron which feels the ﬁeld E (r(ti )) . Now we come to the result for the current t1 ji = e2 (dsF ) vi k −∞ vk (t2 )Ek (r(t2 )) exp (−iω + τ −1 )(t2 − t1 ) dt2 .t1 ) = −e c v(t2 )E (r(t2 )) exp (−iω + τ −1 )(t2 − t1 ) dt2 where the integration constant can be taken from the boundary conditions. (7.4) This is the general formula and we need to specify all the dependencies. . 1 or rc ϕ2 ∼ δ m → ϕm ∼ δ . We will not do all the calculations.
. We see that the important electrons move along the sample’s surface. (7.7. ϕ) is the socalled Gaussian curvature which is just the product K = (R1 R2 )−1 . ϕ of the normal (see Fig. .2. n dS R R dθ1 2 dθ2 1 Figure 7. we get ji ∼ 2e2 (2π )3 dϕ 2rc ϕm vy ϕm vi vk Ek . the integral is proportional to (2rc ϕm /vy )(1 + e−w + e−2w + . vy 1 − e−w (7. ϕ). CYCLOTRON RESONANCE 161 The length of the orbit inside the skin layer is ≈ 2rc ϕm . . 7. the duration time being 2rc ϕm /vy .5) where K(θ. 2. −∞ in Eq. ϕ) 1 2rc ϕm .4) splits into the sum of the contributions corresponding to each excursion.) = The remaining integral over the FS can be written as dSF → dΩ K(θ. v vy vK(ϕ) 1 − e−w . that the only diﬀerence between the contributions is the factors exp(−kw) where w = T (τ −1 − iω) while k = 1. . Finally. R1(2) is the principal radius of curvature at the point with the direction θ. Picking up everything. It is important. As a result. This is very short period in comparison with the total time T =2π/ωc between successive t1 excursions to the interaction region.6). So the integral over dθ is of the order of vx max /v or (vy /v)ϕm . Finally. Now we can estimate the integral. .6: The deﬁnition of the Gaussian curvature. where K(ϕ) ≡ K(π/2. after the integration over θ we get the contribution vy ϕm /vK(ϕ).
To estimate the corresponding contribution of these electrons we take into account that neﬀ ∼ ne ϕm ∼ ne δ/rc . Introducing α ≡ σr /σs 1 we write eﬀective conductivity as √ δrc σeﬀ ∼ σ0 (1 + α) and substitute it to the selfconsistent equation for the penetration depth (7. The result is 2/5 c2 1 1 δ∼ 1/5 (1 + α)2/5 ωσ0 rc and ωδ ω Z∼ 2 ∼ 2 c c 3/5 2/5 −1 1 1/5 rc σ0 2 1− α .5. 7. Most important are the ones shown in Fig. 0) ∼ σ0 δ/ for the anomalous skineﬀect. But this result appears wrong because it does not take into account that there is ﬁnite fraction of diﬀuse scattering from the surface. The fraction β has also the estimate β ∼ ϕm for a surface with atomic roughness. and σs σr . So. In the absence of external magnetic ﬁeld w → ∞ and we return to the result σr (ω. H) ∼ 2e2 (2π )3 dϕ δ ni nk .2). and √ ϕm ϕm δrc σs ∼ σ0 ∼ σ0 ∼ σ0 βµ ϕm µ As a result. we can put βµ ∼ /rc 1. we see that if the factor (1 − e−w ) is of the order 1. Now we should remember that there are electrons which reach the sample’s surface. This factor takes into account the momentum transfer to the surface. for an estimate.162 CHAPTER 7. 5 . ELECTRODYNAMICS OF METALS Substituting the estimate for ϕm we get (σr )ik (ω. One could write the usual estimate for the conductivity using the eﬀective number of electrons. −w K(ϕ) 1−e Here n ≡ v/v. We have 2 µ∼ rc ϕm ∼ δrc 1. If this fraction is β one can write σs ∼ σ0 ϕm 1 + βµ where µ is the number of the reﬂections from the surface along the path . Then we can proceed as follows.
Now we can estimate the resonant part in more detail. ε) m(pz ) = . B. 2π ∂ε F We are interested in the points where vx = 0 since only such electrons spend lonmg time near the surface.7: Momentum space geometry for the cyclotron resonance.7. at the two points marked 3 and 4 on the central section C. Several orbits (A. These two points coalesce at the elliptic limiting points P and Q where the velocity is parallel to the magnetic ﬁeld.. To clarify the situation let us recall that ωc = eH/mc where 1 ∂S(pz . C) in planes pz = const perpendicular to the magnetic ﬁeld direction are shown on a closed Fermi surface with inversion symmetry. Figure 7. .7. CYCLOTRON RESONANCE From this expression the ratio Zr ∼ Z δ ∼ rc c2 3 ωσ0 rc 1/5 163 1. 7. or at those marked 1 and 2 on orbit A.g. To do this we should analyze the integral 2π ni nk dϕ Bik = K(ϕ) 1 − e−w(ϕ) 0 In the denominator we have 1 − e−w = 1 − exp 2πiω 2π exp − ωc ωc τ Because ωc τ 1 we have the resonances at ω/ωc = k where k is an integer. The complication is that ωc depends on ϕ. Most of the absorption comes from a narow band centered about the contour (dashed line) where the velocity of the electrons is parallel to the surface. So.2. These points are connected by the dash line in Fig. e. The problem is that the eﬀective mass is not constant along this line because the energy spectrum is not quadratic. only small fraction of the trajectories can be important.
where ωext = eH/mext c. i 2k We see that the result depends on the character of extreme (maximum or minimum). The integral being determined by the vicinity of ϕ0 . and we get ni (ϕ0 )nk (ϕ0 ) Bik = K(ϕ0 ) ∞ −∞ 2πika [x2 dx (0) ≡ Bik (ϕ0 )I. At b < 0 I= 2k ∆b ∆b −1 . ∆ < 0. The integrals I are the same while one should take the (0) sum of the factors Bik (ϕ0 ) in both points (3 and 4). In the opposite limiting case the oscillatory part of the impedance is exponentially small. if ∆ ≡ (H − Hk )/Hk .7 there are 2 points of the intersection between the extreme cross section and the line vx = 0. expanding e−w where w is given by Eq. according to Fig. 7. Consequently. The procedure employed is valid at ωc τ 1. A typical experimental picture is shown in Fig. In this case. ELECTRODYNAMICS OF METALS i. the ones near the sections with maximum density of states. ∆ < 0. 7. At b > 0 −1 √ −i 2k ∆b . or with extremal eﬀective mass. −1 ∆>0 .e. and √ Zr δ ∼ . Usually the frequency is ﬁxed while people change the magnetic ﬁeld and monitor the absorption. It is the case for some magnetic ﬁeld Hk . we can write ω ωc = 1 + ∆ + b(ϕ − ϕ0 )2 k where the angle ϕ0 speciﬁes the direction for the extremum eﬀective mass while b is a dimensionless constant of the order 1. The √ resonant contribution is maximal at ∆ ∼ (ωτ )−1 : Imax ∼ (1/k) ωτ For k ∼ 1 it means √ Imax ∼ ωc τ .5) in powers of (ωc τ )−1 . In real metals there are many interesting manifestations of the cyclotron resonance corresponding to diﬀerent properties of FS. + ∆/b − i/bωc τ ] In fact.164 CHAPTER 7. (7. ∆ we get 1 − e−w ≈ w + 2πik ≈ 2πk (ωτ )−1 + ∆ + b(ϕ − ϕ0 )2 . Z max rc This ratio could be in principle large but usually is rather small. Suppose that we are near the kth resonance ω = kωext . Thus.8. at the maximum the ratio Zr /Z acquires the extra large factor √ ωc τ . The integral I depends on the relation between the parameters ∆ and (ωτ )−1 . . (ϕ − ϕ0 )2 . ∆>0 I= . −1 √ 2k ∆b .
Making use of the Boltzmann equation in the relaxation time approximation we get σik (q. 7. ω → 0 we return to the expression for the static conductivity. the current density j(r.t) is determined by the electric ﬁeld in the vicinity of ˙ the point r and at previous times t1 < t t j(r. ω) = e2 (dp) vi vk i(qv − ω) + τ −1 − ∂f0 ∂ε .7.3 Time and Spatial Dispersion General Considerations In general. t1 ) . ω) should be analytical function of ω in the upper halfspace to keep the causality. In the case q → 0. t − t1 ) E(r1 .3. We see that there are 3 parameters with the dimension of frequency: qv. t) = After Fourier transform we get dV1 −∞ dt1 σ(r − r1 .8: Typical experimental picture of the cyclotron resonance. ω. In the general case we can write 1 −i(qv − ω) + τ −1 1 −i(cos ϑ − ω/qv) + (qvτ )−1 = = i(qv − ω) + τ −1 (qv − ω)2 + τ −2 qv (cos ϑ − ω/qv)2 + (qvτ )−2 . and τ −1 . ω)E(q. ω) = σ(q. j(q. ω τ −1 we return to the static case. TIME AND SPATIAL DISPERSION 165 Figure 7. At qv. ω) where σ(q.
We see that σ⊥ (i. ω)q 2 ] and +i 4πσ(q. We get next to isotropic conductivity σ(ω) ∼ e2 dε g(ε) − ∂f0 ∂ε sin ϑ dϑ dϕ v 2 sin2 ϑ cos2 ϕ σ0 ∼− . ω) (qE) . Indeed. For σ and ωτ 1 we get σ ∼ e2 dε g(ε) − ∂f0 ∂ε sin ϑ dϑ v 2 cos2 ϑ (qvτ )−1 σ0 ∼3 . ω)q 2 E = 0. let us consider longitudinal oscillations. we get σ(ω) = i 2 ωp . σ 2 q (δne ) + σi(qE) = 0 egT ∂ne + div j = 0 → ieω(δne ) + σ(q.6) is the plasma frequency. δne = −σ(q. we come to the equation for (δne ) ieω − Consequently. ∂t .ω)i(qE∗ ) = 0. 4π −iω iωτ If we apply the Drude formula. This term is connected with the plasma oscillations is an electron gas. τ −1 The limiting case is called the time dispersion one. 4 q This result is connected to the estimates which have been made in concern with the anomalous skineﬀect. e[ω + iD(q. ELECTRODYNAMICS OF METALS where ϑ is the angle between q and v. −e Here E∗ = − (ϕ − ζ/e) = E + (1/e)(∂ζ/∂ne ) (δne ) = E + (egT )−1 iq(δne ) . As a result. for the direction perpendicular to q) strongly diﬀers from σ . τ −1 . We get the Poisson equation div D = div E = −4πe(δne ). 2 + (qvτ )−2 2 qv (cos ϑ − ω/qv) (q )2 ω qv.e. The case of strong spatial dispersion corresponds to q¯ v ω.166 CHAPTER 7. Indeed σ⊥ ∼ e2 dε g(ε) − ∂f0 ∂ε sin ϑ dϑ dϕ v 2 sin2 ϑ cos2 ϕ ω πδ cos ϑ − 4π qv qv ∼ 3π σ0 . 4π ω 2 where ωp = 4πne e2 m (7. ω) ω + iD(q. Then we can apply the continuity equation.
we get the following dispersion law for the waves in a gas eﬀ = +i 4πσ(q.6) in powers of qv/ω and put ω = ωp we obtain the dispersion law for plasma waves (plasmons). ω ωp = 4πe2 m .7.2. If we expand the relation (7. ω) = 0. ω) = σ(q. ω + iD(q. the eﬀective dielectric function with respect to longitudinal perturbations has the form eﬀ (q.e. ω + iD(q. ω)q 2 Substituting (7. TIME AND SPATIAL DISPERSION Here we have denoted D(q. one should remember. 2 1 − (ω 2 /ω 2 )(qR)2 ω p 2 2 ωp 2 ωp q = − (qR)2 4πe2 gT ω ω At qR 1 we get plasma oscillations. ω) .3. as well to make estimates. see Problem 7. This model is very useful to treat the nature of electronelectron interaction in superconductors. As we have seen in the previous section. ω)q 2 = − and come to the dispersion equation 1− 2 ωp 1 = 0. At the same time. The Jellium Model Now we introduce a very simple but instructive model of the electronion response to the external ﬁeld. and for important frequencies the inequality ωi = 4πZe2 M qvF . ω)q 2 This expression is valid for both ions and electrons and one should sum the contributions to the conductivity. ω) = +i 4πσ(q. In a quasi static limiting case ω qvF we get eﬀ = q 2 + R−2 q2 i. ω) e2 gT 167 As a result. the static screening.6) we get iD(q. that the masses for electrons and ions are diﬀerent.
ωq ∼ ωi /R ∼ vF m/M . 2 ωq = 2 ωi q2 . qrc 1 both time and spatial dispersion are unimportant. The dispersion equation is det q 2 δik − qi qk − 4πiω σik = 0. To analyze the wave propagation one needs to solve the Maxwell equations which in the absence of the displacement current and for the ﬁelds proportional to exp(iqx − ωt) read as (Problem 7.e.Coulomb repulsion (1st term) and attraction for small frequencies.8) ∂a = −e(vE). . ELECTRODYNAMICS OF METALS = 1− 2 ωi R−2 + 2 ω2 q = 2 ω 2 (q 2 + R−2 ) − ωi q 2 ω2q2 or 1 1 q2 = q 2 + R−2 eﬀ (q.3) q 2 δik − qi qk Ek = k 4πiω c2 σik (q. and one can use the static conductivity tensor. k (7. R−2 + q 2 For long waves. c2 (7. ω) CHAPTER 7. ω ωc or ω ωc . 7. ω) 2 ωq 1+ 2 2 ω − ωq .4 Electromagnetic Waves in High Magnetic Fields. of the order of the sound velocity. External magnetic ﬁeld changes drastically the situation because nondissipative oﬀ diagonal part or conductivity exceeds the diagonal one. i.168 is met. ω)Ek . we obtain eﬀ (q. We see that the eﬀective matrix elements of the electronelectron interaction 4πe2 /q 2 eﬀ (q. ω) has two parts . As a result. We came to the conclusion that in the absence of magnetic ﬁeld an electromagnetic wave decays in the metal.7) Before starting our analysis let us specify the conductivity tensor. ∂t1 If the FS is closed and the numbers of electrons and holes are not equal we get q2 −4πiωc−2 σxy −4πiωc−2 σxz 2 4πiωc−2 σxy qz −qy qz − 4πiωc−2 σyz −2 −2 2 4πiωc σxz −qy qz + 4πiωc σyz qy − 4πiωc−2 σzz det = 0. The Boltzmann equation for the afunction has the form i(qv − ω) + τ −1 a + We see that if qvF .
Taking into account that qz = q cos θ we get ω= c2 q 2 cos θ cHq 2 cos θ = . This wave is called the helicon. There are also waves of other kinds in metals in magnetic ﬁeld. 4πσxy  4πene − nh  According to the last row of the matrix (7. Derive the dispersion relation for electromagnetic waves in metals. There are diﬀerent experimental methods to study electromagnetic excitations in metals. Derive the dispersion law for plasmons. As a result. 7. Ey . z) being θ and have taken into account only the terms of 0th and 1st orders in (ωc τ )−1 . Then from the ﬁrst row we get q 2 Ex − 4πiωc−2 σxy Ey = 0 → Ex = i cos θ Ey . . c2 .3.7.3).2. the angle (q. 7. Because the largest element in the last row is σzz we come to the estimate for small enough q ∼ 4πωc−2 σxy q 2 ∼ 4πωc−2 σxy ∼ 4πωc−2 σyz 4πωc−2 σzz .5 Problems 1 2 δ= =√ Im q 3 c2 4πσω0 b 1/3 7. Another approach is to study the interference between the electromagnetic wave and the wave which has passed through a thin plate. z)plane. PROBLEMS 169 Here we have assumed that the vector q is in the (y. Changing magnetic ﬁeld people change the wavelength of the waves and it is possible to observe resonances when the sample’s thickness is an integer times the wavelength. the dispersion equation simpliﬁes as 2 q 2 qz + 4πiωc−2 σxy 2 = 0. Derive the equation (7.1. So the wave is polarized elliptically. One of them is measurements of the surface impedance in thin plates.7) we have Ez Ex .5. 7. det q 2 δik − qi qk − 4πiω σik = 0.
170 CHAPTER 7. ELECTRODYNAMICS OF METALS .
Chapter 8 Acoustical Properties of Metals and Semiconductors. The main advantage is that acoustic wave propagate inside the conductors without suﬃcient damping. The interaction between the acoustic waves and the electrons can be written as δε(p. 171 . The Boltzmann equation for the electrons in the ﬁeld of a sound wave has the form i(qv − ω) + τ −1 a = ik λik (p)(v )uik (r). We see that it is possible to produce an eﬀective force varying as exp(iqr − ωt) and in such a way investigate the Fourier components of electronic response. If we express λik (p)uik = i ik 1 2 λik (p)(qi uk + qk ui ) = i ik ik ik λik (p)qi uk = iqλu (where u is the displacement. There is another useful approach to study highfrequency properties of good conductors . λ = while n = q/q) we obtain λik (p)ni ek . As a result. r) = [Λik (p)− Λik (p) F ] uik (r) ≡ λik (p)uik (r). As far as for good conductors ω σ and q R−1 one can show that it is enough to request the neutrality condition δne = 0 that is the same as eϕ(r) = − Λik (p) F uik (r). i(qv − ω) + τ −1 a = −(qv)qλu. 8.1 Landau Attenuation.to induce an acoustic wave and measure its attenuation (or its velocity). e is the polarization vector of the wave. r) = Λik (p)uik (r) + eϕ(r) where the potential ϕ should be determined from the Poisson equation. we get δε(p.
the average interaction being small. ˙ This expression should also be averaged over the period 2π/ω of the sound wave. Q= (dp) ε f = ˙ (dp) ε(p)a(p) − ˙ ∂f0 ∂ε = dε g(ε) − ∂f0 ∂ε ε(p)a(p) ε ..1) So. (8.2) are important. Indeed. The electrons with qv ≈ ω move in resonance with the wave and they feel a slow varying ﬁeld. it has been analyzed at ﬁrst for plasma waves. The damping due to the resonant electrons is called the Landau damping. F (qv) i(qv − ω) + τ −1 F (qv)τ −1 (qv − ω)2 + τ −2 The most interesting case is the one of the socalled shortwave sound q 1 which can be met in pure conductors at low temperatures. One can immediately express the absorbed power through the distribution function. for Fermi electrons at low temperature we obtain ¯ Q = 2g( F ) Re (−iωδε)∗ a = 2ωq 2 g( F )λ2 u2 F = 2ωq 2 g( F )λ2 u2 Re .172 CHAPTER 8. In this case we see that only the electrons with qv ≈ ω → vq ≈ s (8.. ACOUSTICAL PROPERTIES. This average is calculated in a complex form A(t)B(t) = 2π/ω ω Ae−iωt + A∗ eiωt Be−iωt + B ∗ eiωt 2π 0 = AB ∗ + A∗ B = 2 Re (AB ∗ ) . This condition has a straightforward physical meaning: because vF s most of electrons feel rapidly oscillating ﬁeld produced by the acoustic wave. t)2 /2 = 2ρω 2 u2  Q Eac s . In the Landau damping region (qv)τ −1 ω s ≈π =π . 2 + τ −2 (qv − ω) qvF vF F As a result s . the attenuation coeﬃcient is measured which is determined as Q ≈ 2ωq 2 g( F )λ2 u2 π Γ= where Eac is the energy density in the wave Eac = 2 ρω 2 u(r. vF Usually.
The dashed lined show the planes where wave’s 1 2 Figure 8. We get Γ= g( F )λ2 s 2ωq 2 g( F )λ2 u2 π(s/vF ) =π q . These points are the ones where the interaction is most important. ωc τ 1.2 Geometric Oscillations The short wave regime is very useful to study the Fermi surface. for rough estimates we can put λ ∼ 2 2 F . only the electrons with v almost perpendicular to q are important. . Indeed.2. we have proved that acoustic waves have relatively small damping. phases are equal An electron spends diﬀerent time near these planes. ρs ∼ M na s ∼ ne F . The coeﬃcient Γ characterizes spatial decay of the wave: ∂Eac = −ΓEac .1: On the geometric oscillations. the longest being near the points 1 and 2. GEOMETRIC OSCILLATIONS while ρ is the crystal density.8. 8. So g( F )λ2 π ∼1 ρs2 and Γ/q ∼ s/vF 1. qrc 1. To illustrate the situation we analyze the case q ⊥ H. ∂x Thus. 2ρω 2 u2 s ρs2 vF 173 Since λ is of the order of a typical electron energy.1. As a result. 8. only small parts of the electron orbit in a magnetic ﬁled contributes to attenuation. An electronic orbit is shown in Fig.
z For realistic sound frequency this condition can be met only for N = N . If the value . and genuine oscillations correspond to the (2) (1) extreme cross sections with respect to py − py . The Landau bands are shown in Fig.3) Consequently.. The value of pz corresponding to the condition (8. The eﬀect is more pronounced for open orbits. H). 8. Quantum transport is out of the scope of this part of the course. (8. As we know. Now let us assume that a function is extreme for a given phase diﬀerence t(2) ϕ= t(1) (qv) dt. the oscillations are relatively small (as in the case of the cyclotron resonance). from the equation of motion dpy e = Hvx dt c we obtain cq (2) ϕ= py − p(1) . the period being ∆ (2) (1) 1 H = 2πe 1 . pz ) = εN + p2 /2m. As a result. the corresponding regions for pz are hatched. The geometric oscillations provide a very powerful way to measure diameters of the FS.2. in a quantizing magnetic ﬁeld the energy spectrum consists of the Landau bands εN = ωc (N + 1/2). θ ≡ ∠(q. z The energymomentum conservation laws for the phonon absorption require εN + (pz + qz )2 /2m = εN + p2 /2m + ω → ωc (N − N ) + pz qz /2m = ω.174 CHAPTER 8.3) is denoted as p. Nevertheless. and we get pz = mω/qz = msq/qz = ms/ cos θ . ACOUSTICAL PROPERTIES. (2) cq py − p(1) y In fact. only the region near the FS (the layer of the thickness ∼ kB T ) contributes to the absorption. Then. one can control the value of pz changing the propagation direction. ε(N. Then. y eH Consequently. 8. On the other hand. if ϕ 1 the afunction oscillates with magnetic ﬁeld. the diﬀerence py − py depends on pz . if the number of wavelengths at the orbit’s diameter is changed by an integer n the phase diﬀerence is changed by 2πn.. we will consider a very beautiful quantum eﬀect of giant oscillations of the sound absorption. Let us direct the xaxis along q.3 Giant Quantum Oscillations.
4 Acoustical properties of semicondictors 1. 8. . ACOUSTICAL PROPERTIES OF SEMICONDICTORS 175 κΤ µ Energy p pz Figure 8. However. and the typical electron velocity is much less than in a metal. 8.4. The typical experimental picture is shown in Fig. The giant oscillations provide a useful tool for investigation of the FS.2: Landau levels. the attenuation coeﬃcient Γ experiences giant oscillations. is usually met. the absorption is very small.3. If magnetic ﬁeld is changed the regions move along the pz axis.3: Giant oscillations of sound attenuation. As a result. q 1. Figure 8. in typical semicon In the previous section we discussed the case when q ductor materials the opposite inequality.8. The reason is that ionized doping impurities produce rather strong scattering. p is outside these regions.
kl Ei ukl . (8.6) into the elasticity equation. E) ≡ F (T.km El . 8. The condition actually q 1 means that one can use a hydrodynamic approach which we used to describe response to “slow” perturbations. D) − = F0 + ciklm uik ulm − 4π 2 8π ik Ei Ek σ0 ϕ..kl ukl . The piezoelectric interaction mechanism is clariﬁed in Fig. (8.4) + βi. Tensor βi. Here D is the electrical induction. Thus we can write j = σ0 E − eD (δn) where δn is the variation in the electron density. In the case of piezoelectric interaction.7) Now we can substitute Eq.6) − 4πβi. ACOUSTICAL PROPERTIES. ρ ∂ 2 ui ∂σik = 2 ∂t ∂xk . In the stationary state j = 0 and δn = − Here φ is the electrical potential.kl describes the piezoelectric interaction. (8. E=const (8.. the stress tensor is σik = The electric induction is Di = −4π ˜ ∂F ∂Ei = uik =const ik Ek ˜ ∂F ∂uik = ciklm ulm + βl. D = E + 4πP where P is the polarization created by the acoustic wave. According to general principles.5) Here summation over repeated subscripts is assumed. ciklm is the socalled elastic moduli tensor while 1 ∂ui ∂uk uik = + 2 ∂xk ∂xi is the strain tensor. eD (8. so that E = − ϕ. To get a quantitative description let us write the free energy of the deformed crystal (at ﬁxed electric ﬁeld E) as ED 1 1 ˜ F (T.4.176 CHAPTER 8. the second relation between δn and ϕ can be extracted from the Poisson equation div D = 4πe(δn) .
one can rewrite the full set of equations as (−iω + Dq 2 )(δn) + (cq 2 − ρω 2 )u − βq 2 φ = 0 Elasticity 2 2 4πβq u + q φ − 4π e(δn) = 0 Poisson 2 σq φ + (−iω + Dq 2 ) e(δn) = 0 Continuity (8. After deformation “center of gravities” of positive and negative triangle do not coincide.10) (8.4.ik (8.8. e As a result. and as a result a dipole moment appears.11) . Polarization P is just the dipole moment of the unit volume. ∂δn e + div j = 0 . Thus the continuity equation can be written as σ 2 q φ = 0.4) and the continuity equation.4: A plain ionic lattice without symmetry center. to get ∂ 2 ui ∂ulm ∂El = ciklm + βl.9) ∂t Now let us assume for simplicity that the wave is propagating along a principal axis of the crystal (axis x). ACOUSTICAL PROPERTIES OF SEMICONDICTORS 177 Dipole moment Equilibrium cell Deformed cell Figure 8. (8. For a traveling wave all the quantities should be proportional to ρ exp(iωt + iqx) .8) 2 ∂t ∂xk ∂xk This equation should be solved together with the Poisson equation (8.
The 1st one yields 2 q 2 = q0 → q = ±q0 . In the general case it is natural to look for the solution as q = q0 + q1 . then Eq. One easily obtains 2q1 (qR)2 − iωτm = −χ q0 1 + (qR)2 − iωτm to get Γ = χq0 (1 + ωτm 2 2 2 q0 R ) + . where Im q1 characterizes the (amplitude) attenuation of the wave while the power attenuation is Γ = 2 Im q = 2 Im q1 .12) where q0 = ω/w = ω ρ/c. R= 4πe2 ∂n ∂ F −1/2 is the screening length. The 2nd one yields i√ q= 1 − iωτm .. q2 (qR)2 − iωτm (8. the attenuation being proportional to . q1  q0 . τm = is the Maxwell relaxation time. (8. Since usually χ 1 it is naturally to use an iteration procedure.13) (ωτm )2 (8. If one puts χ = 0. ACOUSTICAL PROPERTIES.178 CHAPTER 8.14) The qualitative picture of such a dependence is straightforward .12) is decoupled into two equations. while χ= 4πβ 2 c 4πσ is the socalled piezoelectric coupling constant. After some straightforward algebra the secular equation can be written as 2 q 2 − q0 1 + (qR)2 − iωτm = −χ . so it describes usual acoustic waves propagating along (against) the xaxis. A nontrivial solution of this set exists only is the determinant of the corresponding matrix vanishes. R it describes overdamped electron density waves..at low frequencies there is a compensation of electrical and diﬀusion current. (8.
15) . Frequency dependences of the absorption are shown in Fig. 8.5 (curve 3). ω/ωmax for ωmax τm = 2 (curve 1). the maximal attenuation being Γmax = χ w ωmax τm R 4 + (ωmax τm )2 This maximum depends on the product ωmax τm reaching the absolute maximum Γ0 = χ s 4R at ωmax τm = 2. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 179 Joule heat. 2 + (ω − q0 vd )2 τm (8.8 0.2 3 0 1 2 3 4 5 Frequency Figure 8.4 1 0. Γ/Γ0 .8. At large frequencies the charge has no time to redistribute in the ﬁeld of the acoustic wave.5 1 0. vd ≡ 1 ∂j e ∂n .5: Dependences of the reduced attenuation coeﬃcient. If the sample is a part of a closed loop with the transport current density j one can rewrite the variation of the transport current as δj = e(δn)vd . on the reduced frequency.4. E=const Substituting this expression to the equations above we obtain Γ = χq0 (1 + 2 q0 R2 )2 (ω − q0 vd )τm . 4 (curve 2) and 0.6 2 0. One can see that the dependence Γ vs. ω has a maximum at ω = ωmax = s/R . ω 2 .
1. than the sample can generate acoustic waves (phonons)..6 One can see that at vd  ≥ s the attenuation coeﬃcient changes its sign. V = vd /w. Compare electrical and mechanical energies carried by the wave in a piezidielectric. That means ampliﬁcation of acoustic waves by the charge carriers drift.3. Hint: A dc current appears in the second approximation in the wave amplitude. Horizontal line indicates the attenuation due to defects and lattice vibrations. Figure 8. for ωmax τm = 2. Find dc current induced by a acoustic wave in a nondegenerate piezoelectric semiconductor. If the gain is larger then the attenuation due to defects and lattice vibrations.180 CHAPTER 8. .2. 8. Such a system placed in an acoustic resonator is an acoustic analog of the laser. Find the relation between the amplitudes of electric ﬁles and deformation for the case of acoustic wave in a piezoelectric semiconductor.. Thus jdc = σE − eD(∂ δn/∂x time ≈ (δσ)E = (σ/n) (δn)E .6: Dependences of the reduced attenuation coeﬃcient on the reduced drift velocity.5 Problems 8. This dependence is shown in Fig. 8. ACOUSTICAL PROPERTIES. 8. 8.
they can be replaced by new ones. as well as for the corresponding inductions D = E and B = µH read 1 ∂B c ∂t 1 ∂D ×H− c ∂t ·D ·B ×E+ = 0 4π J c = 4πρ = 0. magnetic ﬁeld H. For many cases. c ∂t 181 . φ (9. = (9. = φ− c ∂t (9. The potentials are not unique. A potentials as E = − B = 1 ∂A − c ∂t × A.3) without changing of the physical ﬁeld. In that case we put ·A + 1 ∂φ = 0. the socalled Lorentz gauge is convenient.1) It is convenient to introduce scalar.2) In this way we automatically meet the ﬁrst and the last ME. φ and vector.1 Preliminary discussion Basic equations The Maxwell equations (ME) for electric ﬁeld. E and B.Chapter 9 Optical Properties of Semiconductors 9. A φ = A+ χ 1 ∂χ . E.
The energy density is √ S µ ω2 = A2  . OPTICAL PROPERTIES OF SEMICONDUCTORS Then one can rewrite ME as 2 A− 1 ∂2A 4π = − J 2 ∂t2 c c 2 1∂ φ 2 φ − 2 2 = −4πρ .} . W ≡ c 2πc2 µ 0 That can be expressed in terms of Nω photons in the volume V according to the relation W = ωNω .7) 9. k = ω µ/c is the wave vector of light.8) . c ∂t c ∂t (9. V Thus. The Poynting vector (power ﬂux) is c 1 ck 2 ˆ 2 S= [E × H] = √ kA0  sin2 (kr − ωt) . 4π π µ Its time average is ˆ c S = k√ ω2 A2  . (9.c.1) J = σE and eliminating B we get the following equation for E 2 µ ∂ 2 E 4πσµ ∂E E= 2 2 + 2 . Substituting into (9.182 CHAPTER 9.2 PhotonMaterial Interaction Now we can formulate a macroscopic theory of photonmaterial interaction.4) At J = 0 one can put · A = 0. c ∂t (9.6) √ √ Here c/ µ is the velocity of light.5) the ﬁelds being E = −2(ω/c)A0 sin(kr − ωt) B = −2k × A0 sin(kr − ωt) . the relation between the wave amplitude and photon density is A0 2 = 2π µc2 Nω . ω V (9. µ 2πc2 µ 0 (9. φ = 0. and we get the solution A(r. t) = A0 {exp[i(kr − ωt)] + c.
ω (9. Consider an interface between the vacuum and the material at z > 0.9. k= ω c µ+i 4πσ .12) Measuring α and R we ﬁnd optical constants n and β.2. (n + 1)2 + β 2 (9. From the continuity of the tangential component of magnetic induction we get (using ME) (n + iβ)E0 = E2 − E1 . the solution has the form E = E0 exp iω nz −t c exp − βωz c . ω 183 (9.11). while in the material it is given by (9. Matching the boundary conditions at z = 0 for electric ﬁeld E0 = E1 + E2 . PHOTONMATERIAL INTERACTION Looking for the plane wave solution now we obtain complex k.9) Now it is time to introduce the complex refractive index N = n + iβ .11) The quantity α ≡ 2βω/c is called the (power) absorption coeﬃcient. At the interface one has partial reﬂection. Then the solution in the vacuum is E1 exp iω nz −t c + E2 exp −iω nz +t c . c c In this way. so that k=n We have N = µ+i 4πσ . we obtain E1 R≡ E2 2 = (n − 1)2 + β 2 . .10) ω ω + iβ . Combining the boundary conditions. (9. in the media placed at z > 0.
1 To construct a quantum theory. Thus we employ secondorder perturbation theory. Low fr As both n and β increase as ω → 0 n ≈ β ≈ (2πσ0 /ω)1/2 .13) ω Using the linearized Boltzmann equation and relaxation time approximation one obtains (ω) = 1 + i σ(ω) ≡ σ1 + iσ2 = In this way the optical functions are n2 − β 2 = 1 − 2 ωp τ 2 1 + ω2τ 2 2 ωp τ nβ = .2 One can ﬁnd a discussion in the book [3]. 1 + iωτ σ0 = ne2 τ .184 CHAPTER 9. At ω close to ωp (plasma edge) both n and β become very small. Frequency dependence of the reﬂectivity is shown in Fig. ωτ Re ≈ 1 − (ωp /ω)2 . From this expression one ﬁnds the skin depth δ = c/ωβ = (c2 /2πσ0 ω)1/2 = 2 ωp τ . The corresponding processes are shown in Fig. 11.10) and putting function = µ = 1 we can introduce the complex dielectric 4π σ(ω) . Let us discuss some limits of these equations ωp = 2 (n + β)(n − β) = 1 − ωp τ 2 2 2nβ = ωp τ /ω . and the reﬂection coeﬃcient is close to unity. 9. ω(1 + ω 2 τ ) σ0 . Sec. (9. . ω Large frequencies. 1 Im ≈ 1/ωτ . m (9. OPTICAL PROPERTIES OF SEMICONDUCTORS DrudeZener theory Having in mind Eq. 9. (9. For the frequencies above the plasma edge the material is essentially transparent.10.14) Here 4πne2 m is the plasma frequency. one needs to allow for the conservation laws which include both energy and momentum transfer.
5 1 1.6 0. 2 − ω 2 )τ 2 ]2 + 4ω 2 τ 2 [(1 + (ωc 1 + (ωc ω)2 τ 2 we obtain e = −eE0 η± eiωt − v × H .8 50 10 Reflectivity 0. c (9. PHOTONMATERIAL INTERACTION 185 0. ±i.2 0 0 0.4 0. w = ω/ωp . The simplest equation for electron velocity. v. Cyclotron resonance and Faraday eﬀect Consider propagation of a polarized light through a transparent medium containing free electrons with the eﬀective mass m in a magnetic ﬁeld H. has the form 1 ˙ m v+ v τ Here the polarization vector is 1 η± = √ (1.15) and deﬁning jx = σE = −envx 1 − i(ω ± ωc )τ 2 (1 − iωτ )2 + ωc τ 2 One can see that the absorption given by σ± = σ0 Re σ± = σ0 1 + (ωc ± ω)2 τ 2 σ0 = . 2 Solving the vector set (9.15) (9.9.2.5 w 2 2.16) is maximal (at ωc τ 1) if ω close to ωc (cyclotron resonance). It is strongly dependent on the polarization because σ ≈ σ0 for leftpolarized wave and almost vanishes for the .5 3 Figure 9. Numbers near the curves indicate values of ωp τ . 0) .1: Dependence of the reﬂection coeﬃcient on the reduced frequency.
rightpolarized one. the angle between the polarization plane the xaxis is determined from the relation Re{Ey } φ+ − φ− tan θ = = − tan . Solid curve is the electron dispersion law. This is the way to study the carrier’s charge because cyclotron mass is proportional to e. c c n+ + n− . 2 2 φ+ + φ− φ+ − φ− = −E0 exp i sin .and right. we can decouple a plane wave into a sum of left.circularly polarized waves having the phases n± z φ± = ω −t . 2 2 E0 exp i Consequently. Re{Ex } 2 If damping is small than one can neglect Re{σ} and express the rotation angle through σ (i) ≡ Im{σ} as (i) (i) ωd 2πd 2σ− σ+ θ= (n+ − n− ) = . n± = Re − 4π σ± ω .2: Scheme of phononassisted transitions. Introducing the complex refractive index. c Then the complex amplitude of the ﬁeld is Ex = Ey φ+ + φ− φ+ − φ− cos .186 CHAPTER 9. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 9. Straight solid lines show optical transitions while dashed line show transitons involving phonons.
Thus 2 ωp . Lattice reﬂectivity in polar semiconductors Lattice reﬂectivity can be modeled by the oscillator equation 2 m¨ + mγ x + mω0 x = eE1 exp(−iωt) . we get at ω. x ˙ The dipole moment of the unit volume is 4πP = (ω)E1 = 4πnex = 2 ωp E1 . while the minimum corresponds to longitudinal phonons. . (9.17) (ω) = ∞ + 2 ω0 − ω 2 − iωγ Introducing static dielectric constant (ω) = ∞ 0 ≡ (0) we get 0 + 2 ω0 ( 2 ω0 − ω 2 − iωγ − ∞) . ωc 1/τ θ= πe2 nHd c2 m2 ω 2 (n+ + n− ) 187 This expression is independent of τ and can be used to determine the eﬀective mass.9. PHOTONMATERIAL INTERACTION As a result.3 The minimum in that dependence corresponds to ω = ωo From the LyddaneSachsTeller relation ωl = ωo 0 ∞ −1 ≈ ∞−1 0 0 ∞ .2. (9. 9.18) The dependence of the reﬂection coeﬃcient on the reduced frequency in shown in Fig. 2 ω0 − ω 2 − iωγ Here is a residual contribution to dielectric constant while n is the density of oscillators. we identify ω0 as the frequency of the transverse optical phonons. KramersKronig relation Let us introduce complex conductivity as j(ω) = σ(ω)E(ω) .
Now let us consider a contour integral σ(ξ) dξ ξ−ω along the contour shown below.5 0.5 Reduced frequency Figure 9.6 Reflectivity 0. Thus the integration limits in (9.2 1.1 w 1.05 0. The important point is causality and one must deﬁne σ(t) = 0 at t < 0 .19) should be (t.4 0. or Re σ(−ω) = Im σ(ω).2 0 0.8 0. 0 = 15. one can write j(t) = and σ(t) = must be real. In time representation. Thus dt σ(t − t ) E(t ) . w = ω/ω0 .9 1 1.8 0.19) 1 2π dt σ(ω)e−iωt −∞ .3 1.4 1.3: Dependence of the reﬂection coeﬃcient on the reduced frequency. ∞ = 12. Im σ(−ω) = − Re σ(ω) . The integral must vanish. OPTICAL PROPERTIES OF SEMICONDUCTORS 0. Thus. σ(−ω) = σ ∗ (ω) . ∞ (9. ∞). Numbers near the curves indicate values of γ/ω0 .188 CHAPTER 9. Using also the property σ(ω) → 0 as ω → ∞ one can prove that the function σ(ω) is regular in the ωupper semiplane.
(9.4: Integration circuit. For example.20) These relations can be generalized for a dielectric function (ω). 0 9.summation rules. An important consequence . MICROSCOPIC SINGLEELECTRON THEORY 189 ω Figure 9. Im σ(ω) = − P π −∞ ξ − ω σ(ξ) dξ − iπσ(ω) = 0 . ω→∞ Using KramersKronig relation one can show the if Im (ω) decays faster that ω −3 than 2 ωp = 2 π ∞ ξ Im (ξ) dξ . and 2 (ω) − Re (∞) = −ωp /ω 2 . ∞ 1 Re σ(ξ) P dξ π −∞ ξ − ω ∞ Im σ(ξ) 1 dξ . Thus 2 ωp = lim {ω 2 [1 − (ω)]} .3 Microscopic singleelectron theory 1 e ˆ p + A(ˆ) r 2m c 2 The Hamiltonian has the form H= + eφ + U (r) .3.9. ξ−ω Re σ(ω) = (9. p] = i r ˆ ∂ f (ˆ) r ∂ˆ r .21) An important point that momentum and coordinate do not commute. P As a result. we know that at ω ωp β → 0. Using the relation [f (ˆ).
If we are interested what happens with the electrons we have of sum over the phonon distribution. Thus we specify the amplitude as ˜ A0 2 dω = 2π c2 Nω gph (ω) dω ω to get the following expression for the transition probability with absorption.26) . we shall consider the radiation as a classical ﬁeld and use the timedependent perturbation theory which yields scattering rates.190 CHAPTER 9.23) The Fermi golden rule leads to the expressions for the scattering rate W (i) = 2π f  f H i  δ(Ef − Ei 2 ω) (9. Namely. Let us chose the gauge A = φ = 0.24) where . Deﬁne photon ˆ intensity as I(ω) = V 2 ωNω gph (ω) we can write the ﬁnal expression as W (a) 4π 2 e2 I(ω) (ω) = 2 2 2 m Vω 2 d 3 ∗ r ψp exp(ikr)ˆA ψp p ∗ . Assume the radiation ﬁeld to be small. (9. 2mc2 (9. (9. (9. W (a) 4π 2 e2 Nω gph (ω) (ω) = m2 ω 2 d 3 ∗ r ψp exp(ikr)ˆA ψp p ∗ .corresponds to photon absorption while + is for emission.25) Here pA is the projection of the electron momentum to the direction of A. such as the linear term (ie /mc)A · /(h2 /2m) 2  ∼ eA/pc 1. OPTICAL PROPERTIES OF SEMICONDUCTORS we can rewrite Eq. (9. c ≡ c/ µ. Here we have to specify in what we are interested in.22) Hereby we will use semiclassical radiation theory as most simple.21) as H= p2 e ie + A·p− 2m mc 2mc ·A+ e2 A2 + eφ + U (r) . Thus one can decouple the Hamiltonian as H = H0 + H where 2 H0 = − H 2 2m ie = A· mc + U (r) . It can be written as the product N = Nω gph (ω) where ω2 gph (ω) = 2 3 2π c ˜ √ is the photon density of states.
The last term requires k = k because centralcell functions are periodic.9.s. W (a) (ω) = 4π 2 e2 Nω gel (Ef ) m2 ω 2 ∗ d3 r ψp exp(ikr)ˆA ψp p ∗ . and 1 p2 1 ω= + .28) is 0 (Bloch states are orthogonal!). The ﬁrst item in r. one can neglect the photon wave vector. (9. m dt ωif = Ei − Ef . The result can be expressed through electron density of states. When the states have Bloch form ψkl = eikr ukl (r) the explicit expression for dipole matrix element is ∗ Mif = k ψk l ψkl d3 r − i u∗ l ( ukl )ei(k−k )r d3 r .4 Selection rules 2 The selection rules are dependent on the matrix element Mif = ∗ d3 r ψf eikph r pA ψi ˆ ∗ . 1 d f pi = f ri = iωif f ri . .28) k Interband transitions Bulk materials Consider bandtoband transition in direct gap materials. Indeed. We have the following speciﬁcation of the states • Conduction band: uc0 = s spherically symmetric. v denotes conduction (valence) band. Thus we are left with vertical transitions with matrix elements uck pA uvk where c.4. For near bandedge transitions one can use the function in the BZ center. (9. SELECTION RULES 191 For the situation when one is interested in light absorption it is necessary to sum over the electron states.h. gel . 9. 2 me mh The only result of quantum theory of radiation is that it changes Nω → Nω + 1 in the expression for the emission rate (spontaneous emission). of Eq. (9. Usually one can put eikr ≈ 1 (dipole approximation).27) It is important that the transition is almost “vertical”.
3/2 3/2. 1/2 3/2. −1/2 Remember that px py py Symmetry allows the transitions px px s = py py s = pz pz s . −3/2 – Light holes: 3/2. Thus measuring the matrix elements in the units of px px s we obtain √ HHpx s = HHpy s = 1/ 2 √ LHpx s = LHpy s = 1/ 6 √ LHpz s = 0 . OPTICAL PROPERTIES OF SEMICONDUCTORS – Heavy holes: 3/2. Two facts are important • The centralcell functions are only weakly eﬀected by conﬁning potential. 4π 1 = − √ [(px + ipy ) ↓ −2pz ↑] 6 1 = √ [(px − ipy ) ↑ +2pz ↓] 6 1 = − √ (px + ipy ) ↑ 2 1 = √ (px − ipy ) ↓ 2 (9. LHpx s = 2/ 6 . Quantum wells The discussion above can be generalized for quantum wells. 4π 3 sin θ sin φ .192 • Valence band: CHAPTER 9. = = = 3 sin θ cos φ . 4π 3 cos θ .29) These rules have important implications for polarization dependencies of the light absorption. .
32) . let us introduce a relation between the scattering rate and absorption coeﬃcient. vkh AW ν (9. cNω ˜ (9. c Consequently.31) For symmetric conﬁning potentials. ν The main diﬀerence is replacement of the 3D density of states √ 3/2 2m ( − Eg )1/2 3D gel ( ) = π 3 by its 2D analog 2D gel mr = W π 2W m n gv gc Θ(En m − ω) . m2 cη( ω) √ 2(mr )3/2 ( ω − Eg )1/2 (parabolic bands) . α= Summary Now we can give a summary for interband transitions.4. Here mr is reduced eﬀective mass. W (a) = α˜Nω . gel ( ω) = π2 3 α( ω) = W (a) . Bulk semiconductors 4πe2 a · pif 2 g3D ( ω) . νm n gv gc ≈ δnm . nm n m Enm = Egap + Ec + Ev .9. m−1 = m−1 + m−1 . We have.30) Thus we have 2D Mif = 1 AW νm n gv gc ν d2 ρ ei(ke −kh )r uνm pA un e vkh ck (9. r e h Before summarizing. The states are n ψc = √ m ψv 1 n eike ρ gc (z)un e ck AW 1 νm = √ eikh ρ gv (z)uνm . SELECTION RULES 193 • The absorption at low enough frequencies is important only in the well region because barriers have wide gaps.
This expression can be easily modiﬁed for quantum wells. (9.7.194 CHAPTER 9. . Some experimental results are shown in Figs. The recombination rate for a bulk material is Wem = 4πe2 a · pif 2 (Nω + 1)gph ( ω) .33) fnm represent the overlap between n and m subband overlap functions.34) The total photon density of states if photons are emitted in 3D space is 2ω 2 gph ( ω) = 2 2 2π c ˜ where coeﬃcient 2 allows for 2 transverse modes for each q.6 Important feature is 1/W dependence in the case of quantum well. 9. while η is the refractive index of the material.5 and 9. Here a · pif denotes the dipole matrix element. a is the polarization vector. Quantum Well α( ω) = g2D 4πe2 a · pif 2 m2 cη( ω) W 2 fnm Θ(Enm − ω) . It is a consequence of the assumption that the wave function is localized inside the well. In real life the upper states are spread outside the well. see Fig. nm g2D = mr /π .5: Absorption coeﬃcient in GaAs. 9. m2 cηω (9. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 9. Note that excitonic eﬀect can change the results inside the bandgap.
The HH transition is ≈ 3 times stronger than LH transition in this polarization.9. SELECTION RULES 195 Figure 9.35) Here we calculate the diﬀerence between (induced) emission and absorption rates.8 The main requirement is to compensate losses by gain G( ω). In general. We have calculated the rates assuming that initial state is occupied but ﬁnal is empty.4. p . What we need. One gets a very similar form for a quantum well by replacement the states p → n. It can be positive only if fe (Ee (p)) + fh (Eh (p)) > 1 (population inversion). E − µe(h) = 1 + exp ± kT −1 . (9. fe(h) the result being G( ω) = 4πe2 d3 p a · pif 2 2 cηω 3 m (2π ) × [fe (Ee (p)) + fh (Eh (p)) − 1] δ [Ee (p) − Eh (p) − ω] . one has also to sum over the angular momentum . Here Γ is the socalled optical conﬁnement factor which is just the fraction of optical intensity in the active region. ΓG = αloss .3 Ga0. Few words about semiconductor lasers A typical band proﬁle to get a lasing eﬀect is shown in Fig. is to average the result in a proper way to extract relative number of such conﬁgurations.7 As quantum well structure for inplane poA larized light. 9. The higher subbands become closer spaced and eventually one gets bulk absorption coeﬃcient.6: The same for 100 ˚GaAs/Al0. one has quasiFermi distributions for electrons and holes. In general.
Fig. W = 2π n f Hint n nHint i Ei − En 2 δ(Ef − Ei ) d3 p . of reduced density of states (quantum wells!!) An important feature is the threshold current that is the product of the electron charge eRrec where Rrec is the recombination rate due to spontaneous photon emission and nonradiative processes. Let us consider an example. It must be as small as possible. then indirect transitions come into play. The main directions to obtain lasing – increase of optical conﬁnement. Both combinations shown in Fig.. An important contribution which can be optimized is Auger processes.7: Schematic structure of wave functions. Fig. there are states at some other values of p where the energy conservation can be met. 9. In any case. the most important are the transitions with m = n. Hint = Hph + Hep . One has to pay for that because this process involves 2nd order perturbation theory. etc). indirect transitions .10 We have to employ the secondorder perturbation theory. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 9.196 CHAPTER 9.10 can contribute. 9. Indirect interband transitions When the energy and momentum conservation law cannot be met. and people try to decrease them. Let us consider a situation when phonon energy is less than direct gap. Auger processes are very harmful for lasing. In this case the necessary momentum can be supplied by a phonon in course of phononassisted transition. 9. (2π )3 The interaction Hamiltonian is a sum of the contributions of electronphoton and electronphonon interaction. states of the holes. However. In the most cases.9 They can be direct or phononassisted (trapassisted.
.9.1 µm.9: A typical Auger process. CHCC Auger process Figure 9. SELECTION RULES 197 Cladding layers Active region Quantum well active region Figure 9. A reverse one is called impact ionization. A while in double heterostructure laser it is ≥ 0. The width of the active region dimensions in the quantum well ≤ 100 ˚.4.8: Typical band proﬁles used for bulk (upper panel) and quantum well (lower panel) lasers.
while the central cell functions are essentially the same for all the subbands.5 Intraband Transitions Bulk semiconductors Intraband transitions must involve a phonon. if the light is polarized in zplane. If k is in the ρplane. Quantum wells A remarkable feature .198 CHAPTER 9. One can trace that comparing the absorption proﬁles for GaAs and Si. OPTICAL PROPERTIES OF SEMICONDUCTORS Phonon c Photon Photon v Phonon Figure 9. Fig. The secondorder process is very much similar to the one discussed above. or some other scattering mechanism. 9. 9. then the matrix element is 0.11. It is very important for lasers because it is responsible for losses in cladding areas. Consider 2 subbands with wave functions ψ i = g i (z)eikρ ui (r) . z W ∂z . However. then i ∂ pif = − g 2∗ (z)ˆ g 1 (z) d2 ρ dz . nk The functions gi (z) are orthogonal. Thus pif = − i W g 2∗ (z)e−ikρ a g 1 (z)eikρ d2 ρ dz . lead to an additional small coeﬃcient corresponding to electronphonon coupling.10: A typical indirect transition.possibility of intraband (but intersubband) transitions in the lowest order.
f W . Assuming that only one subband is ﬁlled and introducing electron concentration as Nc = f δ(Ef − Ei − ω)f (Ei ) we could obtain the result. we get Wabs = 4π 2 e2 Nω 1 m2 ω W pif 2 δ(Ef − Ei − ω)f (Ei )[1 − f (Ef )] . Usually.44πσ)1/2 1. we get 4π 2 e2 pif 2 1 (E − E12 )2 α( ω) = 2 exp − .44σ Physics of the broadening is rather complicated (disorder.44πσ)1/2 1. a Gaussian broadening is assumed.5. INTRABAND TRANSITIONS 199 Figure 9. in 2D case the joint density of states is inﬁnite in the resonance if both subbands have the same dispersion law.. phononrelated processes). Any way. 1 (E − E12 )2 g(E) = exp − .9. If the states have opposite parities. then the integral is ﬁnite.11: Absorption coeﬃcient of Si and GaAs. However. If electric ﬁeld is parallel to the 2D plane then there is a weak freeelectron . m cηω W (1.44σ What is important that the absorption is strongly dependent on the polarization of the incoming light. and pif ≈ Finally. (1.
we have B = c = 1/2 . . at Ka = sπ/2. 2k(k + K) B= . s = 1. 2 + (K − k)2 exp(2iKa) (K + k) It is clear that at small k (k K) the coeﬃcient B (as well as C and T ) are small. the wave function for the incoming energy ε can be written as exp(ikz) + R exp(−ikz) in the region I B exp(iKz) + C exp(−iKz) in the region II . a properly polarized light can induce transitions from discrete to continuum states.12). Thus the electrons are reﬂected from the well. In the wells with ﬁnite depth. 9. Let us sketch the calculation for a rectangular well with the depth W (Fig. lead to photoionization. absorption.. The selection rules (for symmetric quantum wells with isotropic spectrum) imply that the transition can take place only between the states with opposite parity. For example.. K2 = 2m(W + ε) 2 . i. For a scattering state in the continuum spectrum. However. dz Note that this rule is opposite to the case of interband transitions.12: Energy proﬁle a quantum well (left panel) and schematic behavior of absorption coeﬃcient (right panel). OPTICAL PROPERTIES OF SEMICONDUCTORS ε1 I ε2 W Absorption ε x Resonant ω3/2 Nonresonant II III Frequency Figure 9.36) T exp(ikz) in the region III Here k2 = 2mε 2 . otherwise dψN (z) ∗ pif ∝ dz ψM (z) = 0.200 CHAPTER 9. e. Then we have to match both the functions and their derivatives at two boundaries. there is a continuum spectrum above discrete states. In such a situation. 2. ψε = (9. The resonant absorption discussed above is possible only if the light is polarized perpendicular to 2D gas. .
(9. for small ε. ∆E± = gµB Bz . One can show that for the socalled nonresonant wells with √ 2mW = s /a √ the absorption is small and proportional to ω − W + ε1 . these “resonant” states are very important. Now let us discuss the behavior of the absorption close to the threshold ( ω = W ). 2. 2mr 1 ≡ mr 1 1 + me mh . the fundamental edge must be shifted ∝ B. . Only for these states overlap of wave functions is signiﬁcant.py δpz . py . Landau levels are formed in the conduction and valence bands. Interband transitions in a magnetic ﬁeld In a magnetic ﬁeld. 1.37) where eB .the well behaves as FabriPerot resonator for de Broglie waves.38) (9. while for the resonant ones it −1/2 is proportional to ( ω − W + ε1 ) . mc n . . Now let us estimate the absorption coeﬃcient. . .5. pz }. the quantum numbers of an electron in a magnetic ﬁeld are {n. INTRABAND TRANSITIONS 201 That means full penetration .pz δnn . e. mr c 2mr c e A0 epvc 2 δpy . One can easily show that because one can neglect the photon wave vector the dipole matrix element can be expressed as Pvc = Thus the transition probability is Wvc = 2π e2 A0 2 epvc 2 m 2 c2 dpy dpz δ π2 2 ω − Eg − (n + 1/2) eH p2 + z . 2m n = 0. µB = e /2m0 c . As it is well known. Above we ignored frequency dependence of dielectric function which might be important near resonant transitions. There is also spin splitting. (9.9.39) Thus. As a result. the energies (for parabolic bands) being n = n+ 1 2 ωc + p2 z . i. mc Thus the band edge moves to give the energy gap as ωc = Eg (B) = Eg (0) + e B. The account of these eﬀects is beyond the scope of this course.
Calculate dipole matrix element for the transitions between the subbands in a rectangular quantum well of width W with inﬁnite potential barriers. Knox. The eﬀect of other electrons enters only through the occupation probabilities without altering eigenvalues of the electronic problem.40) 9. In particular. one can tune exciton transitions . There energy positions can be tuned by electronics and optics. In heterostructures. In poorer quality samples these states merge with bandtoband transitions. there are maxima at ωmax − Eg − ( eH/mr c)(N + 1/2) = 0 . Make a similar calculation for a parabolic conﬁnement U (z) = (1/2)mω 2 z 2 . Assume that light is polarized perpendicular to the well. Consider a simple example. dpz δ A − Finally. We use the following simpliﬁcations dpy = Lx eH/c . OPTICAL PROPERTIES OF SEMICONDUCTORS The following calculation is straightforward.highspeed modulation of optical signals.1. 9. optoelectronic switches. Elliot. Now we turn to the role of electronelectron (electronhole) interaction.202 CHAPTER 9. Deﬁne ω from the request that the typical spread of the ground state wave function is W and compare the result with the case of rectangular conﬁnement. 2mr 2 N 3/2 p2 z = Lz 2mr mr /2A . Wannier. In bulk materials the binding energy is very low and such states can be observed only in pure materials and used for their characterization. due to spatial conﬁnement. the binding energy increases. 9.6 Problems 9. Excitonic states are known since 1931 (Frenkel).2. Further work – Peierls. Thus one observes sharp excitonic transitions. Implications . etc. The oscillator strength is also increased. e2 ωc α= 2 epvc 2 m ωnc Thus.7 Excitons In the previous discussion we employed the independent electron approximation. 1 ω − Eg − ( eH/mr c)(N + 1/2) (9.
For them we use the eﬀective mass theory for the envelope function. The 1st term gives solution ψcm = exp(iKR) . • “bleaching” of exciton transition by high electronhole density.9.7. We will discuss the latters because they are relevant to semiconductors. k = to get H= K2 + 2(me + mh ) 2 R= me re + mh rh me + mh K = ke − kh h2 k 2 e2 − 2mr 2r (9. h2 k 2 e2 − 2mr 2r F (r) = EF (r) .1 Excitonic states in semiconductors There are two types of excitons – Frenkel (small radius) and WannierMott (large radius). (9.42) me ke + mh kh . .43) Here mr is the reduced mass. 9. me + mh .13: The band structure of independent electrons (left) and Coulomb electronhole interaction which would modify the band picture (right).7.41) Then we introduce new coordinates r = re − rh . (9. The second leads to the hydrogen atom problem. • by application of a transverse electric ﬁeld (quantum conﬁned Stark eﬀect). EXCITONS 203 cband (empty) cband Coulomb interaction + vband (full) vband Figure 9. 2 2 2 e − 2me − 2mh 2 h − e2 re − rh  ψex = Eψex .
v are central cell functions.44) Em = − mr e4 1 . As a result ψnK = eiKR Fn (r)φc (re )φv (rh ) where φc.14.vαh (9. where a is the lattice vector. 2(me + mh ) 2 (9. see Fig. 1 e2 He = H0 + . S} describes momentum and spin state of the electron or hole.46) where αc(v) ≡ {k. OPTICAL PROPERTIES OF SEMICONDUCTORS ke kh k Figure 9. ψex ({ri + a}) = eiKa ψex ({ri }) . We need to develop a perturbation theory to ﬁnd an interaction between light and excitons. 2 i=j ri − rj  Because of translational symmetry. Thus the proper basis functions are Φcαe .204 CHAPTER 9. 9.14: Schematic picture of an exciton in Bloch representation. The eigenvalues are EnK = En + K2 . 2 2 2 n2 (9.45) Typically. The excitonic state then can be constructed as a linear combination of the . In general. E1 = 2 − 6 meV.
aex = ( m0 /mr )aB .9. Now we employ the generalized eﬀective mass approximation assuming that the exciton has large scale and the coeﬃcients Aβ (k) are localized in kspace.Sh (9. r (9.v.7. K) ≡ Ec (k + K/2) − Ev (k − K/2)k→−i .2 Excitonic eﬀects in optical properties The transition rate from the ground state ψ0 to the excitonic state ψK (according to the Fermi golden rule) is W = 2π eA mc 2 2 δK k A(k) apcv (k) δ(Eex − E0 − ω) . l. ex En = Eg − Rex /n2 . 9.50) . we arrive at W = 2π eA mc 2 2 δK apif 2 k A(k) δ(Eex − E0 − ω) .48) e−r/aex . β ψex = k 205 Aβ (k)Φβ c. respectively. The envelope ground state wave function is F100 = 1 πaex 3 e2 Fβ (r) = Eex Fβ (r) .k−K/2.49) than ˚ Here aB = 0. Namely. Assuming that pcv is k independent. In the case of simple parabolic bands the solution is simple and coincides with given above. Rex = mr e4 /2 2 2 . m} characterizes the energy eigenvalue index and angular momentum indices. K) − Here Ecv (−i .k+K/2. The typical value of aex is about 100 ˚. EXCITONS building blocks (9.47) where the set of quantum numbers β ≡ {n. (9. Fβ (r) = Aβ (k)eikr k which obeys the hydrogenlike equation Ecv (−i .7.Se . (9.46). Note that is a quite complicated function which can strongly diﬀer from static dielectric function at large carrier concentrations.529 Ais the Bohr radius. A the lattice constant a. In this way we come back to the real space.
206 From the deﬁnition,
CHAPTER 9. OPTICAL PROPERTIES OF SEMICONDUCTORS
Aβ (k) = Fβ (0) .
k
Finally, for the ground state we have W = 2π eA mc
2
δK apif 2
δ(Eex − E0 − ω) . πa3 n3 ex
(9.51)
In a realistic case, δfunction is broadened. An important note is that we have a selection rule K = 0. This is why the transition is discrete even though the excitonic states are extended. As a result, we arrive at the following picture. Inside the gap there are sharp excitonic lines with intensities proportional to n−3 . They become closer and closer as n increases. One can introduce exciton density of states as gex = 2(∂n/∂E) = n3 /Rex . Then it is easy to rewrite the absorption coeﬃcient α inside the gap through αF – the absorption coeﬃcient without excitonic eﬀects, α = αF 2πRex . (Eg − ω)1/2
1/2
ω≈Eg
(9.52)
Thus α reaches a constant at the band edge. Above the gap one can obtain πxeπx α = αF , sinh πx x= Rex ω − Eg
1/2
.
Far enough from the edge the result tends to the one for the absence of the excitonic eﬀects. A typical experimental plot is shown in Fig. 9.15 Very instructive is luminescence at low temperatures where electrons an holes freeze out in the excitonic states. Here one can clearly observe free excitons, as well as various bound excitons.
9.7.3
Excitonic states in quantum wells
To illustrate peculiarities of the quantum wells let us consider ﬁrst a shallow Hlike center in a well 0 ≤ z ≤ a. We have to solve SE of the type
2
−
2
2m
Ψ−
e2 x2 + y 2 + (z − z0 )2
Ψ = εi Ψ .
(9.53)
Here we assume that the structure has the same dielectric constant of all the parts. Such an assumption is good for heterostructures but fails for MOS systems. Also it is assumed that the eﬀective mass approach is valid.
9.7. EXCITONS
207
Figure 9.15: Measured absorption in GaAs at the temperatures 294, 186, 90, and 21 K. At room temperature the excitonic transitions merge with bandtoband absorption. The boundary conditions for inﬁnite potential are Ψ(0) = Ψ(a) = 0 . Let us consider a simpliﬁed situation when aB a. (9.54)
Then one can neglect the item (z − z0 )2 in Eq. 9.53. In this case the variables z and ρ = x2 + y 2 are decoupled, and Ψ = φ(ρ)χ(z) . The solution of the 2D problem (see e. g. [6]) lead to eigenvalues −ε0 /(i − 1/2)2 where ε = me4 /2 2 2 is the 3D Rydberg energy. Thus εN,i = εs N 2 − ε0 , (i − 1/2)2 εs = π 2 . 2ma2 (9.55)
According to inequality (9.54), ε0 εs . That means that each level of size quantization has impurity satellites. It is important that for all the N = 1 impurity states overlap with continuous spectrum of lower subbands. Consequently, it has a ﬁnite life time even in the absence of collisions. In the limiting case (9.54) the energy of ground state is 4 times larger than in the 3D case. Beyond his limit the energy is between ε0 and 4ε0 , it depends on the position z0 . As a result, a sort of “impurity band” appears. Another assumption which was used is the inﬁnite potential. It is valid until aB δ= .
m(W − ε1 )
208
CHAPTER 9. OPTICAL PROPERTIES OF SEMICONDUCTORS
In the opposite case the calculations are rather cumbersome, especially when eﬀective masses within the well and the barrier are diﬀerent. Now we can reformulate the results for the excitons. In this case SE has the form − e2 2me
2 e
−
e2 2mh
2 h
Ψ−
e2 (xe − xh )2 + (ye − yh )2 + (ze − zh )2
Ψ = εex Ψ .
(9.56)
Under the condition (9.54) we can also drop zdependent part of the denominator. Thus we are left with 2D problem. It is natural to introduce new variables R= Consequently, Ψ(re , rh ) = ψN (ze )ψM (zh ) exp(iKR)Φ(ρ) . As a result, the equation for Φ diﬀers from similar equation foe an impurity state by the replacement me mh , m → mr = me + mh and mr e4 εex = − . (i − 1/2)2 In many materials (Si, AIII BV ) because of the presence of both light and heavy holes there are 2 type of excitons. In general, the Hamiltonian for relative motion has the form
2
me ρe + mh ρh , me + mh
ρ = ρe − ρh .
H = −
2mr e2 − + Vew (ze ) + Vhw (zh ) re − rh 
1 ∂ ∂ 1 ∂2 ρ + 2 2 ρ ∂ρ ∂ρ ρ ∂φ
−
2 ∂2 ∂2 − 2 2 2me ∂ze 2mh ∂zh
2
where Viw (zi ) are conﬁning potentials. There is no simple analytical solution for this equation. Moreover, the parabolic approximation is usually bad for hole states in GaAlAs heterostructures. It is also important to allow for screening. So numerical methods are usual. The expressions for the absorption coeﬃcient are similar, however one must use correct matrix elements. The important quantity is the oscillator strength deﬁned as fnm Here pnm (k) =
µν ν d2 ρ U0 (ρ)ˆ U0 (ρ) p µ µ ν dz gn (z)gm (k, z)
2 = 2 mE ex (2π) nm
2
d k Gnm (k) apnm (k)
2
.
(9.57)
9.7. EXCITONS
209
Tunneling
Figure 9.16: On the FranzKeldysh eﬀect. while Gnm are the coeﬃcients of expansion of the exciton wave function in terms of the basis in kspace, ψ ex =
nm
d2 k n, k n, −k Gnm (k). 4π 2 e2 ηmcW
Then, as usual, αnm =
ex fnm δ(Enm − ω).
nm
Oscillator strength is substantially increased because of exciton conﬁnement. More exact theoretical treatment is given e. g. in the book [6].
Quantum conﬁned Stark eﬀect
Consider optical absorption in the presence of an external electric ﬁeld. The electrical ﬁeld pulls apart electronhole pairs which causes the broadening of the exciton peak and a shift of the peak to lower energies (FranzKeldysh eﬀect, Fig. 9.16). In heterostructures, the most interesting is transverse ﬁeld because it allows to tune exciton transitions. The presence of the large barriers helps the electron and hole to be together and the transition takes place up to the ﬁelds ≤ 100 kV/cm. The electric ﬁeld 1. Changes intersubband separations; 2. Pushes electrons and holes to opposite directions making the energy sepatations smaller. Due to the separations of electron and holes in space the exciton binding energy decreases. The ﬁrst eﬀect is usually much more important. Let us make a crude estimate valid at small electric ﬁeld. The Hamiltonian can be written as H = H0 + eF z ,
210
CHAPTER 9. OPTICAL PROPERTIES OF SEMICONDUCTORS
where F is the electric ﬁeld. The ﬁrst perturbative correction is ∆E (1) = ψ1 eF zψ1 = 0 because the ground state is even. The second order correction for the ground state in a square well is 1 15 me2 F 2 W 4 ∆E (2) = −1 . 2 24π 2 π 2 One has to optimize the well width W because in wide wells the absorption goes down, the optimum being at W ∼ 100 ˚. A
Chapter 10 Ac transport and optics in doped semiconductors
10.1 Impurity states
A typical energy level diagram is shown on Fig. 10.1 Shallow levels allow a universal
Ec ED EA Ev
Figure 10.1: band diagram of a semiconductor. description because the spread of wave function is large and the potential can be treated as from the point charge, U (r) = e2 / r . To ﬁnd impurity states one has to treat Schr¨dinger equation (SE) including periodic o potential + Coulomb potential of the defect.
Extremum at the center of BZ
Then for small k we have En (k) = We look for solution of the SE (H0 + U )ψ = Eψ 211 k . 2m
2 2
212 in the form ψ=
nk
CHAPTER 10. DOPED SEMICONDUCTORS
Bn (k )φn k (r) ,
where φn k (r) are Bloch states. By a usual procedure (multiplication by φ∗ (r) and intenk gration over r) we get the equation [En (k) − E]Bn (k) +
nk nk Un k nk Un k Bn (k) = 0
1 = V
u∗ un k ei(k −k)r U (r) dr . nk
Then, it is natural to assume that B(k) is nonvanishing only near the BZ center, and to replace central cell functions u by their values at k = 0. These function rapidly oscillate within the cell while the rest varies slowly. Then within each cell
cell
u∗ un 0 dr = δnn n0
because Bloch functions are orthonormal. Thus, [En (k) − E]Bn (k) +
n
U (kk )Bn (k ) = 0 4πe2 . Vk − k 2
1 U (kk = V Finally we get
2 2
ei(k−bk )r U (r) dr = −
k 4πe2 − E Bn (k) − 2m V
k
1 Bn (k ) k − k 2
where one can integrate over k in the inﬁnite region (because Bn (k) decays rapidly. Coming back to the real space and introducing 1 F (r) = √ V we come to the SE for a hydrogen atom,
2
Bn (k)eikr
k
− Here
2
2m
−
e2 F (r) = EF (r) . r
1 e4 m , t = 1, 2 . . . t2 2 2 2 F (r) = (πa3 )−1/2 exp(−r/a), a = Et = − For the total wave function one can easily obtain ψ = un0 (r)F (r) . The results are summarized in the table.
2
/me2 .
10.1. IMPURITY STATES Material GaAs m/m0 12.5 0.066 E1s (th.) E1s (exp.) (meV) (meV) 5.67 Ge:6.1 Si: 5.8 Se: 5.9 S: 6.1 S: 5.9 6.8 7.28 13 13.*
213
InP CdTe
12.6 0.08 10 0.1
Table 10.1: Characteristics of the impurity centers.
Several equivalent extrema
Let us consider silicon for example. The conduction band minimum is located at kz = 0.85(2π/a) in the [100] direction, the constant energy surfaces are ellipsoids of revolution around [100]. There must be 6 equivalent ellipsoids according to cubic symmetry. For a given ellipsoid,
2 2 0 (kz − kz )2 + 2 (k 2 + ky ) . 2m 2mt x Here m = 0.916m0 , mt = 0.19m0 . According to the eﬀective mass theory, the energy levels are N fold degenerate, where n is the number of equivalent ellipsoids. In real situation, these levels are split due to shortrange corrections to the potential. These corrections provide interextrema matrix elements. The results for an arbitrary ration γ = mt /m can be obtained only numerically by a variational method (Kohn and Luttinger). The trial function was chosen in the form
E=
F = (πa
a2 )−1/2 ⊥
x2 + y 2 z 2 + exp − a2 a ⊥
1/2
,
and the parameters ai were chosen to minimize the energy at given γ. Excited states are calculated in a similar way. The energies are listed in table 10.1. Material Si (theor.) Si(P) Si(As) Si(Sb) Ge(theor/) Ge(P) Ge(As) Ge(Sb) E1s (meV) E2p0 (meV) 31.27 11.51 45.5 33.9 32.6 11.45 53.7 32.6 31.2 11.49 42.7 32.9 30.6 11.52 9.81 4.74 12.9 9.9 4.75 14.17 10.0 4.75 10.32 10.0 4.7
Table 10.2: Donor ionization energies in Ge and Si. Experimental values are diﬀerent because of chemical shift
214
CHAPTER 10. DOPED SEMICONDUCTORS
Impurity levels near the point of degeneracy
Degeneracy means that there are t > 1 functions, φj , j = 1, 2..t nk which satisfy Schr¨dinger equation without an impurity. In this case (remember, k ≈ 0), o
t
ψ=
j=1
Fj (r)φj (br) . n0
The functions Fj satisfy matrix equation,
t 3 αβ ˆ ˆ Hjj pα pβ + U (r)δjj j =1 α,β=1
Fj = EFj .
(10.1)
If we want to include spinorbital interaction we have to add Hso = 1 [σ × 4mc c2 0 ˆ V ] · p.
Here σ is the spin operator while V is periodic potential. In general Hmatrix is complicated. Here we use the opportunity to introduce a simpliﬁed (the socalled invariant) method based just upon the symmetry. For simplicity, let us start with the situation when spinorbit interaction is very large, and splitoﬀ mode is very far. Then we have 4fold degenerate system. Mathematically, it can be represented by a pseudospin 3/2 characterized by a pseudovector J. ˆ There are only 2 invariants quadratic in p, namely p2 and (ˆ · J)2 . Thus we have only p two independent parameters, and traditionally the Hamiltonian is written as H= ˆ 1 p2 m0 2 5 γ1 + γ 2 − γ(ˆ · J)2 . p (10.2)
That would be OK for spherical symmetry, while for cubic symmetry one has one more invariant, i p2 Ji2 . As a result, the Hamiltonian is traditionally expressed as ˆi H= ˆ 1 p2 m0 2 5 γ1 + γ2 2 − γ3 (ˆ · J)2 + (γ3 − γ2 ) p
i
p2 Ji2 . ˆi
(10.3)
This is the famous Luttinger Hamiltonian. Note that if the lattice has no inversion center there also linear in p terms. Now we left with 4 coupled Schr¨dinger equations (10.1). To check the situation, let o us ﬁrst put U (r) = 0 and look for solution in the form Fj = Aj (k/k)eikr , k ≡ k .
10.39 1. E = If γ1 ± 2γ > 0 both energies are positive (here the energy is counted inside the valence band) and called the light and heavy holes.4 0. .10. The eﬀective masses are m (h) = m0 /(γ1 ± γ) .69 ∆ 0. Thus the system is decoupled into 4 independent equation with two diﬀerent eigenvalues.22 0.2). the potential being V (r) = j U (r − rj ) . In this case the set of 4 diﬀerential equations can be reduced to a system of 2 diﬀerential equation containing only 1 parameter.3: Parameters of the Luttinger Hamiltonian for Ge and Si The usual way to calculate acceptor states is variational calculation under the spherical model (10.h = 2m0 2 γ1 k 2 ± 4 γ2 k 4 1/2 2 2 2 2 2 2 2 2 +12(γ3 − γ2 )(kx ky + ky kz + kz kx ) . Thus let us direct k along z axis and use representation with diagonal Jz .4 Table 10.1 Material Ge Si γ1 γ2 γ3 4. E .29 15. LOCALIZATION OF ELECTRONIC STATES 215 The corresponding matrix lemenets can be obtained by substitution k instead of the operator p into Luttinger Hamiltonian. The parameters of Ge and Si are given in the Table 10. It solutions lead to the anisotropic dispersion law 2 γ1 + 2γ 2m0 2 2 k .35 4.3) require explicit form of Jmatrices.25 5. The Hamiltonian (10. E = γ1 − 2γ 2m0 2 2 k .44 13.2 Localization of electronic states What happens when the number of doping impurities is large and their wave functions overlap? Narrow bands and Mott transition As a simple example.2) does not depend on the ˆ 2 direction of k. The calculations for the full Luttinger Hamiltonian (10.2. β = m /mh . consider an ordered lattice of impurities.044 11.
Let us plot the electron terms a a function of 1/b0 The insulatortometal transition of this kind is usually called the Mott transition. DOPED SEMICONDUCTORS Assume that we know the eigenstates φn and eigenvalues. we cam expand the wave functions in terms of the above eigenvalues. Thus the impurity lattice is a metal. of a singleimpurity problem. each impurity adds one electron. j aj 2 = 1 . we assume the impurity bandwidth is less that the spacing between En and restrict ourselves by the lowest level. the distribution being P( ) = 1/A . Also. At large b0 the band is narrow and this is the case. In this way we get energy bands. As the lattice constant increases.3) The eﬀective Hamiltonian has the form H= j + j aj aj + m.   < A/2 0 . then one must allow for the interaction. Suppose that impurities are still ordered. Anderson transition We come back to singleelectron approximation and concentrate on disorder.j=0 I(m) a+ aj+m . no. According to our model. but depths of the potential wells are random. It U0 is comparable with the bandwidth ∼ I(b0 ). Expanding near k = 0 we get E(k) = 6I(b0 ) − I(b0 )k 2 b2 0 the eﬀective mass being m∗ = 2 /2Ib2 . For example. E0 .   > A/2 . I(b0 ) ∝ exp(−βb0 /a) 0 where β is a number of the order 1. j The energies are assumed to be uncorrelated and random. two electrons at the same site repel each other the energy can be estimated as U0 ≈ e2 /a. En . Here we shall use singleband approximation. Fig. Along the tightbinding method. I(m) is that it is small (tightbinding approximation!). Is this correct? In principle. because we neglected electronelectron interaction. and therefore ignore Bloch (centralcell) factors. ψ= j aj φ(r − rj ). for a simple cubic lattice E = 2I(b0 ) i cos(ki b0 ) where here b0 denotes the lattice constant for impurity lattice. The only important property of the overlap integrals. and each state possesses 2fold spin degeneracy.216 CHAPTER 10. the energy being E= m eikm I(m) . In fact. (10.
2. Anderson has formulated the following criterion for localization. The Anderson model has one dimensionless parameter.3: Potential wells in the Anderson model. they can be characterized by the energies 1 . When isolated. consider two potential wells. LOCALIZATION OF ELECTRONIC STATES 217 E E +U o o Eo A 1/b o Figure 10. the states being also localized at any disorder. 2D case is a marginal. Ac /I. Namely. W/I. at which delocalized states begin to appear in the middle band. Figure 10. In a 3D system there is a critical value. where I is the overlap integral for nearest neighbors. to the right a metal. Twostate model Now let us turn to 3D case and try to discuss Anderson result in a simpliﬁed form.2: Dependence of electron bands on impurity sublattice period b0 . The state is called extended if ψi (t)2 → 0 at t → ∞. To the left of point A is an insulator. In 1D case the states are localized at any disorder. Let us place a particle at the site i and study its decay in time due to quantum smearing of the wave packet.10.
0 15 Table 10. I. Consequently.II = ± (∆/2)2 + I2 . Nonresonant sites can be disregarded as I W. ψI.4) Thus at ∆ I either c1 or c2 is close to 1.II = √ (φ1 ± φ2 ). This solution is reasonably good at  1 − 2  In general. Fig. let us chose a band δ/2 ≤ ≤ δ/2. and we have a matrix Schr¨dinger equation. δ∼I and call the sites resonant if their energy falls into the band.4 . one arrives at the following proﬁle of densityofstates (DOS) for the Anderson model. Here the origin for energy is taken at ( 1 + 2 )/2.2 Finally.3 Simple cubic 0.II = c1 φ1 ± c2 φ2 . see the Table 10. If one assumes that the connected cluster is a 1D chain. At 1 = 2 the wave functions are 1 ΨI. then the bandwidth is 4I. and collectivization does not occur. Ac 4 = I xc where xc is the percolation threshold for the site problem.218 CHAPTER 10. 10. In such a model. This is quite a good estimate.31 12. while ∆ ≡ 1 − 2 . EI − EII = The ratio c1 = c2 ∆/2 ± ∆2 + 4I2 . Then let us look for connected resonant states which share a site.4: Percolation thresholds and critical values Ac /I obtained numerically for different lattices and 2 and wave functions φ1 and φ2 . following Thouless. o ∆/2 − E I I∗ −∆/2 − E .9 Ac /I 8. (10. 2 the energy diﬀerence being EI −EII = 2I. Now. DOPED SEMICONDUCTORS Lattice xc 4/xc Diamond 0. I (∆/2)2 + I 2 .43 9. It is clear that it must be a threshold in the quantity W/I where the transition takes place. The secular equation is thus E 2 − (∆/2)2 − I2 = 0 → EI.
In lightly doped materials conductivity vanished exponentially as T → 0. That contributes to donor ionization energy. • There is a quantum overlap between the donors being excited. the energies being slightly diﬀerent. the contribution being dependent on the conﬁguration of neutral neighbors. the remaining positive charges polarize the neutral donor located in vicinity. N a3 1. negatively charged acceptors and an equal number of positively charged donors. Let us start with a material with only one type of impurities.4: Density of states in the Anderson model. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS.5 Below we discuss limiting cases of small and large K. Now let us assume that there are also acceptors which at capture electrons from the donors and are fully occupied T = 0. K = NA /ND . 10. The reasons are • If one removes an electron. 10. At T = 0 each of donors must have an electron. A typical dependence of the Fermi level µ on the degree of compensation. Theses randomly distributed charges create a ﬂuctuating random potential which localizes the electronic states. the missing electron represents an elementary excitation. Thus we have neutral donors. say ntype. i = κ ri − rl  k=i ri − rk  l The occupation numbers have to be determined to minimize the free energy (at T = 0 – electrostatic energy). −E0 .3. Mobility edges are denoted as Ec .3 Impurity band for lightly doped semiconductors. 219 g(E) E c Ec E Figure 10. The ﬁrst mechanism is usually more important for realistic semiconductors having compensating impurities. An excitation can be localized at any donor. is shown in Fig.10. We have acc don e2 1 1 − nk − . Here N is the impurity concentration while a is the localization length. . Let us count the energy i of ith donor from the energy of an isolated donor. The material is called lightly doped if there is only a small overlap between electronic states belonging to diﬀerent impurities. Localized states are shaded.
To get a quantitative theory one has to add more input. each acceptor can be regarded as immersed in an inﬁnite sea of donors. The work necessary to remove a hole equals to e2 /κr − e2 /2κr = e2 /2κ. There are 3 conﬁgurations – 0complexes (negative) where there is no ionized donor near a particular acceptor. In a ﬁrst approximation. Low degree of compensation At K 1 most of donors keep their electrons. . DOPED SEMICONDUCTORS 0 0. it occupies the donor the most closed to an acceptor. and only a small number is empty and charged positive. and 2complexes (positive).5: Position of the Fermi level µ as a function of the degree of compensation. Each acceptor carries a negative charge. it becomes large at small r. The energy of attraction to the acceptor equals 3e2 /κl while the repulsion energy from two other holes is 2e2 /κl. 10. Indeed.6.5 1 K Figure 10. Transporting a hole from a donor situated near a charged acceptor to inﬁnity requires work of order e2 /κrD . Consider a conﬁguration √ shown in Fig.a.220 µ CHAPTER 10. To illustrate the situation let us consider a conﬁguration shown in Fig. We end at the following situation. Namely. So holes prefer to ﬁnd another acceptor with more close donors even at the expense to become a second hole. the concentration of charged donors is equal to NA . where rD is the average distance between the donors. K. there are some acceptor without holes. so they bind holes very weakly. 1complexes (neutral). 10. A positive charged hole will be located as close as possible to a negative acceptor. Thus. It is curious that an acceptor cannot bind more than 2 holes. and some acceptors having 2 holes. So the neutrality condition which ﬁxes the Fermi level is actually N0 (µ) = N2 (µ) . some acceptors do not have a close donors (Poisson distribution).b.6.
as a concentration of pairs of donors whose additional energies 1 and 2 exceed µ when both donors are ionized. r2 ) − µ]Θ[ 2 (r1 . + l + r r + + l + l 221 Figure 10. .10. Integration yields > 3 N2 (µ) = 7. Using this estimate and solving the neutrality equation one obtains µ = 0. the number of pairs with r2 ≥ r1 is ND r2 >r1 dr2 Θ[ 1 (r1 . N0 (µ) = NA exp − 4π e6 ND 3 κ3 µ3 . It is much more diﬃcult to ﬁnd number of 2complexes. Consequently. near the Fermi level g( ) ∝ NA / D . Let us estimate it from above. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS. 1. For 0complex. > N2 (µ). r2 ) − µ] . • it can be more than one pair of donors near a given acceptor. r2 ) − µ] . This estimate is very close to exact result.6: Donoracceptor conﬁgurations. there must be no donors within the sphere of radius rµ = e2 /κµ from a 3 ﬁxed acceptor.2  r1 − r2  To get the total concentration of pairs one has to multiply it by ND and integrate over r1 .14 · 10−4 NA (4πND rµ /3)2 . Thus. The tails of g( ) above the Fermi level falls with the characteristic energy D . so there must be a sharp peak at −E0 . Let us put the origin of coordinates at acceptor site and suppose that a donor is located at r1 .61 D . Thus.2 κ r1. This estimate is larger because • it could be another close donor which initiates a 1complex. the probability being exp(−4πND rµ /3). = > 2 N2 (µ) = NA ND dr1 r2 >r1 dr2 Θ[ 1 (r1 . and ﬁnally multiply by NA . As a result. D = e2 /κrD = (e2 /κ)(4πND /3)1/3 . Now let us discuss the shape of the peak.3. The majority of donors are far from few acceptors. Here 1 1 e2 − . r2 ) − µ]Θ[ 2 (r1 . The average number of donors in the element dr2 is equal to ND dr2 .
(10.222 Longrange potential CHAPTER 10. ξ0 (r)ξ0 (r ) ξ0 (r)ξ2 (r ) = ξ2 (r)ξ2 (r ) = N0 δ(r − r ). This approach is consistent at eφ(r) µ when only small number of complexes are responsible for screening. As a result. Therefore. Consequently. The typical charge in the sphere is e2 (N0 R3 )1/2 . Let us introduce ﬂuctuations of the complex concentrations for 0. DOPED SEMICONDUCTORS Above we did not take into account electrostatic interaction between the complexes. the interaction leads to an additional dispersion of the peak. the charge ﬂuctuations are ρ(r)ρ(r ) = 2e2 N0 δ(r − r ) .58NA −1/2 ND = 0.5) Let us now consider a sphere of radius R where there is ∼ N0 R3 complexes. We shall show that longrange ﬂuctuations are much more important. and one has to allow for screening. However. 2 r0 κ dφ Substituting the expressions for the complex concentrations we obtain r0 = 0. It diverges as R → ∞. At the same time. In such a way we obtain the equation 4πρ φ ∆φ = − + 2 κ r0 where the screening length r0 is given by the expression 1 4πe d = [N2 (µ + eφ) − N0 (µ + eφ]φ=0 . 1/3 An average ﬂuctuations of charge produce an average potential of order e2 N0 /κ. We will check later that the screening potential varies little over a distance between the complexes. κ κ Here ρ(r) is a Gaussian random function whose correlator is given by (10. the majority of complexes contribute to charge ﬂuctuations and are uncorrelated. We consider the ﬂuctuations as uncorrelated.58ND 1/6 −1/3 K −1/2 . . = 0. one can employ the selfconsistent ﬁeld approximation.and 2complexes. It is small indeed because N0 ND .5). the resultant potential being e2 (N0 R3 )1/2 /R. ξi (r) = Ni (r) − Ni (r) . we and at the Poisson equation ∆φ = − 4πe 4π ρ(r) − [N2 (µ + eφ) − N0 (µ + eφ)] .
05. . 10. occupied states are shaded. It is Gaussian.26 DK 1/4 . 223 In a standard way. Thus a pair can contain only 1 electron. All the above results are applicable only at very small K.7 E E0 g(E) µ Figure 10. Solid line shows the conduction band edge. The condition can be rewritten as K −1/2 0. In this case. n = ND − N A ND . Thus all the electrons are able to ﬁnd proper donors whose potential is lowered by the potential of charges neighborhood. γ pi γ = 2e2 φ(r) 2 = 0. see Fig. To understand the structure of the DOS tail consider a certain donor having at small −1. the binding energy being ∼ E0 . High degrees of compensation Now we turn to the case 1−K 1. one can determine the distribution function near the Fermi level.7: Energy diagram of highly compensated semiconductor. the concentration of occupied donors.3 (r ND ) another positively charged donor. 1 F (eφ) = √ exp[−(eφ)2 /γ 2 ] . to get a Gaussian −1/3 ﬂuctuations one has to assume r0 N0 or 3 4πN0 r0 /3 1. Thus the Fermi level is situated well below −E0 .3. Indeed. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS.10. It is assumed that the second donor is empty. Its inﬂuence at r a is just = −e2 /κr.
DOPED SEMICONDUCTORS To ﬁnd g( ) let us calculate the concentration of pairs having the energy in the interval ( . where r( ) = e2 /κ . This is purely classical result. It is valid only at rµ Longrange ﬂuctuations At 1 − K 1 it is a large and important eﬀect because screening is weak. we get µ=− D 21/3 (1 − K)1/3 . of donors and acceptors. One has to multiply this quantity by ND and divide by 2 (pairs!) to get g( ) = 3 2 3 D ND 4 . The excess ﬂuctuating density is ∆N = (Nt R3 )1/2 /R3 . Nt . The probability to ﬁnd another donor is 4πND r2 (dr/d ) d . In this way we get for a typical potential energy of an electron.224 CHAPTER 10. 3 Nt rs )1/2 n= 3 rs → 22/3 Nt rs = . κR It also diverges at large R. γ(R) = e2 (Nt R3 )1/2 . How the screening takes place. −∞ As a result. Now the Fermi level (at T = 0) is easily found from the conservation law µ g( ) d = n . (1 − K)2/3 −1/3 The random potential amplitude is γ(rs ) = e2 Nt . They can be neutralized at ∆N = n leading to the expression for the screening length. + d ). a. . κn1/3 2/3 It increases with decreasing n. To obtain an estimates we can repeat the discussion for K 1 and replace the donor concentration by the total concentration. Here we disregarded the states with several extra electrons which are important very deep in the gap.
ac conductance remains ﬁnite. AC CONDUCTANCE DUE TO LOCALIZED STATES 225 10.4. at low temperatures dc conductance vanishes in the insulating phase. which must satisfy matrix Schr¨dinger equation. c1 2I(r) = . As a result. Here the origin for energy is taken at ( 1 + 2 )/2. .6) (10. As we have seen. The second mechanism is due to phononassistant transitions – an external ﬁeld modulates the occupation numbers of close pairs. However. Consequently. Dissipation by an isolated pair One can discriminate between two absorption mechanisms. c2 ∆±W (10. the electronic states being localized. The modulation lags in phase comparing to the ﬁled due to relaxation. We used such a concept to discuss Anderson localization. while ∆ ≡ 1 − 2 . Deeply in the insulating phase the most probable is to ﬁnd only pairs of localized states which are separated by the distances much less than the average. E+ − E− ≡ W = ∆2 + 4I2 .4 AC conductance due to localized states As we have seen. The ﬁrst one is resonant absorption due to direct absorption of photons accompanied by transition between the states ψ + and ψ − . Below we consider both mechanisms.7) Thus at ∆ I either c1 or c2 is close to 1. Consider a close pair of localized states. the quantum states of an electron sharing the pair can be expressed through onecenter wave functions as ψ± = c1 φ1 ± c2 φ2 . To analyze the physics of dissipation. let us consider such a pair. The reason is that an electron (or hole) can hop between the adjacent localized states giving rise to a ﬁnite energy dissipation. and collectivization does not occur. o ∆/2 − E I I∗ −∆/2 − E ψ+ ψ− = 0. To ﬁnd the dissipation one has to calculate the contribution of a single pair. and then sum the contributions of diﬀerent pairs. The secular equation is thus E 2 − (∆/2)2 − I2 = 0 → E± = ± (∆/2)2 + I2 . a ﬁnite dissipation appears.10.
2. There are two states with energies ± E1 = 1 + 2 2 ± W . 1 2 κr (10. the probability to ﬁnd a pair with 1 electron. and we obtain ﬁnally.2 e2 = 1 n1 + 2 n2 + n1 n2 + I(r)(a+ a2 + a+ a1 ) . DOPED SEMICONDUCTORS The resonant absorption is due to transition of an electron from the state with the energy E − to the state E + . The occupation number n+ = n− exp(−W/kT ).226 Resonant contribution CHAPTER 10. The pair has 2 electrons. κr Consequently.8) Here ni are the occupation numbers.10) describes 4 states of the pair: 1. the lower level to be occupied is n− = 1 E− − µ exp − 1 . The pair has 1 electron. 2 3. The pair has no electrons. The energy absorbed by a pair per unit time due to an electric ﬁeld 1 E = E0 cos ωt = E0 [exp(iωt) + exp(−iωt)] 2 can be written as (Fermi golden rule!): q= Occupation numbers The occupation numbers n± are determined from the following considerations. (10. while i include Coulomb interaction with other neighbors. The Hamiltonian (10.10) 2π ω eE0 −r+ 2 δ ( ω − W ) (n− − n+ ) .9) (10. Let us write down a twosite Hamiltonian H1. The energy E0 = 0. q= 2π ω E− − µ eE0 −r+ 2 δ ( ω − W ) exp − 1 4Z kT 1 − exp − ω kT .11) . 4 (10. Z kT E− − µ E+ − µ Z = 1 + exp − 1 + exp − 1 kT kT + exp − E2 − 2µ kT . There is one state with the energy E2 = 1 + 2 + e2 .
ik (1) (2) 1 2 ∂ui (rj ) ∂uk (rj ) + ∂xk ∂xi .] one easily obtains the relevant contribution to the absorbed energy as q= We get q= eE0 · r2 2 ∆ W 2 ω 2π 2π/ω ˙ dt W (t)n1 (t) .10. AC CONDUCTANCE DUE TO LOCALIZED STATES Relaxational contribution To analyze this contribution one has to consider the balance equation.16) . r)]2 4kT cosh(W/2kT ) (10. (10.13) while τ is the population relaxation time. ∂t τ Here n0 (t) = 1 . To calculate the dissipation one has to specify the relaxation time. uik (rj ) = Thus.c. To do that let us specify the Hamiltonian to describe coupling between localized electrons and phonons. 2 (10.14) The last factor is just −(∂n0 /∂W ). let us start with the unperturbed one. 227 (10. n1 (t) ∝ [e−iωt + h. 1 ˜ Hint = 2 Λik uik (r1 ) − Λik uik (r2 ) σ3 . 1 + [ωτ (W. 0 ω 2 τ (W. exp[W (t)/kT ] + 1 W (t) = [∆ + eE(t) · r]2 + 4I(r)2 . σ2 = 0 −i i 0 .4. ∂n+ n+ − n0 (t) = . σ1 = 0 1 1 0 . say for n+ (t). which depends in general on W and r. H0 = 1 2 ∆ 2I(r) 2I(r) −∆ = ∆ σ3 + I(r)σ1 . Substituting n+ (t) = n0 (t) + n1 (t) .12) (10. Under inﬂuence of the phononinduced strain the energy of each (j) component of the pair acquires the term proportional to the strain tensor. σ3 = 1 0 0 −1 . To construct the Hamiltonian.15) Here we introduce Pauli matrices. r) 1 .
One can show that P ≈ 1 at − 2 − and E1 = ( 1 + 2 − W )/2 e2 − − − W < E1 − µ < 0 . we get 2 1 1 2I(r) = . it is convenient to rewrite (10. 1 Having in mind the algebra for Pauli matrices. σ3 σ1 = iσ2 . − E1 − µ < E2 − 2µ . ˆ ˜ ˆ 1 Hint = T −1 Hint T = 2 Λik uik (r1 ) − Λik uik (r2 ) ik (1) (2) ∆ 2I(r) σ3 − σ1 W W . T ≤ ω/k. Summation over the relevant pairs. 2 σi = 1. Resonant contribution For simplicity. r) τmin (W ) W Here we have extracted the coordinatedependent factor (2I(r)/W )2 = 2I0 exp(−2r/a). Now we can proceed adding the contributions of diﬀerent pairs that appears rather tricky. 1 It means that one can introduce the variables ∆ = instead of 1 and 2 .228 (j) CHAPTER 10. W Then one can represent the old basis through the new one as φ1 φ2 ˆ =T ψ+ ψ− . The quantity τmin has a transparent physical meaning of the minimal relaxation time for a pair with given interlevel spacing W .16) in the form H0 = W 2 cos χ sin χ sin χ − cos χ . Using Fermi golden rule to calculate the relaxation rate. (10. Technically. κr . Then n− − n+ ≈ 1 at − E1 − µ < 0 .17) We are interested in the item proportional to σ1 which is responsible for phononassisted transitions between the levels. What we need is to ﬁnd the socalled pair distribution function which is the probability to ﬁnd a pair with bare energy spacing W and spatial distance r. let us assume low temperatures. cos χ ≡ ∆ . (10.18) τ (W. It is dependent on several characteristics of the electronphonon interaction which we do not discuss now. σ2 σ3 = iσ1 . DOPED SEMICONDUCTORS where Λik are the component of the deformational potential tensor for each component. ˆ T = cos χ − sin χ sin χ cos χ = ˆ cos χ − iσ2 sin χ . σ1 σ2 = iσ3 we obtain the interaction Hamiltonian in a new basis. Now we can make the transformation to a new basis which makes the Hamiltonian H0 diagonal.
Another important simpliﬁcation arises from exponential decay of the overlap integral. One can explain qualitatively this factor as follows from Fig. gravity ( 1 + 2 )/2 falls into the region of the width ∼ e2 /κr below the Fermi level the pair remains singly ionized and contains only 1 electron.19) For the simplest (Anderson) model g( ) = g0 Θ(A/2 −  ). The full scheme of calculations can be described as follows. . When the center of E2 . 2 . one can replace r apart from exponential functions by a proper characteristic length rc (which is diﬀerent for the resonant and the relaxational contributions).8.8: Energy scheme of absorption by a pair with the length r with allowance of Coulomb interaction.10. I(r) ∝ exp(−r/a). Now we are ready to specify the results for low temperatures. 10. the coupling matrix element in the case of resonant contribution (as well as relaxation time in the case of the relaxational contribution) depend on r much stronger that other quantities. r) .. → 229 W+ e2 κr . AC CONDUCTANCE DUE TO LOCALIZED STATES and − dE1 (n− = n+ ) .4.. As a result.. (10. . We deﬁne σ(ω) = 2 i qi 2 E0 = 1 2 E0 dr d 2 g( 2 ) 2 d 1 g( 1 ) q( 1 . Substituting expression . As a result.E1 µ e2 κr E+ 1 E1 W Figure 10.
r) ∝ exp(2r/a) . 2 cosh (W/2kT ) 1 + ω 2 τ 2 (10. 3 Relaxational contribution Let us start with expression (10.20) = where 2π 2 2 2 4 e g0 aωrω 3 rω = a ln(2I0 / ω) .230 CHAPTER 10.14) which assumes that there are only the pairs with one electron. r) of the energy and spatial spacings (W and r) one obtains σ(ω) = e2 π 2 ω 3kT ∞ ∞ r4 dr 0 0 τ F (W.22) We will see later that F (W. kT e2 /κrω . 2 2 4 σ(ω) = π 2 e2 ag0 ω 2 rω . At kT e2 /κrω . At the region ω kT e2 /κrω (10. (n− − n+ ) ≈ 2 − 4 cosh [(E1 − µ)/2kT ] Thus. This estimate is valid within all the region ω. The case of ﬁnite temperatures is more complicated. the diﬀerence (n− − n+ ) being 1 . The case of very large temperatures can be considered in a similar way.20) for the contribution of a single pair we get (at T = 0) 2 8π 2 e2 g0 σ(ω) = 3 ∞ rω e2 ω+ κr ω+ e2 κrω r4 I 2 (r) dr [( ω)2 − 4I 2 (r)]1/2 (10. DOPED SEMICONDUCTORS (10.21) − the width of integration over E1 remains essentially the same. r) is a smooth function of r comparing to τ (W. . ω ± both states E1 fall into the layer ≤ kT around the Fermi level. r) dW . However the occupation ± numbers of the states E1 become very close. Introducing the distribution function F (W. and (n− − n+ ) ≈ tanh( ω/2kT ) .
rcω ) dW ∝ ω.4. r) and τ0 (W. ωτ0 r4 e−2r/a dr 0 0 F (W.23) Thus.10. F (W. σ appears ωindependent.24) Let us discuss a bit the distribution function F which is just the probability to ﬁnd a singleelectron pair with the energy distance W . AC CONDUCTANCE DUE TO LOCALIZED STATES Thus let us deﬁne τ = τ0 exp(2r/a) where τ0 is a smooth function of W and (in general) r. r = rT ∼ (a/2) ln(2I0 /kT ). In the absence of Coulomb interaction. r) = d 1 d 2 g( 1 )g( 2 ) δ W − ( 1 − 2 2) + 4I 2 (r) − + + − × [f0 (E1 )[1 − f0 (E1 )] + f0 (E1 )(1 − f0 (E1 )] . r) dW 1 . It is important that for the relevant pairs W ∼ kT . r) (10. r). The properties of the ratio G= ωτ0 exp(2r/a) ωτ = 2 2τ 2 1+ω 1 + ω 2 τ0 exp(4r/a) 231 depend strongly on the product ωτ0 . At ωτ0 ≥ 1 . spatial distance r. 2 cosh (W/2kT ) τ0 (W. the temperature dependence being determined by the properties of the functions F (W. one has G≈ As a result. σ(ω) = e2 π 3kT ∞ ∞ r≥a 1 exp(−2r/a) . π F (W. . At ωτ0 1 the ratio G has a sharp maximum at r = rcω = (a/2) ln(1/ωτ0 ) and we can express G as G≈ In this way we obtain σ(ω) = 4e2 4 ωarcω 3kT ∞ 0 4a δ(r − rcω ) . cosh2 (W/2kT ) (10.
9 The main features are: Figure 10. and one has to calculate the number of pairs taking into account electron repulsion at the same center.9: The absorption coeﬃcient as a function of the energy of light quanta at 77 K in nGaAs.5 Interband light absorption A typical experimental picture of frequencydependent light absorption in heavily doped degenerate GaAs is shown in Fig.02. 2 – 2. cm−3 : 1 – 0. 1. 2 F (W. 10. 6 – 31.3.232 CHAPTER 10. tanh(W/2kT ) Coulomb interaction changes the situation. Thus at kT e2 /κrcω the absorption is essentially temperatureindependent at ωτ0 10.5. In that case 2 F (W. n · 10−17 . . r) = g0 [W 2 − 4I 2 (r)]1/2 W W+ e2 κr .2. 6 – 65. 5 – 16.2. r) = g0 [W 2 − 4I 2 (r)]1/2 2 ∼ g0 kT . At low enough at kT e2 /κrcω that leads to the result similar to the one discussed above. 3 – 5. 4 – 12. DOPED SEMICONDUCTORS Here f0 is the Fermi function. The integration is very simple for the Anderson model (g = g0 = const).
10.5. INTERBAND LIGHT ABSORPTION
233
• rapid decrease of absorption (4 orders of magnitude) inside the forbidden gap (1.51 eV at 77 K). • Shift towards short waves with increasing concentration (MossBurstein shift). The last feature is due to Pauli principle which requires that the transitions should take place only into empty states (above the Fermi level). For indirect transitions the shift is equal to µ while for direct ones it is µ(1 + me /mh ), see Fig. 10.10. This picture is
µ
µ me
m
h
Figure 10.10: Scheme of typical interband absorption processes. relevant to very low temperatures. At ﬁnite temperatures there is an absorption below the threshold because one can ﬁnd a hole in the conduction band with the energy µ − with the probability exp(− /kT ). Thus, α ∝ exp[−(µ + Eg ω)/kT ] . Another important source which we are going to discuss are transitions from ﬂuctuation levels above the top of valence gap, Fig. 10.11 We see that the absorption is proportional to the probability to ﬁnd a level with the energy h = Eg + µ − ω which decays exponentially with h . This probability must be multiplied by the transition probability which is not exponentially small in many important cases. Thus, the frequency dependence of absorption in degenerate doped semiconductors reproduces the DOS proﬁle for minority carriers. The situation is somewhat diﬀerent in the case of nondegenerate materials where the Fermi level is situated deep in the forbidden gap. The situation is realized at high temperatures or degrees of compensation, as well as in indirect materials. Assume that there are impurities of both signs, Nt = ND + NA . The impurity potential is regarded as Coulombic at short distances r ≤ r0 and screened at large distances. Let
234
CHAPTER 10. DOPED SEMICONDUCTORS
Eg
Eg
Figure 10.11: Scheme of interband transitions in a degenerate semiconductor at T = 0. r0 be large enough to consider the potential as classical; we also neglect the correlation in defect positions. Mathematically, that can be expressed as
2 2
, 2 2 m e r0 m h r0
γ,
e2 3 γ= (Nt r0 )1/2 . κr0
One can show that in such a case the DOS tail can be represented as g( ) = g(0) exp(− 2 /γ 2 ) . In such an important case the absorption behavior does not represent the behavior of DOS, see Fig. 10.12 Suppose we are studying the transition which results in the formation of an
εe
A Eg B
∆
hω
εh
Figure 10.12: Absorption of a quantum of deﬁcit ∆ in a nondegenerate semiconductor. electron of energy
e and
a hole of energy
h, h
∆=
−
e
10.5. INTERBAND LIGHT ABSORPTION
235
(here the energies are calculated from the nonperturbed band edges). We observe that the electron and hole are spatially separated. Thus the matrix element involves overlap integral which has almost nothing to do with DOS. What we meet here, is the FranzKeldysh eﬀect in a random ﬁeld. To derive the result we use the conventional optimum ﬂuctuation method. Here we demonstrate a simpliﬁed version of the method. Consider a volume with linear dimension R. Charge ﬂuctuations in the volume create a uniform electric ﬁeld E, determined by the condition eER = ∆ . The excess number Z of charge defects to create the ﬁeld E = Ze2 /κR2 must be κR∆ EκR2 Z= = 2 . (10.25) e e The contribution of such a ﬂuctuation to the absorption coeﬃcient is proportional to 1. the probability to ﬁnd Z excess charges in the given volume, exp(−Z 2 /Nt R2 ) , 2. the probability for an electron to tunnel the distance R to meet the hole, exp −R (we assume mh m2 ). m2 ∆/
Substituting Z from Eq. (10.25) we obtain the probability to be proportional to √ κ2 ∆2 R me ∆ exp − 2 − . e Nt R Maximizing the exponent, we obtain ˜ R=a Consequently, α(∆) = exp −β α(0) ∆ E0
1/2 1/2
∆ E0
1 . (Nt a3 )1/2 1 (Nt a3 )1/2
where β is the number of the order 1. The derivation is valid at ˜ R ≤ r0 . In the opposite case, the probability to ﬁnd the proper ﬂuctuation decreases, and the ˜ optimal cluster has the size r0 . In that situation one has to substitute r0 instead of R to obtain ∆2 α(∆) = exp − 2 . α(0) γ
236
CHAPTER 10. DOPED SEMICONDUCTORS
Part III Basics of quantum transport
237
Chapter 11 Preliminary Concepts
11.1 TwoDimensional Electron Gas
An important system where quantum eﬀects were observed is twodimensional electron gas (2DEG). There are two basic systems where 2DEG has been studied. One of them is Si MOSFETs (metaloxidesemiconductor ﬁeldeﬀect transistors). A very good review of such systems is given in Ref. [7]. A typical device is shown in Fig. 11.1. A (100)Si surface serves
2DEG
eVg

 
  
EC E F EV
EF Metal
SiO2
pSi
Figure 11.1: Band diagram showing conductance band EC , valence band EV and quasiFermi level EF . A 2DEG is formed at the interface between the oxide (SiO2 ) and ptype silicon substrate as a consequence of the gate voltage Vg . as a substrate while SiO2 layer behaves as an insulator. 2DEG is induced electrostatically by application a positive voltage Vg . The sheet density of 2DEG can be described as ns =
ox
edox
(Vg − Vt )
where Vt is the threshold voltage for the barrier’s creation Another important systems with 2DEG involve modulationdoped GaAsAlGaAs heterostructures. The bandgap in AlGaAs is wider than in GaAs. By variation of doping it is possible to move the Fermi level inside the forbidden gap. When the materials are 239
240
CHAPTER 11. PRELIMINARY CONCEPTS
put together, a uniﬁed level of chemical potential is established, and an inversion layer is formed at the interface.
nAlGaAs
iGaAs
EC EF
EV
EC EF EV
EF
EC + + + 2DEG EV
Figure 11.2: Band structure of the interface between nAlGa As and intrinsic GaAs, (a) before and (b) after the charge transfer. The 2DEG created by a modulation doping can be squeezed into narrow channels by selective depletion in spatially separated regions. The simplest lateral conﬁnement technique is to create split metallic gates in a way shown in Fig. 11.3 A typical nanostructure is shown in Fig. 11.4.
11.2
Basic Properties of LowDimensional Systems
Wave Functions
Let us direct zaxis perpendicular to the plane of 2DEG. The wave function can be decoupled as Ψ(r, z) = χ(z) ψ(r) where r is the vector in plane of 2DEG. Throughout our considerations we will assume that all the distances are much larger than interatomic distance and thus we will use the eﬀective
11.2. BASIC PROPERTIES
241
Gate AlGaAs
Gate +
GaAs
Channel
Figure 11.3: On the formation of a narrow channel by a split gate.
Figure 11.4: Scanning electron microphotographs of nanostructures in GaAsAlGaAs heterostructures. Taken from M. L. Roukes et al., Phys. Rev. Lett. 59, 3011 (1987). mass approximation. A good approximation for the conﬁning potential is a triangular one, U (z) = ∞ at z < 0 ; F z at z > 0 .
Then one can write the Schr¨dinger equation for the wave function χ(z) as o ∂ 2 χ 2m + 2 (E − F z)χ = 0 . ∂z 2 Instead z we introduce a dimensionless variable ζ= The quantity
F
(11.1)
z−
E F
2mF
2
1/3
.
=
2mF
2
−1/3
plays the role of characteristic localization length in z direction. Then Eq. (11.1) acquires the form χ − ζχ = 0
the energy being En. Here Ai(ζ) is the Airy function deﬁned as 1 Ai(ζ) = √ π ∞ cos(u3 /3 + uζ) du .088. Such a solution has the form χ(ζ) = A Ai(ζ) . 1/3 . spin quantum number σ. We have ζ1 ≈ −2.337 . Ai(ζ) ≈ 1 sin ζ1/4 2 3/2 π ζ + 3 4 . The energy spectrum E is deﬁned by the roots ζn of the equation Ai(ζ) = 0 .5. 0 For large positive ζ it decays exponentially. 0 Normalized electron densities An χn (z) are shown in Fig.k = En + E(k) = En + k . Ai(ζ) ≈ 1 −(2/3)ζ 3/2 e . Here E0 = F2 2m 2 → En = −E0 ζn . 2m 2 2 2 Note that the eﬀective mass m is considerably smaller than the mass of a free electron. + d . ζ2 ≈ −4. In the present case it includes the subband quantum number n. Each level creates a subband for the inplane motion. The normalization constants An for each level are deﬁned as ∞ −1 An = dz χn (z)2 . valley quantum number . 2ζ 1/4 while for large negative zeta is is oscillatory. Density of States The density of states g( ) is deﬁned as number of states per the energy interval . 11.242 CHAPTER 11. PRELIMINARY CONCEPTS which should be solved with the boundary conditions of ﬁniteness at inﬁnity and zero at z = 0. It is clear that g( ) = δ( − α ) α where α is the set of quantum numbers characterizing the states.
n Within a given subband it appears energyindependent. BASIC PROPERTIES 243 0.6.5 0. At low temperature (kT EF ) all the states are ﬁlled up to the Fermi level.11. If the spectrum is degenerate with respect to spin and valleys one can deﬁne the spin degeneracy νs and valley degeneracy νv to get νs νv g( ) = dd k δ ( − En. F = ( 2 /2mF ) .1 0 1 1 2 2 3 ζ 4 5 6 7 Figure 11.5: Normalized electron densities An χn (z/ F )2 for the ﬁrst (1) and second (2) 1/3 subbands in a triangle potential with the slope F .6. For 2D case we obtain easily g( ) = νs νv m 2π 2 Θ( − En ) . v (for ntype materials). 11. Because of energyindependent density of states the sheet electron density is linear in the Fermi energy.6 0. as shown in Fig. and inplane quasimomentum k. inset). the total density of states can be represented as a set of steps.2. Since there can exist several subbands in the conﬁning potential (see Fig. (2π)d n Here we calculate the number on states per unit volume.k ) .3 0.2 0. d being the dimension of the space.4 0. 11. ns = N νs νv mEF + const 2π 2 .
the energy being . In a similar way. N where N is a proper normalization factor. the inplane wave function can be decoupled as a product 1 ψ(r) = η(y) eikx x .6: Density of states for a quasi2D system. √ −1 νs νv dEs (kx ) νs νv m 1 + √ gs ( ) = = 3/2 . along yaxis. The situation is more complicated if the gas is conﬁned into a narrow channel. respectively. 11. − Ens (11. while for the parabolic conﬁnement U (y) = (1/2)mω0 y 2 (typical for splitgate structures) Es = Es = (s − 1/2) ω0 . PRELIMINARY CONCEPTS Density of states 1 E1 E2 EF E 3 Energy Figure 11.244 3 2 CHAPTER 11. while the Fermi momentum in each subband can be determined as 1 kF n = 2m(EF − En ) . 2mW 2 2 where W is the channel width.2) 2π dkx 2 π − Ens The total density of states is √ νs νv m g ( ) = 3/2 2 π + En. For squarebox conﬁnement the terms are (sπ )2 . 2m Here Ens ≡ En + Es characterizes the energy level in the potential conﬁned in both (z and y) directions. We have. . Here N is the number of transverse modes having the edges En below the Fermi energy.k = En + Es (kx ) = En + Es + 2 2 kx ns Θ( − Ens ) √ .3) The energy dependence of the density of states for the case of parabolic conﬁnement is shown in Fig. It is conventional to introduce partial densities of states for the states with kx > 0 and kx < 0. (11. g ± .7.s. say.
interaction with periodic potential of the s crystalline lattice leads to renormalization of the spin splitting µB → µ= gf µB where gf is called the spectroscopic spin splitting factor. s 2m 2mc mc2 s . BASIC PROPERTIES 245 Figure 11. Generally. according to the classical theory the Hamilton’s function of a charged particle in an external electromagnetic ﬁeld is H= e 1 p− A 2m c 2 + eφ . one should replace the canonical momentum p by the operator ˆ p → p = −i and add also an extra spin term −µH where µ = µB ˆ/s. Motion in a perpendicular magnetic ﬁeld 2DEG in a perpendicular magnetic ﬁeld gives an example of 0dimensional electronic system.2. and p is the generalized momentum of the particle. Finally we get. According to the rules of quantum mechanics.7: Density of states for a quasi1D system (solid line) and the number of states (dashed lines). Here µB = e/2mc is the Bohr s magneton while ˆ is the spin operator.11. Indeed. H = 2 1 e ˆ p − A − µH + eφ 2m c 2 p e e2 A2 µ = − (A · p + p · A) + − ˆ · H + eφ . where φ is the scalar and A is the vector potential of the ﬁeld.
c ∂t where f is an arbitrary function of coordinates and time. PRELIMINARY CONCEPTS ˆ ˆ p · A − A · p = −i divA . Under such a transform only the phase of wave function is changed by the quantity ef / c that does not aﬀect the observable quantities. p2 ˆy p2 ˆ µ + + z − sz H . the commutation rules being {ˆx . Thus one can analyze the Schr¨dinger o equation for an ordinary coordinate function. v ˆ {ˆy . . vx } = i(e /m2 c)Hy . 2 The wave function in a magnetic ﬁeld is not uniquely deﬁned: it is deﬁned only within the gauge transform 1 ∂f A→A+ f. v ˆ That means that the particle cannot simultaneously have deﬁnite velocities in all three directions. ˆ 2m 2m s First. mv = p − eA/c . vy } = i(e /m2 c)Hz . Thus zcomponent of spin is ˆ conserved and can be replaced by its eigenvalue σ. φ→φ− . v ˆ {ˆz . the generalized momentum of the particle is related to its velocity by the Hamilton equations. Let us determine the energy levels in a 3dimensional system embedded into a uniform magnetic ﬁlm with a vector potential Ax = −Hy . the operator sz commutes with the Hamiltonian. In classical mechanics. It holds in a uniform ﬁeld with 1 A = H × r. 1 2m eH px + ˆ y c 2 + p2 + p2 ψ − ˆy ˆz µ σHψ = Eψ . According to the quantum mechanics we arrive at a similar expression.246 Since CHAPTER 11. those operator commute if divA = 0. vz } = i(e /m2 c)Hx . The Hamiltonian then becomes 1 H= 2m eHy px + ˆ c 2 A y = Az = 0 . s It is naturally to search for solution in the form ψ = ei(px x+pz z)/ φ(y) . However diﬀerent components of velocity do not commute.
. (11. (11. ˆ ˆ That means that the coordinates x0 and y0 cannot take deﬁnite values simultaneously. . the radius of the circle is rc = cmvt /eH = vt /ωc . they are called Landau levels. the operators y0 and x0 do not commute.kx . The quantity x0 corresponds to a classical x coordinate of the circle center. y = y0 + rc (vx /vt ) . it commutes with the Hamiltonian. Consequently. n = 0.7) 2 2m The eigenfunctions φn (y) are φn (y) = π 1/4 aH √ 1/2 1 2n n! exp − (y − y0 )2 2a2 H Hn y − y0 aH .8) correspond to the energy independent of ky .8) 2m 2 E+ µσ p2 H− z s 2m 1 2 − mωc (y − y0 )2 φ = 0 . However.kz kx In a classical mechanics. (11. 247 Thus the motion along magnetic ﬁeld in 3D system is not quantized. µ/s = −e /mc.11. 1. In classical mechanics the motion in a magnetic ﬁeld in xyplane takes place in a circle about a ﬁxed center. Since Az = 0 we get pz = mvz . any function of the type C(kx )ψN. (11. 1 . 1 One can ask: why the coordinates x and y are not equivalent? The reason is that the wave functions (11. For an electron. ωc = eH/mc .6) z The ﬁrst term gives discrete levels which corresponds to the ﬁnite motion in the xyplane. Thus we have. BASIC PROPERTIES The eigenvalues px and pz take all values from −∞ to ∞. Here the conserved quantity y0 corresponds to y coordinate of the center of the circle.4) Here Hn is the Hermite polynomial. we o obtain E = (n + 1/2) ωc − (µσ/s)H + p2 /2m . It is easy to see that the combination x0 = cpy /eH + x is also conserved.2. For a motion in the xyplane we have the following Schr¨dinger equation. . o φ + Here y0 = −cpx /eH = −a2 kx . x = x0 − rc (vy /vt ) . H aH = (c /eH)1/2 . Here vt is the tangential component of the velocity. 2 (11. and the energy spectrum reads as 1 p2 E = n + + σ ωc + z .5) Since this equation is the same as the Schr¨dinger equation for a harmonic oscillator.
we assume that the solution exists only in the region 0 < y 0 < Ly . To take the spin into account one should add the spin splitting ±µB gf H to the energy levels. As usual. Finally. H Now it is easy to calculate number of states in a 3D system treating the kz variable as for the usual 1D motion √ 2 2mLz 2kz Lz ε − ωc (N + 1/2) = 2π 2π for each state with a given N . Lx kz = 2π nz . Θ(x) = 0 for x < 0 is the Heaviside step function. The total number of sates is Z(ε) = 2Zs (ε). If we ignore the spin splitting we can assume spin degeneracy and multiply all the formulas by the factor 2. .9) This is very important relation which shows that one can imagine Landau states as cells with the area a2 . We take it into account automatically using g(ε) = 2gs (ε). We will come back to this property later. we apply cyclic boundary conditions along y and z axes and get kx = 2π ny . So. 2π 2πa2 0 2πa2 H H (11. To get DOS one should to diﬀerentiate this equation with respect to ε. the total number of states per volume for a given spin is √ 2 2m ε − ωc (N + 1/2) Zs (ε) = ZsN (ε) = (2π)2 a2 N H N where one has to sum over all the values of N with nonnegative ε− ωc (N +1/2). 1 1/2 for x = 0 . the degeneracy factor is Lx max Ly Lx Lx kx max = y = . Lz At the same time. gs (ε) = = 2 dε (2π)2 aH N ε − ωc (N + 1/2) Here for x > 0 . PRELIMINARY CONCEPTS corresponds to the same energy and one can chose convenient linear combinations to get correct asymptotic behavior. To calculate the density of states in a magnetic ﬁeld ﬁrst we should count the number of the values ky corresponding to the energy εα (the socalled degeneracy factor).248 CHAPTER 11. The result is √ dZ(ε) 2m Θ[ε − ωc (N + 1/2)] .
σ ) . We see that if magnetic ﬁeld is small many levels are ﬁlled. and instead of eipz z/ we have χs (z). The means that for each subband of spatial quantization we have a sharp Landau level. Here Landau subbands play the same role as the modes of transverse quantization for quantum channels. The Fermi level is also shown.σ Thus the density of states has sharp maxima at the energy levels that is a feature of socalled 0dimensional system. Then. the density of states (per area) being g( ) = νv eH δ( − En.8: Landau levels as functions of pz (left panel) and of H (right panel). The Landau levels as functions of magnetic ﬁeld for a given value of pz are shown in Fig. the slopes of the “fan” also increase and at a given threshold value HN for which εN (HN ) = F. they form the socalled Landau fan. N so ∆ 1 H ≈ e mc c . BASIC PROPERTIES 249 Energy 2 1 0 E Energy E pz H Figure 11. for the ﬁeld HN −1 determined from the equation εN −1 (HN −1 ) = F the (N −1) becomes empty. . F Here mc is the socalled cyclotron eﬀective mass which in the case of isotropic spectrum is the same as the densityofstates eﬀective mass.8. 11.11. We observe that DOS in a given magnetic ﬁeld oscillated with the increase in energy just similar to the case of quasi 1D systems. For a 2DEG the motion along zdirection is quantized. At low magnetic ﬁelds its dependence on magnetic ﬁeld is very weak.2. 4π 2 2 c n. As a function of magnetic ﬁeld.s. The Fermi level is assumed to be ﬁxed by external conditions. In real samples the peaks are smeared by disorder. Let us start with some value of magnetic ﬁeld and follow the upper ﬁlled level N . As the ﬁeld increases. As the ﬁeld increases the electrons are transferred from the N th Landau level to the other ones. The behavior of the density of states could be interpreted qualitatively in the following way.s. We get HN ≈ mc c e F 1 .
9: The Fermi distribution (solid line) and its energy derivative multiplied by kT (dashed line) for ζ/kT = 10. F (11.5 2 2.5 2 Figure 11. PRELIMINARY CONCEPTS 11. we get ∞ f0 ( ) ≈ e(ζ− )/kT . . the Fermi energy is given by the equation F n= 0 g( ) d . n = eζ/kT 0 g( ) e− /kT d . The chemical potential is determined by the normalization to the total number of electrons as ∞ n= 0 g( ) f0 ( ) d where n is the electron density.5 0 ε/ζ 0.9 1 0. kT F . At zero temperature the chemical potential is called the Fermi energy.250 CHAPTER 11. 11.5 0.3 Degenerate and nondegenerate electron gas At equilibrium the states are ﬁlled according to the Fermi function 1 .10) is met. In the The limiting case T = 0 is actually means the the inequality kT opposite limiting case. Since at T = 0 f0 ( ) ≈ Θ( − ζ) .5 1 1.5 1 1. f0 ( ) = exp[( − µ)/kT ] + 1 where µ is the chemical potential while k is the Boltzmann constant. F . The graph of the Fermi function and its energy derivative is given in Fig.
Note that 1 µm = 10−6 m = 10−4 cm. λ. Mean free path in polycrystalline metallic ﬁlms 10 nm 1 nm de Broglie wave length in metals Distance between atoms 1˚ A Table 11. (11. λ = 2π/kF = 2π/ns √ where ns is the sheet density.4. 2mkT .11. and λ= √ 2π .1. A The above mentioned scales have the following physical meaning: De Broglie wave length. For the case of a single ﬁlled band in 2DEG. This length is deﬁned as λ= 2π 2π = p k where p (k) is the typical electron momentum (wave vector). 1 1 = A(T ) n This distribution is called the Boltzmann one.1: A few relevant length scales. They are shown in the Table 11. For the Boltzmann gas. For Fermi gas the characteristic momentum is just the Fermi momentum. f0 ( ) = A(T ) e− /kT . p ≈ 2mkT . 1 mm Mean free path in the quantum Hall regime 100 µm Mean free path/Phase relaxation length in highmobility semiconductor at T < 4 K 10 µm 1 µm Commercial semiconductor devices (1990) 100 nm de Broglie wave length in semiconductors. 1 nm = 10−9 m = 10 ˚. RELEVANT LENGTH SCALES Thus.11) 11. 0 251 ∞ g( ) e− /kT d .4 Relevant length scales One can discriminate between several important length scales in lowdimensional systems.
It is deﬁned as 1 ∝ dθ sin θ W (θ) (1 − cos θ) τtr where θ is the scattering angle while W (θ) is he scattering probability. Lϕ . spinﬂip processes. interference can be also important for the interaction of two electrons having close . If the phases of the waves are not destroyed. The above mentioned relaxation process is relevant to the interference of the wave functions belonging to a singleelectron state. Since it moves diﬀusively a proper way to estimate the relevant length Lϕ is as follows: Lϕ = Dτϕ . in any stationary potential the equations of motion are timereversible. Indeed. The only processes which can be responsible for phase relaxation are the ones which broke the symmetry with respect to timereversal. However. LT . Namely. m The physical meaning of mobility is that a typical electron drift velocity acquired in an external electric ﬁeld E is given by the relation vd = uE . where D = (1/d)v is the diﬀusion constant (d is the dimensionality of the electron gas). in quantum mechanics the state is characterized by the wave function which has a phase. Thermal dephasing length. It is clear that scattering against any static spinindependent potential cannot lead to the phase relaxation. The phase is important in the socalled interference phenomena.252 CHAPTER 11. Phaserelaxation length. It is deﬁned as = vτtr where v is the typical velocity while τtr is the socalled transport relaxation time. Usually the transport is characterized by the mobility u= eτtr . Among them are inelastic scattering by phonons. etc. The phaserelaxation time. This is a specially quantum mechanical relaxation length which has no analogs in classical physics. PRELIMINARY CONCEPTS Mean free path. classical motion can be described as evolution of the probability to ﬁnd a particle at a given point at a given time. This is a characteristic length between the collisions with impurities or phonons. . describes relaxation of the phase memory. τϕ . However. An important feature of such processes is that an electron suﬀers many elastic collisions during a typical time τϕ . a speciﬁc quantum interference phenomena can be observed and important. electronelectron collisions. where the electron wave functions having diﬀerent prehistory are collected at the same point.
scales Lϕ and LT become important. most of the recent work has been based on the gallium arsenide (GaAs)–aluminum gallium arsenide (AlGaAs) material system.10 for the case where the length L of the sample is much larger than its width. and the situation appears more rich and interesting. one can discriminate between diﬀusive. if the energy diﬀerence between the electrons is ≈ kT they travel almost coherently during the time /kT . L and ballistic.11. L) transport regimes. Thus the characteristic length of coherent propagation is estimated as LT = D/kT . Some important parameters for such systems are shown in Fig. The situation is illustrated in Fig. Mesoscopic conductors are usually fabricated by patterning a planar conductor that has one very small dimension to start with. Indeed.10: Electron trajectories for the diﬀusive ( < W. . From [11]. quasiballistic (W < < L) and ballistic ( > W. RELEVANT LENGTH SCALES 253 energies. Comparing mean free path with characteristic dimensions of the system. the Figure 11.4. Although some of the pioneering experiments in this ﬁeld were performed using metallic conductors. W . 11. L). L. Such a classiﬁcation appears incomplete in the situation where diﬀerent dimensions of the sample are substantially diﬀerent. 11.11. ≥ L. transport. If phase coherence is taken into account.
.11: Electronic properties of the 2DEG in GaAsAlGaAs and Si inversion layers. PRELIMINARY CONCEPTS Figure 11.254 CHAPTER 11. From [10].
1 Landauer formula We start this chapter by a description of a very powerful method in physics of small systems .Chapter 12 Ballistic transport 12. So the diﬀerence between the chemical potential in αth reservoir will be denoted as µα . For small δn one can assume that there is a diﬀerence in a chemical potential. Another important assumption is that the system is connected to reservoirs by ideal quantum wires which behave as waveguides for the electron waves. In the following we shall use the Fermi level of nonbiased system as the origin for the chemical potentials. The main principle of this approach is the assumption that the system in question is coupled to large reservoirs where all inelastic processes take place. 255 . the transport through the systems can be formulated as a quantum mechanical scattering problem. We start our analysis from the discussion of the properties of an ideal quantum wire. then the total current carried by the state characterized by a transverse mode n and a given direction of spin which propagates without scattering is Jn = e 2 dkz ∂εn (kz ) = 2π ∂kz 2π F +µβ dε F +µα ∂εn (kz )/∂kz 2 = δµ . h We come to a very important conclusion: an ideal quantum wire has ﬁnite resistance h/2e2 N which is independent of the length of the wire. Ideal quantum wire Consider 2 large reservoirs of electron gas reservoirs having the diﬀerence δn in the electron density and separated by a pure narrow channel. Consequently. then the conduc2 tance is given by the expression G = 2e N . δµ = δn/g( F ). Thus one can reduce the nonequilibrium transport problem to a quantum mechanical one. ∂εn (kz )/∂kz  h If we take into account electron spin and N transverse modes are open. If the channel is long and uniform.socalled Landauer approach.
The rate of heat generation is expressed through T ∂ S/∂t. That means a ﬁnite heat generation even in the absence of any inelastic processes inside the wire. For instance. This thermodynamically deﬁned heat is generated in the classical reservoirs over the length having a physical meaning of the electron mean free path. There is a capacitor which is discharged through the conductor of interest. a local equilibrium electron distribution is established over the length scale determined by electronelectron interaction. ˆ ˆ S. is conserved. The latter can in principle be measured by optical methods. which determines the conductivity of the reservoirs themselves. while its total entropy. through the applied voltage and characteristics of the nanostructure itself.256 CHAPTER 12. The amount of order in the electron distribution resulting in electric current can bring about mechanical work. All the above considerations do not mean that the collisions that give the main contribution to the heat release. The product RC of the whole system. Only over those distances from the channel one can treat the results in terms of the true local temperature. First of all let us specify what heat release is.e. Therefore we will have in mind the following physical situation. R and C being the resistance and capacitance respectively. the equilibrium with respect to the lattice is established at the scales of electronphonon and phononphonon mean free paths. This means that for all the practical purposes the conduction process can be looked upon as a stationary one. which is made only for the sake of derivation. What equilibrium needs is inelastic collisions which transfer the energy of electrons taking part in charge transfer to other degrees of freedom. where T is the temperature. That is the same mean free path that enters the Drude formula. On the other hand. It is interesting to indicate that even purely elastic collisions can result in a heat generation although they of course cannot establish full equilibrium. such as to other electrons and phonons. BALLISTIC TRANSPORT As we have seen. In particular. the amount of order in the electrons’ distribution diminishes. . This has a clear physical meaning. In such a way the electrons transferring the current can execute a work on the rod. also establish full equilibrium. It has been shown that the heat release is symmetric in both reservoirs even if the scatterers in the system are asymmetric. The total energy of the system. one can let the current ﬂow through a coil. is growing. the amount of heat generated per second in both reservoirs being the same. This means that the result is independent of the assumption that the considered system is isolated. U. and a magnetic rod can be drawn into the coil. even an ideal quantum wire has a ﬁnite resistance. It will be convenient to consider an isolated system. is much bigger than any relaxation time characterizing the electron or phonon system of the conductor. As a result of scattering. and this means dissipation of mechanical energy into the heat. Below we will discuss the physical picture of heat release by a currentcarrying nanostructure (here we follow the considerations of Ref. [23]). i. Such a distribution can be characterized by a local electrochemical potential and sometimes an electron temperature.
h n=1 As a result. Ei + 2 2 ki 2m = EF . to obtain (including spin degeneracy) N 2 J = δµ Tn . Tn . In this case one can introduce the transmission probability of the mode n.1 consisting of a barrier connected to reservoirs by ideal quantum wires. (12. (12. G= 2e2 h N Tn = n=1 2e2 Tr tt† .1).12. Now we derive the Landauer formula for ﬁnitetemperature and socalled multichannel case when the leads have several transverse modes. the quantity which is usually measured is given by Eq. Having in mind that the resistance of the connecting ideal wires (per one conducting mode) is h/2e2 we can ascribe to the scattering region the resistance h 1 h R −1 = 2 . Let each lead has the cross section A and have N⊥ transverse channels characterized by wave vectors ki so that. h (12. Consequently. in the original formulation the quantum resistance was described as N 2e2 Tn G= . Indeed.1) Here t is the matrix of scattering amplitudes while the expression is called twoterminal Landauer formula. This very important and looking simple formula was confusing during a long period. Consider ideal wires which lead to a general elastic scattering system. 2e2 T 2e T where R is the reﬂection coeﬃcient.1: On the resistance of a quantum resistor. LANDAUER FORMULA 257 Resistance of a quantum resistor Consider a system shown in Fig. . this is the conductance which is measured between two reservoirs.2) h n=1 1 − Tn However. Figure 12.1. 12. If there is some reﬂection only a part of the current is transmitted.
. . then from unitarity condition we get Ti = i i (1 − Ri ) . Multiterminal resistance For simplicity we shall discuss the case of zero temperature. the diﬀerences µ1 − µ2 are also assume small to yield linear transport. gi (E) = (π vi )−1 we write the current through outgoing channels as e dE [f1 (E)Ti (E) + f2 (E)R (E) − f2 (E)] I = π i = (µ1 − µ2 )e π 2e2 h dE − ∂f ∂E ∂f ∂E Ti (E) . BALLISTIC TRANSPORT The incoming channels are fed from the electron baths with the same temperature and chemical potentials µ1 . We shall assume that the particles are absorbed in the outgoing baths. In a magnetic ﬁeld the Onsager relation requires S(H) = S(−H). Let us introduce the total transmission probability from the bath α to the bath β. Thus we have also SS = I where star stays for complex conjugation while tilde ˜ for transposition.258 CHAPTER 12. If we replace the incoming and outgoing channels. Ri = j rij 2 . . Nα Nβ Tα→β = n=1 m=1 tβα. In this way it is convenient to introduce 2N⊥ × 2N⊥ scattering matrix as S= r t t r . . we denote the proper amplitudes by primes. It one deﬁnes the total transmission and reﬂection into ith channel as Ti = j tij 2 . µ2 . Since the densities of states in each channel are 1D like. The sources are assumed to be incoherent. The outgoing channels are fed up to thermal equilibrium population. This is the twoterminal conductance measured between the outside reservoirs which includes contact resistances. Reﬂection amplitudes rij are introduces in a similar way for reﬂection into the ith incoming channel.mn 2 . From the current conservation we must require unitarity while from time reversal symmetry ˜ S = S.. i Thus the conductance becomes G= dE − Tr tt† . We introduce the scattering amplitudes tij for the transmission from jth incoming to ith outgoing channel.
the sum of the elements of each row also vanishes because if one changes all the chemical potentials by the same amount no current will be induced.2: On the resistance of 4terminal device. The the net current Iα is given by the following set of equation. 4terminal resistance. g. e. Counting all the chemical potentials from the Fermi level. . ˆ where the conductance matrix G is deﬁned as Gαβ 2e2 = [(Nα − Rα ) δαβ − Tβ→α (1 − δαβ )] h 2e2 = [Nα δαβ − Tβ→α ] .4) (12. They u V 3 4 1 I 2 I Figure 12.4) and (12. h Iα + (Nα − Rα )µα − Tβ→α µβ . The sum of rows of this matrix is zero because of current conservation. LANDAUER FORMULA 259 Here Ni is the number of propagating modes in each lead connected to ith reservoir. we can put I1 = −I2 = I. h (12. Indeed.5) are called often the LandauerB¨ttiker formalism. we can write ˆ I = Gµ . we see that the reservoir α injects the current (2e/h)Nα µα into the lead α. Then I = I j where 1 −1 j =I 0 . Thus Nα − R α = β=α Tβ→α = β=α Tα→β .12. The fraction Tα→β /Nα is transmitted to the reservoir β while the fraction Tα→α /Nα = Rα /Nα is reﬂected back into reservoir α. I3 = I4 = 0. allow ﬁnd. respectively.5) Here we use the relation Tα→α = Rα .3) Introducing vectors I and µ with components Iα and µα .1. The equations (12. 2e β=α (12. 0 Thus R34 = µ4 − µ3 ˆ = G−1 j I ˆ − G−1 j 4 3 .
π −π/2 2π Thus the “diﬀusion constant” is Def f J 1 = = W vF δn π → G = e g( F )Def f 2 2e2 kF W = . ∞ dE g(E) (∂f0 /∂E) 0 12. A T = ∞ 0 dE g(E) (∂f0 /∂E) A(E) .αβ (−H) . In a classical picture one can write π/2 dα 1 J = W (δn)vF cos α = W vF (δn) . Tα→β (H) = Tβ→a (−H) that results in the reciprocity relation Rαβ.γδ stands for the resistance measured for voltage contacts γ. The quantization is not that accurate as in quantum Hall eﬀect (about 1%) because of nonunit transparencies Tn and ﬁnite temperature. β.3: A sketch of QPC formed by splitted gates.short and narrow constrictions in 2d electron gas.γδ (H) = Rγδ. Here Rαβ.2 Application of Landauer formula Point ballistic contact The most clean system is the socalled quantum point contact (QPC) .3 The conductance of Figure 12. QPC is quantized in the units of 2e2 /h. What we only need is linear response and absence of inelastic scattering inside the device under consideration.260 CHAPTER 12. 12. Note that this relation works even in the case when the concept of local conductivity is not applicable. δ while the current passes through the contacts α. It is interesting to compare quantum and classical behavior of QPC. BALLISTIC TRANSPORT Having in mind the properties of the scattering amplitudes we have. A sketch of QPC is shown in Fig. h π . One can easily generalize the above expressions for the case of ﬁnite temperatures by ˆ replacement of the element of Gmatrix by their thermal averages.
5: On the classical conductance of a point contact.12. In this way we get the . 1 is B exp(kx − ωt). EF + eV α W EF Figure 12. The reverse wave C gains the phase −φ. Let the wave emerging from the obstacle iφ D 1 A B C Be −i φ Ce Figure 12. It reaches the obstacle 2 gaining the phase φ. APPLICATION OF LANDAUER FORMULA 2 Conductance (2e /h) 261 Gate Gate voltage Figure 12.2. the amplitude of the reﬂected wave is A while D is the amplitude the wave transmitted through device. having the complex amplitude B exp(iφ). Note that the integer part of the quantity kF W/π is just the number of occupied modes according to quantum mechanics. the phase shift of the wave along which being φ. Let the wave with unit amplitude is incident to the region.6: On series of quantum resistors.4: Quantization of conductance of a point contact: Schematic picture (left) and experimental result (right). The obstacles are connected by an ideal conductor. Series addition of quantum resistors Assume that we have two obstacles in series.
Let the distribution of φ will be constant in the interval (0. by the phase φ. Now let us add a very good conductor to this chain. Solving this equation we obtain. Ce−iφ = r2 Beiφ . Such a behavior can be formulated as a “renormalization group” 1 d −1 G R dn n = G −1 n + 1.262 following set of equations. G≡ 2. Tn Thus an addition a good conductor increases the resistance by R/Tn > R. BALLISTIC TRANSPORT B = t1 + r1 C D = t2 Beiφ eiφ t1 t2 . A = r1 + t1 C . i. 1 − R1 1 − R2 R1 + R2 . Assume that we made an ensemble of the systems which diﬀer only by the distance between the obstacles. 1 − e2iφ r2 r1 T1 T2 √ 1 + R1 R2 − 2 R1 R2 cos θ (12. The averaging over φ we get G −1 = while the Ohm’s law will provide G −1 = R1 R2 + . D= that yields for the total transmittance: T = D2 = CHAPTER 12. Thus the average resistance grows exponentially with the length which has something to do with 1D localization. 2π). Then the total reﬂection ﬁrst increases linearly in n. Finally the total transmission becomes substantially less than 1. e. This considerations are not fully satisfactory because resistance . (1 − R1 )(1 − R2 ) As a result the Ohm’s law survives only at small reﬂections. The ratio between reﬂection and transmission which should be understood as a reduced resistance (in units h/2e2 ) of the system excluding wires is √ 2 R A R1 + R2 − 2 R1 R2 cos θ hG G −1 ≡ = = .7) T D T1 T2 2e This is a very strange formula. We get G −1 n+1 = Rn + R = G −1 Tn n + R . (12.6) where θ = 2φ + arg(r2 r1 ). Let us construct a chain of n resistors with very small reﬂections.
Parallel addition of quantum resistors. This point needs some more explanation.7: On the parallel addition of quantum resistances. The geometry of the problem is shown in Fig. 2 So the exact scaling is given by the relation −1 ln 1 + Gn = n(Rh/2e2 ) . The quantity − ln T plays the role of extinction exponent and it should be additive to successive scatterers is the relative phases are averaged out. Let us now discuss the parallel addition of two singlechanneled quantum resistors. We get this relation using 2π dθ ln(a + b cos θ) = π ln 0 √ 1 a + a2 − b 2 .12. ri → ri . the proper quantity to be averaged is ln(1 + G −1 ). t2 → t2 e+iθ . One can eliminate this ﬂux by a gauge transform ψ = ψ exp ie c χj (rj ) .2. 12. t1 → t1 e+iθ . Following Anderson. Indeed. Timereversal symmetry requires ti = ti while the current conservation requires −ti /ti = ri /ri . Here θ = πΦ/Φ0 .7. APPLICATION OF LANDAUER FORMULA 263 is not the proper quantity to be averaged. the branches are absorbed by the scattering parameters. ri → ri . 1 + G −1 = 1 + R/T = 1/T → ln(1 + G −1 ) = − ln T . All the phases and scattering eﬀects along t1 r1 I x1 x2 y1 t’ 1 r1 ’ u1 v1 v2 u2 Φ F y2 t2 r2 t’ 2 r2 ’ Figure 12. following from the gauge invariance the scattering amplitudes are renormalized as t1 → t1 e−iθ . In the presence of AharonovBohm ﬂux Φ through the loop. j . Here A is the vector potential. An AharonovBohm ﬂux Φ through the opening can be represented as A · dl along the path circulating the opening. t2 → t2 e−iθ .
in this case. C = t2 − (2 − r1 − r2 )(2 − r1 − r2 ) . Thus we observe that nonconducting branch can inﬂuence the total conductance strongly. t1 = 0. The subscript 1 is used for left incoming channel and right outgoing channel. −1/ 2 −1/2 1/2 Here Sii denote the reﬂection amplitude of the ith channel while oﬀdiagonal elements Sij are the transition amplitudes from the channel i to j. α = A2 + B2 . In our calculation this phase shift is absorbed into the expressions for the transition amplitudes. Indeed. β = 0 . γ = D2 + E2 . T = . = 2 Re (DE ) . the price for this is that the transformed wave function. v1 . γ = t2 − (2 − r1 − r2 )(2 − r1 − r2 )2 . ψ . 1 2 This expression describes a rich physical picture. x1 . 1 2 D = E = t1 t2 C = t2 + t2 − (2 − r1 − r2 )(2 − r1 − r2 ) . F. T ≡ F 2 = 4 α + β cos 2θ . still the appropriate choice of phases of the reﬂection amplitudes r1 and r1 can result either in T = 0 or T = 1. β = 2 Re (AB ) . β. If we make one branch fully nonconducting. x2 . The transformed Schr¨dinger equation has Al = 0. δ = = 0. BALLISTIC TRANSPORT where χ is deﬁnes as Al = χ. Of course. [24] we arrive at the solution. θ = 0 the transmittance can be strongly dependent on the phases of the complex scattering amplitude. When the electron coordinate is rotated once around the ring the phase of χ is changed by δχ = 2πΦ/Φ0 . y1 . o However. t2 − (2 − r1 − r2 )(2 − r1 − r2 )2 2 Putting r1 = 1 we obtain T = 0. γ. δ. u1 . To ﬁnd the transmitted wave one has to determine 10 unknown amplitudes. y2 . A = t2 t2 + t2 (r1 − 1)(1 − r1 ) .8) where α. u2 . A = t2 (r1 − 1)(1 − r1 ) . If the size of the system exceeds Lϕ we come back to classical laws. B = D = E = 0 . B = t2 t1 + t1 (r2 − 1)(1 − r2 ) .264 CHAPTER 12. γ + δ cos 2θ + cos 4θ (12. are rather complicated functions of the scattering amplitudes. v2 . It is assumed that the connections do not introduce additional scattering and can be described by the unitary scattering matrix √ √ 0 −1/ 2 −1/ 2 √ S = −1/√2 1/2 −1/2 . 2 2 2 2 α = t2  (r1 − 1)(1 − r1 ) . all the discussed eﬀects are due to interference. As a result we get t2 2 (r1 − 1)(1 − r1 )2 . does not satisfy periodic boundary conditions. R It can be done solving the set of matching equations at the scatterers and the triple connections. δ = 2 Re (DC + EC ) . After rather long algebra made originally in Ref. Even in the absence of magnetic ﬁeld.
e.8. The transmittance step depends occurs when the Fermi energy crosses the maximum of ρ dο Energy E x Figure 12.12. from quantum mechanics it is well know that any sharp potential barrier produces oscillations in the transmission coeﬃcient as a function of the energy. pn (x) = 2m[E − n (x)] . the experimental steps were more or less rectangular. ADDITIONAL ASPECTS OF BALLISTIC TRANSPORT 265 12. To make the results simple. see Fig. i.8: On the adiabatic quantum point contact. kF . and ﬁrst solve the Schr¨dinger equation for a given width o d. Ψn (x. the potential n (x) is semiclassical. . In this way we get the transverse wave functions ϕn. π 2 n2 2 .3. [25]. . Then one can use the semiclassical scheme for scattering problem and choose ψn (x) = pn (∞) i exp pn (x) x pn (x ) dx 0 . However.3 Additional aspects of ballistic transport Adiabatic point contacts The results of ﬁrst observations of conductance quantization were surprising.x (y) = 2 2y + d(x) sin πn . Let us assume that we can separate the variables in an adiabatic way. if its width d depends on the longitudinal coordinate x in a smooth way. then the T (E) dependence is very close to a perfect step. let us consider a channel with rectangular conﬁnement. An explanation of such a behavior was given in Ref. the potential n (x) for the upper transverse mode. d(x) d(x) The Schr¨dinger equation for the longitudinal motion has the form o d2 ψ − + 2m dx2 2 n (x)ψ = Eψ . 12.x (y). Expanding the potential near its maximum we get n (x) = n (0) 1− ∂ 2 d(x) ∂x2 x=0 x2 d . y) = ψn (x)ϕn. n (x) = 2m[d(x)]2 −1 If the variation d(x) is smooth at the scale of de Broglie wave length. Indeed. The authors showed that if the point contact has a smooth proﬁle.
T (E) = 1 1 + exp[−π 2 (kd0 /π − n0 ) 2ρ/d0 ] . 12. One should keep in mind that the planes (p1 . n0 is the number of upper level. dρ The transmission through a parabolic barrier is known. with another one. It is important that the numerical factor π 2 2 makes the transitions sharp even at R ∼ d0 . p1 + p2 = p1 + p2 .4 Electronelectron interaction in ballistic systems The case of pure 3D metal. 2. p1 . BALLISTIC TRANSPORT Since ∂ 2 d/∂x2 = 2/ρ where ρ is the curvature radius of the center of constriction. we get the barrier as 2x2 U (x) = n (0) 1 − . (12.9: Scattering processes for electronelectron interaction. p2 ) are not the same. p2 < pF. To make the motion through √ the contact ballistic the elastic mean free path should exceed ρd0 .266 CHAPTER 12. p2 > pF . see Fig. 12. p1. We observe that the shape of the step is almost n independent. while √ k = −1 2mE.9) Here d0 is the minimal width of the constriction. The same numerical factor helps for the semiclassical condition to be valid. Concept of Fermi liquid Let us begin with the estimate of the electronelectron scattering in a Fermi gas.9. Suppose that we have a particle 1 outside the Fermi sea. If this particle interacts Figure 12. and. the √ transition being sharp at ρ ≥ d0 . According to the momentum conservation law. as we have seen. 12. inside the Fermi sea both ﬁnal states should be outside the Fermi sea (Pauli principle!). they are . p2 ) and (p1 .9. This criterion reads π 2 2ρ/d0 1. The momentum conservation law is shown graphically in the right panel of Fig.
we come to the following chain of inequalities 0 > p 2 − pF > p F − p1 . But from the Pauli principle. . Finally. The essence of this concept is that the excitations in the vicinity of the the Fermi surface can be treated as quasiparticles which behave as particles with renormalized velocity. the rest is to integrate over p2 = p2  and p1 = p1 . he can treat them as to near classical ones provided (ε − F )τ ≈ ε− F F 1. or p2 > 2pF − p1 . Let p1 be close to pF . Consequently. E − E INTERACTION IN BALLISTIC SYSTEMS 267 shown together for convenience. To get the escape probability for the particle 1 one should integrate over the intermediate momenta W ∝ δ(ε1 + ε2 − ε1 − ε2 ) (dp2 ) (dp1 ) (p2 is ﬁxed by the momentum conservation). The simplest way to estimate τ is to use dimensionality approach. The typical value for the quasiparticle energy is kB T. Indeed. p1 < p1 + p2 − pF . Consequently. the average potential and kinetic energies are of the order of F . 2 α1 2 dp2 dp1 = −α1 dα2 0 dα1 = where we have introduced αi = pi − pF .12. We came to important conclusion: if one is interested in quasiparticles near the Fermi level. This is why the electronelectron interaction can be treated in the leading approximation in a selfconsistent approximation. As a result. the only quantity which is proportional to (ε − F )2 and has the time dimensionality is τ∼ F (ε − 2 F) . Consequently. the upper limit for p2 is pF . But at the same time. So W ∝ (ε− F )2 . ε − F  F . 0 α1 +α2 0 < p1 − pF < (p1 − pF ) + (p2 − pF ). p1 > pF . Consequently. So let us assume cosines to be the same and from the relation between the projections write down p1 ≈ p1 + p2 − p2 . It means that all the momenta are close to pF and the angles with the vector p1 + p2 are almost the same. the eﬀects of electronelectron interaction are not crucially important in pure 3D systems. The energy conservation law actually determines the angle between p1 and p2 for given absolute values of these vectors.4. Now let us recall that p2 > pF . Now we should remember that ε − F = vF (p − pF ). Thus p1 + p2 − pF > pF . The estimates above based on the conservation laws provide background of the theory of Fermi liquid.
BALLISTIC TRANSPORT Onedimensional systems. Linear spectrum implies a bosonlike description. Because of that. When the interaction is turned on this dispersion law remains.10) When the interaction V = 0 this Hamiltonian can be diagonalized as Ek = −t cos k. That means that the energy and momentum conservation laws are actually the same. In the presence of a scatterer. TomonagaLuttinger liquid For 1D interacting systems the above considerations are not valid because for a single branch linear dispersion near the Fermi points the energy spectrum is close to linear. A 1D quantum wire is appropriately characterized by a conductance. Mathematically in can be done using 1 Here we follow Ref. boson modes.otherwise the correlation eﬀects are canceled out at the contacts between the interacting quantum wire and noninteracting reservoirs. is quantized. where T is the transmission coeﬃcient. Adding a similar state near −kF we have a situation similar to phonons in one dimension. [16].268 CHAPTER 12. Consider a single particle excitation near +kF where we remove one electron with k < kF and place it into a free state with k + q > kF .c. The new features manifest itself only if there is one (or several) scatterers inside the quantum wire . the conductance of an ideal singlemode quantum wire. A proper model for interactive 1D electrons is the socalled TomonagaLuttinger model. j j+1 j (12. All that together leads to a rich and very interesting physical picture. That manifests itself in various kinetic quantities. According to this model. E − EF ≈ v(p − pF ). [16]. k < π. To get a ﬂavor of the theory 1 let us consider a spinless electrons hopping on 1D lattice with the Hamiltonian H = −t j c† cj+1 + j V 2 c† cj c† cj+1 + h. the perturbative corrections describing even weak electronelectron interaction are divergent. It the absence of interactions. . the Drude conductivity is predicted to vary as power law with temperature. the space and time dependence of density (and spin) correlation functions are substantially diﬀerent from the ones for noninteracting systems. . Creation of a real electron in this model is equivalent to excitation an inﬁnite number of plasmons. The Luttinger liquid model which was previously used for 1D organic conductors now became important for highmobility quantum wires. however the velocity is renormalized. as well as for edge states under conditions of quantum Hall eﬀect (see below). G = 2e2 /h. One can ﬁnd a good review of this model in Ref. The electronelectron interaction modiﬁes dramatically the lowenergy excitations in a quantum wire that leads to striking predictions for the transport. The lowenergy excitation exist near ±kF . Then the energy of excitation is ωk = q vF . collective electron modes (plasmons) with linear spectra are described by new. For example. and this is why they are not restrictive as in a 3D case. adiabatically connected to leads. the conductance drops to G = 2e2 T /h. For this reason.
E − E INTERACTION IN BALLISTIC SYSTEMS (JordanWigner) canonical transform. ρ0 = kF /π and introducing the “displacement” operator.4. as well as an additional dimensionless constant g depend on the strength of interaction. (12. as ρ −ρ0 = ∂x θ(x)/π we arrive at the phononlike commutation ˜ rule. As a result. φ(x) ≈ ψR + ψL = ekF x eiΦR + e−kF x eiΦl 00 . we arrive at the eﬀective Hamiltonian. iπ [φ(x). One can check that the b operators at diﬀerent lattice points commute. The right and left moving electron densities can be reconstructed as NB/L = ±∂x ΦR/L . focusing on scales long compared to the lattice constant.12. v g(∂x φ)2 + g −1 (∂x θ)2 .12) . In this way we replace φj → φ(x) . For noninteracting electrons. v = vF and g = 1. the boson operators can be approximately decoupled as bj → nj exp(iφj ) .10) in the same from with replacement c → b. the velocity v. Then we can rewrite the Hamiltonian (12. ˜ Extracting from the total electron density its average value. that keeps the Hamiltonian (12. [ΦR (x). ΦL (x )] = iπ sgn (x − x ) . These two ﬁeld commute with one another and satisfy the relations.11) as 2 2 H = πv0 [NR + NL + 2λNR NL ] (12. nj → ρ(x) . cj = exp iπ k>j 269 c† ck k bj . √ Now. θ(x )] = δ(x − x ) . where ΦR/L ≡ φ ± θ. ΦR (x )] = −[ΦL (x). 2 We observe that ∂x φ is the momentum conjugate to θ. It is convenient to expand the original Fermion operator into two part corresponding to the motion around the points ±kF . θ.11) H= 2π From the commutation relations it can be seen that the Hamiltonian leads to the equation of motion 2 2 ∂t θ = v 2 ∂x θ and a similar equation for φ. nj ≡ c† cj j Then we can proceed to continuum limit. and therefore they are bosons.
14) h As is was already mentioned. may interesting and important eﬀects can be observed. (12. such as unusual conductance quantization and anomalous temperature dependences. e. dV Thus.c. For example. However it is proportional to T 2(g−1)/g .c. It the case of weak scattering the results are substantially diﬀerent. the electronelectron correlations are eﬀectively . However. We identify v0 to vF . At ﬁnite temperature it does exist. experiments. nR/L = ± ∂x φR/L . A very important point is that the parameter g has a physical meaning of dimensionless (in units e2 /h per spin) conductance of an inﬁnite ideal Luttinger liquid. interaction eﬀects can be revealed in a. As a result. the interaction leads to a strong renormalization of density of states near an obstacle. if the Luttinger liquid wire has a large barrier with low transmission coeﬃcient T0 one can employ the results for the density of states in a semiinﬁnite liquid. φR/L = gφ ± θ. As a result. the d. I ∝ T0 V 2(g−1)/g V → G(V ) ≡ dI ∝ T0 V 2(g−1)/g . That results in the nonlinear currentvoltage curve at low temperatures. and minimizing (12.13) we get nR = (ge/2πv)µR .13) L g 2π The operators nR/L correspond to the densities of right and left moving interacting electrons. Unfortunately.10) as πv 2 1 H= nR + n2 .270 with v0 = v 2 g+ 1 g CHAPTER 12. as well as in the presence of some scatterers. 1 + g2 This Hamiltonian describes interacting system of right and left moving electrons. The Hamiltonian allows chiral general solutions f (x ± vt). the scatterers “undress” the excitations of interacting systems. (12. Now we can raise the chemical potential of right chiral mode nR by an amount µR Them δH = −eµR nR . conductance of a ﬁnite Luttinger liquid wire coupled to noninteracting leads appears the same as for noninteracting case. It is not straightforward how one can relate the parameters v and g with the original lattice model because we have only the eﬀective theory for lowenergy excitations. That can been traced introducing new variables. for the case of longrange interaction −1 comparing to the scale kF . λ= 1 − g2 . BALLISTIC TRANSPORT . Since the additional current to the right is IR = enR v we get e2 G=g . the case g < 1 corresponds to λ > 0 (repulsion) while g > 1 corresponds to attraction. that diagonalize the Hamiltonian (12. In particular. got the repulsive case the linear conductance is zero. Because of longrange correlations. in a quantum wire it is impossible to couple only to one chiral mode. There are several experiments where some deviations from the predictions of singleelectron theory were observed. There are analytical expressions only for some models. g.
We shall see that near the edges of a Hall bar a speciﬁc edge states appear which can be described by the above mentioned model. . 12. E − E INTERACTION IN BALLISTIC SYSTEMS 271 destroyed by disorder and electronphonon scattering. The concept of Luttinger liquid is speciﬁcally important for quantum Hall eﬀect systems. Therefore. to observe the interaction eﬀect one needs extremely pure samples and low temperatures. We are going to discuss quantum Hall systems later. and interaction eﬀects are crucially important.4.12. This system is much more pure that quantum wires. The results of such experiment is demonstrated in Fig.10.
reproducible data. 3. is stronger and electric ﬁeld.Ps. This quantization results from sal value GO an exact compensation of the increasing electron velocity and the decreasing density of states as the number of carriers increases. The panel (c) shows a blowup of critical device region. in situ contacting scheme are shown in Fig. to the 1D wire. the topgate temperature wire in a solid line is the measured conductance. Although the wire’s conductance is quantized in equal steps showing plateaus that are ﬂat to within 5%. suggests once more that there is no dependence overgrowth wires are conﬁned on three sides by on the electron density in the wire. The 1D wire region is in a 25 nm quantum well vs the topgate voltage VT Linear response 2DEG measured ed by decoupling the edge states from the conductance ofataa 2 µm logof 0. The25 nm quantum well vs. The voltage (VT ) measured conductance multiplied by an empirical factor of 1. The side gate (S). primarily serves to vary numbers denote the wire lengths in microns. This introduces electrons at the edge quantum well [see Fig. after the at a temperature 0. However.3 K. Because of the large quantum mechanical zero point motion of the electrons.Ad. 1(d)] creating one or more ed edge states along the cleave. It is important to realize that the appears to be given by GN T NG1 T . through consecutively along the denote the wire length in microns. Even for Coulomb energies smaller than the electron kinetic energy correlated electron behavior is expected. the conductance appears as a series of plateaus or steps with values equal to GQ multiplied by the number of partly occupied wire modes N .Jt Onedimensional (1D) electronic systems. cleaved edge overgrowth specimen. and 1(f ) show a sequence of Figure 12. For details see text. 4612 ME 77.. preserving the ationdoping sequence. One of the ﬁngerprints of a noninteracting 1D conductor is its quantized conductance in multiples of the univer2e2 h [8]. 73.23. In such a case the step height would have ures 1(d). the length of the channel is about 2 µm. This reduction is of ﬁxed amount for a particular wire width and can be as large as 25%.3 K.Solid line the the measured conductance. or 40 nm thickness embedded between two CHAPTER 12. GN T .20. In an earlier publication. 77. esulting twodimensional electron gas (2DEG) re500 nm below the top surface. Therefore. The wire is 00319007 96 77(22) 4612(4)$10. we determined the transport mean free path as well as the energy and mode spectrum in the wire using magnetotransport spectroscopy [9]. This remarkable results as well as many other nonFermi liquid properties of the Luttinger model remain largely untested by experiments due to the lack of a suitable 1D wire [7]. these correlations are short ranged and their spatial extent is expected to increase in a power law manner as the system’s temperature is lowered [4].Dx. PHYSICAL REVIEW LETTERS 25 NOVEMBER 1996 AlGaAs layers and doped from the top [Fig. 4612 the wire conductance is coby. socalled Luttinger liquids. none of the scenarios provides a satisfactory interpretation of all our observations. This suggests te affects only the density in the wire region and that each mode contributes an equal amount to the total e gate affects the density in the entire edge. The temperature ally smooth barriers and on the fourth side by a dependence of the higher plateaus. Strong overlap bethe 2DEG and the edge states couple both systems FIG. The numbers single 25 nm the last plateau for wires of diﬀerent lengths fabricated tes the 2DEG into two sheets that connect.23. plateaus rules out a single series resistance as the origin of ctrons density along the edge. 73. The starting point is a modulation doped GaAs quantum well of 14. Electrons in such cleaved plateau.3 K) presents a signiﬁcant mystery. At higher temperatures and dc biases the conductance approaches NGQ .15. Inset: different lengths fabricated consecutively along the edge of a suitable bias conditions. Yaatic cross sections of charge distributions in the The Letters.10: Nonuniversal Conductance modes. Here we present results of such an investigation as temperature and bias voltage are varied. In essence. The dashed curve is is measured he help of the tungsten gate T .00 © 1996 The American Physical Society fabricated by cleaving the specimen [see also panel (b)]. which. the quantized conductance is re 272 producibly lower than NGQ .] shown in Fig. Transport through the wires at low temperatures (0. BALLISTIC TRANSPORT FIG. 1(a)]. Inset: . the lowest plateau z direction by the quantum well and in the y direcremains ﬂat even at 20 K with a value approaching GQ at y the strong triangular potential of the cleavededge high enough temperatures. Wire fabrication by cleaved edge overgrowth [10] and the unique. only m from the cleaved edge. are expected to show unique transport behavior as a consequence of the Coulomb interaction between carriers [1–4]. the top gate (T) Linear response conductance of cleaved edge overgrowth specimen. to decrease for the higher Quantization in Quantum wires [From A. The edge of a single 25 nm ge states. Edge states (d) form the quantum wire. (a) Wire preparation by cleaved edge overgrowth of GaAsAlGaAs by molecularbeam epitaxy. Linear response conductance of a 2 mm long wire tely along the entire edge. nonuniversality. The rigid rise. dashed curve is region Linear response conductance multiplied by wires of 1(c) shows a blowup of the critical device the measured conductance of the last plateau for an empirical factor 1. 2.15. 25. 1. 1. has an electron den1 2 3 1011 cm22 . The exceptional quality of the 1D wires is central to our ability to obtain high quality. 1(e). NUMBER 22 (a) Wire preparation by cleaved edge overgrowth of GaAsAlGaAs by MBE. The mean free path is estimated as 10 µm. Panels (e) and (f) show diﬀerent charge distributions for diﬀerent top voltages. 73.PACS numbers: 73. While some aspects of the data can be reproduced qualitatively. The m wire itself is fabricated by cleaving the specn ultrahigh vacuum and overgrowing the smooth ge plane with a second modulation doping sequence 1(a) and 1(b)]. For this reason we reiterate the intricate fabrication process. We discuss three different models to put our unexpected ﬁndings in their proper context. et al. A long and narrow evaporated tungsten [Fig. At high temperatures the higher plateaus increasingly negative the 2DEG is separated and degrade due to the thermal population of the more closely D wire becomes ﬁrmly conﬁned in two dimensions: spaced upper subbands [8]. Therefore the conductance of a 1D system is expected to be suppressed at low temperature even for a wire with just a few impurities [4–6]. mainly focusing on our novel wire fabrication process. and a mobility m $ 3 3 m2 V sec. as subsequent 1D electronic subband are ﬁlled with electrons. The exceptionally long transport mean free path in excess of 10 mm and the exceedingly large subband spacing of 20 meV make these wires ideal for studying effects of electronelectron ee interactions in 1D. As VT is egion for different topgate voltages VPhysical Review effect of temperature on (1996). For .50. extends exactly to the edge of the quantum well. 1(a)] will later deﬁne the 1D wire region. T . The longer correlation length causes the system to be more susceptible to pinning by local impurities.
the maximal value being Tmax = (13.1) where θ = 2φ + arg(r2 r1 ). It is clear that the transmittance T = T1 T2 √ 1 + R1 R2 − 2 R1 R2 cos θ T1 T2 √ .2) is maximal at some speciﬁc value of θ where cos θ = 1. The complex amplitude of the wave transmitted through the whole system is D= t1 t2 eiφ t1 t2 eiφ √ = . Such a system can be considered as a speciﬁc example Gate Barriers Gate Figure 13. One of the ways is a splitgate structure.Chapter 13 Tunneling and Coulomb blockage 13. of series connection of to obstacles.1 Tunneling Modern technology allows to fabricate various structures involving tunneling barriers.3) . (1 − R1 R2 )2 273 (13. 1 − e2iφ r2 r1 1 − eθ R1 R2 (13.1: Splitgate structure allowing resonant tunneling.
the quantity Γi can be rewritten as Γ = νa Ti . T ≈ T1 T2 (T1 + T2 )2 /4 2 + (θ )2 (E − E (r) ) Γ1 Γ2 = 2 .4) This expression is speciﬁcally simple at T1 . T2 Tmax = 4T1 T2 .5) Here we denote θ ≡ (∂θ/∂E)E−E (r) and introduce Γi = Ti /θ . C. To specify the transition amplitudes let us consider a 1D model for a particle in a well between two barriers. Let us assume that all the phase shift is due to ballistic motion of an electron between the barriers. To ﬁnd a transmission probability one has to match the wave functions and their gradients at the interfaces 14 between the regions AC. As a result. where νa = v/2d is the frequency of oscillations inside the interbarrier region. We are interested in the scattering problem shown in Fig.274 CHAPTER 13. Thus it is clear that Γi are the escape rates through ith barrier. (13. T1 = T2 = T . . The reason of this fact in quantum interference in the region between the barriers which makes wave functions near the barriers very large to overcome low transmittance of each barrier. The physical meaning of the quantities Γi is transparent. √ a θ = 2ka = 2ah−1 2mE → θ = 2m 2a = E v where v is the electron velocity. TUNNELING AND COULOMB BLOCKAGE 1. An important point is that the phase θ gained in the system is a function of the electron energy. (T1 + T2 )2 Thus we observe that two lowtransparent barriers in series can have a unit transmittance if they have the same partial transparencies. the socalled attempt frequency. 13. Then. D. Thus at low transmittance we arrive at a very simple formula of a BreitWigner type. Thus near a particular value E (r) deﬁned by the equality cos θ(E (r) ) = 0 → θ(Ek ) = 2πk one can expand cos θ as 1 1− 2 ∂θ ∂E 2 (r) E − E (r) 2 . B. E . They have the following form eikx + re−ikx a1 eκB x + a2 e−κB x b1 eikx + b2 e−ikx c1 eκD x + c2 e−κD x teikx in in in in in the the the the the region region region region region A. (Γ1 + Γ2 )2 /4 + (E − E (r) ) (13.2.
κ2 a(1 + r) . t. . Here k= −1 √ 2mE .13. The transmission amplitude is given by the quantity t while the reﬂection amplitude – by the quantity r. Thus we get the following matching conditions B kA − ik(1 − r) A sin ka + B cos ka ikt − k(A cos ka − B sin ka) = = = = 1+r.1. tκ2 a . TUNNELING 1 B C 2 3 D 4 275 Incoming Reflected U B E0 Resonant level UD Transmitted E A E Figure 13.7) ψ + U0 dδ(x − x0 )ψ = Eψ around the point x0 . In this case we have 3 regions. t. so we consider a simpliﬁed model of the potential U (x) = U0 d[δ(x) + δ(x − a)] . eikx + re−ikx x < 0. bi . 0i κ0i = −1 2mUi . ai . The calculations for a doublebarrier structure is tedious. For a single barrier one would get T (E) = 4k 2 κ2 k 2 κ2 ≈ 4 e−2κd . κ0 κ4 sinh2 (κd) + 4k 2 κ2 0 Here d is the barrier’s thickness. One can prove it by integration of the Schr¨dinger equation o ( 2 /2m) 2 (13.2: On the resonant tunneling in a doublebarrier structure. In fact we have 8 equations for 8 unknowns (r. so after some tedious algebra we can ﬁnd everything. teik(x−a) x>a (13.6) The matching conditions for the derivatives at the δfunctional barrier has the form ψ (x0 + 0) − ψ (x0 − 0) = κ2 dψ(x0 ) . A sin kx + B cos kx 0 < x < a . So the transparency exponentially decays with increase of the product κd. Here κ2 = 2mU0 / 2 . κi = κ2 − k 2 . ci ).
. 13. one can make a transistor. In this way. (∂E/∂k)k0 2E0 The result for a general case can be expressed in the BreitWigner form T (E) = ΓL ΓR . One can also control the system moving the level E0 with respect to the Fermi level by the gate voltage. In . However.3.8) deﬁnes the energy E0 = 2 2 k0 2m where the transparency is maximal. Equation (13. if voltage across the system is zero the total number of electrons passing along opposite directions is the same. dJ/dV ≤ 0. For “strong barriers”. r = 0. while for “weak” barriers k0 a = (s + 1/2)π . 13. where η ≡ 2/κ2 da = 2 /mU0 ad ..276 CHAPTER 13. Near the peak one can expand all the quantities in powers of E − E0 E − E0 k − k0 ≈ ≈ k0 . TUNNELING AND COULOMB BLOCKAGE First one can easily see that there is a solution with zero reﬂectance. The condition (13.η solution tends to k0 a = sπ . in a biased system we obtain the situation shown in Fig. The physical reason is quantum interference. allows one to make a generator. Thus two barriers in series can have perfect transparency even if the transparency of a single barrier is exponentially small.8) can be rewritten as tan z = −ηz . tan k0 a = − 2k0 . with optical interferometer). and the current is absent. Of course. Negative diﬀerential conductance. A schematic diagram of a real device is shown in Fig. s = 0. κ2 d (13. ±1. (E − E0 )2 + 1 (ΓL + ΓR )2 4 Here ΓL(R) / are the escape rates for the electron inside the well to the left(right) lead. They are given by the attempt frequency v0 /2a = k0 /2ma times the transparency of a given barrier. Commercial resonant tunneling transistors are more complicated than the principle scheme described above.8) We immediately observe that at k = k0 the total transmission amplitude t = 1 and there is no reﬂection. Physically. that means that an electron gains the phase 2πs during its round trip (cf.4. 1 the The solution of this equation can be found graphically. Substituting r = 0 we get the following requirement for the set of equation to be consistent k = k0 .
C . So it can be tuned by the gate voltage VG . The graph of this function is the parabola with the minimum at Q = Q0 = −CVG . Consider a system with a dot created by a splitgate system (see above). 13. this device resonant tunneling takes place through localized states in the barrier.3: Negative diﬀerential conductance in doublebarrier resonanttunneling structure. We describe it by the eﬀective capacitance C to take into account polarization of the electrodes. Then. Now let us remember that the charge is transferred by the electrons with the charge −e. COULOMB BLOCKADE 277 E0 eV Current Bias voltage Figure 13. There exist also transistors with two quantum wells where electrons pass through the resonant levels in two quantum wells from the emitter to collector if the levels are aligned.13. the energy as a function of the number n of electrons at the grain is n2 e2 ∆E(n) = −neVG + . 2C Now let us estimate the diﬀerence e2 ∆E(n + 1) − ∆E(n) = −eVG + n . If one transfers the charge Q from the source to the grain the change in the energy of the system is Q2 ∆E = QVG + .2.2 Coulomb blockade Now let us discuss a speciﬁc role of Coulomb interaction in a mesoscopic system. The condition of alignment is controlled by the collectorbase voltage. while the number of electrons from emitter is controlled by the baseemitter voltage. 2C Here the ﬁrst item is the work by the source of the gate voltage while the second one is the energy of Coulomb repulsion at the grain.
Otherwise one has to pay for the transfer that means that only inelastic processes can contribute. 15] about singlechange eﬀects which cover both principal and applied aspects. Coulomb blockade as a physical phenomenon has been predicted by Kulik and Shekhter [26]. E. Lett. Phys. In the right panel oscillations in the conductance as a function of gate voltage at 0. TUNNELING AND COULOMB BLOCKAGE Figure 13. We observe that at certain values of VG . and the conductance vs. From T.5 K are shown. Kopley et al. There are very good reviews [13. VGn = n e . gate voltage dependence is a set of sharp peaks..278 CHAPTER 13. Such a device (as was recently demonstrated) can work at room temperature provided the capacitance (size!) is small enough. electron tunnel onebyone. 61. A second trace is shown for a magnetic ﬁeld of 6 T. As a result. They are attributed to resonant tunneling through localized states in the barrier. Below we shall review the simplest variant of the theory.9) is met. which creates a potential barrier in the inversion layer (b). 14. It means that only at that values of the gate voltage resonant transfer is possible. at e2 kB T ≤ 2C the linear conductance is exponentially small if the condition (13. Rev.4: Schematic diagram of a Si MOSFET with a split gate (a). let us ignore discrete character of energy spectrum of the grain and assume that its state is fully characterized by the number n of excess electrons with respect to .9) the diﬀerence vanishes. A simple theory of single charge tunneling For simplicity. 1654 (1988). This phenomenon is called the Coulomb blockade of conductance. so called “orthodox model”. As a result of the Coulomb blockade. That fact allows one to create a socalled singleelectron transistor (SET) which is now the most sensitive electrometer. C (13.
En+1 − En = (2n + 1)e2 e + 2C C Ci Vi i (13. COULOMB BLOCKADE 279 an electrically neutral situation.5: Equivalent circuit for a singleelectron transistor. The eﬀective charge of the grain is hence Q = CU = ne + i=e. Here we shall concentrate on this case. The voltages Ve and Vc of emitter and collector are counted from the ground.11) i The last item is not important because it is nindependent. Vg . The gate voltage.10) Ci Vi . and the currents are diﬀerent. This charge consists of 4 contributions. In the stationary case. To organize a transport of one electron one has to transfer it ﬁrst from emitter to grain and then from grain to collector. The left (emitter) and right (collector) tunnel Re Ce Ve Vg Grain Rc Cc Vc Cg Figure 13.13) . Cg . an electric charge can be accumulated at the grain. To calculate the energy of the systems let us employ the equivalent circuit shown in Fig.c. The charge conservation requires that − ne = Qe + Qc + Qg = Ce (Ve − U ) + Cc (Vc − U ) + Cg (Vg − U ) .12) must be less than the voltage drop eVe .g (13. The energy cost for the ﬁrst transition. is coupled to the grain via the gate capacitance. the electrostatic energy of the grain is Q2 (ne)2 ne En = = + 2C 2C C 1 Ci Vi + 2C 2 Ci Vi i . C≡ i Ci .2. 13.13. (13. where U is the potential of the grain. Thus.5. junctions are modeled by partial resistances and capacitances. (13. In this way we come to the criterion En − En+1 + eVe ≥ 0 . the currents through both junctions are the same. the charge of excess electrons and the charges induced by the electrodes. In the nonstationary situation.
(13. TUNNELING AND COULOMB BLOCKAGE In a similar way.c = kσ † k ckσ ckσ † q cqσ cqσ qσ . We observe that there is a threshold voltage which is necessary to exceed to organize transport. The current through the emittergrain transition we get I=e n C). It can be determined from the balance equation. To do that. Then we get the criterion. Vb ≥ (2n + 1)e/C − 2(Cg /C)Vg . Vc and Vg to make the current possible. let us write down the Hamiltonian as H0 = He + Hg + Hch + Hbath . (13. N + is the number of positively charged .14) and (13. to organize the transport from grain to collector we need En+1 − En − eVc ≥ 0 .15) Here pn is the stationary probability to ﬁnd n excess electrons at the grain.280 CHAPTER 13. Ce = Cc ≈ C/2 (Cg where Vb is bias voltage.18) (13. qσ Here Hbath is the Hamiltonian for the thermal bath. n= ˆ qσ Hg = Hch = (ˆ − Q0 )/2C .13) provide the relations between Ve . It is important that the threshold linearly depends on the gate voltage which makes it possible to create a transistor. Of course. . the above considerations are applicable at zero temperature. (13. He. Γn n+1 = Γg→e (n + 1) + Γg→c (n + 1) . This is a manifestation of Coulomb blockade.14) The inequalities (13. We assume that emitter and collector electrodes can have diﬀerent chemical potentials.17) (13. Ve = −Vc = Vb /2 pn [Γe→g − Γg→e ] . where Ge = Gc = G. For simplicity let us consider a symmetric system. Here Γn n−1 = Γe→g (n − 1) + Γc→g (n − 1) .16) The proper tunneling rates can be calculated from the golden rule expressions using tunneling transmittance as perturbations. pn−1 Γn + pn+1 Γn − Γn−1 + Γn n−1 n+1 n n+1 pn = 0 . n c† cqσ − N + .
2. Vc ) = Γc→g (−n.g being the volumes of the lead and grain. e F( ) = while ∆±. The results of calculation of currentvoltage curves for a symmetric transistor structure are shown in Fig. 13.c. Ve ) = Γg→e (−n.7. COULOMB BLOCKADE 281 ions in the grain. In this case. for diﬀerent values of Q0 .13.σ Applying the golden rule we obtain Γe→g (n) = Ge e2 ∞ ∞ d −∞ k −∞ d q fe ( k )[1 − fg ( q )] δ(En+1 − En − eVe ) . Fig. 2π ψ iHint ψ ψHint i Eψ − Ei 2 δ(Ei − Ef ) . only two charge states play a role. Cotunneling processes As we have seen. A standard nextorder perturbation theory yields the rate Γi→f = Two features are important.19) (13. At larger bias voltage. emitter and grain as He↔g = Tkq c† cqσ + h. V C/e < 1.q. . a similar plot is made for symmetrically biased transistor.c ) . more charge states are involved. Ve = −Vg = V /2. e2 2Gc Γg→c (n. at low temperature the sequential tunneling can be exponentially suppressed by Coulomb blockade. Ve.e ) . 13. kσ k. Ci Vi ± eVµ is the energy cost of transition.20) Here 1 + exp(− /kT ) → Θ( ) at T → 0 . −Ve ) = 2Ge F(∆+.6. For such processes the excess electron charge at the grain exists only virtually. −Vc ) = 2 F(∆−. In this way one arrives at the expressions Γe→g (n. respectively. along the Landauer formula. To illustrate this fact. Here we have introduced the tunneling conductance of e − g junction as Ge = (4πe2 / ) ge ( F )gg ( F ) Ve Vg Tkq 2 . a higherorder tunneling process transferring electron charge coherently through two junctions can take place. physically they describe thermal activation over Coulomb barrier. say. The temperaturedependent factor arise from the Fermi occupation factor for the initial and ﬁnal states.µ (n) = En − En±1 ± eVµ = 1 C e2 2 en e i (13. To describe tunneling we introduce the tunneling Hamiltonian between. At low temperatures and low bias voltages.
At T = 0 the integrals can be done explicitly. the result being Γcot = Ge Gc 2πe4 d e k g d q g d q c d k 2 f ( k )[1 − f ( q )]f ( δ(eV + k q )[1 − f ( − k k )] 1 1 × + ∆−.e (n + 1) ∆+. proportional to V . and (ii) g → c. The situation is not that simple for the degenerate case when ∆i = 0. after the process an electronhole excitation is left in the grain.e (n + 1). A detailed treatment of that case is presented in the book [5]. Hence.6: The current of a symmetric transistor as a function of gate and bias voltage at T = 0 (from the book [5]). with overwhelming probability the outgoing electron will come from a diﬀerent state than the one which the incoming electron occupies. However. g → c with the energy cost ∆−. • There are 2 channel which add coherently: (i) e → g. Therefore. As a result. Transitions involving diﬀerent excitations are added incoherently. There is also a process when an electron tunnels through the system leaving no excitations in the grain. thus it can be important at very low bias voltage.c (n − 1) 2 V3 for eV ∆i .c (n − 1). it leads to the current. the current appears proportional to V 3 that was observed experimentally.e (n + 1) ∆+.282 CHAPTER 13.c (n − 1) − q + q ). . TUNNELING AND COULOMB BLOCKAGE Figure 13. and one obtains Γcot Ge Gc 1 1 = + 12πe ∆−. • The leads have macroscopic number of electrons. The probability of such elastic cotunneling has a small factor (gg Vg )−1 . e → g with the energy cost ∆+. In that case the integrals are divergent and the divergence must be removed by a ﬁnite life time of a state.
5 the currentvoltage curve is linear at small bias voltage.molecular electronics.e = 0.2. 13.7: The current of asymmetric transistor. Now several room temperature operating Coulomb blockade devices were reported. .9 An important point is that at present time the devices can be fabricated so small that the criterion kT ≤ e2 /C can be satisﬁed at room temperatures. 13. There is a lot of interesting physics regarding transport in such systems.13. An example of such device is shown in Fig. Concluding remarks There are many experiments where Coulombblockaded devices are investigated. Another one concerns with singleelectron devices which include superconducting parts. COULOMB BLOCKADE 283 Figure 13. Probably most interesting are the devices where tunneling takes place through a small quantum dot with discrete spectrum. Among them are devices consisting of large molecules with the probes attached in diﬀerent ways. The linear conductance of such a structure as a function of the gate electrode C is shown in Fig. while at Q0 /e = 0.8.25 and 1 (from the book [5]). The curves of such type are called the Coulomb staircase. This is one of important trends. At Q0 = 0 the Coulomb blockade is pronounced. 0. This is probably a starting point for new extremely important ﬁeld . Such devices are extremely promising both because they are able to operate at room temperatures and because they will allow high integration. Ge = 10Gc . as a function of bias voltage at T = 0 and diﬀerent Q0 .
367 (1991). Kouwenhoven et al.9: Conductance of a quantum dot vs. TUNNELING AND COULOMB BLOCKAGE Figure 13.284 CHAPTER 13. Phys. From [7]. B 85. the voltage of gate electrode C. and F. . From L.8: (a) A typical structure of a quantum dot. (b) a model of a quantum dot. C. Figure 13.. The depleted (shaded) areas are controlled by electrodes 14. P. Electrode C also controls the electrostatic potential in the dot. Z.
1 + (ωc τ )2 σxy = nec 1 + σxx .Chapter 14 Quantum Hall Eﬀect and Adiabatic Transport 14. As a result. 14.1 Ordinary Hall eﬀect j = σ0 (E + [j × H]/nec) . In a magnetic ﬁeld electrons’ trajectories are curved because of Lorentz force. H Usually the ﬁlling factor ν = n/nH 285 . The inversion of this tensor gives the conductivity tensor with the components (in 2d case) σxx = σ0 . H ωc τ (14. One can solve this vector equation to obtain the resistivity tensor ρ= ˆ ρ0 H/enc −H/enc ρ0 . σ0 = ne2 τ /m .1) There is a striking similarity between the quantization of the conductance of a ballistic channel in units of e2 /h and of the Hall conductance. We have seen that the number of states per unit area for a ﬁlled Landau level is nH = 1/2πa2 = eH/ch . ρ0 = 1/σ0 .General Picture In the quantum case one faces the Landau levels.2 Integer Quantum Hall eﬀect .
. Indeed. units) 2 Classical result 1 1 2 Filling factor 3 Figure 14. If one expresses the Hall component of the conductivity tensor through the ﬁlling factor ν and assumes ωc τ → ∞ he obtains σxy = νe2 /h. the result seems fundamental independently whether classical of quantum mechanics is discussed. Experimentally. the weak electric ﬁeld leads to the energy shift py v where v = cE/H is the drift velocity in ydirection. It is clear that only violation of 3 2 Hall resistivity (h/e ) Longitudunal resistivity (arb. As we have seen (see Sec. The crucial point that the most of the states are localized and cannot carry the current. one can eliminate the electric ﬁeld on a spatiallyhomogeneous system by assuming a drift velocity v = c [E × H]/H 2 . y0 }. Thus. The generally accepted picture is as follows. Thus one has to consider either impurities. QUANTUM HALL EFFECT for a fractionally ﬁlled level is introduced. 6.286 CHAPTER 14. according to the electrodynamics.9. as well as to the shift in the centerofmotion coordinate is shifted in xdirection by v/ωc . To make the analysis as simple as possible let us discuss a 2d electrons in crossed electric and magnetic ﬁelds (E x. or edges. This result seems very fundamental. and Landau levels smear into subbands. the following picture was observed. Using the corresponding states as a basis. the translational invariance can lead to such a picture. Impurities violate the translational invariance. The average H density of states is AnB / ωc . The total degeneracy of a Landau level in the absence of disorder is N = AnB = A/2πa2 where A is the sample area. we can now expand the exact wave function as Ψ= npy cnpy ψnpy (r) . py is not a good quantum number any more.1: Schematic dependence of Hall resistance on ﬁling factor. As a result. H z) and a single impurity at the point r0 = {x0 . Shubnikovde Haas eﬀect).
E − En.py The right hand side of this equation as a function of the energy is shown below One can Right hand side 1/λ Energy 1/λ Localized states Figure 14. . Substituting the previous expression into this equation and dividing by Ψ(r0 . we get the exact condition for eigen energy 1 = λ ψn. Let us now express the potential as V = λδ(r − r0 ) where λ is a proper coupling constant. INTEGER QUANTUM HALL EFFECT . The other levels are almost unperturbed and extended.GENERAL PICTURE We get ˆ cnpy H0 + V ψnpy = npy npy 287 cnpy Enpy + V ψnpy = E npy cnpy ψnpy .2.py n. its energy shift being proportional to λ.py (r0 )2 . ﬁnd from this equation one completely localized state for each Landau level. The lowest such state can be represented as (for r0 = 0) ψloc ∼ exp ixy x2 + y 2 − 2a2 4a2 H H . Now we recall that npy cnpy ψnpy (r0 ) = Ψ(r0 ).2: Formation of localized states in 2DEG in magnetic ﬁeld. Then one can write cnpy = λ ∗ ψnpy (r0 )Ψ(r0 ) E − Enpy .14.
kmin ) . Ay = e Ly (14. Consider the system as a cylinder and introduce an auxiliary constant ˜ vectorpotential A along y axis as c 2πα ˜ . The extended states in the presence of the auxiliary have the same form is in its absence.288 CHAPTER 14. c Thus. with the replacement k → k +α. Proof : The main procedure is a s follows.kmax − En. and the current is given as 2 2 (En. It was done by R. ˜ c ∂ Ay h ∂α .2) Increase of the parameter α by one corresponds to increase the magnetic ﬂux in the sample by 1 quantum.2) can be eliminated by the gauge transform ψ → exp(2παy/Ly )ψ only if α is integer. 1 ˜ δH = − (I · A) . the current operator can be written as 1 ∂δH e ∂H ˆ Iy = − =− . H which we can label by the discrete quantum number k as k= p y Ly . Thus the extended states which extend from 0 to Ly must depend on α while localized states satisfy boundary conditions automatically since their amplitude at the boundaries vanish.k+1 − Enk ) = − (En. QUANTUM HALL EFFECT Now let us take into account only the lowest Landau level which we assume to be completely ﬁlled. 2π Each mode behaves just as the transverse mode in a quantum channel. ˜ The vector potential A leads to an additional item in the eﬀective Hamiltonian. (14. I=− h nk h nk It is not trivial to prove this equation. We have speciﬁed periodic boundary conditions along yaxis. Prange using gauge considerations. We have one localized state and N −1 extended ones where N = A/2πa2 . If one applies periodic boundary conditions then the vectorpotential such as given by Eq. Φ0 .
Thus En.k α=1 = En. In . nk 289 As we have already mentioned. EDGE CHANNELS AND ADIABATIC TRANSPORT while the average current is e d ˆ I= I =− h dα Enk (α) . Thus we come to the following picture.k+1 α=0 . extended states the steps in Hall resistance and peaks at the longitudinal resistance occur.3. 14. Now we have to remember that the state with kmax (kmin ) correspond to the upper (lower) edge of the sample if we map the quantum number k to the centers of gravity of the states. Thus we come in a natural way to edge states. the current is independent of the density of states. As we have shown. Replacing the derivative by the average value over the region 0 ≤ α ≤ 1 we get the result given above.14.3 Edge Channels and Adiabatic Transport The quantization of the conductance of the ballistic channel arises from the ﬁnite number of propagating modes each of which can carry only a very speciﬁc current.3: Density of states in 2DEG in magnetic ﬁeld. Thus it is tempting to consider the modes of an ideal ﬁnite system embedded into an external magnetic ﬁeld. only the number of occupied extended states is important. as the Fermi level passes the regions of the Energy Localized Extended Density of states Figure 14. according to the construction of the quantum number k the introduction of the vectorpotential leads to the replacement k → k + α.
or traversing trajectory.. E) space such trajectories are separated by the line 2 (X ± W/2)2 = rc . only the edge states can contribute to the current. 2m 2m It is natural to look for a solution in the form (H commutes with py !) n. The average velocity for such a state is vn (k) = n. skipping orbits. k ∂H n. k ∂py = 1 dEn (k) . M m 1 + (ωc /ω0 )2 To understand what is going on let us consider a classical orbit with the center (X. k = ψnk (x)eiky where k is the eigenvalue of py . These sets carry the currents in opposite directions. We have two constants of motion. and we come to the following picture of quantum terms The cyclotron orbits (solid lines) correspond to Landau level. Let us start from a ideal electron system conﬁned by the potential V (x) in the presence of the magnetic ﬁeld H z. dk It is easy to calculate such a velocity for a parabolic conﬁnement. According to quantum mechanics. We have not shown traversing trajectories which correspond to higher energies. 2 The result is v(k) = k k 1 = . In a long strip of width W the trajectories can be classiﬁed as a cyclotron orbits .290 CHAPTER 14. QUANTUM HALL EFFECT this simpliﬁed picture we can obtain some understanding concerning the nature of localized and extended states. 1 2 V (x) = mω0 x2 . If the Fermi level is situated between the Landau levels. h−1 px dx + γ = 2πn . In the (X. Then one can write x = X + vy /ωc . . and they have zero group velocities. the motion is quantized. y = Y − vx /ωc . Y ). n = 1. k py + (eH/c)x n. k m = n. the energy E and X. Their dispersion law can be obtained (approximately) from the BohrSommerfeld quantization condition.. 2. . For a single spin component we have the Hamiltonian H= [py + (eH/c)x]2 p2 x + + V (x) . Dashed lines reproduce two sets of edge states (corresponding to skipping orbits). The quantity rc = v/ωc is the cyclotron radius of the orbit.
Consider an electron at the Fermi level. Skipping orbits Energy Fermi level 0 Wave vector. k Figure 14. as well as by disorder.14.3.4: Typical electron trajectories in a 2D strip in magnetic ﬁeld. Its energy consists of (n − 1/2) ωc (+ spin contribution which I do not discuss now). as well the the part EG = F − (n − 1/2) ωc due to electrostatic potential created by the edges. EDGE CHANNELS AND ADIABATIC TRANSPORT 291 2 (eHW)2/8mc Energy . One can show that for the rigid boundary the phase shift of the skipping orbit γ = π/2.5: Electron terms in a 2D strip in magnetic ﬁeld. Thus. the center of the orbit moves with the drift velocity vd (R) = c [ V (R) × H] eH .W/2 x W/2 Figure 14. In an external potential. 1 a2 H (Y − y) dx = 2π Φ γ = 2π n − Φ0 2π . while px = mvx = (eH/c)(Y − y) .
292
CHAPTER 14. QUANTUM HALL EFFECT
which is parallel to the equipotentials. That can be easily shown from classical mechanics in a magnetic ﬁeld. The typical spread of the wave function along the guiding center is spread within the range of magnetic length aH . Now we can map the classical picture to quantum mechanics according to k → −x(eH/c). Thus, if the typical scale of the random potential of the disorder is greater than the magnetic length, we arrive at the picture.
Closed Egde Energy Fermi level
0 Wave vector, k
Figure 14.6: Electron terms in the presence of longrange disorder. Assume that the edges are in a local equilibrium. Thus if there is a diﬀerence δζ chemical potentials between the edges,then each channel contributes (e/h)δζ to the current in the Hall direction. The system appears robust because to obtain a interchannel exchange one needs tunneling with exponentially low probability. Actually we have an almost ideal ballistic conductor and the only diﬀerence with the systems discussed earlier is that the edge channels with diﬀerent directions of the current do not overlap in space. In a typical realistic situation, the contacts are out of local equilibrium and the measured resistance depends on the properties of contacts. Consider for example, a situation when the edge channel at the lower edge are in equilibrium at chemical potential EF , while the edge channel at the upper edge are not in local equilibrium. Then the current at the upper edge is not equipartitioned between N modes. Let fn is the fraction of the total current I that is carried by by states above EF in the nth channel at the upper edge, In = fn I. The voltage contact at the upper edge will measure a chemical potential which depends on how it is coupled to each of the edge channels. The transmission probability Tn is the fraction of the current In that is transmitted through the voltage probe to a reservoir at chemical potential EF + δζ. The incoming current
N
Iin =
n
Tn fn I,
with
n
fn = 1,
(14.3)
has to be balanced by an outgoing current, Iout = e e δζ (N − R) = δζ h h Tn ,
n
(14.4)
14.3. EDGE CHANNELS AND ADIABATIC TRANSPORT since the voltage probe draws no net current. Thus the Hall resistance, δζ h Rh = = 2 eI e
−1
293
Tn fn
n n
Tn
.
(14.5)
The Hall conductance remains quantized only if fn = 1/N , or at Tn = 1. The ﬁrst case corresponds to local equilibrium, while the second case corresponds to an ideal contact. The LandauerB¨ttiker formalism forms the basis on which anomalies in the QHE due u to absence of local equilibrium in combination with nonideal contacts can be treated theoretically. This is a simpliﬁed picture of the integer quantum Hall eﬀect in the random potential. The real life is much more complicated. In particular, there exists an extremely interesting fractional quantum Hall eﬀect, which manifests itself at fractional values of the ﬁlling factor. We do not discuss this eﬀect in the present course.
Role of localization
As we have seen, at H = 0 a 2D system with disorder should have its states localized at all energies. However, only extended states are sensitive to the ﬂux and can provide the QHE. At the same time, ranges of energies with only localized states are needed to pin EF there and have ﬁnite plateaus. Thus, introduction of magnetic ﬁeld must delocalize some states. As we have seen, extended modes appear near edges. However, extended states in a magnetic ﬁeld are present also in the bulk of the conductor. To discuss this phenomenon let us recall the main relevant quantities. First, let us note that the condition ωc τ 1, or rc , rc = vF /0c for cyclotron motion is fully classical. In terms of quantum mechanical length, aH = cH/eH the classical cyclotron radius rc can be written as rc ∼ kF a2 ∼ aH H √ EF ωc ∼ aH N
where N is the number of full Landau levels. The weak localization regime corresponds to the inequality aH , while the intermediate regime where aH rc while rc can be comparable with also exists. 1, rc .
Strong magnetic ﬁeld, ωc τ
As we have discussed, in a uniform electric ﬁeld the drift velocity directed along [E×H] appears, vd = c(E/H). This concept can be generalized for the case of a smooth random potential V (x) with does not change a lot on the scale of cyclotron motion. Then, it rc is much less than the correlation length d of the random potential, the guiding center moves
294
CHAPTER 14. QUANTUM HALL EFFECT
along the equipotential line V (r) = V . If its orbit is closed and embeds the area A(V ), then the typical frequency is ωd = 2π dl vd
−1
2c = H
dl dx⊥ dV
−1
=
2c ∆V , H ∆A
where dx⊥ is an element of length in the direction of the potential gradient. Such a slow motion can be quantized for any Landau levels into locally equidistant levels with the separation 0d . The area between two quantized orbits is given by the relation H ∆A = c = Φ0 ; e ∆A = 2πa2 . H
Thus the ﬂux of H in the area per state in a given Landau level corresponds to a ﬂux quantum, as for free electron. Let us assume that the amplitude of the random potential is much less than ωc , so there is no interLandaulevel mixing. Then the potential energy of a properly quantized levels should be added to ωc (j + 1/2) for jth Landau band. The levels correspond to the orbits running around the potential “hills”, or inside potential “lakes”. Both kinds of states are localized. There is one and only one energy, Ec , (in 2D case) at which the equipotential curves span the whole system (imagine ﬁlling up of the potential V (r) “terrain” with water). The characteristic size of the orbit, ξp , may be deﬁned by the r.m.s. of the area enclosed by the equipotential contours for the localized states. It must blow up at E → Ec , ξp ∼ E − Ec −νp , νp 1 . Such an orbit provides the way to transfer an electron between the edges. There is also a very interesting intermediate situation when aH rc , or ωc τ 1.
As was shown by Khmelnitskii (1984), even in this region QHE plateaus can exist which are irrelevant to Landau levels.
14.4
Fractional Quantum Hall Eﬀect
Fractional quantum Hall eﬀect (FQHE) was discovered by the group of Tsui et Bell Laboratories [31]. Using a highmobility GaAs/AlGaAs heterostructures they observed quantization of Hall conductance at ﬁlling factors ν = 1/3 and 2/3 at very low temperatures (below 1 K). Later more rich structure, as shown in Figs. 14.7 and 14.8 at fractional ﬁlling factors was discovered. It appears that only account of of Coulomb interaction leads to understanding of the problem. Now the studies of FQHE belong to the most active area of research. Below we shall provide a very brief sketch of the problems regarding electronelectron interaction in magnetic ﬁeld and FQHE.
14.4. FRACTIONAL QUANTUM HALL EFFECT
295
Figure 14.7:
Few electron with Coulomb interaction
The role of electronelectron interaction is determined by the relation between the mean free distance between electrons, rs , and the Bohr radius, aB = 2 /me2 . At rs aB one can use the usual mean ﬁeld description of interacting electrons, considering screening, plasmons, charge density waves, etc. However, at rs ≥ aB the interaction energy becomes larger than the average kinetic energy. As a result, there exists a strong electronelectron correlation, and the electrons tend to crystallize. It is known that magnetic ﬁeld enhances these eﬀects. To get some understanding let us start with more simple problem of few electrons in a magnetic ﬁeld. Historically, these studies appeared important because they led to discovery of a new state, the incompressible electron liquid, that is believed to transform into (Wigner) crystal at very low densities.
Two electrons. Let us discuss the case of 2 electrons in a very strong magnetic ﬁeld, ωc ≥ e2 / aH . This inequality means that Landau levels are not mixed by the Coulomb interaction (see below). Using symmetric gauge, A = (−Hy/2, Hx/2, 0)and introducing polar coordinates we
296
CHAPTER 14. QUANTUM HALL EFFECT
Figure 14.8: Recent results on the fractional quantum Hall eﬀect. easily obtain zeroth approximation Hamiltonian H0
2 mωc ρ2 ωc ∂ = − + + , 2m 8 2i ∂ϕ 1 ∂ 1 ∂2 ∂2 2 = 2+ + 2 2. ∂ρ ρ ∂ρ ρ ∂ϕ 2 2
This Hamiltonian commutes with the angular momentum, lz = ∂ . i ∂ϕ
Thus it is natural to classify the states using the eigenvalues m of the angular momentum, lz . The eigenfunctions have the form ψnm (ρ, ϕ) = Nnm aH ρm eimϕ exp − m+1
m
ρ2 4a2 H
Lm n
ρ2 2a2 H
.
(14.6)
Here n is nonnegative integer, m is integer, Ln are Laguerre polynomials, while Nnm = n!/2π2m (m + n) are normalization factors. The energy eigenvalues are Enm = ωc [n + (m − m + 1)/2] . (14.7)
14.4. FRACTIONAL QUANTUM HALL EFFECT
297
The lowest Landau level corresponds to n = 0, m > 0. The Coulomb energy for the lowest state can be easily calculated as EC = 0me2 / r0m = e2 Γ(m + 1/2) . aH m! (14.8)
At large m is decays as m−1/2 . Two electrons are described by the Hamiltonian H0 (1) + H0 (2) + Hint . √ It can be rewritten through the centerofmass coordinate, R = (r1 + r2 )/ 2, and the √ relative coordinate, r = (r1 − r2 )/ 2, as √ H0 (R) + H0 (r) + Hint (r 2) . As a result, the centerofmass motion is separated, and we look for a solution in the form Ψ(R, r) = φ(R)ψ(r) . Now we are left with a singleparticle problem for the relative motion. Since the interaction energy is radiallysymmetric one can look for a solution in the form ψ(r) = R(r)e−imϕ with odd m because of the Pauli principle [ψ(−r) = −ψ(r)]. The radial Schr¨dinger o equation is easily written in the dimensionless units as − 1 d2 R 1 dR 1 − + 2 dr2 r dr 2 m2 r2 α +m+ − r2 4 r R = ER , (14.9)
where r is measures in units √ aH , E is measured in the units of ωc , while dimensionless of interaction constant is α = 2e2 / aH ωc . At large magnetic ﬁeld this equation can be solved perturbatively with respect to α. In the lowest approximation we obtain: E0m =
(1)
ωc e2 Γ(m + 1/2) + . 2 aH m!
(14.10)
The energy of the centerofmass motion must be added. We ﬁnd that the interaction destroys the degeneracy of the lowest Landau level. At large m the correction decreases because the electrons are less sensitive to interaction at long distances.
298
CHAPTER 14. QUANTUM HALL EFFECT
Three electrons. For 3 electrons we can also strip the centerofmass motion. It can be done by the transform ρ = Or where √ √ 1/√2 −1/ 2 0√ √ O = 1/√6 1/√6 −2/ 6 . √ 1/ 3 1/ 3 1/ 3 After the transform the interaction Hamiltonian can be written as e2 Hint = √ 2 1 2 2 √ + √ + ρ1 ρ1 + 3ρ2   3ρ2 − ρ1  . (14.11)
Again, we can write the eigen function as a product Ψ(ρ1 , ρ2 , ρ3 ) = φ(ρ3 )ψ(ρ1 , ρ2 ) and in this way to reduce the problem to a twoparticle one. An important point is that the probability density must be invariant under rotation about multiples of π/3. The resulting Hamiltonian also commutes with the total angular momentum, L. Then the states can be classiﬁed according to eigenvalues M of the orbital momentum. It was shown by R. Laughlin that a proper complete set to diagonalize a 3electron system can be written as m, m = F 2 2 2 2 (z2 + iz1 )3m − (z2 − iz1 )3m (z1 + z2 )m e−(z1  +z2  ) . 2 (14.12)
Here zi = ξi + ηi , ξ, eta are the Cartesian components of the vector ρi /aH , F is a normalization factor. The states (14.12) are the eigenstates of the total angular momentum with M = 3(m + m ). To diagonalize the system one has to solve the secular equation det eδmm δm m − mm Hint mm  = 0 . The crucial point is that the basis (14.12) is an extremely good starting approximation since oﬀdiagonal elements of Hint are typically at least 10 times less than the diagonal ones. The minimum angular momentum for which a nondegenerate solution exists is M = 3 (m = 0, m = 1). The next solution corresponds to M = 9, it is combined from the states (3,0) and (1,3). These states have the lowest energy at Hint = 0. The “charge density” for the state with M = 9 is 1/3 comparing to the state with M = 3. Since the angular momentum is conserved and the angular momentum corresponds to the area of an electronic state, the 3 electrons are “incompressible”.
14.4. FRACTIONAL QUANTUM HALL EFFECT
299
Fractional quantum Hall states
It is impossible to diagonalize exactly the system of many electron states. An extremely eﬀective approximate guess was suggested by R. Laughlin which we shall discuss for the case of very large magnetic ﬁeld when only the lowest Landau level is important. The singleelectron states for that case can be written as r0m = Nm m −z2 /4 z e , aH
where z = x + iy. The complete set of N electron states with total angular momentum M = N mν are the Slater determinants ν=1
N
Ψ(1 . . . N ) =
P (ν1 ...νN )
(−1)
P µ=1
m Nmµ zνµµ
1 exp − 4
N
zα 2
α=1
.
Since the ground state in the independent band approximation is a combination of Slater determinants, its general form is 1 Ψ(1 . . . N ) = f (zj − zk ) exp − 4 j<k There are several requirements to the functions f (z): • The function f (z) must be a polynomial of z; • Since Ψ should be a Fermion state, f (−z) = −f (z); • Ψ can be chosen as an eigenfunction of the total angular momentum. Therefore, the function f (z) has to be homogeneous. The simplest choice is f (z) = z m , (n odd) . Thus the approximate wave function has the form 1 Ψ(1 . . . N ) = (zj − zk ) exp − 4 j<k
m N N
zα 2
α=1
.
zα 2
α=1
.
(14.13)
The Laughlin state (14.13) describes a liquidlike system. The twoparticle correlation function
N (m) g2 (zz , z2 )
=
ν=3
drν Ψ(1 . . . N )2
at small distances is proportional to z1 − z2 m that reﬂects the Pauli principle for the electrons. The smallest possible value of m is 3. The total angular momentum is just
300
CHAPTER 14. QUANTUM HALL EFFECT
M = N m, while the area covered by the electrons is A = N (2πma2 ). Thus the average H electron density is (2πma2 )−1 , and the ﬁlling factor is ν = 1/m. To keep electrostatic H stability one has to add the positive background. The estimate for the Coulomb energy for the Laughlin state can me obtained as EC
(m)
=
N (N − 1) e2 2A
d2 r (m) g2 (r) − 1 . r
Because the correlation function decay strongly at small distances the incompressible liquid state appears more stable than the Wigner crystal. An interesting fact is that the Laughlin state appears the exact ground state for ν = 1/m in the case of contact interaction, Hint (r) ∝ δ(r). As a consequence of the electronhole symmetry it is easy to ﬁnd the state corresponding to the ﬁlling factor (1 − ν) if the state for ν is known.
Elementary excitations
Elementary excitation are important both for transport and dynamics. Changing of energy of the electron system can be achieved by its compression, or, equivalently, by changing of angular momentum while keeping the neutralizing background. In other words, it means that new quasielectrons of quasiholes are introduced into the state Ψν if ν = 1/m. An introduction of a quasihole can be represented as
N
Ψ+ = A+ (z0 )Ψν (z1 . . . zn ) , ν
A+ (z0 ) =
j=1
(zj − z0 ) .
Let us estimate the eﬀective charge of this excitation. The average area per particle which is covered in the state with ﬁlling factor ν = 1/m is (N − 1)(2πma2 ). It can be seen by H direct calculation of the integral. The corresponding charge density is ρ0 = −N e e ≈− . 2 (N − 1)(2πmaH ) 2πma2 H
Thus, each electron occupies the area with m ﬂux quanta. Its charge must be compensated by a positive background. In the state Ψ+ the maximum angular momentum per particle is increased by 2πa2 . ν H This corresponds to the change in the charge density which is equivalent to the positive charge +e/m. Quasielectrons can be created in a similar way,
N
Ψ− = A− (z0 )Ψν (z1 . . . zn ) , ν
A+ (z0 ) =
j=1
∂ ∗ − z0 ∂zj
.
Here the partial derivative acts only on the polynomial part of the wave function Ψν leaving alone the Gaussian part. It can be shown that the eﬀective charge of the quasielectron is −e/m.
H. Very speciﬁc features of Hall conductance were observed at ν = p/q where p. o D. These features were not explained by original theory by Laughlin. The above discussion is deﬁnitely not an “explanation” of FQHE. More work has to be done to understand the whole physical picture and to construct a proper transport theory. St¨rmer. q are integers. that at odd denominators the electrons also condense in some quantum liquids. However.4. Laughlin were awarded by the Nobel Prize 1998 for their discovery of FQHE. Very interesting collective excitations were also predicted and observed experimentally by inelastic light scattering.14. the story is not over. It appears that the quasiparticles can be considered as particle with socalled fractional statistics – anyons. Tsui and R. However. It just demonstrates some basic trends in the ﬁeld. both for odd and even denominator q. FRACTIONAL QUANTUM HALL EFFECT 301 The gaps between the ground and excited states were observed directly from temperature dependences of conductance. the properties of that liquids diﬀer signiﬁcantly from those of the incompressible Laughlin liquid. It appears. .
302 CHAPTER 14. QUANTUM HALL EFFECT .
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306 BIBLIOGRAPHY .
Part IV Superconductivity 307 .
.
(This rule is not valid for thin samples.1 General properties. see below). • If the superconductivity is destroyed by a current the critical current is just the one which produces the ﬁeld Hc at the surface (the Silsby rule). In many important cases this eﬀect can be not complete.1).Chapter 15 Fundamental Properties of Superconductors 15. 15. They are • Zero resistance (KammerlinghOnnes. The temperature Tc is called the critical one. 309 1 1 − (T /Tc )4 . Empirical temperature dependence of the penetration depth is δ(T ) = δ(0) so δ → ∞ at T → Tc. 1914). the ﬁeld does exist inside a surface region with the thickness δ ∼ 10−5 − 10−6 cm where persistent screening currents ﬂow. We review here the most important properties of superconductors which are deﬁnitely well known. We will come back to the problem later. • The MeissnerOchsenfeld eﬀect (1933). • Superconductivity can be destroyed also by an external magnetic ﬁeld Hc which is also called the critical one (KammerlinghOnnes. Empirically. Hc (T ) = Hc (0) 1 − (T /Tc )2 . Magnetic ﬁeld does not penetrate the sample. the magnetic induction being zero. • To be more exact. B = 0 (see Fig. 1911) at T < Tc .
at T < Tc ) the transition is the type I one. As a result. the induction being ¯ the spatial average of the local magnetic ﬁeld.1: The Meissner eﬀect. if H = 0 (i. there in no hidden heat. The London Equation In the following. it is convenient to use the local magnetic ﬁeld h(r).e.310 CHAPTER 15. In this case one would expect great increase of the thermal conductivity. tunnel eﬀect and so on. namely. there is a discontinuity of the speciﬁc heat. • The last property which is very important is that electron contribution to the speciﬁc heat behaves at low temperatures as exp(−∆/kB T ) that means that there is a gap in the elementary excitation spectrum. At the same time. it is continuous at the transition point. • The phase transition to the superconducting (SC) state in the absence of magnetic ﬁeld is the type II one. Indeed. So. • There are other arguments in favor of the gap in the excitation spectrum. one comes to the conclusion that it is a new type of condensed state. resistivity changes abruptly. Contrary. It means that the properties of electron system change also continuously. If we denote js = −ns ev(r) . • The penetration depth continuously changes from the ﬁnite value to inﬁnity at Tc . while Ekin is connected with persistent currents. One could imagine that electrons do not interact with the lattice in the SC state. Nevertheless. One can write the free energy as F= Fs dV + Ekin + Emag where Fs is the free energy on the condensed system. electromagnetic and sound absorption which has the threshold ω = 2∆ (because a pair of excitations is created by a quantum). B = h. FUNDAMENTAL PROPERTIES Figure 15. Rather. it should vanish at the transition point. But this gap is strongly temperature dependent contrary to semiconductors.
GENERAL PROPERTIES. y) plane. the surface is the (x. check!). curl h = As a result.1) (15.1 Ekin = The energy of the magnetic ﬁeld is Emag = Then.1. F = F0 + with F0 = Fs dV . with the density of superconducting electrons.15. (15. The Meissner eﬀect For the simplest geometry. Fig. As a result.2.2) At low temperature it is natural to assume that ns = ne .3) which should be analyzed together with the Maxwell equation (15. c (15. ns . Then. 4πns e2 1 8π 2 h2 + δL curl h2 dV 311 1 2 ns mv 2 dV. 15. 8π 4π js .1). . for orderofmagnitude estimates we get for δL ∼ 500 ˚ for simple metals like Al and Sn (m ∼ m0 ) and ∼ 2000 ˚ A A for transition metals with large m. We get δF = 1 4π 2 (h · δh+δL curl h · curl δh) dV = 1 4π 2 (h + δL curl curl h) · δh dV (the second expression is obtained by the interacting by parts. h2 dV. δL = mc2 . Now we get the equation for h that provides the minimal free energy. 1 We assume that the velocity is a slowvarying function of coordinates. ﬁeld and current depend only on z. We have 2 h + δL curl curl h = 0. for the minimum we get the London equation 2 h + δL curl curl h = 0. curl h = (4π/c) js . div h = 0.
dz mc δL 4π The solution is h(z) = h(0) e−z/δL . Penetration depth. So. 1. The ﬁeld cannot be normal to the superconductor surface. h = 0.2: The Meissner eﬀect. h = const. From the London equation. Consequently.312 CHAPTER 15. and we get j y. FUNDAMENTAL PROPERTIES Figure 15. Thus. we obtain ∂h/∂z = 0. the Maxwell equation is 4π dh = js dz c and the London one djs ns e2 h c = h= 2 . p . 2. curl h = 0. js = 0. If h x the equation div h = 0 is automatically met. If h z. we have proved the concept of the penetration depth.
1. 16. 1. Figure 16. cL h2 . 2 2 Fn = πr0 LFn + πr1 L 2.1 Thermodynamics in a Magnetic Field. 8π . In a normal state.Chapter 16 Magnetic Properties of Type I Superconductors 16. In a SC state Fs = 2 πr0 LFs + 2 π(r1 − h2 2 r0 )L 8π 313 .1: Magnetic properties of a long cylinder. the ﬁeld is homogeneous h= 4πN I . Consider a long cylinder with length L and a coil with N shown in Fig.
Fn − Fs = As a result. 1 =− T 4π dHc dT 2 . 8π 2 NI NI 2 2 h (Φn − Φs ) = πr0 h = πr0 L . at h = Hc . We have proved that at H = 0 L = 0 (type II transition). As a result. dT Ss = − dFs → dT Sn − S s = − the hidden heat being dHc 1 Hc 4π dT dHc T Hc > 0.2 Penetration Depth Relation Between the Current and the Field It is very convenient to use the vector potential according to the relation h = curl A. Let us ﬁnd the diﬀerence Fn − Fs . Here we have neglected surface eﬀects – penetration of the ﬁeld inside the sample and kinetic energy of surface currents (r0 δ). 4π dT It is known that at T → Tc Hc → 0 while dHc /dT remains ﬁnite. c c 4π Now we can derive several important relations. 4π 2 V I dt = πr0 L 2 Hc .. Tc Tc 16. Let us ﬁx the current I and change the temperature.314 CHAPTER 16. Fn − Fs = 2 Hc . At the transition the magnetic ﬂux Φ decreases. The speciﬁc heat step is L = T (Sn − Ss ) = − d Cn − Cs = T (Sn − Ss ) dT This relation is conﬁrmed by experiments. the voltage V is induced. The entropy Sn = − dFn . If we keep the current constant V I dt = In the equilibrium. PROPERTIES OF TYPE I . 1. . the work being s V I dt = − n N dΦ c dt I dt.
[An = 0]surf ace is chosen.2) To get C we apply this expression to the case of slowvarying vector potential.3) 4πmcζ0 The exact result can be obtained from the microscopic theory and it is much more complicated.16. Eq. The quantity ζ0 is called the coherence length.1) is valid if both the current and ﬁeld slowly vary in space. PENETRATION DEPTH 315 To make this equation deﬁnite one should chose the gauge and the boundary conditions. Nevertheless. if there is a gap ∆ in the excitations spectrum the electrons in the layer F ns e2 A mc (16. (16. (16. it means that the spatial size of the package is ζ0 = vF π∆ (the factor 1/π is introduced for convenience). [jn = 0]surface .1) − ∆ < p2 /2m < F +∆ are correlated. δL ζ0 . for type I materials. (16.2) is a very good approximation and we will use it extensively.1) 3ns e2 C=− . the Eq. (16. As a result (see Problem 16.2. R4 R=r−r . In this section we are interested in the opposite limiting case. According to the uncertainty principle. We see that the London equation is valid at δL ζ0 . As the same time. In such a gauge the current response is js = − with div j =0. and we should come to the London expression. The materials with δL ζ0 are called the type II superconductors. Usually the gauge div A =0. . To get the relation between the current and the vectorpotential usually the Pippard’s phenomelogical expression is used j(r) = C A(r ) · R R −R/ζ0 e dV . The ﬁrst condition is just the continuity equation while the second is met in the absence of the currents ﬂowing into the sample. The width of the layer in the pspace is δp ∼ 2∆/vF . In this case the potential can be considered as constant.
mc ζ0 . If the vectorpotential would be constant near the surface one would obtain j=− ns e2 A. One can use the following rule. (16. (16. Near the surface it is obviously incorrect.2) is performed over the whole sample.316 CHAPTER 16. Consequently. Let the vectors A. mc ζ0 Substituting this relation to the Maxwell equation (15. The exact theory is very complicated for this case.4) . A is not very small only in the layer with the thickness δ one should multiply this expression by δ/ζ0 to get j=− ns e2 δ A. Penetration depth.2: On the shadow eﬀect. PROPERTIES OF TYPE I . In reality.62 it this equation: 2 δ 3 = 0. 16.2. (16.62 δL ζ0 .. j are parallel to z.2). Figure 16. and we will apply the model considerations (Pippard). The integration in Eq. Let us keep Eq. 15.1) we get h(z) = h(0) e−z/δ with the following selfconsistent equation for δ δ −2 = 4πns e2 δ 2 → δ 3 = δL ζ0 . Let us return to our geometry.2) but perform the integration only over the points r which are accessible from the point r along the straight line (see Fig. Fig. 2 ζ mc 0 The exact theory leads to the extra factor 0.
Impure materials are type II superconductors. while ∆(0) can be obtained from the similar measurements in the SC state. We see that the penetration depth increases with the increase of the impurity concentration. The best way is study a cavity with SC walls. (16. Thus. For clean metals one can obtain the ratio ne /m and vF from the speciﬁc heat data and calculate δL .16. ˚ A 490515 510 390 317 Table 16. or thin ﬁlms. The comparison is given in the table 16. ˚ δth . Alloys The idea to take impurities into account in the simplest way belongs also to Pippard.2) to get j(r) = C A(r ) · R R exp −R R4 1 1 + ζ0 dV . The result is j(r) = C We returned to the London equation j(r) = − ns e2 A(r) mc ζ0 4π 1 −1 3 ζ0 + −1 A(r). It interesting to check the relation (16. PENETRATION DEPTH ˚ Metal δL . in particular. . It is just to introduce the facto exp(−r − r / ) in the integrand of Eq.4). or the inductance of a coil with long SC cylinder as a kernel (the Kazimir method). At δ one can integrate over R considering A(r ) as constant. Fig. while δ ∼ ζ0 δL ζ0 2/3 1.2. As a result δ ∼ δL ζ0 δL 1/3 1. so we can determine ζ0 . Another way is measuring the inductance of a coil near the SC surface.1. on the alloys SnIn. (16.5) This way was successful to explain many experimental results.1: Values of δ and ζ0 for 3 metals. R=r−r. 16. There are several conventional ways to measure the penetration depth: by magnetic susceptibility of small SC particles.3. Clean Metals Now we brieﬂy discuss the experimental picture. A Al 157 Sn 355 Pb 370 ζ0 . Filed Penetration into Clean Metals and Alloys. ˚ A A 16000 530 2300 560 830 480 δexp .
One can retain the quantity ζ0 obtained for zero temperature while the factor C becomes temperaturedependent. To get the ﬁeld outside one should write the Maxwell equation div h = curl h = 0.6) Temperature Dependence of the Penetration Depth As a prescription.4. Another boundary condition is (hn )r=a = 0 h → H0 at r → ∞. we have the Meissner eﬀect and h =0 inside the sphere. We will discuss this complete dependence after considering microscopic theory. PROPERTIES OF TYPE I . 16.3: The dependence δ vs which leads to the penetration depth δ = δL ζ0 at in SnIn alloys. Figure 16. Fig. 16.2) and (16. ζ0 . People often use the empirical relation given above which works relatively well.. δ.3 Magnetic Properties of Samples with an Arbitrary Shape Nature of the Intermediate State. Near Tc C ∝ Tc − T . .5) remain valid at ﬁnite temperatures. If the ﬁeld is very low. the Pippards relations (16.318 CHAPTER 16. To understand what happens for a sample with an arbitrary shape let us consider a SC sphere with the radius a embedded in the external magnetic ﬁeld H0 . (16. To discuss the penetration depth we have always used the long cylinder conﬁguration which provides constant magnetic ﬁeld at the surface.
7) 3 In this region the normal and SC phases coexist. Inside the ﬁlm the total ﬂux penetrated only the normal regions. and the ﬂux is AH0 where A is the ﬁlm’s area. 2 Thus.16. at the equator (θ = π/2) hθ = (3/2)H0 and at H0 = (2/3)Hc the maximal ﬁeld is just Hc . h = H0 .. It is clear that condition (16. What happens at 2 Hc < H 0 < H c ? (16. As a result.4: Field distribution near a SC sphere with the radius a. This state is called the intermediate one.5).7) is shape dependent. div h = curl h = 0. dn + ds Indeed. In Slayers h = 0. Fig. let us consider the plate in a perpendicular magnetic ﬁeld..e. i. we get the solution for the region outside the sphere a3 cos θ h = H0 + H0 2 r2 that is just the ﬁeld of a magnetic dipole. in a very thin plate intermediate state exists at any ﬁeld H < Hc . AH0 = A(1 − ρ)Hc → ρ = 1 − H0 . the tangential ﬁeld component is 3 (hθ )r=a = H0 sin θ. As a result.3.(16. In the N regions h z. h = const. At the surface. To study the system in more detail. We see the set in N and S layers. To keep the ﬂux constant we should ﬁx the fraction of SC volume to be ρ= ds . For example.ARBITRARY SHAPE 319 Figure 16. far away the ﬁeld is homogeneous. (the ﬁeld cannot be normal to a SC). the ﬁeld at the interface being Hc . Hc . As a result. . the area being A(1 − ρ) while the ﬁeld is equal to Hc .
(16.). Adding the magnetic energy (h2 /8π) dV we get F= sample Fs dV+ all space (h2 /8π) dV. Figure 16.8) . We cannot determine the thickness dn. To get the free energy one should add the entropy contribution−T S.s from geometry consideration and need to discuss thermodynamics.5: Field distribution in a plate embedded in a transverse ﬁeld. etc. Important Thermodynamics Relations Now we introduce the most important concepts of thermodynamics to use them in the following chapters. The energy of the electrons can be written as (we put the electron charge −e) U= i 1 e pi + A 2m c 2 + Vi + i=j Vij . Free energy Consider a system consisting of the sample and external objects (coils. generators..320 CHAPTER 16. PROPERTIES OF TYPE I . Thus U − TS ≡ sample Fs dV.
We have curl H = 4π je . The function H(r) deﬁned in such a way is called the magnetic ﬁeld.10) 4π where we have introduced the factor (1/4π) just for convenience. c div B = 0. As a result. According to this deﬁnition ¯ B = h inside the sample B = h outside .3.. c δt ..10) is rather formal. Outside the sample h δh H δB = . In those case it is convenient to introduce magnetic induction B(r) as the average ﬁeld at the distances ∆x. the electric ﬁeld E appears in the external circuit according to the Maxwell equation 1 δB curl E = − . The deﬁnition (16. . As a results. the induction B should also change. From the local Maxwell equations we get curl B = Magnetic ﬁeld strength Assume that the ﬁeld h(r) has changed because of the variation of the currents in the coils. we will face the problems when the ﬁeld changes at the scale ∆x which is small in comparison with the sample’s size. but much less than the sample’s size.9) Consequently. 4π 4π h = B.ARBITRARY SHAPE Magnetic induction 321 In many cases.11) To prove this expression let us assume that the induction B(r) has the variation δB(r) for the time δt. In this case ¯ = ¯s + je j j where je is the current density in the external coils. 4π¯ j. outside the sample the thermodynamic ﬁeld H is the same as the microscopic ﬁeld. etc. (16. To understand its physical meaning we consider the situation when no external currents ﬂow into the sample. c (16.16. Expanding the free energy in powers of δB(r) we get 1 δF = H(r) δB(r) dV (16.
This electric ﬁeld leads to the work δt je E dV upon the external currents. δG = − 1 4π B · δH dV − S δT. (16. (16. (16.11).12) we prove Eq. Neglecting the last term and comparing the result with Eq. PROPERTIES OF TYPE I . S δT + δG = − 1 4π 1 ¯ curl A · δH dV = 4π 1 ¯ A · curl δH dV = c ¯ A · δje dV. (16. δW = δF.10) δF = δt 1 4π c 4π H δB c dV = −δt δt 4π c 4π H curl E dV [E × H] ds = −δt E curl H dV − δt where the last integral is calculated over the surface of the whole system and it is equal to the emitted energy..13) 1 4π B · H dV. Then. experimentally both the external currents and the temperature are kept ﬁxed. Now we return to the deﬁnition (16. . while the work produced by these currents is δW = −δt je E dV. Usually. This is just the potential which should be minimized at ﬁxed T and je .322 CHAPTER 16. To take it into account it is convenient to construct a special thermodynamic potential G=F− Consequently.12) On the other hand. ¯ ¯ Because div B =0 one can put B = curl A where A is the “macroscopic” vectorpotential. after the integration by parts. it is known from the thermodynamics that for reversible processes this work should be equal to the variation of the free energy. Thermodynamic potential at ﬁxed T and je If both the temperature and ﬁeld are changed δF = 1 4π H δB dV − S δT. To get the equilibrium at ﬁxed T and B one should minimize F.
. If the magnetic ﬁeld in a normal state if hn B = (1 − ρ)hn + ρ · 0 = (1 − ρ)hn .ARBITRARY SHAPE 323 Magnetization Curve in the Intermediate State To get the magnetization curve B(H) let us calculate the Gpotential for the sample. . That means: i) B H... ii) the quantity H is constant over the sample and equal to Hc . Minimization with respect to B : B = H(1 − ρ). 2. 8π 8π condensation energy Here we dropped the interface energy at S − N boundaries. as well as the ﬁeld distortion near the surface. The only (but very important) diﬀerence is that in SC it is nonlinear. curl H = 0. B H = Hc B and usual boundary condition of continuity of Bn and Ht (normal component of induction and tangential component of the ﬁeld.16. The free energy density is F = Fn − 2 2 ρHc +(1 − ρ) hn .3. Introducing B we get F = Fn − Now G(B. The distribution of magnetic ﬁeld can be obtained from the set of equations div B = 0. 8π 8π(1 − ρ) 1. These relation are equivalent to the conventional relation B =µH for a paramagnet. Minimization with respect to ρ : B = Hc (1 − ρ) → hn = Hc . 4π 8π 8π(1 − ρ) 4π 2 ρHc B2 + . ρ)= F − 2 BH ρHc B2 BH = Fn − + − .
B0 = 3H0 − 2Hc . . Hc Hc Hc 2 Hc < H 0 < H c .7 carrying the current I. 16. If H(a) < Hc all the wire is in a SC state. Thus. so 0= H 2 = 2(H · )H+2 H × curl H . We chose zaxis along B and H. Outside the sample H = B = H0 − H1 a3 2 cos θ r2 where H1 is a constant. Consider a wire with the radius a. H1 = 2(H − Hc ). 0 Consequently. Applications. We have H 2 = Hc . Fig. 16. Then we apply boundary conditions: Continuity of Ht → H0 + H1 sin θ = Hc sin θ. We know that inside H = Hc . We come to the conclusion the fraction of SC regions in a sphere is ρ=1− B0 3H0 − 2Hc Hc − H0 =1− =3 . 1. 3. The ﬁeld at the surface is H(a) = 2I/ca. 2 At I > Ic the surface is to become normal. Let us denote B as B0 . Force lines are the straight ones. PROPERTIES OF TYPE I ..6. Field distribution in a sphere. On the other hand. the critical current is Ic = ca Hc . 3 The ﬁeld at the equator and at the poles of a sphere is shown in Fig. 2 Continuity of Bn → (H0 − H1 ) cos θ = B0 cos θ. which are constant. )H =0 .324 CHAPTER 16. (H · straight one. As a result. Critical current of a SC wire. we conclude that the external part (at R < r < a) should be normal while the internal part (0 < r < R) should be in an intermediate state. 2 Proof. in this case the current would be uniform that leads to the condition H < Hc near the central part.vector H does not change along the force line and it is the 2. So.
6: Field distribution at the equator (1) and poles (2) of a SC sphere. The picture of the intermediate state in a wire is shown in Fig. Microscopic Structure of the Intermediate State. the central part cannot be completely SC. at r = R. Consider a plate shown in Fig. As a result. Let us assume that . At the boundary.16. 16... So. Let us discuss the structure of the intermediate state in more detail. one has H(R) = Hc and we get the condition for the current inside the tube r < R H(R) = Hc = 2I1 cRHc R → I1 = = Ic < Ic < I.7.7: Field distribution in a wire.8 and placed in a perpendicular magnetic ﬁeld H0 . cR 2 a We come to the conclusion that the current I − I1 should ﬂow through the normal external part.3. Figure 16. .ARBITRARY SHAPE 325 Figure 16. this current should produce a constant electric ﬁeld E (remember: curl E = 0). 16.
As shown in Fig.. If the interfaces are ﬂat and the surface energy is neglected F =− 2 Hc ds H 2 d Lx L y e + 0 Lx L y e . The energy ”loss” is of the order ∼ d2 Ly for each s interface. A 8π The corresponding contribution to F is 2 Hc 2Lx γeLy × (number of interfaces) = λeLy . We have to take into account 1. the normal and SC regions form a layered structure. Deformation of the force lines near the surface.8: Microscopic domain structure. SC domains become thinner near the surface. Our aim is to determine the widths dn. . That means the ﬁxed ﬂux through the plate and one has to use Gpotential. PROPERTIES OF TYPE I . 3. Creation of the N − S interfaces. λ ∼ 103 − 104 ˚. Magnetic energy is also changed near the surface which we take into account by another dimensionless function V0 2 H0 2 Lx d Ly V0 8π s d ds d . 16. magn. We allow for the interfaces introducing a speciﬁc surface energy H2 γ = c λ.s of the layers. 8π d 8π dn d = dn + ds condens. energy for h = H0 (d/dn ) Now we come to the next approximation. 8π d 2. The way is to minimize the free energy with respect to dn.9.s at given H0 . The total loss is 2 H c 2 Lx ds ds Ly U0 8π d d where U0 is the dimensionless function which depends on the shape of the regions.326 CHAPTER 16. Figure 16.
Let us consider the quantities ρs and d as independent variables. for a macroscopic material 1 − ρs = H0 .9: Domain structure near the surface. s s 2 s √ λe. λ ∼ 3000 ˚. we get d ∼ cm. As we have seen earlier. ϕ(ρs ) ϕ(ρs ) = 1 2 ρ U0 + ρ2 (1 − ρ2 )V0 . we obtain d ≈ 0..16. Hc We ﬁx the SC density ρs according to this expression and get F = Fmacro + 2 Hc eLx Ly 8π 2λ d + ρ2 U0 + ρ2 (1 − ρ2 )V0 s s s d e . Minimizing with respect to d we get d= λe ..06 cm.3. A . ϕ = 10−2 . . Taking e ∼ 1 The typical estimates are: for H0 /Hc ∼ 0.ARBITRARY SHAPE 327 Figure 16.7.
Change of the resistance of a thin wire while motion along the sample’s surface (Meshkovskii. 2. 16. ζ0 δ. We write the previous expression as G= dV Fn − 2 Hc 8π + γA . We have discussed a simpliﬁed picture.. In our previous macroscopic treatment we have assumed the sharp N − S boundary. There are several methods to observe the domain structure. Consequently. Decoration by ferromagnetic powder. Shal’nikov. 5 → kinetic energy of the currents. The Gpotential has the form G= x>0 dV Fn − 2 Hc h2 Hh δ2 + − + 8π 8π 8π 8π dh dx 2 The speciﬁcation of the items is 1 → free energy of normal phaseat H = 0. What is the diﬀerence if we come to the microscopics? The new feature is that the superconductivity becomes ”spoiled” at the distance ∼ ζ0 that leads to the loss of the condensation energy. In the N region the thermodynamic potential G decreases due to mag2 2 netic contribution (Hc /8π) − (Hc /4π) while in the Sregion it decreases according 2 to the condensation energy as −(Hc /8π). ζ0 δ. 16. Consider two limiting cases. 2 → condensation energy of the S−region.4 The Nature of the Surface Energy. We have h = Hc in the N . 1.9). 3. 3 → energy of magneticﬁeld. 2.328 CHAPTER 16.region while h = Hs exp(−x/δ) in the Sregion. 2 λ ∼ ζ0 and γ ∼ (Hc /8π)ζ0 . 1. In the end of the chapter we discuss qualitatively the nature of the interface contribution to the energy. Optical methods (using Faraday rotation). PROPERTIES OF TYPE I . The contribution discussed above is very small and we return to the Lonfon equation for the ﬁeld. The surface domain structure is much more complicated because of the surface winding (see the lower panel of Fig. 1947). 4 → microscopic analog of the quantity − (BH/4π).
They are called the type II superconductors and we will discuss these materials in the next chapter.5 Problems 16.16. It is not surprising that superconductors with ζ0 δ have speciﬁc magnetic properties. 16.1. As a result. γ= 1 8π ∞ 329 dx h2 + δ 2 0 dh dx 2 − 2hHc = − 2 Hc δ.3). 8π We see that surface energy is negative. Derive Eq. (16. So the system ”wants” to make as many surfaces as possible.5. PROBLEMS extracting the surface contribution. .
. . PROPERTIES OF TYPE I .330 CHAPTER 16.
and B ≡ H.69Hc2 . Hc2 = 300 000 G.2. Now we will concentrate on the region Hc1 < H < Hc2 with partial ﬁeld penetration. The lower critical ﬁeld Hc1 is much less than the thermodynamic ﬁeld Hc deﬁned as 2 Hc Fn − Fs = . Hc = 6 000 G. At H > Hc2 a macroscopic sample does not repel the ﬂux. 331 . the thickness being ∼ 103 ˚. One can observe the layer measuring surface conductivity. It means that persistent currents still exist. A Usually. Hc3 = 1. The temperature dependencies of the critical ﬁelds are shown in Fig.1. 8π 2. The Meissner eﬀect in a long cylinder is complete only in very weak ﬁelds. even in the equilibrium state the penetration is not complete. at Hc2 < H < Hc3 a surface SC layer still exists. Another names for this region are the vortex state (see below). 17. The physical reason is similar to the bubbles creation at the wall of the glass with beer (see later). Such a situation holds at Hc1 < H < Hc2 where Hc2 is the socalled upper critical ﬁeld which is much greater than Hc . 17. and the mixed state (do not mix with the intermediate state for type I SC).1 Magnetization Curve for a Long Cylinder Type II superconductors have the following general properties 1. At the same time. H < Hc1 . 3. Nevertheless. The values of critical ﬁelds for V3 Ga at T = 0 are: Hc1 = 200 G. The magnetization curve B(H) is shown in Fig. Such a region has been discovered by Shubnikov (1937) and is called the Shubnikov phase. The ﬂux Φ is less than in the normal state.Chapter 17 Magnetic Properties of Type II Superconductors 17. At H > Hc1 magnetic ﬁeld lines penetrate the cylinder.
MAGNETIC PROPERTIES TYPE II Figure 17. The curve B(H) is continuous at H = Hc2 .3).1) ∂Fi . j. ∂T . ∂Bi 4π while the entropy is Si = − ∂Gi ∂T =− H (17. So we face the typical type II transition. Bi ) = . We have Gi = Fi (T.1: Phase diagram of a long cylinder of type II superconductor. B) − Bi H . in which most of the sample is in the normal state (B = H(. According to experimental results. In some experimental works people prefer to plot magnetization M= M −H 4π (see Fig.332 CHAPTER 17. There is no hidden heat while there is a discontinuity of the speciﬁc heat. 17. It is interesting that the areas below the curves in Fig.1). Let us consider thermodynamics for this transition. and the ”normal” one. 17. 2.2 are the same for type I and type II SC (Problem 17. Let us consider two phases: the Shubnikov one i. 4π the dependence B(H) is determined from the condition ∂ H Fi (T. 1. We start with H = Hc2 . Now let us discuss the phase transition at H equal to the critical value Hc1 or Hc2 .
Indeed. Let the SC and normal state are in equilibrium at some ﬁeld H ∗ (in our case H ∗ = Hc2 ) that means Gi = Gj . along the equilibrium curve (Gi = Gj ) we have dGi /dT = dGj /dT . That leads to the continuity of the curve B(H) along the equilibrium line H = H ∗ (T ). If there is no hidden heat the entropies should be also equal.1) we obtain [dH = (dH ∗ /dT )dT ] dGi Bi dH ∗ = −Si − . Now we can calculate the speciﬁc heat at given magnetic ﬁeld as Ci = T ∂Si ∂T . we have at the line dFi ∂Fi ∂Fi dBi = + dT ∂T ∂Bi dT Using the magnetization curve (17. Si = Sj .2: B vs H curves for type I (dashed line) and type II (solid line) superconductors.17. H . Thus Bi = Bj . Si = Sj . dT 4π dT Then.1. MAGNETIZATION CURVE FOR A LONG CYLINDER 333 Figure 17.
T ) 4π ∂T ∂Bi ∂H .334 CHAPTER 17. we get Cj − Ci = T dH ∗ dT ∂Si ∂H − T ∂Sj ∂H .3: Magnetization curves for type I (dashed line) and type II (solid line) superconductors. dT We should remember that along the magnetization curve dSi dSj = . We have ∂Si ∂H Then = T ∂Si ∂Bi T ∂Bi ∂H =− T ∂ 2 Fi ∂Bi ∂T ∂H ∂T ∂Bi ∂H =− T 1 ∂H(Bi .2) T dH ∗ = dT + Bi ∂H ∂Bi T dB dT (17. we express dSi = dT ∂Si ∂T + H ∂Si ∂H T dH ∗ . MAGNETIC PROPERTIES TYPE II Figure 17. dT dt As a result. (17.3) where dB dBi dBj = = dT dT dT . T The last part of the calculation is to express the derivative (∂Si /∂H)T through magnetic characteristics. As earlier.
The condition Φ = Φ0 determines all the structure of an isolated line at δ. The magnetic ﬁeld is maximal in the center while at r > δ it decays as a result of screening by circular currents. Φ0 = ch = 2 · 107 G · cm2 . 1956). It has a core with a radius ζ in which the density ns of SC electrons decays to zero in the center.2 we see that Ci > Cj .4) which is called the Abrikosov vortex line (Abrikosov. ζ (the core’s characteristics usually enter under the sign of logarithm). we can expect that the magnetic ﬂux Φ= h · dS is equal to Φ0 (maximal mixing in the system).2. 17.17. ζ. Looking at the curves in Fig. 2e Thus. One can imagine 2 types of the structure: thin layers (with the width ∼ ζ). the structure of the core is not important for many applications. and we discuss it in more detail. 9. at least at δ. Substituting (∂H/∂T )Bi from (17.4). MICROSCOPIC STRUCTURE OF THE MIXED STATE 335 is the induction derivative along the equilibrium line. or ﬁlaments with the radius ∼ ζ. Consider an isolated ﬁlament (see Fig. According to the results both of the experiment and the theory (we will discuss it in detail). However one should keep in mind that it is rather diﬃcult to reach true equilibrium conditions in type II SC (see below). the magnetic ﬂux through a hole in a massive SC in quantized: Φ = kΦ0 . This relation can be checked experimentally. . if one knows both the dependence H ∗ (T ) and magnetic susceptibility ∂Hj T for both phases he can predict the speciﬁc heat discontinuity. One can show that at δ. It is clear that in this case the system “wants” to form a ﬁne mixture of normal and SC regions. 17. Check of thermodynamic properties is very important to prove that you observe the true bulk eﬀects. the surface contribution to the free energy being very important. 17. ζ the latter is more advantageous. As we will see later. To get the physical picture we start with the case of a mixed state with small B (H − Hc1 Hc1 ).3) into (17.2 Microscopic Structure of the Mixed State Physical Picture The ﬁrst important feature of type II SC is that the surface energy is negative (see Sec.2) we get ∂Si 1 dH ∗ ∂Bi 1 dB =− + ∂H T 4π dT ∂H T 4π dT T Cj − Ci = 4π dH ∗ dT 2 ∂Bj ∂H − T ∂Bi ∂H T ∂B Consequently.
As was shown in Sec.1. let us neglect the core contribution to the free energy. the contribution of an isolated line can be expressed as 1 2 F= h2 + δL (curl h)2 dV . (17.1.5) over the area of a circular contour with the center at the axis and the radius . ζ. ζ we can express it introducing a δfunction source in the London equation as 2 h + δL curl curl h = z Φ0 δ2 (r) (17. Outside the core the ﬁeld is determined by the London equation 2 h + δL curl curl h = 0 . MAGNETIC PROPERTIES TYPE II Figure 17. Because δ. Because we are interested in the case δ. r>ζ. i.336 CHAPTER 17.in the value of F for a unit length.4: Structure of an isolated ﬁlament in a type II superconductor.e. (17. Properties of a isolated vortex line. To prove this assumption let us integrate the Eq.4) 8π r>ζ We are interested in the linear tension. 8. The presence of the core we take into account as a boundary condition at r → ζ.5) where z is the unit vector directed along zaxis.
Now we can easily calculate the free energy.s. of Eq. according to (17.5) and get 2 δL 2πr curl h = Φ0 →  curl h ≡ − ∂h Φ0 1 = . ζ (17. (17. MICROSCOPIC STRUCTURE OF THE MIXED STATE r. The ﬁrst integral in the l.h.h.6) with the asymptotic one we get: const =0. The largedistance asymptotics of the ﬁeld.2.6) is h= Φ0 2 2πδL πδL −r/δL e . Thus we prove that the total ﬂux is equal to Φ0 . It is easy to calculate it for ζ r δ. In principle. We have F= 2 δL 2πζ h(ζ) curl hr=ζ = 8π Φ0 4πδL 2 ln δL . 2r r. After integration of the second term in the integrand of (17. ζ r δ.5) together with the condition div h = 0.7) . Comparing the exact solution (17. one can neglect the ﬁrst integral in the l. 2 ∂r 2πδL r As a result. δ it is possible to neglect the contour integral. Now we will ﬁnd the structure of the ﬁled. It has the form h= Φ0 K0 2 2πδL r δL (17. δ. h= Φ0 2 2πδL ln δL + const r . Indeed.4) we get F= 2 δL 8π [h × curl h] dS where the integral is to be calculated over the surface of the core (the cylinder with the radius ζ).s.6) where K0 is the Bessel function. Remembering that c j= curl h 4π we see that for r. one can ﬁnd exact solution of the London equation (17.17. is just the magnetic ﬂux through the contour. Using the Stokes theorem we get 2 h · dS + δL 337 curl h · dl = Φ0 .
2.9) where in the cylindric coordinates Fr = Fz = 0 .338 CHAPTER 17. 3. Inside It is convenient to come to the vectorpotential A. Consequently it is more proﬁtable to create 2 vortices with 0 the ﬂux Φ0 that one with the ﬂux 2Φ0 . h = curl A . d . (17. 2 4πδL A+ j=F c (17. 4π δeﬀ δeﬀ = 2 δL . 3 8π ζ Now we can compare this energy with the core contribution which is of the order δFcore ∼ 2 Hc 2 ζ . 8π We prove that the core contribution appears small in comparison with the one due to the supercurrent. MAGNETIC PROPERTIES TYPE II Discussion of the last formula. Denoting the total current as J = jd we get J= c 1 (F − A) . We can rewrite the formula for T = 0 using the expression for Φ0 and the relations (see below) 2 Hc 1 vF ζ0 = .8) π∆(0) 8π 2 which follow from the BCS microscopic theory. Fθ = Φ0 . Isolated Vortex in a Slab Now we discuss the properties of the isolated vortex in a thin slab (d we have the London equation h+ 2 4πδL curl j = z Φ0 δ2 (r). 1. F is proportional to Φ2 . 2πr Now let us average Eq. Because d δ the quantities A and F are almost zindependent. = g( F )∆2 (0) (17. F is only logarithmically dependent on ζ. We have div A = 0 .9) over zcoordinate. c δ) (Pearl). We get F= 2 π 2 Hc 2 δL ζ ln .
We come to the very simple equation −(q 2 + k 2 )Aqk + 1 1 Aq = Fq . . MICROSCOPIC STRUCTURE OF THE MIXED STATE 339 To solve the problem we need the ﬁeld distribution outside the slab. Aq = Now we know everything: the current Jq = magnetic ﬁeld: hq = i [q × Aq ] = Small distances correspond to large q (qδef f . δeﬀ 2 (17. A(s.z) δ(z)eiqs dV . (17. hzq ≈ For large distances (qδeﬀ Jq ≈ 1) Φ0 z. F(s) δ(z) eiqs dV = i Aq = 1 2π dk Aqk = A). 2 δ + k eﬀ 2qδeﬀ Φ0 Φ0 1 → hz ≈ .17.2. 4π δeﬀ 4πδeﬀ 1 + 2qδeﬀ 1 Fq . q2 where s is the inplane coordinate. 1 + 2qδeﬀ 1 2π dk q2 1 1 1 (Aq − Fq ) = (Aq − Fq ). c r dr π r3 . 2qδeﬀ 4πδeﬀ r c cΦ0 i [z × q] cΦ0 2qδeﬀ Fq = → J(r) = 2 2 . We have c 1 c 2qδeﬀ (Fq −Aq ) = Fq . The result is Aq = Finally.10) To get the last equation we used the London gauge (curl curl A = − To solve Eq.z) ei(qs+kz) dV.10) we introduce Fourier components Aqk = Fq = A(s.11) of Aq . (17. We can make calculations assuming that we have a plane with the current Jδ(z): curl curl A = 1 4π j = (F − A) δ(z) → c δeﬀ 2 A+ 1 (F − A) δ(z) = 0. δeﬀ δeﬀ We can ﬁnd Aqk from this equation and then substitute it to the deﬁnition (17. 1 + 2qδeﬀ 1). 4πδeﬀ 2π q 4π r 4πδeﬀ 1 d 2 Φ0 δeﬀ hz (r) = − (Jr) ≈ .11) Φ0 [z × q] .
δL (currents and ﬁelds remain ﬁnite at the axis of the opposite . As usual. 1. the energy is E= 2 δL 8π [(h1 +h2 ) × (curl h1 + curl h2 )] (dS1 + dS2 ). One can separate the 23 = 8 items into 3 groups. Sum of the free energies of separate lines 2F = 2 δL 8π [h1 × curl h1 ] dS1 + [h2 × curl h2 ] dS2 . MAGNETIC PROPERTIES TYPE II F= Φ0 4π 2 1 δeﬀ ln . Item (h1 +h2 ) · ([curl h1 × dS2 ] + [curl h2 × dS1 ]) which is small at ζ vortex).340 The free energy of the vortex is CHAPTER 17. Indeed F12 = Φ0 −2 [z × J(R12 )] ∝ R12 . c −1 the interaction (repulsion) energy decays only as R12 . Now we return to the bulk material and consider interaction of 2 vortex lines parallel to zaxis. Interaction between Abrikosov Vortices. As a result. the free energy is F= 2 δL 8π hi (r) = z Φ0 K0 2 2πδL r − ri  δL . 2. Its solution is a superposition of the two ﬁelds h(r) = h1 (r) + h2 (r) . [h × curl h] dS where one should integrate over the both cores’ surfaces. We have 2 h+δL curl curl h = z Φ0 [δ2 (r − r1 )+δ2 (r − r2 )] . δeﬀ ζ It is important that the vortices in a slab have long range interaction.
The resulting London equation becomes 2 h+δL curlcurlh = zΦ0 [δ2 (r − rL )−δ2 (r−rL )] and the total ﬁeld is h = H e−x/δL + Φ0 K0 2 2πδL r − rL  δL − K0 r−rL  δL . Let us add the auxiliary image vortex placed at the point rL = (−xL . The ﬁeld h2 is due to the vortex.17. The London equation for the problem is 2 h+δL curl curl h = zΦ0 δ2 (r − rL ) where rL = (xL . 17. Assume that we have a vortex line directed along zaxis and parallel to a plane surface (yz plane). −1/2 2 δL 8π 341 [h1 × curl h2 ] dS2 + [h2 × curl h1 ] dS1 . (curl h)x = 0 . 4π h12 = Φ0 K0 2 2πδL r1 −r2  δL . The interaction energy U12 = Using the relation curl h = we get U12 = Φ0 h12 . Fig.5. 0) with all the currents ﬂowing in the opposite directions (mirror image). It is clear that the sum of the ﬁelds produced by the both lines meet the boundary conditions.interaction of a ﬂux line with the sample’s surface. exp(−R12 /δL ) at Interaction of a Vortex with a Surface Now we discuss an important problem . We search solution as h = h1 +h2 where h1 = H exp(−x/δL ) is the penetration of the external ﬁeld. It can be calculated with the help of the image approach. Thus we can prove that the ﬁeld h2 is equal to this sum. . the external magnetic ﬁeld being H. The boundary conditions at the surface are h = H. ≥ 0. 0) is the ”line coordinate”. Let SC occupy the semi space x. at x = 0 (the second condition is just the vanishing of the current normal to the surface). Φ0 1 2 2πδL r We see that lines repulse and the interaction energy decays as R12 long distances and behaves as ln δL /R12  at small distances. MICROSCOPIC STRUCTURE OF THE MIXED STATE 3.2.
Then we go along the old way. The integral could be rewritten as = S2 S1 +S2 − S1 . h1 = H. 8π 4π We are interested in the energy per unit length. This integral is evaluated on the total volume of the sample (x. 4π 2 The second contribution can be written as G2 = − 2 δL 8π dS [h1 × curl h] S2 because at the surface h2 = 0. Now we can split the ﬁeld as h = h1 +h2 and consider the part. ≥ 0) excluding the core region. We denote the corresponding contributions as G1 and G2 . proportional to [h1 × curl h1 ] as an additive constant which is present in the absence of the vortex. we do the following trick. The remainder is G2 = 2 δL 8π dS [h1 × curl h2 ] . MAGNETIC PROPERTIES TYPE II Figure 17. S2 To get the result. Transferring to the surface integral we get the ﬁrst contribution 2 δL δG = 4π dS S1 +S2 1 h − H × curl h .5: On the mirror image approach. 2 where S1 is the core’s surface while S2 is the sample’s one. The G free energy G= dV 2 h2 + δL (curl h)2 h · H − .342 CHAPTER 17. at ζ → 0 the main contribution to S1 is the diverging part of curl h and Φ0 1 G1 = h(rL ) − H . As usual.
MAGNETIZATION CURVES. 4π 2 The graphs of the function G(xL ) for diﬀerent H are shown in Fig. The barrier is very important for the real life and should be taken into account interpreting experimental results. 17. In these 2 graphs the magnetic ﬁeld is measured in units Φ0 /4πδL . As a result. The ﬁrst contribution leads to the free energy of a isolated vortex G= Φ0 Hc1 4π while the second is just the interaction energy between the line and the image − The ﬁnal result is G= Φ0 Φ0 h(2xL ) with h(r) = K0 2 8π 2πδL r δL . 8π S1 8π The result is G= Φ0 1 H e−x/δL + h2 (rL ) − H . B = nL Φ0 . Indeed.3 Magnetization curves.17. To make explicit estimates we separate 3 regions . 17. The free energy is G = nL F− i. Now we should remember that the ﬁeld h2 consists from the initial and the mirror ﬁelds. BH 4π Now we discuss the magnetization curves for type II SC. δ2 Φ0 G2 = L dS [h1 × curl h2 ] = h1 (rl ). This barrier is a consequence of interplay between the tendency to penetrate the sample and attraction to the image ”antivortex”.3. Φ0 1 H e−x/δL − h(2xL ) + Hc1 − H .12) where nL is the density of vortex lines.j Uij − (17. We see that at ﬁnite magnetic ﬁelds a surface barrier appears (BeanLivingstone barrier). 4π 2 It is clear that G = 0 if the line is at the surface (h2 = 0). According to the London equation dS [h1 × curl h2 ] = S1 +S2 S1 +S2 343 dS [h2 × curl h1 ] We can see that the integral is very small. at the surface S1 the ﬁeld h1 is nonsingular while at the surface the ﬁeld h2 is zero because of the boundary conditions.6.
At the same time. High B where nL ζ 2 ∼ 1 and the cores overlap. 3. at H > Hc1 there is a possibility to get a minimum at B = 0.8) we get for T = 0 Hc1 π ζ0 δL =√ ln Hc 24 δL ζ0 that is usually 1.6: Surface barrier in type II superconductors. region. To get Hc1 one can neglect interaction at all.13) Making use of the relations (17. We have G≈B F H − Φ0 4π .344 CHAPTER 17. Indeed. 2 1. Consequently. 1) where there are many vortices inside the interaction 2 2. we get Hc1 = 4πF Φ0 δL = ln . so the equilibrium value is B = 0. Intermediate B (nL δL . The bracket vanishes at H = Hc1 = 4πF/Φ0 . Small B (nL δL 1) where only nearest neighbor’s interaction is important. The Lower Critical Field Hc1 . at H < Hc1 the free energy G increases with the increases of B. 2 Φ0 4πδL ζ (17. . MAGNETIC PROPERTIES TYPE II Figure 17.
8. MAGNETIZATION CURVES. (17. 17. The magnetization curve calculated from this model. 17. 345 The vicinity of Hc1 .3. B.8: Dependence G vs.7: Triangle vortex lattice. . as well as experimental results for the alloy More are shown in Fig.17. Repulsion of vortices becomes important and one should use the general equation (17. 17.7). Taking into account that only nearest neighbors are important Figure 17.9. Solid lines correspond to constant values of ns . A detailed calculation show that for all the values of B the most stable is triangle lattice vortices (see Fig.12). where z is the number of nearest neighbors (z = 6) while the lattice constant d is determined from the relation 2 Φ0 B = n L Φ0 = √ 2 . minimum which corresponds to the equilibrium value of induction B for a given H. we get G≈ B 1 Φ0 Hc1 − H + z K0 2 4π 2 2πδL d δL .14) 3d The result of calculations according to this scheme is shown in Fig. We see the Figure 17.
dashed line . Introducing the primitive cell we get the Fourier component hm = n L Cell h(r) eimr d2 r.calculations for a laminar model.experiment. In this case one should sum interaction energies for many vortices and we discuss the way to perform calculations. 2 (1 + m2 δL ) m m=0 √ The minimal value of m in the last sum is of the order 1/d ∼ nL Thus. 1 and we can drop 1 in the denominator.346 CHAPTER 17. . hm = 2 1 + m2 δL Then we write1 F= 1 8π = B2 8π 2 h2 + δL (curlh)2 d2 r = 1 8π 2 h2 (1 + m2 δL ) = m m 1 . The sum m=0 m−2 depends only on the properties of the lattice. hm = 0 only for the vectors proportional to the reciprocal lattice vector. Certainly. Crosses . in our region 2 m2 δL . Intermediate magnetic ﬁelds. MAGNETIC PROPERTIES TYPE II Figure 17. From the London equation we get n L Φ0 . To get an estimate one can replace the sum by the integral 1 1 1 → m2 (2π)2 nL m=0 1 1 B2 B2 = + 2 (1 + m2 δL ) 8π 8π d2 m 1 1 = m2 2π nL m dm 1 mmax = ln m2 2πnL mmin We calculate the energy per 1 cm. We start with the London equation 2 h+δL curl curlh = zΦ0 i δ2 (r − ri ) where the sites ri form a 2D periodic lattice.9: Magnetization curves for the vicinity of Hc1 .
ln(δL /ζ) √ β = β/ e. consequently.17.14) H = B + Hc1 ln(β d/ζ) . To make the estimates assume that there is one vortex with the current j and the external current density is equal to jex . as usual. PINNING. 347 Then. Finally. mmin ∼ 1/ζ. We know that in type II SC the upper critical ﬁeld can be very high. 17. energy loss. with mmax ∼ 1/d. (17. But moving vortices should produce nonsteady magnetic ﬁelds and. NONEQUILIBRIUM PROPERTIES. in a magnetic ﬁeld a force should act upon the vortices and leads them to move. the question arises: Is the mixed state superconducting? Indeed.381 (trianglelattice. High ﬁeld region In this region where cores overlap our approach is deﬁnitely not suﬃcient. 8π 4π ln(δL /ζ) β = 0. Assuming that the corre2 2 sponding contribution to the free energy is ns mvs /2 = (ns m/2)(j/ns e)2 = (4π/c2 δL )j 2 /2 we get for the interaction energy U= 4π 2 c2 δL jex · j dV.4. This result is in a good agreement with the experiment. Pinning. General Properties. We return to this region later after the analysis of the GinzburgLandau theory and show that the upper critical ﬁeld has the order Φ0 /ζ 2 .4 NonEquilibrium Properties. F= B 2 BHc1 ln(βd/ζ) + . Then we remember that j depends only on the diﬀerence r − rL (where r is the 2D coordinate in the plane perpendicular to the line). It is clear that people are interested to fabricate a SC which is able to carry large supercurrent and. superconductivity should exist in a high magnetic ﬁeld. the total current being j + jex . consequently. exactsolution). At the same time. we put ∂G/∂B = ∂ F − BH /∂B = 0 and obtain (we should not forget 4π that B is related to d according Eq. Pinning. The force is Fk = − ∂U ∝− ∂rLk dV jiex i ∂ji = ∂rLk dV jiex i ∂ji = ∂rk .
e. ηc We see that vL ⊥ jex ⊥B. In fact the viscosity η is a very complicated and interesting function of both the temperature and magnetic ﬁeld. As a result of force balance. ∂ri The last item vanishes because by integration by parts we get div jex = 0.348 = i CHAPTER 17. Hc2 η(Hc2 ) = This expression is only a very rough orderofmagnitude estimate. To get a simple estimate let us consider a cavity in the SC with d. According to the laws of electrodynamics.e. the vortices become pinned by the defects. Fortunately. to the resistivity of the normal phase) we get Φ0 Hc2 ρn c2 → ρ = ρn B . From this point of view we get the conclusion that the superconductivity is destroyed at H = Hc1 . this statement is wrong. In real materials there is pinning. such a motion produces the electric ﬁeld Φ0 B ex 1 E = [B × vL ] = j . Φ0 ex [j × z] . Substituting the expression for curl j we get fL = Φ0 ex [j × z] c for a separate vortex. If the . MAGNETIC PROPERTIES TYPE II dV jiex ∂jk ∂ji − ∂rk ∂ri + i dV jiex ∂jk . One kind of pinning is the surface barrier we have discussed earlier. It is clear that largescale defects with size greater than ζ should be very eﬀective. The total force acting upon the vortex structure is just the Lorentz force 1 FL = [jex × B] . ζ. Thus F= 4π 2 c2 δL [jex × curlj] dV. i. c Now let us assume that a vortex moves with a given velocity vL and there is a viscous braking force fv = −ηvL . Suppose that 2 2 the core is in the normal state that leads to the extra energy ∼ Hc ζ per unit length. ηc2 ρ = ρn (i. c ηc2 We observe the Ohm’s law with the resistivity vL = ρ= If we assume that at B = Hc2 Φ0 B .
In fact. So the problem is collective. Another consequence are current instabilities. In practice. The typical way to ﬁght with them is the thermal shunting (composite materials).4. In other words. As a result. NONEQUILIBRIUM PROPERTIES. Combining this expression with the expression for the Lorentz force we ﬁnd the critical current density able to start the motion jc ∼ H c c δL (we have used the relations fL = j ex Φ0 /c and Hc ∼ Φ0 /δL ζ). • Vortices interact. As a result. the pinning is a very complicated property. This phenomenon is called the ﬂux creep. This discussion is oversimpliﬁed for many reasons. and one should take into account the deformation energy of the lattice. the heating increases. • It is not clear in general case what is the external current distribution inside the sample because the critical current is Bdependent. Assume that at some region a bunch of vortices hop from one position to another. This statement is wrong at ﬁnite temperatures. the resistance becomes ﬁnite (but exponentially small) at any ﬁnite temperature. 349 vortex passes through the cavity. Consequently. Those instabilities are extremely important for superconductor engineering. The theory of creep and thermal instabilities is very complicated. there is attraction between the line and the cavity the force being of the order 2 fp ∼ Hc ζ (we have taken into account that at the distance ∼ ζ the vortex collides with its image). Flux Creep One can imagine that at very j < jc the resistance is zero while at j = jc the resistance appears in a steplike character. This property will be discussed in more detail in the following section. One of the consequences of the creep is dumping of the ”persistent current”. for many materials it can be not so important. Immediately this region becomes heated that leads to decrease of the critical current.17. PINNING. As a result. and it is not completely understood today (especially for highTc materials). this energy is absent. • The pinning force acts upon a small part of the line while the Lorentz force is applied to the whole line. That is why one should be very accurate in interpreting relevant experiments. pining centers create a potential proﬁle for the vortices which can hop between the valleys due to thermally activated ﬂuctuations. Fluctuations. . the true critical current is zero at any ﬁnite temperature. and we do not discuss it in detail.
Suppose that the SC is in a mixed state with the ﬁeld H z. Another type is the pinning force which has the maximal value αm .350 CHAPTER 17. the necessary condition of the mechanical equilibrium is just ∂p ≤ αm .the critical state model. S B ∂G . MAGNETIC PROPERTIES TYPE II Critical State at T = 0. Consider a piece of the xyplane with the area S having N vortices (the external ﬁeld is parallel to zaxis). and dS dB =− . If we come to a metastable state • the vortex density is position dependent. we can describe them as a pressure p in the 2D vortex system. B = N Φ0 /S. we estimate the force from the thermodynamic considerations. 4π ∂x Now let us discuss the interaction forces. We have G = SG. The total force acting upon the unit volume is −∂p/∂x. ∂B Inserting the deﬁnition of the .thermodynamic potential G p = −G + B G(B) = F (B) − BH 4π As a result p=− ∂G ∂S = −G − S N ∂G ∂S . To be more precise. The ﬁrst type is the repulsion one. At the same time. In this section we discuss a very popular simpliﬁed model to treat the external current distribution in a type II SC . • there is the macroscopic current j= c ∂B . In the equilibrium the vortex density is constant and equal to B(H)/Φ0 . ∂x The critical state model uses the condition ∂p = αm ∂x to determine the ﬂux distribution.
10. 17. Usual ways to study pinning is to observe the penetration of slowvarying Figure 17. Hc1 we have H(B) ≈ B. . PINNING.10: Magnetic induction proﬁles for the Bean and KimAnderson models. − H. ∂x 4π ∂x c In this case the current distribution is given by the equation B ∂B Bjy = = αm 4π ∂x c at H(B). According to Bean’s model This dependence is linear and jy =const.2) ∂p B ∂H(B) = ∂x 4π ∂x In the most important cases at Hc2 . Hc1 . magnetic ﬁeld in a bulk or hollow cylinder.4.15) ∂p B ∂B Bjy =− = . According to the KimAnderson model the quantity αm is Bindependent.17. To solve the problem one needs the dependence αm (B). and taking into account that in the equilibrium ∂G =0 ∂B we get (Problem 17. The proﬁles of the magnetic induction for both models are shown in Fig. NONEQUILIBRIUM PROPERTIES. and → H(B) = 4π ∂F ∂B 351 (17.
5 Problems 17. MAGNETIC PROPERTIES TYPE II 17. Derive Eq.1.15). Prove that the areas under magnetization curves are the same for type I and type II SC with the same Hc . . 17.352 CHAPTER 17.2. (17.
Hc ∝ M −1/2 . 1950).e. The amplitude of this secondorder process is Figure 18. Bardin. εk1 Vq 2 . Relying upon this fact the concept of phononmediated electronelectron attraction has been introduced (Fr¨lich. 18. Basic Concepts 18.Chapter 18 Microscopic Theory of Superconductivity.1: Electronphonon processes. i. o To understand what happens let us discuss the scattering process shown in the left panel of Fig. . the dependence of the critical parameters on the atomic mass Tc ∝ M −1/2 . − εk1 −q − ωq 353 Vq ≡ Vk−q.1.1 PhononMediated Attraction The ﬁrst important motivation to study electronphonon interaction was discovery of the isotopic eﬀect.k .
at the same time. 3 /mp vF F . the spins should be opposite. and the total wave function should be antisymmetric. The ratio is e2 a2 e2 ∼ ∼ 1. its orderofmagnitude estimate being 3 /mpF . MICROSCOPIC THEORY One should also add the amplitude of the process with phonon absorption shown in the right panel. ( ωq )2 − (εk1 − εk1 −q )2 Vq ∼ −i √ pF Vnm we get the following expression for the total amplitude − ( ωq )2 . It is the only way to meet the Pauli principle. Thus.e. Consequently we can say that electrons within a thin layer εk1 − εk ∼ ωD near the Fermi surface attract. Vq 2 . Consequently. Thus it is equivalent to a shortrange attraction. εk2 − εk1 +q − ωq We have taken into account that ω−q = ωq . and kindependent. i. 1 that in the momentum space means ∆p ∼ ωD /vF. But.354 CHAPTER 18. At the same time. Another feature is that it is the interaction with the total orbital moment equal to 0 (it is independent on k direction). phonon attraction is a longrange one. Let us ﬁnd a typical spatial spread of the corresponding quantum state from the uncertainty principle ∆r ∼ /∆p ∼ vF /ωD ∼ (vF /s)a ∼ a M/m. If we take into account the conservation law εk1 + εk2 = εk + εk 1 2 we obtain − Remembering that 2Vq 2 ωq . Thus the spin wave function should be also antisymmetric. the wave function should be symmetric with respect to the interchange of the electron coordinates. electrons are Fermi particles. there is Coulomb repulsive forces. pF mV ( ωq )2 − (εk1 − εk1 −q )2 3 At εk1 − εk1 −q  ωq this amplitude is negative. It is clear that phonons with maximal q are most important (density of states increases with q). V−q  = Vq  . It is a shortrange one due to screening and it can be written as e2 a2 δ(r1 −r2 ).
18. The SE is [H0 (r1 ) + H0 (r2 ) + U (r1 . they decay very weakly. We know. one can describe the quasiparticle spectrum in a normal metal as ξ(p) = vF (p − pF ). his original paper had a mistake and we shall follow the correct derivation below. We write their energies as ξ The excitations with ε < their energy as F (e) p2 p2 = − F ≈ vF (p − pF ). To start. The situation in 1D case is completely diﬀerent: one can form a bounded state at any attraction strength. Consider the interaction of 2 quasiparticles with the same k. this is a very rough estimate. we can classify the particles with ε > F as particlelike excitations. It the following we neglect Coulomb eﬀects and will model the interaction as constant −λ where 3 λ∼ in the interval F mpF ∼ 1 g( F ) F − ωq < ε < + ωq and λ = 0 outside this interval (the socalled BCS model). It is conventional to write p2 p2 F − ≈ vF (pF − p) 2m 2m to have positive energy.2. r2 ) = EΨ(r1 . 2m 2m behave as antiparticles (or holes). Cooper (1956) was ﬁrst to understand that it is the case. r2 ) where H0 (r1 ) is the free quasiparticle Hamiltonian H0 (r1 )ψk (r1 ) = ξk ψk (r1 ) (18. Indeed. it is natural to use the Fermi level as the origin of the energies. As a result. this model has nothing to do with the real life.to antiparticlelike ones.1) . ξ (h) = −ξ (e) = This spectrum is shown in Fig. in 3D case the bound state is formed only if the potential is strong enough. Thus. the electron states near the Fermi surface are very similar to ordinary particles. As a result. and in real metals the contributions to the interaction diﬀer strong enough. At the ﬁrst glance. the right branch corresponding to particlelike excitations while the left branch . 18. Unfortunately.2. One should remember that antiparticles have the electric charge of the opposite sign. but L. r2 )] Ψ(r1 . let us reformulate the quasiparticle concept which has been used for normal metals. COOPER PAIRS 355 Actually.2 Cooper Pairs Attraction does not mean formation of a bound state.18.
356 CHAPTER 18. As a result. MICROSCOPIC THEORY Figure 18. Substituting (18. 2ξk  − E Substituting this equation into Eq.2) where arrows mean the spin projections. (18.2) we get (Check!) the following integral equation 2ξk ck + k Ukk ck = Eck . [for free particles ψk (r1 ) = (V)−1/2 exp(ikr1 )].4) we get the selfconsistency equation k =kF +ωD /vF I= k =kF −ωD /vF λI 2ξk  − E .3) I= k =kF −ωD /vF ck (18. outside the interval . (18. (18. kF − ωD /vF < k. To solve the equation we use the model Ukk = Denoting k =kF +ωD /vF −λ. r2 ) = k ck ψk↑ (r1 )ψ−k↓ (r2 ) (18.2: Quasiparticle spectra in normal (solid line) and SC (dashed line) states. In the ground state both the total momentum and total spin should vanish. k  < kF + ωD /vF 0.4) we get ck = λI . one can construct the wave function as Ψ(r1 .2) into Eq.
λg( F ) ∼ 1.3 Energy Spectrum Now we come to a more detailed calculation. Denoting E = −2∆ and transferring the sum into the integral we get 1= λg( F ) ln 2 ωD ∆ (the factor 1/2 is due to the fact that we sum over the states with one spin projections while g is deﬁned as the sum over spin projections) or ∆ = ωD exp − 2 . The reason is that we have integrated only in the vicinity of the Fermi surface. For this we need to minimize the free energy with respect to the wave functions. it is convenient to come to the quasiparticle description. this product is small enough to make ∆ ωD . To do this we need to calculate the ground state energy for attracting electrons.3. So we can suspect that its temperature smearing will strongly inﬂuence upon superconductivity. dξ 18.5). Indeed.18. We have H− FN = kσ ξk a† akσ − kσ λ V k1 +k2 =k1 +k2 a† ↑ a† ↓ ak2 ↓ ak1 ↑ .5) The exact calculation has an extra factor 2 which is due to the fact that all the matrix elements are to be calculated in the renormalized state (see below). Then means that we will keep the chemical potential F ﬁxed as the origin of the energy reference frame. k k 1 2 (18. Let us discuss Eq.6) k1 =k1 . Technically. • We see that ∆ = 0 at any interaction strength. we transfer the Hamiltonian to H− F N where N = kσ a† akσ is the kσ operator of number of particles. λg( F ) (18. Actually. our rule d3 k g( F ) → 3 (2π) 2 corresponds to 1D problem. ENERGY SPECTRUM 357 Now recall that we are interested in a bound state with negative energy. As we have mentioned. (18. • As we have seen. • We see that presence of the Fermi surface is very important.
αkσ = 1. We get (Problem 18. † at p < pF : akσ = α−k−σ where α(α† ) are the quasiparticle operators. † ak↓ = uk αk↓ − vk α−k↑ . The key idea . The physical meaning is transparent: annihilation of an electron below the Fermi surface is just the same as creation of a hole with opposite values of momentum and spin. αkσ + vk α−k−σ . Now we come to a very important point .358 CHAPTER 18. In a superconductor.7).8) Now we calculate the variation with respect to vk taking into account (18. vk as parameters to minimize the free energy.9) ∆=λ k uk vk (1 − nk↑ − nk↓ ). (18. MICROSCOPIC THEORY All the sums are calculated over the thin interval ∼ ωD near the Fermi surface. a† kσ † † 2 = u2 αkσ .6). In a normal metal we can deﬁne at p > pF : akσ = αkσ .1) 2 2ξk uk vk = ∆(1 − 2vk ).10) The solution of the equation is u2 = k 1 2 1+ ξk εk . 2 vk = 1 2 1− ξk εk (18.introduction of quasiparticle operators. † Now we can express the energy through the quasiparticle numbers nkσ = αkσ αkσ . We have akσ . Let us check the commutation rules for the quasiparticle operators. If we request the usual Fermi commutation rules for the quasiparticle commutators we obtain the relation 2 u2 + v k = 1 (18. α−k−σ k † † + σuk vk {αkσ . Then we use the coeﬃcients uk . and the simplest way to calculate the spectrum is to use the Bogolyubov transform † ak↑ = uk αk↑ + vk α−k↓ .7) k that leaves only one free variable. say vk . Note that this transform conserves the momentum. α−k−σ } + σuk vk α−k−σ .11) .to dagonalize the Hamiltonian (18. We get 2 H− F N = ξk u2 (nk↑ + nk↓ ) + vk (2 − nk↑ − nk↓ ) − k k −λ k uk vk (1 − nk↑ − nk↓ ) k uk vk (1 − nk ↑ − nk ↓ ) ≡ E − F N. the ground state is more complicated. (18. (18.
say. The presence of the gap is very important. The pairing with nonzero orbital moment has been discussed in connection with superconductivity in the socalled heavy fermion compounds and with superﬂuid 3 He. 1 . of the gap we come to the relation1 vc ∼ ∆ .12) In the following we consider isotropic model where the spectrum is independent of the direction of k. After the variation of (18. The life is not so simple. It means that there is no lowenergy excitations and the electron liquid may be superﬂuid. ENERGY SPECTRUM where εk = 2 ξk + ∆2 . to create a new quasiparticle one needs the condition ε(p) + pv <0 to be met.8) with respect to. Now we can calculate the quasiparticle energy as a variational derivative of the total energy with respect to the distribution function. Consequently. if the liquid moves as total with the velocity v the energy in the laboratory frame of reference is ε(p) + pv. Thus. vk → 1. • At ξk  ∆ we come to the normal metal properties: εk → ξk . at ξk > 0 uk → 1. vk we get εk↑ = δE = δnk↑ 2 ξk + ∆2 = εk So we come to the following conclusion • There is the gap ∆ in the quasiparticle spectrum. at ξk < 0 uk → 0. Indeed. p In the presence.18. nk↑ at constant uk . As has been shown. One can imagine also collective excitations which may have no gap. we come to the quasiparticles of the normal metal. vk → 0. Because of the symmetry of the problem we get εk↑ = εk↓ . 359 (18. nk↑ = nk↓ .3. or ε(p) v < vc = min . it is not the case because of the ﬁnite electron charge. pF We have discussed here the simplest variant of the theory with the sstate pairing. Thus we have δE = k (εk↑ δnk↑ + εk↓ δnk↓ ) .
∆ Here we have used the expression (18. MICROSCOPIC THEORY 18.4 Temperature Dependence of the Energy Gap Now we are prepared to discuss the temperature dependence of the gap.13). y= ξ 2 + ∆2 .10) we get 1= λ 2 (dk) 1 − 2n0 (εk ) λg( F ) = εk 2 ωD dξ 0 tanh( ξ 2 + ∆2 /2kB T ) ξ 2 + ∆2 .360 CHAPTER 18.14) and expanded the integration region to inﬁnity (the important region is ∼ ∆). ξ 2 πkB Tc 2 ωD γ exp (−2/λg( F )) π π kB Tc = 1.15) (18. At T → Tc ∆ → 0.13) At T → 0 tanh( ξ 2 + ∆2 /2kB T ) → 1 and 1= λg( F ) 2 ωD ln → ∆(0) = 2 ωD exp (−2/λg( F )) 2 ∆(0) (18. It is interesting to show the analytical formula. γ (18.14) (note the extra factor 2). γ = 1. We are interested in large values of x.16) To discuss the temperature dependence one can simply calculate the integral in (18.76kB Tc . Then we use the integral representation for the McDonald function Kν (z) = Γ(1/2) z Γ(ν + 1/2) 2 ν 1 ∞ e−yz (y 2 − 1)v−1/2 dy . At low temperatures we can rewrite the formula as ln where f (x) = 1 ∆(0) = ∆ ∞ 0 1 − tanh( ξ 2 + ∆2 /2kB T ) ξ 2 + ∆2 dξ = 2f ∆ kB T ∞ dy (1 + eyx ) y 2 − 1 . (18. From Eq. (18.78. ∞ ∞ f (x) = 1 dy n=1 (−1) n+1 e−nyx y2 − 1 . so we analyze brieﬂy this integral. and 1= Thus kB Tc = and ∆(0) = λg( F ) 2 ωD dξ 0 tanh(ξ/2kB Tc ) λg( F ) 2 ωD γ = ln .
13) by (λg( F )/2) and subtract its limit at ∆ = 0. expanding over ∆ and integrating over ξ we get ∞ 2n ∞ (2n − 1)!! ∆ 1 Tc =2 (−1)n+1 .. ln T (2n)!! πkB T (2k + 1)2n+1 n=1 k=0 The ﬁrst item leads to ∆ ≈ 3.. 18. Tc − T The graph of the dependence ∆(T ) is given in Fig.06 Tc .3. We get ln Tc = T ∞ dξ 0 tanh ξ tanh( − ξ ξ 2 + ∆2 /2kB T ) ξ 2 + ∆2 . 2x Thus. Then we use the formula tanh πx = 2 4x π ∞ k=0 1 .17) At T → Tc it is convenient to expand over ∆ → 0. To do this we also divide the expression (18. TEMPERATURE DEPENDENCE . ∼ number of quasiparticles (18.18. Figure 18. and get ∞ 361 f (x) = n=1 (−1)n+1 K0 (nx) ∼ π −x e .4. at T Tc ∆(T ) = ∆(0) − 2π∆(0)kB T e−∆(0)/kB T . .3: Temperature dependence of the energy gap. (2k + 1)2 + x2 Substituting this formula into the previous one.
with the partition function Z= s. V. d∆1 0 We can obtain the integrand from the selfconsistency equation ln 2 ∆(0) = ∆ ∞ 0 1 − tanh( ξ 2 + ∆2 /2kB T ) ξ 2 + ∆2 dξ = 2f ∆ kB T .5 Thermodynamics of a Superconductor According to statistical physics. ∂λ λ Then we can integrate over λ to get λ (18. For brevity we assume V = ∞. and chemical potential is Ω = −kB T ln Z.362 CHAPTER 18. MICROSCOPIC THEORY 18. Splitting the Hamiltonian as H0 + Hint and diﬀerentiating with respect to the interaction constant λ we get H− N ∂Ω 1 Tr Hint exp − kB T 1 Hint . the thermodynamic potential Ω depending on the variables T. . † ak↓ = uk αk↓ − vk α−k↑ we get (Problem 18.18) Ωs − Ωn = − 0 dλ1 2 ∆ (λ1 ). = = λ ∂λ λ Tr exp − H− N kB T Substituting the expression for the interaction Hamiltonian2 Hint = −λ k1 +k2 =k1 +k2 k1 =k1 a† ↑ a† ↓ ak2 ↓ ak1 ↑ k k 1 2 and expressing the electron operators through the quasiparticle ones as † ak↑ = uk αk↑ + vk α−k↓ .N exp − EsN − N kB T = Tr exp − H− N kB T . We get ∆ dλ−1 (∆1 ) 2 1 Ωs − Ωn = ∆1 d∆1 . λ2 1 It is more convenient to change variables to introduce inverse function λ1 (∆1 ) to get dλ1 = (dλ1 /d∆1 )d∆1 .2) ∂Ω ∆2 =− 2.
(kB T )3 7ζ(3) ∆4 32 (πkB T )2 Cs = T Near Tc we get ∂Ss = kB g( ) ∂T Ωs − Ωn = −g( ) where ζ(3) is the Riemann zeta function ∞ ζ(x) = 1 1 .42 + 4. Finally. kB T 2π∆5 (0) −∆(0)/kB T e . THERMODYNAMICS OF A SUPERCONDUCTOR ∆(0) = 2 ωD exp (−2/λg( F )) . 4 This formula is clear enough: the bonding energy ∼ ∆ while the number of electron in the actual region ∼ g( )∆. As a result.4. 1 It is easy to calculate asymptotic behavior because we know all the functions. 18.76 . The temperaturedependent part at low temperatures is Ωs (T ) − Ωs (0) ∼ g( ) 2π(kB T )3 ∆(0)e−∆(0)/kB T . we get the exact formula g( ) Ωs − Ωn = 2 ∆ 0 d 2 ωD ln − 2f d∆1 ∆1 ∆1 2kB T ∆2 d∆1 . At T = 0 Ωs (0) = − g( )∆2 (0) . we can obtain the speciﬁc heat Cs (Tc ) = Cn (Tc ) + 4 pF m(kB Tc ) kB . 3 3 Making use of all the relations we get near Tc Cs (T ) T − Tc = 2.5. We can also de .18. nx In the same way. Cn (Tc ) Tc The temperature dependence of the speciﬁc heat is shown in Fig. 3 7ζ(3) Cn (Tc ) = kB pF m(kB Tc ) . we get Ss = − ∂Ωs ≈ g( ) ∂T 2π∆3 (0) −∆(0)/kB T e . 363 As a result. λ−1 (∆) = g( ) 2 ωD ln − 2f 2 ∆ ∆ 2kB T .
T.735Hc (0) . we should mention that one very important assumption has been extensively used. 7ζ(3) 3 Tc π 2 (kB T )2 3 ∆2 (0) 2πg( )∆(0). (δF )N.V = (δΩ) .364 CHAPTER 18.T. 2 Hc . In particular. The theory should be generalized to treat those materials. There are some materials where this condition is invalid. MICROSCOPIC THEORY Figure 18. termine the critical magnetic ﬁeld.V and Ωn − Ωs = Thus. 18. 8π In conclusion to this section. Hc (0) = At low temperatures we have Hc (T ) = Hc (0) 1 − while near Tc Hc = kB 16π mpF Tc − T (Tc − T ) ≈ 1. . the additional terms to all the thermodynamic potentials are equal if they are expressed in the corresponding variables. Indeed.6 Electromagnetic Response of a Superconductor In this section we analyze the applicability of the London equation and its generalization.4: Temperature dependence of the speciﬁc heat. namely the interaction assumed to be weak: λg( ) 1.
in the presence of a magnetic ﬁeld the Hamilton acquires the additional factor δH = − 1 c jδA dV that leads → δE = − 1 c j δA dV . δ∼ mc2 ζ mc2 ζ → δP ∼ 4πne e2 δ 4πne e2 1/3 . we can assume that only the electron which live for a long time in the surface region ∼ δ are eﬀective. Moreover. We know that the characteristic scale for the variation of A is δ. the relation currentvectorial potential becomes nonlocal ji = − k Qik (r − r )Ak (r ) dV where Qik (r) decays at r >ζ. Here we consider only the simplest case: response of a SC to a weak steady magnetic ﬁeld at T = 0. According to quantum mechanics. That means that one can discuss the correlation length rather than the size of pairs. The aim is just to show the way of microscopic calculations. ELECTROMAGNETIC RESPONSE . ne e2 Q= mc2 we thought that the current is transferred by the electrons. It is interesting that all the formulas do not feel if the carriers are single electrons. As was mentioned.6. or pairs (one can check it replacing e → 2e. impurities. δ ζ. Theory of the Meissner Eﬀect at T = 0. 365 Qualitative Discussion When we’ve derived the London equation j = −QA. In the opposite limiting case. The number of those electrons is proportional to the angle θ ∼ δ/ζ and nef f ≈ ne δ/ζ.. we’ll see later that near Tc all the SC are type II ones. So we face the problem: why Cooper pairs do not scatter each other? The answer is that they represent eigenstates of the SE and their wave function are orthogonal. In this situation one can replace A(r ) → A(r) and Qik (r − r ) dV = δik Q.18. ne → ne /2). The main diﬀerence is that Cooper pairs have quite large size ζ ∼ vF /∆ a (at ∆ ≈10 K ζ ∼ 10−4 cm). consequently we return to the London limit at δ ζ.. one can decrease the ratio ζ/δ introducing defects. Now we know that Cooper pairs are responsible for the superconductivity. Because of the correlation. The London equation is the case at very slow variation of A(r). Nevertheless. etc. As a result. most of pure materials are type I (or Pippard) ones.
we write the interaction Hamiltonian as a sum of 2 parts H1 = e (p− q)a† ap− pσ mc p.q.σ Aq Aq . .σ q− q . At low temperatures np↑ = np↓ = 0. MICROSCOPIC THEORY where j is the quantum mechanical average of the current (in the following we omit the angular brackets · · · ).q Remember: the charge is denoted as −e.σ Aq . The prescription to take the ﬁeld into account is to replace 3 p = −i → −i e + A c As a result. and E2 = 3 e2 mc2 2 vp Aq A−q .σ + pa† ap− pσ q.q . and k = k . for a bare electron the Hamiltonian is 1 − 2m 2 2 −i e e (A + A) + c c 2 A2 .σ H2 = Then we transform e2 2mc2 q. To take the lack of conservation into account we expand the vector potential in the Fourier series A(r) = q Aq eiqr . We will do like this: we calculate the contribution to the energy and than ﬁnd the variation with respect to δA. We see that only the item proportional to vp vp gives a ﬁnite contribution. the component Aq can be understood as the absorption of electromagnetic quantum with the momentum q. Using the second quantization. We see that only the ﬁrst item conserves the particle momentum. It is clear that in a weak ﬁeld we need 2nd order of the perturbation theory because the current is proportional to A. a† ap− pσ p.366 CHAPTER 18.σ through quasiparticle operators pσ † † † † a† ap . p.q. The part H2 is of he 2nd order and it is enough to average it over the ground state. σ a† ap .σ = up up (αp↑ αp ↑ + αp↓ αp ↓ ) + vp vp (α−p↓ α−p ↓ + α−p↑ α−p ↑ )+ pσ σ † † † † +up vp (αp↑ α−p ↓ − αp↑ α−p ↓ ) + vp up (α−p↓ αp ↑ − α−p↑ αp ↓ ). q = −q .
In the second integral we put q ξ± = (p ± q/2)2 − p2 F ≈ ξ ± qvF cos θ 2m (zaxis is directed along q). ξp− q/2 = ξ− . in the ground state there is no quasiparticles. As a result 0H1 m = Finally E1 = − e 2mc 2 2 (up vp− mc q − vp up− q )(2p− q). Finally. and only transitions involving 2 quasiparticles are important. E(0) − E(m) = −(εp + εp− q ). εp + εp− q We have taken into account that Aq = [A−q ]∗ and that quasiparticle operators for diﬀerent momenta anticommute. in the second order  0H1 m 2 E1 = . or (qAq ) = 0.18. Now we use the gauge div A =0.q (pAq )(pA−q )(ε+ ε− − ξ+ ξ− − ∆2 ) . E(0) − E(m) m=0 Then.6. We change p → p+ q/2 and denote ξp+ q/2 ≡ ξ+ .. ELECTROMAGNETIC RESPONSE . Thus. coming to the integral over momenta and calculating the perpendicular current we get Q(q) = ne e2 e2 p4 1 − 2 F mc m cvF (2π )3 ne e2 = F mc qvF 2∆(0) .. ε+ ε− (ε+ + ε− ) pF and 2 vp = ne . 367 2 The ﬁrst order contribution from H1 vanishes because p pvp δq.0 = 0. ε+ ε− (ε+ + ε− ) 1 c jq δA−q q e2 + 2 mc p p(pAq )(ε+ ε− − ξ+ ξ− − ∆2 ) . (up vp− p.q q − vp up− q )2 ((2p− q) · Aq ) ((2p− q) · A−q ) . As a result E1 = − Remembering that δE = − we get 2e2 jq = − mc In the ﬁrst integral 2 p 2 vp Aq p 1 e 2 mc 2 p. ∞ dξ −∞ cos2 θ sin2 θ 1 0 (ε+ ε− − ξ+ ξ− − ∆2 ) dΩ = ε+ ε− (ε+ + ε− ) 3 F(z) = 2z (1 − t2 ) dt arsh (zt) √ t 1 + z 2 t2 .
The result for mirror reﬂection has the form 28/3 2/3 δP = 11/6 2/3 δL 3 π i. At large q only small values of t are important. MICROSCOPIC THEORY (we have introduced t = cos θ). at all the temperatures the correlation length is of the order of ζ0 ∼ vF /Tc . Then. At small q (z → 0) F(z) → 1 (London limiting case). We check the last formula remembering that ln ∆(0) =2 ∆(T ) dϕ (e(∆/kB T ) cosh ϕ + 1) . 4z 4 mc vF q This formula is not enough to calculate the penetration depth because it is determined for inhomogeneous space.e. vF ∆(0) 1/3 .e. We get P= pnF (ε − pu) (dp) ≈ p(pu) − ∂nF ∂ε (dp) = g( F ) dξ dΩ ∂nF p(pu) − 4π ∂ε . Now we brieﬂy discuss the inﬂuence of ﬁnite temperature. The result depends on the scattering conditions for the electron at the surface.368 CHAPTER 18. 4π 3 F Introducing new variable ϕ as ξ = ∆ sinh ϕ we get 1 P = p2 ug( F )G 3 F We denote P =nn mu where nn is the number of ”normal electrons”. First. Thus we can neglect t2 in comparison with 1 and get F(z) = π2 3π 2 ne e2 ∆(0) 1 → Q(q) = . At the same time. we have dΩ 1 p(pu) ≈ p2 u. This integral could be analyzed in limiting cases. Indeed. We see that nn =G ne ∆ kB T ∞ 0 −1 ∆ kB T ∞ . the penetration depth diverges at T → Tc . Electrodynamics at T = 0 (London limit). to decrease of the number of superconducting electrons. G(z) = 2z 0 (ez cosh ϕ cosh ϕ dϕ + 1)(e−z cosh ϕ + 1) = 1 d∆ T dT d∆ dt T . To estimate the number of SC electrons let us calculate the momentum of the system if all the particles move with the same velocity u. i. we emphasize that near Tc all the SC meet the London limit. it corresponds to the qualitative estimates. . The inﬂuence of the ﬁnite temperature leads to creation of quasiparticles.
KINETICS OF SUPERCONDUCTORS 369 √ One can show that at T → Tc nn /ne → 1 (∆ ∝ Tc − T ). or by electromagnetic wave. kσ Microwave Field In the linear approximation the perturbation is (e/2mc)(pA + Ap).σ ˆ k σ B kσ a† ak σ . .σ Λuk−k a† ak σ . 18. It means that displacement of quasiparticles is not the same as displacement of all the liquid.k .k .t). At the same time.7. ﬁeld acts upon a SC. ne Tc 2(Tc − T ) At the end of this section one should mention that although all the SC come to the London limit near Tc this transition takes place very close to Tc if δL (0) ζ0 . As a result Hint = Thus in general case Hint = k.k . At T → Tc ns Tc Tc − T =2 → δL (T ) = δL (0) . Denoting the interaction matrix element as Λuk−k we get Hint = k. We have ns nn d ln(∆/T ) =1− =− ne ne d ln T −1 .c. Acoustic Wave As we know. acoustic ﬁeld create a perturbation Λik uik (r. Such a ﬁeld can be created by acoustic wave. kσ (18.7 Kinetics of Superconductors Formulas for Transition Probabilities Consider the case where a weak a. at T < Tc this ratio is less than 1.19) There are two kinds of processes induced by Hint .18. In the Pippard region δP (T ) = δP (0) ∆ tanh ∆(0) ∆ 2kB T −1/3 ∝ Tc Tc − T 1/3 near Tc . It is just the number which enters the London penetration depth at ﬁnite temperatures.σ e mc (Ak−k · (k + k )) a† ak σ . kσ k. the rest being superconducting electrons.
Usually it is not so important. σ1 σ2 ρσ2 σ ρσ1 σ −k σ B − kσ and spins are reversed which means time reversion. (18.19) to the quasiparticle operators α. The perturbation can also modulates the system’s parameters. It is clear that they can diﬀer only by signs: ˆ ˆ ρσ2 σ ρσ1 σ −k σ B − kσ = η k σ B kσ σ1 σ 2 where η= Thus ˆ M (kσk σ ) = (uk uk − ηvk vk ) k σ B kσ +1.370 CHAPTER 18. −1.21) † † Note that the items αkσ αk σ and αkσ1 αk σ2 describe scattering of quasiparticles while † † αkσ α−k σ1 and α−kσ1 αk σ describe creation and annihilation of pairs of quasiparticles. 2. Transitions between diﬀerent states. where ρ = 0 −1 1 0 . MICROSCOPIC THEORY 1. ˆ is the matrix element where all the momenta In fact. (The number of quasiparticles is not conserved!).3) † a† = um αmσ + mσ σ ρσσ α−mσ . To analyze them we transform the Hamiltonian (18. We have done this transformation earlier. for the case 1 . Making use of anti commutation of quasiparticle operators we get the following expression for transition matrix element M (kσk σ ) = uk uk ˆ k σ B kσ − vk vk σ1 σ 2 ˆ ρσ2 σ ρσ1 σ −k σ B − kσ .20) As a result † a† ak σ = uk uk αkσ αk σ + vk vk kσ σ1 σ 2 † ρσσ1 ρσ σ2 α−kσ1 α−k σ2 + +uk vk σ1 † † ρσ σ1 αkσ α−k σ1 + vk uk σ1 ρσσ1 α−kσ1 αk σ . Now we analyze diﬀerent processes. In a compact form in can be written as (Problem 18. described by quasiparticle operators. Scattering processes. for the case 2 . (18.
The resulting contribution to the transition rate is νkk = 2π M (kσk σ )2 {nF (εk ) [1 − nF (εk )] − nF (εk ) [1 − nF (εk )]} × ×δ(εk − εk − ω). 2 − ∆2 dε ε ξξ ∆2 1 1+ −η .18. (18. Here we have introduces the density of states with respect to the energy ε gs (ε) = g( F ) According to the deﬁnition. This factor is very important.24) . KINETICS OF SUPERCONDUCTORS 371 where the coeﬃcient (uk uk − ηvk vk ) is called the coherence factor. Denoting B 2 ≡ we get ˆ k σ B kσ W1 = 2πωB where the bar means angle average over the Fermi surface ∞ 2 ∆ dε dε gs (ε)gs (ε )(uk uk − ηvk vk )2 × × [nF (ε ) − nF (ε)] δ(ε − ε − ω). corresponding to creation and annihilation of quasiparticles which is nonzero at ω > 2∆. (18.22) Consequently. Now we discuss the applications of the formula.23) We can make the same calculation for the second part.7. the absorbed power is W1 = kk 2 ω νkk . (uk uk − ηvk vk )2 = Finally ∞ ∞ dξ ε = g( F ) √ . (18. 2 εε εε W1 = 2πωB 2 g 2 ( F ) ∆ dε ∆ dε εε − η∆2 (ε2 − ∆2 ) (ε 2 − ∆2 ) × × [nF (ε ) − nF (ε)] δ(ε − ε − ω). The result can be formulated as ∞ ∞ Ws 1 εε − η∆2 Θ(ε − ∆) Θ(ε  − ∆)× = dε dε Wn ω −∞ (ε2 − ∆2 ) (ε 2 − ∆2 ) −∞ × [nF (ε ) − nF (ε)] δ(ε − ε − ω).
372 CHAPTER 18. 18. 1 + e∆/kB T At T = 0 the absorption takes place only at ω > 2∆. MICROSCOPIC THEORY Figure 18. we discuss also the very important limiting case of the vicinity of Tc and small frequencies ω ∆ kB Tc . At T = 0 the absorption takes place only at ω > 2∆ (see Fig.5. in the optical frequency range the electromagnetic properties of SC and normal conductors are practically the same. 18. At low frequencies and temperatures. Finally. Consequently. . The key results are the follows. At ω ∆ dε ε>∆ Ws = Wn ε2 − ∆2 ε2 − ∆2 − ∂nF ∂ε = 2 . ω ∆(0) we have Im Q ≈ −4π sinh ω 2kB T K0 ω 2kB T exp − ∆(0) kB T Note that the condition ω = 2∆ corresponds to the frequencies ∼ 1011 − 1012 Hz.6). kB T.5: Temperature dependence of sound absorption. The graph of this function is shown in Fig. Ultrasonic Absorption We have η = 1. Response to Microwave Field The quantitative analysis is more diﬃcult.
18. To estimate the scattering rate we assume impurity scattering. . After Bogolyubov transform neglecting creationannihilation terms we get Hint = k. but appropriate for the problem. r) is the quasiparticle energy. Hint = k.7.6: Frequency dependence of microwave absorption at T = 0. Note that such a twoﬂuid hydrodynamics is not the case beyond the vicinity of Tc .σ 4 † Vkk αkσ αk σ (uk uk − vk vk ). Electron Thermal Conductivity The main electronic contribution to thermal conductivity can be calculated from the Boltzmannlike equation for quasiparticles 4 ∂ε ∂n ∂ε ∂n − = I(n) ∂p ∂r ∂r ∂p where ε(p.σ Vkk a† ak σ kσ where the matrix element Vkk depends only on the angle θ = (k. This equation is oversimpliﬁed. k ).k .k . KINETICS OF SUPERCONDUCTORS 373 Figure 18. In this region j= − c iωσ + A. 2 4πδ c ˙ Remembering that E = −(1/c)A we see that the second item is just σE and j = js +jn .
MICROSCOPIC THEORY For elastic scattering ξk = ±ξk .this factor vanishes. ∂ε ∂nF ∂ξ ξk = =v . As a result. ∂p ∂ξ ∂p εk I(n) = n − nF ξk  . Then . For the sign + we get ξk /εk for the coherence factor while for the sign . 2π 1 = τs = π Vkk 2 (1 − cos θ)(uk uk − vk vk )2 δ(εk − εk )(dk ) = ξk εk 2 g( F ) dξk dεk dΩ 1 ξk  V (θ)2 (1 − cos θ) = 4π τtr εk Now we can do everything: ε ∂nF ∂nF =− ∂r T ∂ε Finally. cosh2 (x/2) The graph of this function is shown in Fig.374 CHAPTER 18. T ∂ε It is easy to calculate the thermal current n(1) = Q= Thus κ= ne τtr ∂ε εp n(1) (dp) = − ∂p 2mkB T 2 ne τtr kB T 2m ∞ ∆/kB T ∞ ∆ T.25) ε2 dε cosh2 (ε/2kB T ) T. τtr εk (18. x dx . ε ∂nF τtr sign ξk v T. Figure 18. Thermoelectric Phenomena For many years it was thought that one cannot observe thermoelectric phenomena because the drag current of quasiparticles is compensated by the counter ﬂow of supercurrent. 18.7.7: Temperature dependence of thermal conductivity.
ξ + ξ = 2ξ(p) + ps /4m. a−p+ps ↓ = −up vp + up vp = 0. † ap↓ = u−p+ps αp↓ − v−p+ps α−p+ps ↑ . The motion as a whole means that the supercondicting coupling should be the case for the momenta p and −p + ps . it is reasonable to shift the momentum by ps /2. 4 Consequently. . ε= (ξ + ξ )2 + ∆2 . Assume that the condensate moves as a whole with the velocity vs . 1 ξ+ξ 1+ 2 2ε 1 ξ+ξ 1− 2 2ε . Here we use a simpliﬁed approach.18. As a result. ξ = ξ(−p + ps ). after variation over npσ we obtain the quasiparticle energies εp↑ = ε + ξ−ξ . λ (18.26) +ξ n−p+ps ↓ + vp 2 (1 − np↑ − n−p+ps ↓ ) Here ∆=λ Minimizing the energy. we get u2 = u2 p −p+ps = 2 2 vp = v−p+ps = p − up vp (1 − np↑ − n−p+ps ↓ ).7. instead of the Bogolyubov transform we get † ap↑ = up αp↑ + vp α−p+ps ↓ . At small ps one can obtain εp+ps /2↑ = ε0 + pvs . KINETICS OF SUPERCONDUCTORS 375 it was shown that there are ways to observe the supercurrent and in such a way to study the thermoelectric eﬀect. the Cooper pair momentum being ps =2mvs . It is not so easy to calculate the thermoelectric current because of some important features of superﬂow. In this case we can denote ξ± ≡ ξ(p ± ps /2). (we have chosen the subscripts in the second line to fulﬁll the anti commutation condition ap↑ . 2 ε−p+ps ↓ = ε − ξ−ξ 2 In a more symmetric way. ε−p+ps /2↓ = ε0 − pvs . Then we make the same procedure as earlier and get H− N = p ξ np↑ + vp 2 (1 − np↑ − n−p+ps ↓ ) + ∆2 . ξ − ξ = pps /m = 2pvs .
376 CHAPTER 18. p The two ﬁrst item can be grouped as −ens vs while the last one is the thermoelectric current of normal excitations.3. Substituting the expression for n(1) from (18. p p p Then we shift the variables as p → p + ps /2 and assume ps j=− 2e m ∆/pF to get 2 (p + ps /2) u2 s /2 np+ps /2.σ ) .10). p+p pσ Expanding in terms of pvs we get [nF (ε + pvs ) = nF (ε) + pvs (∂nF /∂ε)] j = −2evs p 2 u2 nF + vp (1 − nF ) − p 2e m p(pvs ) p ∂nF ∂ε − 2e m pn(1) .σ + vp+ps /2 (1 − n−p+ps /2. (18. (18. Prove Eq.9) and (18.1. 18. (18. 18. MICROSCOPIC THEORY that means just the Doppler shift of the energy. Prove the Eqs. 18. We get j=− e m pa† apσ = − pσ pσ e m 2 2 p u2 np↑ + vp (1 − n−p+ps ↓ ) + u2 np↓ + vp (1 − n−p+ps ↑ ) .2.25) we get j = − ηs T. ηs = − e F κ.18). One should be careful to calculate the current.20) . Check Eq. We will come back to this problem later to explain how one can observe this current.8 Problems 18.
According to the principles of SC. 2 Because we are interested in the vicinity of Tc we can expand the coeﬃcients in power of τ= T − Tc .Chapter 19 GinzburgLandau Theory In this chapter we consider a very powerful macroscopic theory which is very useful for many problems in SC. one should deﬁne the order parameter. First. Thus the coeﬃcient a should change the sign at the transition point: a = ατ . 19. Tc According the deﬁnition of Tc . while below Tc Ψ = 0. above Tc the stable state corresponds to Ψ = 0. As a result. the wave function being the same for all the Bose particles. and one can expand the thermodynamic potential as b Ωs = Ωn + aΨ2 + Ψ4 + · · · . Near the critical temperature. 377 . we describe the equilibrium values of the order parameter as Ψ=0 at T > Tc α 2 2 Ψ = − b τ = Ψ0  at T < Tc . the modulus of the order parameter is small. α > 0. As the order parameter it is natural to chose the wave function of the Bose condensate. Ψ.1 GinzburgLandau Equations Derivation Let us formulate the theory of SC transition as the one for a general type II transition. it is natural to assume that the ground state corresponds to the total momentum equal to 0.
In this case Ψ is coordinate dependent. Here we come to the most important point: Cooper pairs are charged particles. c 2 Ω(0) n dV = dV b 1 ατ Ψ + Ψ4 + 2 4m 2 −i 2e H2 + A Ψ + c 8π 2 . Here Ωn is the thermodynamic potential of the normal state without magnetic ﬁeld. To make a proper dimension we write the corresponding term as 1 4m Finally. Near the critical point it is enough to add  Ψ2 . we get 2 (ατ )2 Hc Ωs − Ω n = = . we get Ωs − (0) −i 2e + A Ψ . 3 2b 7ζ(3) 7ζ(3) The most interesting case is the case of external magnetic ﬁeld. As a result. we get the following equation for the order parameter 1 4m −i 2e + A c 2 Ψ + ατ Ψ + bΨ2 Ψ = 0.378 CHAPTER 19. using the microscopic theory we have 4 (kB Tc )2 mpF 4π 2 α2 = = g( F ) (kB Tc )2 . only combination −i + 2e A c is possible. Thus we should add both the energy of magnetic ﬁeld H 2 /8π and the energy connected with the inhomogeneity. . because of gauge invariance. To get the minimum we calculate variation with respect to Ψ∗ : dV ατ ΨδΨ∗ + bΨ2 ΨδΨ∗ + 1 4m −i + 2e A Ψ i c + 2e A δΨ∗ c The item with the i 4m δΨ∗ can be integrated by parts. 2b 8π Consequently. surf ace Then we put δΨ∗ = 0 at the surface and arbitrary inside. Using the Gauss theorem we get δΨ∗ −i + 2e 1 A Ψ dS + c 4m dV δΨ∗ −i + 2e A c 2 Ψ. Consequently. GINZBURGLANDAU THEORY Inserting the equilibrium value if Ψ0 2 into the expansion and comparing the result with the known relation for the critical ﬁeld.
b with δ = 2mc2 . from the Maxwell equations curl curl A =curl H = 4π j c → δ(curlA)2 = 2jδA. 4π(2e)2 Ψ2 0 √ ατ Hc = 2 π √ .19. c 379 The variation with respect to δΨ leads to the complex conjugate expressions. The variation of H 2 leads to δ(curl A)2 = 2 curl A curl δA. GINZBURGLANDAU EQUATIONS If now we put δΨ∗ at the surface to be arbitrary. c ∗ j = (ie /2m) (Ψ Ψ − Ψ Ψ∗ ) − (2e2 /mc)Ψ2 A forms the GinzburgLandau equations. and equating the total variation to zero we obtain ie 2e2 2 ∗ ∗ j= (Ψ Ψ − Ψ Ψ ) − Ψ A 2m mc This is just the quantum mechanical expression for the current for a particle with the charge (−2e) and the mass 2m. The second integral can be transformed into the surface one. The rest of the free energy can be calculated in a straightforward way. The set 2e (1/4m) −i + A Ψ + ατ Ψ + bΨ2 Ψ = 0. Then we can use the relation div [a × b] = b curl a − a curl b to get δ(curl A)2 = 2δA curl curl A+2div [δA × curl A] . b Ψ2 = 0 . 2 Dimensionless Parameters and Their Meaning To make the equations simples new dimensionless parameters are usually introduced: Ψ = Ψ . To obtain it one should calculate the variation with respect to the vector potential A. we obtain the boundary condition n −i + 2e A Ψsurf ace = 0. thus it is not important. Hc 2 r = r . Ψ0 H = H √ . Now it is important to get the equation for electric current. On the other hand.1. δ A = A √ Hc δ 2 ατ  .
2 b 2 Comparing this expression with the microscopic formula for ns obtained in the previous chapter we get α = ne . dx At k 1 one can assume Ψ =const. Let H z. GINZBURGLANDAU THEORY In the following we will omit primes and use these variables. dx It is natural to consider Ψ as a function only of x. boundary condition . Indeed. As a result. in usual units H = H0 e−x/δ . b= . Immediately we get Ψ0 2 = ns α ns →− τ = . curl curl A = i (Ψ∗ Ψ − Ψ Ψ∗ ) − Ψ2 A . Immediately we get from the second GL equation d2 A − A = 0 → H = H0 e−x . To understand the meaning of the parameters let us consider the simplest problem. We get − 1 d2 Ψ − Ψ + A2 Ψ = 0.380 CHAPTER 19. 2b 7ζ(3) 7ζ(3) ne . in the bulk of material it is natural to assumeΨ2 = 1. i. we chose Ψ real. namely penetration of a weak ﬁeld into the superconductor x > 0.e. 2κ This set contains only one dimensionless parameter √ eHc δ 2 κ=2 2 c (19.2) which is called the GinzburgLandau (GL) parameter. the set of equations can be expressed as i κ n i κ 2 −A Ψ − Ψ + Ψ2 Ψ = 0 .1) − A Ψsurf ace = 0. b Then it is possible to express the constants α and b through the microscopic parameters. A y. (19. H(x) = dAy . 2 dx Thus δ is just the London penetration depth near Tc . α2 4π 2 8π 2 ne α = g( F ) (kB Tc )2 → α = g( F ) (kB Tc )2 . 2 dx2 κ dΨ surf = 0.
It is clear that Ψ ∝ ∆ (both are proportional to τ ). According to exact theory. If the electron moves diﬀusely ddue to impurity scattering. 4kB Tc 2 c .1. the coherence length can be expressed as the characteristic electron path during the time /∆ : ζef f ∼ D ∼ 2 vF τtr ∆ ∆ ∼ ζ where D is the electron diﬀusion coeﬃcient. Thus κ∼ δ ζef f ∼ δL (0) (the exact theory leads to the coeﬃcient 0. at ζ0 δ(T ) = δL (0) . ∼ δL (0) ζ .19. ζ0 a1 = 24 γ ≈ 0. ne kB Tc a2 = 1 π 7ζ(3) . GINZBURGLANDAU EQUATIONS One can show using these expressions that κ = a1 δL (0) .2). 2 2 2 4mκ 4mδL (0) 4pF δL (0) Thus one can express the GL equation for alloys in the form πD 8kB Tc 2ie + A c 2 Tc − T 7ζ(3) ∆2 ∆=0 ∆+ ∆− Tc 8π 2 (kB Tc )2 and the current is expressed in the form j= ieg( F )D 1 ∗ 2ie 2 (∆ ∆ − ∆ ∆∗ ) + ∆ A . 8 Modiﬁcation for SC Alloys. let us take into account that the coherence length ζ can be expressed as the electron path during the time /∆ : ζ ∼ vF /∆. 7ζ(3) π 381 Thus we determined the meaning of all the parameters. To take this change into account we substitute the expression for the penetration depth for dirty SC into Eq. (19. The last thing is to discuss the physics of the order parameter. ∆τtr tanh(∆/2kB T ) At the same time. Note that in this case the coeﬃcient 2 1 3D ∼ ∼ . impurities change strongly the penetration depth δ. As we have discussed.96. Computing the coeﬃcients at τ → 0 we obtain 1 ∆(r) Ψ(r) = a2 √ .72 in this formula).
say x.382 CHAPTER 19. In fact. it is possible to combine these equations taking into account that δ(T ) ∼ δL (0)τ −1/2 . In fact. Ωs − Ω(0) dV = n 2 Hc 4π dV H 2 − Ψ4 . GINZBURGLANDAU THEORY Finally. In a normal phase. the theory works not so bad even beyond the vicinity of Tc . As we have mentioned.3) 4π 2 Range of Applicability for the GL Theory. As a result. (19. Another condition is the local relation between the current and vector potential. This limitation is not important for bulk materials but may be very important for layered and low dimensional SC. (dΨ/dx)surface = 0. 19. 2 If one keeps the external ﬁeld H0 ﬁxed the corresponding thermodynamic potential can be (0) 2 obtained by subtracting H0 B/4π. The criterion reads as τ  min(κ2 . 1). The set of equations has the form (we’ll see that Ψ is real) κ−2 (d2 Ψ/dx2 ) + Ψ(1 − A2 ) − Ψ3 = 0. . we will derive an auxiliary expression for the free energy which will be used below.2 Applications of the GL Theory Surface Energy at NS Interface Consider the problem where all the quantities depend only upon one coordinate. Using dimensionless notations we get Ωs − Ω(0) n 2 Hc dV = 4π dV Ψ4 −Ψ + + 2 2 i − A Ψ + H2 κ 2 . There is another limitation of the range of GL theory: at very smallτ  where ﬂuctuations become important and the self consistent approach becomes invalid. correspondingly ΩnH = Ωn −H0 /8π. As a result. Then we integrate the item with Ψ∗ by parts. In the rest integral we take into account that Ψ obeys the GL equation. while A ⊥ x. τ  1. H2 Ψ4 (ΩsH − ΩnH ) dV = c dV (H − H0 )2 − . 2 d A/dx2 − Ψ2 A = 0. one of the conditions is the vicinity of the transition. δ ζ0 . the surface integral being zero.
APPLICATIONS OF THE GL THEORY 383 It is easy to ﬁnd the integral of this set.by dA/dx and them add the equation and integrate over x : x dx 0 dΨ dΨ 3 d2 A dA dA 1 d2 Ψ dΨ + Ψ (1 − A2 ) − Ψ + 2 − Ψ2 A = 0. Consider a hollow cylinder placed into a longitudinal magnetic ﬁeld. √ dΨ/dx = 0. We obtain √ 2 2 Hc Hc 4 2 2 κx σns = 1 − tanh √ dx = . H = H0 = 1/ 2. If the order parameter has the form Ψ = Ψeiχ . 8π 8π 3κ 2 In dimensional units that means σns √ 2 4 2 Hc δ .3) and put H0 = 1/ 2.19. Now we can ﬁeld employ Eq. = 3 8π κ The opposite limiting case can be treated only numerically. Quantization of Magnetic Flux. 2 2 dx 2 2 κx Ψ = tanh √ . Thus. To ﬁnd the surface energy we formulate the boundary conditions x → ∞ (superconductor) : Ψ = 1. 2 it is wrong in the region where the √ penetrates. we get 1 κ2 The solution is dΨ dx 2 Ψ4 1 dΨ κ +Ψ − = → = √ (1 − Ψ2 ). dΨ/dx = 0. The orderof magnitude estimate has been made earlier. Assume that the cylinder is in the Meissner state. 2 dx2 dx κ dx dx dx dx dx 1 κ2 dΨ dx 2 We obtain + Ψ2 (1 − A2 ) − Ψ4 + 2 dA dx 2 = const = 1 2 (the constant being determined from the boundary conditions. At κ 1 (ζ δ) the most important region where A and H are small. x → −∞ (normal conductor) : Ψ = 0. but this region is small. Let us multiply the ﬁrst equation by dΨ/dx.2. (19. The result is that σns at √ √ κ = 1/ 2 and at κ > 1/ 2 it is negative. H = 0. H = A = 0. the last one .
To determine the trapped ﬂux one should minimize the free energy diﬀerence (ΩsH − ΩnH ) dV = 2 (Hint − H0 )2 πR1 + hole R2 R1 − 2πk ﬂux 2 Hc 4π (H − H0 )2 − Ψ 2 4 2πρ dρ . Φ0 = π c/e = 2. In any case the quantized quantity is in fact ﬂuxoid χ dl which is equal to the total ﬂux through the hole and the surface layer. 19. London (1950) before the concept of Cooper pairs. It is clear to understand that the internal magnetic ﬂux is equal to Φ = nΦ0 at n− 1 2 Φ0 < Φext < n+ 1 2 Φ0 (see Fig. the ﬂux quantization through the hole is not exact.07 · 10−7 G · cm2 .2 are internal (external) radius of the SC pipe. GINZBURGLANDAU THEORY e Ψ2 m χ+ 2e A .384 the current is j=− CHAPTER 19. Let us make the hollow cylinder from a very thin ﬁlm with the thickness δ. This kind of behavior has been demonstrated in a very interesting experiments by Little and Parks (1962).1). It is interesting that the eﬀect has been predicted by F. If the ﬁlm radius is δ one . Experimentally. He assumed the quantum to be π c/e = 2Φ0 . c We can divide the current density by Ψ and integrate over a closed circuit in the bulk of superconductor: j χ dl + 2e A dl . Such s ﬁlm does not screen the magnetic ﬁeld. As a result. the SC is cooled in a ﬁxed magnetic ﬁeld and the ﬂux is frozen inside the hole. The second term is not important for a macroscopic pipe (R2 − R1 ∆) and one should ﬁnd Hint to minimize the previous expression under the quantization condition. SC walls Here R1. dl = − e m c Ψ2 0 Thus Φ = kΦ0 .
APPLICATIONS OF THE GL THEORY 385 Figure 19.2. . 8π 2 → (19.19. Now we can substitute this expression into (19. So we can replace the gaugeinvariant diﬀerence χ + 2e A by its average value c χ+ 2e 1 A= c 2πR χ+ 2e A c dl = 1 R n− Φ Φ0 .4) Ωs − 2 b 4 = ατ Ψ + Ψ + 2 4m 2e χ+ A c In our case Ψ =const. 8π the number n is within the interval n− 1 2 Φ0 < Φext < n+ 1 2 Φ. can consider the vector potential to be constant in the ﬁlm.1: Quantization of magnetic ﬂux through a SC cylinder. Expressing the order parameter as Ψeiχ we have Ωs − Ω(0) n dV = Ω(0) n dV 2 b 1 ατ Ψ + Ψ4 + 2 4m 2 −i 2 2e H2 + A Ψ + c 8π H2 + . We can come to cylindric coordinates and assume that the only component of A as Aϕ .4) to get 2 b Ωs − Ω(0) = ατ Ψ2 + Ψ4 + n 2 4mR2 n− Φ Φ0 2 Ψ2 + H2 . We see that the magnetic ﬁeld leads to the renormalization of the critical temperature 2 τ →τ =τ+ or 4mR2 α Φ n− Φ0 2 2 2 δTc =− Tc 4mR2 α Φ n− Φ0 . as well as the quantities χ and A are constant along the ﬁlm.
the branches a and b being fabricated from diﬀerent materials. jT = −ηs T. 19. GINZBURGLANDAU THEORY Figure 19. In the bulk of materials j =0. The key feature of the experiment discussed is the thin walls of the cylinder. js = − ens 2m χ+ 2e A c (we have substituted Ψ2 = ns /2. Now consider a cylindric system shown in Fig.386 CHAPTER 19. Thermoelectric Phenomena Now we can discuss how to observe the thermoelectric eﬀects we’ve considered earlier. Figure 19. The graph of the experimental dependence is shown in Fig.3: On the thermoelectric eﬀect. Note that to observe the change of magnetic ﬂux in a SC cylinder with thick walls one should wait several years because the life time of the metastable state with ”wrong2” numbers of quanta is very long. ens c .2: On the experiments by Little and Parks. and χ= 2mηs 2e T − A. For this reason we write the supercurrent as j = jT + js .2. 19.3.
To start let us discuss stability of the SC region in the normal phase. For all the cases one should use the boundary condition Figure 19.2. ηs ns ηs ns Φ . dΨ dx = 0. APPLICATIONS OF THE GL THEORY Integrating over the closed loop we get 2πn = 2m e 2m e T2 T1 387 ηs 2e T dl− ns c ηs ns − a T2 T1 ηs A dl = ns dT − 2π b = As a result.19. The GL equation has the form d2 Ψ 2 − 2 + κ2 H0 (x − x0 )2 Ψ = κ2 Ψ dx . b We see that there is nonquantized contribution to the magnetic ﬂux. We have diﬀerent possibilities (see Fig. We chose A = H(x − x0 ) where x0 is the parameter. 19. This contribution is small but observable. Φ0 Φ m = −n + Φ0 π e − a ηs ns dT. Surface Superconductivity Now we discuss the surface superconductivity. surf ace Assume that the ﬁeld is parallel to the surface.4 where the order parameter is shown).4: On the surface supercondutivity.
dirty SC. surf ace (19. It has the form Ψ = e−x 2 /2 C1 F 3−β 3 1−β 1 . The most important feature that one should modify the boundary condition for the order parameter. 2 2 The length ζ is just the coherence length . GINZBURGLANDAU THEORY √ It is convenient to transform the equation to dimensionless variable x = x κH0 . It has the form n + 2ie A Ψ c surf ace = 1 Ψ µ . z) obeys the equation zF + (γ − z)F − αF = 0. . The integral of the GL equation at A = 0 is ζ 2 2 dΨ dx + Ψ2 − Ψ4 1 = .3 ζ0 . and x0 = x0 κH0 . so we can use the GL theory. Then one can minimize β with respect to x0 . γ. We can ﬁnd the ratio C1 /C2 and β from the boundary conditions at the surface and at inﬁnity (they can be expressed as the function of x0 . The result is Hc3 = 1. To make the discussion as simple as possible we discuss the case of the temperature close to Tc .6ζ0 .3 NS Boundary Proximity Eﬀect In this section we brieﬂy discuss important physics for the NS boundary.69κ = 1.388 CHAPTER 19. and we have κ −Ψ + (x − x0 )2 Ψ = Ψ.695Hc2 . Let us consider the plain surface x = 0. the quantity βmin corresponds to H0 max .5) To calculate µ one needs the microscopic theory but it is clear that µ ∼ ζ. . (x − x0 )2 4 2 4 2 where F (α. pureSC √ µ= 0. H0 √ This equation has 2 parameters: β = κ/H0 . We know the solution Ψ = tanh x − x0 √ ζ 2 . There is an exact solution of this equation that can be expressed in terms of hyper geometric function. The exact result is 0. . (x − x0 )2 + C2 x F . 19.
and consequently its energy is greater by ∆.5: Quasiparticle spectrum near the surface. At the interface the chemical potentials in both phases should be equal. 19. from the normal metal (left panel) is reﬂected.3. normal conductor ”spoils the superconductivity near the surface. NS BOUNDARY the parameter x0 is to be determined from the boundary condition (19. the momentum change can be estimated as follows: δp ∼ (dp/dt)δt where δt is the time to be inside SC: δt ∼ ζ/vF . Thus Ψ = tanh x √ +1 .19.5) √ x0 2 µ sinh = −2 . At the same time. It has no partner. Andreev Reﬂection Let us discuss the NS boundary in more detail. Now let one electron come to the SC. we discuss the NS boundary in the intermediate state). At the same time. if the excitation energy of the electron above the Fermi level is less than ∆ it should be reﬂected from the boundary. its energy being conserved. Consequently. In this case the order parameter penetrates into the normal phase up to the thickness ∼ ζ ≈ vF /∆. the chemical potential of the pair of electrons should be the same as the chemical potential of a Cooper pair. As a result. As we have discussed. The energy spectrum ε = ξ 2 + ∆2 is shown in Fig. . At the same time. The derivative dp/dt ∼ −dU/dx ∼ ∆/ζ.5. in the SC the electrons exist as Cooper pairs. ζ ζ √ √ Near Tc ζ ∝ 1/ Tc − T and x0 ≈ −µ 2. ζ 2 389 That means that the order parameter is nonzero also in the thin layer of former normal phase. the quasiparticle Figure 19. To discuss the physical picture in more detail let us assume that metal s are the same (say.
ε1 = ε2 .390 Thus CHAPTER 19. We see that both energy and momentum are almost the same. GINZBURGLANDAU THEORY δp ∼ (∆/ζ)(ζ/vF ) ∼ pF (∆/ F ) pF . At the same time. the group velocity will have an opposite direction. What happens with the charge? In fact. . Actually the process is particle → anti − particle. The only way to meet these conditions is to make interbranch transition (from particlelike to antiparticlelike branch and vice versa). 1964). such a reﬂection is assisted with the creation of a Cooper pair in the SC region which carries the charge. Andreev reﬂection is very important for many eﬀects in superconductors. p1 ≈ p2 . This is the mechanism for charge transfer from normal conductor to SC. Such a process is called the Andreev reﬂection (Andreev. v1 = −v2 .
1).1: Quantum tunneling. curve 1). is given by the formula W ∼ exp (see Fig. The tunnel transparency. 20. 391 .2). so the diﬀerence of the electrochemical potentials is −eV (Fig. 20. and we get the Ohm’s law (Fig.1) Figure 20. Impx dx = exp − √ 2 2m x2 U (x) − E dx x1 (20. We see that the number of the electron which can penetrate the barrier is proportional to eV . In the equilibrium their chemical potentials are equal. 20. It is important that a quantum particle can penetrate the barrier with the energy less than the barrier height.3. We start with the case of two normal metals. 20. up to the main approximation. all the voltage is dropped across the barrier (the resistance being maximal).1 OneParticle Tunnel Current Tunneling is the famous problem of quantum mechanics. Josephson Eﬀect.Chapter 20 Tunnel Junction. At a ﬁxed bias.
Now let us discuss the NS case at T = 0. and twoelectron (3) tunneling. This is the socalled quasiparticle scheme. To calculate the current one needs the densities of states: gn = g( F ) for the normal metal and ε gs (ε) = gn √ . and we see that the cost is ∆. JOSEPHSON EFFECT. Energy cost for the reverse transition is just the same because one should destroy the Cooper pair. there is a threshold at eV = ∆. Figure 20. Thus. an extra energy should be given to the electron. In a normal conductor. Figure 20. To understand the situation let us look at Fig. TUNNEL JUNCTION.2: Tunnel junction at a given bias.1). (20. Consequently.3: I − V curves for normal conductors (1). oneelectron (2). ε > ∆. Why the electron pairs cannot tunnel as a whole? The total charge transferred is −2e √ that doubles U (x) in Eq. their chemical potentials are just the same as the energy level of the Bose condensate.4. In a SC the electrons form Cooper pairs. Let us suppose that 1 electron made the N→S transition through the junction. the energy per electron being ∆.We see that the probability decreases drastically. In a SC its energy is greater by ∆ than the energy of an electron inside the Cooper pair. we have two free quasiparticles at the Fermi level. while the mass is 2m that leads to the extra 2. 20.392 CHAPTER 20. 2 − ∆2 ε .
20.4: Energy diagram for NS tunneling (S – left side. Thus j = jn (eV )2 − ∆2 eV . 20. N – right side of each panel).4 we should assume both signs of ε. The current is given by the golden rule formula j ∝ dε W g1 (ε − eV )g2 (ε) × × {n1 (ε − eV ) [1 − n2 (ε)] − n2 (ε) [1 − n1 (ε − eV )]} = = dε W g1 (ε − eV )g2 (ε) [n1 (ε − eV ) − n2 (ε)] ≈ dε ε − eV  (ε − eV ) − At zero temperature. ∆ the result should .1. ONEPARTICLE TUNNEL CURRENT 393 Figure 20. ∆2 j ∝ W g1n g2n 0 dε ε − eV  (ε − eV )2 − ∆2 = W g1n g2n (eV )2 − ∆2 . ε > ∆ gs (ε) = . This is real density of states. So we deﬁne √ gn ε/ ε2 − ∆2 . ε < ∆ Here positive ε corresponds to N→S tunnel transitions while ε < 0 corresponds to destruction of Cooper pairs assisted by S→N transitions. n(ε) = Θ(ε) and we get eV −∆ 2 ≈ W g1n g2n [n1 (ε − eV ) − n2 (ε)] . 0. One can easily obtain the coeﬃcient taking into account that at eV be the same as for NN system. To use the scheme depicted in Fig.
the threshold singularity is smeared. At ﬁnal temperatures. At the increase of voltage the left side of the picture moves Figure 20. K are the elliptic integrals π/2 (eV )2 − (2∆)2 eV K(k) = 0 π/2 (1 − k 2 sin2 ϕ)−1/2 dϕ .5 (left panel) where the density of states are plotted. 20. Left – Energy diagram. the result being 2 (eV )2 − (2∆)2 j −2 ∆ =E K jn eV eV where E. . We have eV −∆ 2 j ∝ W g1n ∆ dε eV − ε (ε − eV )2 − ∆2 √ ε2 ε . 0 E(k) = At eV = 2∆ j/jn = π/4 (see Fig. TUNNEL JUNCTION. right – I − V curve. − ∆2 We see that threshold value is eV = 2∆. curve 3). JOSEPHSON EFFECT. At low temperatures the singularity takes place at eV = ∆1 + ∆2 .3. Now let us discuss the SS junction. (1 − k 2 sin2 ϕ)1/2 dϕ .394 CHAPTER 20. It is interesting to consider the case of 2 diﬀerent superconductors with Tc2 > Tc1 ≥ T. To see what happens at ﬁnite temperatures let us look at Fig. 20. nevertheless even a ﬁnite temperatures it is convenient to measure the dependence ∆(T ) from the derivative ∂j/∂V.5: SS tunnelling.
According to the gauge invariance. all the physical quantities depend on χ+ 2e A. the complete theory should take into account coherent transfer of the electron wave function.2 Josephson Eﬀect Up to now. The simplest expression E=C dy dz (∆1 ∆∗ + ∆∗ ∆2 ) = 2C 2 1 dy dz ∆1 ∆2  cos(χ2 − χ1 ). let us ﬁnd the contribution of the coupling to the energy up to the lowest order.5 (right panel). JOSEPHSON EFFECT 395 up and the current increases because of the increase of the thermally excited states which can tunnel into the free states in the right side. the order parameters overlap. 1 After variation with respect to Ax is δE = − 4e C c ∆1 ∆2  sin χ2 − χ1 + 2e c Ax dx 1 δAx dV. 1 Ax dx . 20. As a result. a ﬁnite supercurrent can ﬂow through SIS system almost like through a bulk SC (Josephson. The I − V curve is shown in Fig. 1962). As a result. z) is the plane of the contact. when eV ≥ (∆2 − ∆1 ).2. Consequently. We get 2e χ2 − χ1 + c Thus. Comparing this equation with the general formula of electrodynamics δE = − 1 c jδA dV . The situation changes at eV = (∆2 + ∆1 ) where the upper limit of the left lower band coincides with the lower limit of the right upper band. Tunneling experiments appear extremely informative to study properties of SC. Namely. E = 2C 2e dy dz ∆1 ∆2  cos χ2 − χ1 + c 2 2 2 Ax dx. 20. the number of free states decreases with the voltage increase. Then. Let us calculate the Josephson current in a very simple way. Why the phase diﬀerence is dependent on (χ2 − χ1 )? Let us consider the magnetic ﬁeld H (yz). Here C is a constant. (y. c Now we can chose A x and integrate the relation along x between the points 1 and 2 which are placed inside the left (and right) SC parts. and there is a possibility to form a united condensate. we have considered incoherent processes. Actually. the current decreases.20.
bridge or point contact) To explain the reason we discuss here a very simple derivation based on the GL theory. In this case. Actually. At the same time. In fact. TUNNEL JUNCTION. It is clear that the critical current is proportional to the tunneling probability. inside the bridge the ﬁrst item is the most important.396 we obtain j= 4e CHAPTER 20. 2e C∆1 ∆2  sin χ2 − χ1 + c 2 Ax dx 1 2e = jc sin χ2 − χ1 + c 2 Ax dx . Consider the GL equation − 1 κ2 2 Ψ − Ψ + Ψ2 Ψ = 0 and suppose that the length L of the bridge is much less than ζ (in our units L/δ κ−1 ). The microscopic formula for two identical SC at T = 0 (Ambegaokar. j = jc sin (χ2 − χ1 ) . 1 In particular. Consequently. jc ∼ 103 − 104 A/cm2 that is 56 orders less than the critical current in a bulk sample. π∆(0) 2eR Experimentally. Baratoﬀ. 1963) is jc = while at ﬁnite temperature jc = π∆(T ) tanh 2eR ∆(T ) kB T . Josephson Eﬀect in a Weak Link It is important that the analogs of the Josephson eﬀect can take place not only in SIS systems but in any king of inhomogeneous structures with the part where superconductivity is suppressed. the normal conductance R−1 is also proportional to the tunneling probability. and we have in the lowest approximation 2 Ψ = 0. Problem 20. Josephson eﬀect and related topics are called the weak superconductivity. JOSEPHSON EFFECT.1). Among such systems are S − I − S (SC − insulator − SC. tunneljunction) S − N − S (SC − normalconductor − SC. .g. the current is tuned by the ballast resistor and the transition from zero voltage to the ﬁnite one is observed. Thus the phase diﬀerence is connected with the supercurrent. this transition is assisted by many interesting nonlinear phenomena (see e. proximitybridge) S − C − S (SC − constriction − SC. in the absence of magnetic ﬁeld.
we have j = jc sin χ1 − χ2 − 2 eH .20. As a result. c The experimentally measurable quantity is the average current.3 Josephson Eﬀect in a Magnetic Field y (the junction plane is yz one). ¯= j 1 L L 0 j(z) dz = jc c 2e HLd cos χ1 − χ2 − 2 eH − cos (χ1 − χ2 ) . Rather we substitute Eq. (20. const = eiχ2 . Let us assume that const = eiχ1 . c ﬂux through the contact . The Narrow Junction Suppose that there is an external magnetic ﬁeld H ﬁeld can be described by the vector potential Ax = Hy (x)z We also neglect the ﬁeld created by the current. JOSEPHSON EFFECT IN A MAGNETIC FIELD In the bulk of the ”banks” Ψ →const.2) into the expression for the supercurrent and transform it to dimensional units. In this case 2 Ax dx = Hy0 zd. The result is j= 2 2 Ψ f (r) sin(χ2 − χ1 ) m 0 .2) f (r) = 0 and tends to 1 in the bank 1 and to 0 in the bank 2. 1 d is the thickness of the insulating region (we have taken into account that the ﬁeld decays as exp(−x/δ) in SC regions). critical current 20.3. where d = 2δ(T ) + d ≈ 2δ(T ). We will not discuss the exact form of the solution which depends on the concrete system. in the right side Thus we can search the solution of the GL equation as Ψ = f (r)eiχ1 + [1 − f (r)] eiχ2 where f (r)obeys the equation 2 397 (20. in the left side .
TUNNEL JUNCTION.6.6: Josephson eﬀect in a magnetic ﬁeld.398 CHAPTER 20. from the Maxwell equation Hy (z) = j= c dHy 4π dz . πΦ/Φ0 The graph of this function is shown in Fig. JOSEPHSON EFFECT. In a wide junction the ﬁeld becomes zdependent due to the ﬁeld produced by the transport current. Wide Junction One can neglect the ﬁeld produced by the own current only if the width of the junction is small. 20. Denoting θ0 = χ1 − χ2 we get ¯ = jc Φ sin π Φ j π Φ0 Φ0 Φ sin θ0 + π Φ0 jc max −maximal critical current As a result. c Φ0 Φ0 dθ . To take this dependence into account we denote 2e χ2 − χ1 + c and write θ(z + dz) − θ(z) = Thus 2 Ax dx ≡ θ(z) 1 2e 2π d Hy (z) dz = d Hy (z) dz. the maximal critical current is jc max = jc sin (πΦ/Φ0 ) . Figure 20. 2πd dz On the other hand.
left panel.3.strong magnetic ﬁeld.. To understand the situation let us consider the case of weak magnetic ﬁeld with no transport current.3) is the socalled Josephson penetration depth. For jc ∼ 102 A/cm2 δJ ∼ 10−2 cm if δL . Left panel .7: Josephson eﬀect in a wide junction. Thus the junction can be considered as narrow L δJ . The current distribution is shown in Fig. Here δJ = cΦ0 8π 2 djc 399 (20. 20. Figure 20. .weak magnetic ﬁeld.20. right panel .7. JOSEPHSON EFFECT IN A MAGNETIC FIELD while according to the Josephson relation j = jc sin θ. dz 2 δJ This is the FerrellPrange equation. we come to the equation c dHy cΦ0 d2 θ jc sin θ = = 2 → 4π dz 8π d dz 2 d2 θ 1 = 2 sin θ. As a result. In this case we can replace sin θ → θ. In wide junctions we come to a very interesting picture – the junction behaves as 2D superconductor with the speciﬁc Meissner eﬀect. and the solution is θ = θ0 e−z/δJ → H = H0 e−z/δJ .
dz To ﬁnd the constants C note that −1 θ dθ d dθ1 −2 = C − 2δJ cos θ = dz dθ π −2 C − 2δ cos θ J 1 We can get the solution assuming that θ → 0 at z → −∞ and θ → 2π at z→ ∞ We get −2 C = 2δJ and z − z0 .8. ﬁeld and current are shown in Fig. while the graphs of the phase. JOSEPHSON EFFECT. 2πd Thus we come to the picture similar to the type II SC. Superconductor Interferometers Let us discuss the principle of a very important application of quantum interference in superconductors. As a result.9. cos θ1 To study the structure of the magnetic ﬁeld we discuss the solution of the soliton type with the boundary condition dθ → 0 at z → ±∞. 20. 2 δJ z − z0 = π dθ1 C− −2 2δJ . In general.400 CHAPTER 20. π dδJ The important diﬀerence that the Josephson vortexes have no normal core. right panel. . θ(z) = 4 arctan exp δL The distribution of current is shown in Fig 20. Consequently. there is a chain of vortexes. At high ﬁeld vortexes overlap and the ﬁeld is almost uniform. (20.7. 20. One can show that the analog of the ﬁeld Hc1 is 2Φ0 Hc1 = 2 . Consider a system show in Fig. there is no upper critical ﬁeld Hc2 .3) multiply it by dθ/dz and integrate over z. TUNNEL JUNCTION. The total current through the . In a strong enough ﬁeld we return to Eq. The magnetic ﬂux in each one is ∞ Φ=d −∞ H dz = Φ0 d [θ(∞) − θ(0)] = Φ0 . we get the integral dθ dz The solution can be written as θ 2 =− 2 cos θ + C.
If magnetic ﬁeld is directed perpendicular to the loop’s plane. j =0). c Integrating along the dashed line we get for the total phase variation: θ1 − θ2 + Consequently.20. we can denote θ1 = θ − π Φ + 2πn. and external circuit is I = Ic1 sin θ1 + Ic2 sin θ2 . SQUIDs are very important for applications and there are diﬀerent schemes to use them. current. the phase of the order parameter in the bulk of material is 2e χ= A (current is absent. ef Ic f = 2Ic cos π Φ Φ0 .3.8: ﬁeld. Φ0 Φ Φ0 θ2 = θ + π Φ . . c Φ0 If the ﬁeld is weak enough in order not to aﬀect upon the currents Ic1 . Ic2 we have I = Ic1 sin θ − π + Ic2 sin θ + π . The result has the simplest form at Ic1 = Ic2 = Ic : ef I = Ic f sin θ. JOSEPHSON EFFECT IN A MAGNETIC FIELD 401 Figure 20. Josephson eﬀect in a wide junction. Φ0 Φ Φ0 2e Φ Φ = 2πn → θ1 − θ2 + 2π = 2πn. We see that the critical current of the interferometer oscillates with the external magnetic ﬁeld. We have described only one possible scheme of a SQUID (Superconductor Quantum Interference Device). In fact. Distributions of phase.
∂t It means that the phase acquires the additional factor 2e or t ϕ(t ) dt 2e ∂θ = V.4 NonStationary Josephson Eﬀect According to the gauge invariance. ωj = V (for V = 10−4 V ωJ ∼ 1011 s−1 ). According to the Josephson formula. Thus. ∂t This is the socalled notstationary Josephson eﬀect. the voltage is never kept constant. Thus j = jc sin θ + ( /2eR) ∂θ/∂t. JOSEPHSON EFFECT. Figure 20. the electric potential enters all the equations in a combination ∂χ 2eϕ + . dθ 2e 2e Jc R = V = (U − Jc R sin θ) = ωJ (1 − λ sin θ). Rather a series circuit is constructed with a battery and a load tunable resistor.402 CHAPTER 20. TUNNEL JUNCTION. It is important that at ﬁnite temperature in the presence of voltage the oneparticle tunneling is present. In this case an interesting and complicated picture can be observed (see Problem 20.1). dt U . λ = . 20. Usually. the normal current being V /R = ( /2eR) ∂θ/∂t.9: Superconductor interferometer. if the voltage V at the junction kept constant 2e j = jc sin [θ0 + ωJ t] .
2e This property is employed in metrology. √ 1 − λ2 tan 1√ 1 − λ2 ωJ (t − t0 ) 2 2c m .4. ω= 2 2 j 2 + jc cos ωt + jc j 2 − jc sin ωt 2 j 2 − jc . one should remember that ∞ ∞ cos(a sin Ωt) = −∞ ∞ J2k (a)e i2kΩt =2 0 J2k (a) cos 2kΩt . Thus at t → ∞ θ → θ0 . Ω V0 t + θ0 + j 2e 2eV 2e 2eV = sin θ(t) = sin (V0 t + θ0 ) cos sin Ωt + cos (V0 t + θ0 ) sin sin Ωt .c. ∞ sin(a sin Ωt) = −∞ J2k+1 (a)e i(2k+1)Ωt =2 1 J2k−1 (a) sin (2k − 1) Ωt .20. Suppose that one modulates the voltage as V (t) = V0 + v cos Ωt. the current being U/R while the voltage at the junction is zero. 1 + m2 One can show that the time average is equal to V (t) = 1 2π 2π d(ωt) V (t) = 0 ω . We obtain θ(t) = 2e v sin Ωt . . ﬁeld. Another important property is the reaction of the Josephson junction to the external a. At λ > 1 (or J > Jc ) one can calculate the integral exactly: assuming m = tan(θ/2) we get m=λ+ The current being I= √ We see that the current oscillates with the period 2π/ω = 2π/ωJ 1 − λ2 . Having in mind that V = ( /2e)(∂θ ∂t) we obtain V (t) = R 2 2eR j(j 2 − jc ) . jc Ω Ω Then. NONSTATIONARY JOSEPHSON EFFECT As a result ωj (t − t0 ) = dθ 1 − λ sin θ 403 At λ > 1 there is a pole in the integrand at θ0 = arcsin(1/λ).
20. As a result. the amplitude being jn = (−1)n Jn (2ev/ Ω) sin θ0 . Such a formulation does not coincide with the experiment where usually the current is kept constant. Consequently we can plug in these series into the previous equation denoting a ≡ 2eV / Ω.10). Now. 2eV0 2eV0 + (2k − 1) Ω t + θ0 − (2k − 1) Ω t + θ0 . JOSEPHSON EFFECT. Figure 20. we can recall that 2 sin 2e (V0 t + θ0 ) cos 2kΩt = sin + sin 2 cos 2e (V0 t + θ0 ) sin (2k − 1) Ωt = sin − sin We see that at 2eV0 + 2kΩ t + θ0 − 2kΩ t + θ0 . . Thus we get resonant additional contributions to the current. Registration of the steps is one way to construct Josephson detectors for microwave ﬁelds. the steps at the currentvoltage curves appear (Shapira steps. Diﬀerent curves are measured for diﬀerent amplitudes of microwave and shifted along the xaxis.10: Shapira steps. Fig.404 CHAPTER 20. TUNNEL JUNCTION. 2eV0 2eV = nΩ a timeindependent item appears. To describe the situation one should solve the corresponding problem which is more diﬃcult mathematically but is not too diﬃcult qualitatively.
∂t ∂t 2e ∂t2 ∂θ C ∂ 2 θ + . To study such a coupling let us assume that jc → 0 and iterate the r. (20. γ → 0 one obtains eigen modes with velocity c0 c.7) At jc → 0.s.5. and the current has a contribution ∂V C ∂2θ ∂Q =C = .5 Wave in Josephson Junctions Josephson waves Suppose that we place a Josephson junction in a magnetic ﬁeld and keep a given potential diﬀerence. 2 ∂z c0 ∂t c0 ∂t δJ Here c0 = γ = ec 4π 2 dC 1 RC Φ0 =c d .5) Swihart waves Do not forget that the junction has a ﬁnite capacitance. (20. θ1 omegat + kz . (20. 2eR ∂t 2e ∂t2 If we substitute this expression to the Maxwell equation j = jc sin θ + j= c dH .4) This is just the wave propagating along z axis. the wave vector being k = 2eHd/ c.6) we obtain nonlinear wave equation ∂2θ 1 ∂2θ γ ∂θ 1 − 2 2 − 2 = 2 sin θ .7): θ = θ0 + ωt + kz + θ1 . In the presence of Josephson current they interact with the Josephson waves. . j = jc sin [θ0 + (2eV / )t + (2eHd/ c)z] .h. In this case.20. κd d = κ . of Eq. These waves are called the Swihart waves. 4π dz H(z) = Φ0 dθ 2πd dz Thus (20. and the phase velocity being v0 = ω/k = cV /Hd . 4πC (20. WAVE IN JOSEPHSON JUNCTIONS 405 20.
8) Now we can calculate the average current. t) = cos(θ0 + ωt + kz) sin(θ1 (z.L→∞ T Expanding the expression as sin θ(z.406 In this case we have CHAPTER 20. Usually the current rather than the voltage is kept constant. t) + vanishing items we get ωc2 γ 1 ¯ . t) . 2 ∂z c0 ∂t c0 ∂t δJ From this equation. 1 ¯ J ≡ lim T. one obtains a clear peak (resonance) at v0 = c0 . ∂ 2 θ1 1 ∂ 2 θ1 γ ∂θ1 1 − 2 2 − 2 = 2 sin(θ0 + kz + ωt) . c dt 0 0 dz j(z. Note that the criterion of applicability is ¯ j jc → c2 0 2 δJ ωγ . JOSEPHSON EFFECT. 2 δJ ω 2 − k 2 c2 − iωγ) 0 T L (20. j j (H) c V o 2 ∆ /e V . θ1 = c2 exp[i(θ0 + kz + ωt)] 0 Im . → V = c0 Hd . TUNNEL JUNCTION. J = jc 02 2 − c2 k 2 )2 + ω 2 γ 2 2δj (ω 0 As a result. Then one observes the steps at the V − I curve.
6 Problems 20.6. and a battery. PROBLEMS 407 20. Consider the current in a series circuit containing a Josephson junction.1. load resistor.20. .
TUNNEL JUNCTION. JOSEPHSON EFFECT.408 CHAPTER 20. .
for which the phase coherence of the electrons and the Andreevreﬂected holes is essential. Figure 21.Chapter 21 Mesoscopic Superconductivity 21. The applications of the theory include a quantum point contact (conductance quantization in multiples of 4e2 /h). Here is a review of the present status of this rapidly developing ﬁeld. Normal reﬂection (left) conserves charge but does not conserve momentum. The missing charge of 2e is absorbed as a Cooper pair by the superconducting condensate.1: Normal reﬂection by an insulator (I) versus Andreev reﬂection by a superconductor (S) of an electron excitation in a normal metal (N) near the Fermi level. Andreev reﬂection (right) conserves momentum but does not conserve charge: The electron (e) is reﬂected as a hole (h) with the same momentum and opposite velocity. a quantum dot (nonLorentzian conductance resonance). i. The theory is used to identify features in the conductance which can serve as “signatures” of phasecoherent Andreev reﬂection.1 Introduction Recent experiments on conduction between a semiconductor and a superconductor have revealed a variety of new mesoscopic phenomena.e. A scattering theory is described which leads to a conductance formula analogous to Landauer’s formula in normalstate conduction. and quantum interference eﬀects in a disordered normalsuperconductor junction (enhanced weaklocalization and reﬂectionless tunneling through a potential barrier). 409 .
then the singleelectron Hamiltonian is (21. ¯ If electronelectron interaction is present. The ﬁeld operators meet the commutation rules. Ψ(rα)Ψ(r β) + Ψ(r β)Ψ(rα) = 0 . measured relatively to the Fermi energy – wn = wn (r) ↑ ∗ and wn = wn (r) ↓ . The way suggested by Bogoliubov is the following. + (21.1) where A() is the vectorpotential. Let us construct the socalled ﬁeld operators as Ψ(rα) = wn an . wn (r)σ . of the operator H0 .5) Since we are interested in the thermodynamic potential. There are two solutions corresponding to a given excitation energy. Ψ+ (rα) = wn a+ . we replace H0 → He = H0 + V (r) − F .4) while the Hamiltonian can be expressed as ˆ ˆ ˆ H = H0 + Hint where ˆ H = α dr Ψ+ (rα)H0 Ψ(rα) . To ﬁnd the ground state one has to minimize the proper thermodynamic potential which includes the interaction. (21.2) ¯ n n n Here α is the spin index. ξn . where wn (r) describes orbital motion while σ is the spin state. ˆ One can deﬁne eigenfunctions.410 CHAPTER 21. Ψ+ (rα)Ψ(r β) + Ψ(r β)Ψ+ (rα) = δαβ δ(r − r ) . MESOSCOPIC SUPERCONDUCTIVITY 21. α g ˆ Hint = − 2 (21. 2m Electrons are subjected to a scalar potential U (r). then these states are not independent any more.2 Bogoliubovde Gennes equation [ˆ + (e/c)A]2 p ˆ H0 = + V (r) .3) The operator for the particle number is then ˆ N= α dr Ψ+ (rα)Ψ(rα) . (21. dr Ψ+ (rβ)Ψ+ (rα)Ψ(rβ)Ψ(rα) . Ψ (rα)Ψ+ (r β) + Ψ+ (r β)Ψ+ (rα) = 0 .
BOGOLIUBOVDE GENNES EQUATION 411 and the interaction gΨ+ Ψ+ ΨΨ by the interaction with the mean ﬁeld ∆(r).6) and commutation properties of the ﬁeld operators we get ˆ [Ψ(r ↑). ˆ [Heﬀ . (21. Since after the transform (21. e. (21.21. ˆ Heﬀ = dr α + Ψ+ (rα)He (r)Ψ(rα) (21. (21. v and γ. Indeed. ∗ ˆ [Ψ(r ↓). Heﬀ ] = −He Ψ(r ↓) + ∆(r)Ψ+ (r ↑) . γnα ] = − n γnα .8) The functions u(r) and v(r) are unknown.10) Then we can use Eq. Here V (r) is some eﬀective potential due to electronelectron interaction. In this way we arrive at the Bogoliubovde Gennes equations He u(r) + ∆(r)v(r) = ∗ ∆∗ u(r) − He v(r) = There is a convenient matrix form of these equations.7) Here γ is the system of new operators obeying the commutation relations + + γnα γmβ + γmβ γnα = δmn δαβ . γnα ] = + n γnα .6) + ∆(r)Ψ (r ↑)Ψ+ (r ↓) + ∆∗ (r)Ψ(r ↓)Ψ(r ↑) . and we need to derive the equation for it.11) . Heﬀ ] = He Ψ(r ↑) + ∆(r)Ψ+ (r ↓) .12) u(r) v(r) . (21. i.9) This equation can be used to determine the functions u and v. and then use commutation relations (21. nα the following commutation rules must be met. using Eq. (21. + ∗ [γn↓ un (r) + γn↑ vn (r)] .6). γnα γmβ + γmβ γnα = 0 .7) the eﬀective Hamiltonian must be diagonal. (21. it must take the form + ˆ Heﬀ = Eg + n γnα γnα . + ˆ [Heﬀ .2. Let us suppose now that we know ∆(r) and ﬁnd the energy levels for the eﬀective Hamiltonian (21. He ∆ ∗ ∆∗ −He u(r) v(r) = u(r) v(r) . (21. Then we arrive at the eﬀective Hamiltonian.8) for γoperators. Since it is quadratic in Ψoperators we can use a unitary transform to diagonalize it. n Ψ(r ↓) = (21.7) to express Ψfunctions in terms of u. Ψ(r ↑) = n + ∗ [γn↑ un (r) − γn↓ vn (r)] .
3 Model NS interface The model considered is illustrated in Fig. ∆(r) = g Ψ(r ↑)Ψ(r ↓) . (21. It consists of a disordered normal region (hatched) adjacent to a superconductor (S).16) ∆(r) = +g Equations (21. (21.7) and using the relationship + γnα γmβ = δnm δαβ fn . To obtain a welldeﬁned scattering problem we insert ideal (impurityfree) normal leads N1 and N2 to the left and right of the disordered region. + • One can easily show that solutions of BdG equations for diﬀerent n are orthogonal. The NS interface is located at x = 0. After rather tedious calculations we obtain the following conditions: V (r) = −g Ψ+ (r ↓)Ψ(r ↓) . then {v ∗ . The disordered region may also contain a geometrical constriction or a tunnel barrier. • if {u.e. The last point of the derivation is to determine the potentials V and ∆.15) (21. ˆ calculated for the basis diagonalizing Heﬀ . n (21.2. We assume that the only scattering in the superconductor consists of Andreev reﬂection at the NS interface. ˆ F = H − TS .13) The 1st equation is the usual Hartree result for point interaction. i. where fn = e n /kT + 1 −1 (21. v} is the solution for some . 21.14) is the Fermi function. 21.12) together with the selfconsistency equation (21. we obtain V (r) = −g n un (r)2 fn + vn (r)2 (1 − fn ) .16) constitute a powerful scheme to solve spatiallyinhomogeneous problems. MESOSCOPIC SUPERCONDUCTIVITY ∗ • Hamiltonians He and He are diﬀerent in magnetic ﬁeld since the quantities [ i (e/c)A]2 are diﬀerent. For that we have to minimize the free energy. u∗ } is the solution corresponding to − . un (r)vn (r)∗ (1 − 2fn ) .412 Notes CHAPTER 21. we consider the case that the disorder is contained entirely . Substituting Ψoperators from Eq.
while Ax . The spatial separation of Andreev and normal scattering is the key simpliﬁcation which allows us to relate the conductance directly to the normalstate scattering matrix. Az = 0. The conditions for its validity: If the width W of the NS junction is small compared to ξ. within the normal region. NS INTERFACE 413 Figure 21. At an NS interface. the stepfunction model holds also for a wide junction if the resistivity of the junction region is much bigger than the resistivity of the bulk superconductor. The spatial dependence of ∆(r) near the NS interface is determined by the selfconsistency relation (21.3. the nonuniformities in ∆(r) extend only over a distance of order W from the junction (because of “geometrical dilution” of the inﬂuence of the narrow junction in the wide superconductor).21. Therefore. In both cases the contribution of scattering within the superconductor to the junction resistance can be neglected. ∆(r) recovers its bulk value ∆0 eiφ only at some distance from the interface. these can be neglected and the stepfunction model holds. The coeﬃcient g is the interaction constant of the BCS theory of superconductivity. One can then choose a gauge such that A ≡ 0 in lead N2 and in S.16). The model is directly applicable to a superconductor in the clean limit (mean free path in S large compared to the superconducting coherence length ξ). in the assumed absence of any pairing interaction in the normal region. or to a pointcontact junction (formed by a constriction which is narrow compared to ξ). We will neglect the suppression of ∆(r) on approaching the NS interface. To simplify construction of the scattering basis we assume that the magnetic ﬁeld B (in the zdirection) vanishes outside the disordered region. Scattering states in the two normal leads N1 and N2 are indicated schematically. The scattering states at energy ε are eigenfunctions of the Bogoliubovde Gennes (BdG) equation (21. A semiconductor — superconductor . and use the stepfunction model ∆(r) = ∆0 eiφ θ(x). The pair potential in the bulk of the superconductor (x ξ) has amplitude ∆0 and phase φ. At the superconducting side of the NS interface.12).2: Normalmetal–superconductor junction containing a disordered normal region (hatched). Alternatively. Since nonuniformities on length scales ξ do not aﬀect the dynamics of the quasiparticles. A point contact or microbridge belongs in general to this class of junctions. Ay = A1 ≡ constant in lead N1 . ∆(r) ≡ 0 for x < 0.17) This model is also referred to in the literature as a “rigid boundarycondition”. g drops abruptly (over atomic distances) to zero. (21.
h ε)1/2 . The index n labels the modes. which is given by Ψ(r) = ε>0 v ∗ (r)u(r)[1 − 2f (ε)]. (21. MESOSCOPIC SUPERCONDUCTIVITY junction is typically in this second category.18) Phase coherence between the electron and hole wave functions u and v leads to Ψ(r) = 0 for x < 0. The reason is that the order parameter quantiﬁes the degree of phase coherence between electrons and holes.19) carries the same amount of quasiparticle current. (The BdG equation (21. even though Ψ does not appear explicitly in the expressions which follow. Φn (y.19) e h where the wavenumbers kn and kn are given by e. z). y z (21. n n n 1 (21. z) is the transverse wavefunction of the nth mode.) . This is a small eﬀect which is often neglected in the present work. In the normal lead N2 the s eigenfunctions of the BdG equation (21. but does not imply a vanishing order parameter Ψ(r). c− (N1 ). c− (N2 ).h (N2 ) = 1 (k e )−1/2 Φ (y. z) exp(±ik h x).h (eA1 / )y] from the vector potential. The eigenfunctions in lead N1 are chosen similarly. The labels e and h indicate the electron or hole character of the wavefunction.20) and we have deﬁned σ e ≡ 1. z) exp(±ik e x). c+ (N2 ) . The other is the induction of a nonzero order parameter Ψ at the normal side of the NS interface.16). (21. 1 Scattering theory for NS systems: Basic expressions We now construct a basis for the scattering matrix (ˆmatrix).h kn ≡ (2m/ 2 )1/2 (EF − En + σ e. and En its threshold energy: [(p2 + p2 )/2m + V (y. n n n 0 0 (k h )−1/2 Φ (y. z) = En Φn (y. N e e h h 1 (21. The term “proximity eﬀect” can therefore mean two diﬀerent things: One is the suppression of the pair potential ∆ at the superconducting side of the NS interface.12) can be written in the form ± ψn. This eﬀect is fully included here. σ h ≡ −1. z)]Φn (y. but with an additional phase factor exp[−iσ e. according to Eq. (21. but does not itself aﬀect the dynamics of the quasiparticles. Note that both the two cases are consistent with our assumption that the disorder is contained entirely within the normal region.e (N2 ) = ± ψn. With this normalization each wavefunction in the basis (21.19) by a vector of coeﬃcients cin ≡ c+ (N1 ).22) It is worth emphasizing that the absence of a pairing interaction in the normal region (g(r) ≡ 0 for x < 0) implies a vanishing pair potential ∆(r).414 CHAPTER 21.12) contains ∆ not Ψ. dy dz Φn 2 = 1. A wave incident on the disordered normal region is described in the basis (21.21) The eigenfunction Φn is normalized to unity.
25) Here s0 is the unitary smatrix associated with the singleelectron Hamiltonian H0 . c+ (N1 ). s0 ≡ ˆ r11 t12 t21 r22 . (We assume for simplicity that the number of modes in leads N1 and N2 is the same. . If terms of order ∆0 / F are neglected (the socalled Andreev approximation. The elements of this smatrix can ˆ e e h h be obtained by matching the wavefunctions (21. The ˆ ˆ reﬂection and transmission matrices r(ε) and t(ε) are N × N matrices. c+ (N2 ). The transformation is accompanied by a phase shift. N e e h h The smatrix sN of the normal region relates these two vectors.) The matrix s0 is unitary (ˆ† s0 = 1) and satisﬁes the symmetry relation s0 (ε. A phase shift − arccos(ε/∆0 ) due to the penetration of the wavefunction into the superconductor. −B)ji . ˆ cout = sN cin . e h c+ (N2 ) = α e−iφ c+ (N2 ). (21. B)ij = s0 ˆ ˆ s0 (ε. NS INTERFACE 415 (The modeindex n has been suppressed for simplicity of notation.3.) The reﬂected and transmitted wave has vector of coeﬃcients cout ≡ c− (N1 ). ˆ Andreev reﬂection For energies 0 < ε < ∆0 there are no propagating modes in the superconductor. minus for the reverse process). c+ (N2 ) to c+ (N2 ).19) at x = 0 to the decaying solutions in S of the BdG equation. ˆ N N (21.26) where α ≡ exp[−i arccos(ε/∆0 )]. this matrix has the blockdiagonal form sN (ε) = ˆ s0 (ε) ˆ 0 0 s0 (−ε)∗ ˆ .23) Because the normal region does not couple electrons and holes. e h (21. c− (N2 ) . the result is simply c− (N2 ) = α eiφ c− (N2 ). 2. N (ε) being the number of propagating modes at energy ε. We can then deﬁne an smatrix for Andreev reﬂection at the NS interface which relates the vector ˆ of coeﬃcients c− (N2 ). c− (N2 ) . Andreev reﬂection transforms an electron mode into a hole mode. which consists of two parts: 1. A phase shift equal to plus or minus the phase of the pair potential in the superconductor (plus for reﬂection from hole to electron.24) (21. without change of mode index.21.
ˆ ˆ h (21. as required by ˆ ˆ ˆ quasiparticlecurrent conservation and by timereversal invariance. We apply the general formula GNS = 2e2 4e2 Tr (1 − see s† + she s† ) = ˆ ee ˆ ˆhe Tr she s† .30) (21.33). ˆ∗ ˆ ˆ† ˆT h (21.34) . and obtain the expression GNS 4e2 ˆ† ˆ ˆ21 ˆ21 = Tr t12 t12 (1 + r22 r22 )−1 t∗ tT (1 + r22 r22 )−1 . which implies 1 − see s† = seh s† = ˆ ˆ ˆee ˆ ˆeh (ˆ† )−1 s† she s† .31) where we have deﬁned the matrices ∗ ˆ Me ≡ [1 − α2 r22 (ε)r22 (−ε)]−1 . ˆ ˆ Similarly. We restrict ourselves to this case and ˆ omit the argument ε in what follows. B. ∗ ˆ Mh ≡ [1 − α2 r22 (−ε)r22 (ε)]−1 . MESOSCOPIC SUPERCONDUCTIVITY General relations We can combine the 2N linear relations (21.416 CHAPTER 21. 12 (21. Conductance of NS boundary For the linearresponse conductance GNS of the NS junction at zero temperature we only need the smatrix at the Fermi level. and she form together the scattering matrix s of the ˆ ˆ ˆ ˆ ˆ whole system for energies 0 < ε < ∆0 . so that Tr (1 − see s† ) = Tr she s† . We now substitute Eq.28) (21. 21 ˆ α e−iφ t∗ (−ε)Me t21 (ε). φ)ij = s(ε.e. i. ˆ α eiφ t12 (ε)Mh t∗ (−ε). (21. the matrices shh and seh contain the scattering amplitudes for reﬂection of a hole ˆ ˆ as a hole or as an electron.27) The four N × N matrices see .29) (21.31) for see ˆhe ˆ ˆee ˆ ˆee ˆ ˆhe ε = 0 (α = −i) into Eq. seh . (21. An electron incident in lead N1 is reﬂected either as an electron (with scattering amplitudes see ) or as a hole (with scattering amplitudes she ). ∗ 2 ∗ ˆ 21 r11 (−ε) + α t12 (−ε)r22 (ε)Mh t∗ (−ε).32) One can verify that the smatrix constructed from these four submatrices satisﬁes unitarity ˆ † (hats s = 1) and the symmetry relation s(ε. −B. respectively. After some algebra we ﬁnd for these matrices the expressions see (ε) ˆ shh (ε) ˆ seh (ε) ˆ she (ε) ˆ = = = = ∗ ˆ r11 (ε) + α2 t12 (ε)r22 (−ε)Me t21 (ε). (21. ˆ ˆhe h h (21.26) with the 4N relations (21. at ε = 0.33) The second equality follows from unitarity of s. −φ)ji . ˆ e ˆ h e + + ch (N1 ) = she ce (N1 ) + shh c− (N1 ).24) to obtain a set of 2N linear relations between the incident wave in lead N1 and the reﬂected wave in the same lead: c− (N1 ) = see c+ (N1 ) + seh c− (N1 ). shh .
35) h ˆ12 ˆ In the second equality we have used the unitarity relation r22 r22 + t† t12 = 1. Eq.35) depends only on the eigenvalues of the Hermitian matrix t12 ˆ ˆ12 ˆ 12 ˆ21 ˆ 21 eigenvalues by Tn (n = 1. (21.38) This equivalence is of importance for (numerical) evaluations of the Landauer formula. n=1 (21.36).37) can be written equivalently as a sum over eigenvalues or as sum over modal transmission probabilities: h GN = 2e2 N N Tn ≡ n=1 n=1 Tn . since the only input is the normalstate scattering matrix.34) simpliﬁes considerably. Since the smatrix s0 of the normal region is symmetric for B = 0.34) over Eq. The eﬀects of multiple Andreev reﬂections are fully incorporated by the two matrix inversions in Eq.34) then takes the form 4e2 ˆ† ˆ ˆ12 ˆ Tr t12 t12 (1 + r22 r22 )−1 t† t12 (1 + r22 r22 )−1 ˆ† ˆ ˆ† ˆ h 2 4e2 ˆ12 ˆ ˆ12 ˆ = Tr t† t12 (2 − t† t12 )−1 . (21. (2 − Tn )2 (21. can not be written in terms of modal transmission probabilities ˆˆ alone: The oﬀdiagonal elements of tt† contribute to GNS in an essential way. (21.36) for the conductance of an NS junction is a nonlinear function of the transmission eigenvalues Tn . t† t21 . . A formula of similar generality for the normalmetal conductance GN is the multichannel Landauer formula 2e2 ˆˆ† 2e2 GN = Tr tt ≡ h h N Tn . . The trace ˆ† ˆ ˆ† t12 . The advantage of Eq.36) n=1 This is the central result for NS interface.36). . (21. We denote these (21. 2. we can omit the indices and write simply t the following relation between the conductance and the transmission eigenvalues: GNS = GNS 4e2 = h N 2 Tn . in contrast. Since the matrices t† t12 .37) In contrast to the Landauer formula. When dealing with a nonlinear multichannel formula as Eq. in which one calculates the probability that an electron injected in mode n is transmitted. and then obtains the conductance by summing over all modes. and t21 t† all ˆt† . The Landauer formula (21. We obtain ˆ have the same set of eigenvalues.33) is that the former can be evaluated by using standard techniques developed for quantum transport in the normal state. it is of importance to distinguish between the transmission eigenvalue Tn and the modal transmission probability Tn ≡ N tnm 2 . N ). In the absence of a magnetic ﬁeld the general formula (21. (21. one has r22 = r22 and ˆ ˆ ˆ ˆT ˆ ˆ21 t12 = tT .21.34). Equation (21. t12 t† . . The m=1 former is an eigenvalue of the matrix tt† . The nonlinear scattering formula (21. NS INTERFACE 417 ˆ ˆ where M T ≡ (M ∗ )† denotes the transpose of a matrix. the latter a diagonal element of that matrix. (21.3. (21.
In the case of adiabatic transport. relative to the Fermi level in the reservoirs. (21. An “ideal” quantum point contact is characterized by a special set of transmission eigenvalues. and let γ1 / and γ2 / be the tunnel rates through the two barriers. We denote for all t. however. where Eq.39) into Eq. Let εres be the energy of the resonant level. (21. Substitution of Eq. h (21. which follows from Eqs. We assume that transport through this quantum dot occurs via resonant tunneling through a single bound state. we compare in Fig. (21.39) where the eigenvalues have been ordered from large to small.3 the conductances GNS and 2GN for a saddlepoint constriction model in a twodimensional electron gas. the transmission eigenvalue Tn is equal to the modal transmission probability Tn . and not to the transition region between two subsequent plateaus of quantized conductance. We emphasize that Eq. This is actually a rigorous inequality.36) and (21. which is weakly coupled by tunnel barriers to two electron reservoirs. Quantum dot Consider next a small conﬁned region (of dimensions comparable to the Fermi wavelength).39) applies. (21. In the quantum regime. or alternatively the number of transverse modes at the Fermi level which can propagate through the constriction.37) for arbitrary transmission matrix: GNS ≤ 2GN .41) . In the classical limit N0 → ∞ we recover the wellknown result GNS = 2GN for a classical ballistic point contact. Note that N0 N . (21. the simple factoroftwo enhancement only holds for the conductance plateaus. MESOSCOPIC SUPERCONDUCTIVITY Simple examples Quantum point contact Consider ﬁrst the case that the normal metal consists of a ballistic constriction with a normalstate conductance quantized at GN = 2N0 e2 /h (a quantum point contact). due to the currentdoubling eﬀect of Andreev reﬂection. To illustrate this. Appreciable diﬀerences appear in the transition region. 21.39) does not imply that the transport through the constriction is adiabatic.418 CHAPTER 21. In the absence of adiabaticity there is no direct relation between Tn and Tn . The integer N0 is the number of occupied onedimensional subbands (per spin direction) in the constriction. (21.40) The conductance of the NS junction is quantized in units of 4e2 /h. where GNS lies below twice GN . (21. which are equal to either zero or one: Tn = 1 0 if 1 ≤ n ≤ N0 . if N0 < n ≤ N. This is twice the conductance quantum in the normal state.36) yields GNS = 4e2 N0 .
44) .42) with TBW the BreitWigner transmission probability at the Fermi level. and U1 . the conductance GN in the case of noninteracting electrons has the form h γ1 γ2 GN = 2 ≡ TBW . γ1 (21. The normalstate transmission matrix t12 (ε) which yields this conductance has matrix elements √ γ1n γ2m t12 (ε) = U1 τ (ε)U2 . U2 are two unitary matrices (which need not be further speciﬁed).43) ε − εres + 1 iγ 2 where n γ1n ≡ γ1 . Let us now investigate how the conductance (21. The 1 2 2 constriction is deﬁned by the 2D saddlepoint potential V (x. The transmission matrix product t12 t† (evaluated 12 at the Fermi level ε = 0) following from Eq. 2 with ωy /ωx = 3. 2 γ ≡ γ1 + γ2 . (21.42) is modiﬁed if one of the two reservoirs is in the superconducting state.3: Solid curve: Conductance GNS versus Fermi energy of a quantum point contact between a normal and a superconducting reservoir (shown schematically in the inset). NS INTERFACE 419 Figure 21. τ (ε)nm ≡ . (21.43) is † t12 t† = U1 M U1 .3. with Tn = [1 + exp(−2πεn / ωx )]−1 . εn ≡ EF − V0 − (n − 1 ) ωy .36). If γ ∆E (with ∆E the level spacing in the quantum dot). (21. y) = V0 − 2 mωx x2 + 1 mωy y 2 . GNS is calculated from eq.21. 2e2 εres + 1 γ 2 4 (21. Mnm ≡ 12 TBW √ γ1n γ1m . The dotted curve is twice the conductance GN for the case of two normal reservoirs. n γ2n ≡ γ2 .
45) Substitution into eq. The lineshape for this case is shown in Fig. if 2 ≤ n ≤ N. conductance resonance (21. (21. This is in contrast to the supercurrent resonance in a superconductor — quantum dot — superconductor Josephson junction.46) for the case of equal tunnel barriers (solid curve). (21. The amplitude and lineshape of the Figure 21. The diﬀerence can be traced to the fact that the conductance (in the zerotemperature. 21.4 (solid curve). (21. It diﬀers substantially from the Lorentzian lineshape (21. The dotted curve is the BreitWigner transmission probability (21.420 Its eigenvalues are CHAPTER 21.4: Conductance versus energy of the resonant level.36) yields the conductance GNS 4e2 = h TBW 2 − TBW 2 4e2 = h 2γ1 γ2 2 + γ2 + γ2 4εres 1 2 2 . from eq.46) The conductance on resonance (εres = 0) is maximal in the case of equal tunnel rates (γ1 = γ2 ).42) of the BreitWigner formula (dotted curve). . The inset shows schematically the normalmetal — quantumdot — superconductor junction.42). MESOSCOPIC SUPERCONDUCTIVITY Tn = TBW 0 if n = 1. the above results apply to a quantum dot with a small charging energy U for double occupancy of the resonant state. whereas all states within ∆0 of the Fermi level contribute to the Josephson eﬀect. Since we have assumed noninteracting quasiparticles. (21. zerovoltage limit) is strictly a Fermilevel property. which depends sensitively on the ratio γ/∆0 . and is then equal to 4e2 /h — independent of γ.46) does not depend on the relative magnitude of the resonance width γ and the superconducting energy gap ∆0 .
(21. ANDREEV LEVELS AND JOSEPHSON EFFECT Disordered junction 421 We now turn to the regime of diﬀusive transport through a disordered point contact or microbridge between a normal and a superconducting reservoir. The resolution of this paradox is that the T ’s are not distributed uniformly. Indeed. but are either exponentially 2 small (closed channels) or of order unity (open channels).48). indicates the ensemble average and f (T ) is an arbitrary function of the transmission eigenvalue such that f (T ) → 0 for T → 0.36). We begin by parameterizing the transmission eigenvalue Tn in terms of a channeldependent localization length ζn : Tn = 1 . The present derivation. In the second equality in eq.36) is of second order in the transmission eigenvalues Tn — the ensemble average GNS is of ﬁrst order in l/L. . averaged over an ensemble of impurity conﬁgurations. If the condition L Nl is relaxed.48) we have used that L/ζmin L/l 1 to replace the upper integration limit by ∞. and (21. Combining Eqs.36) with the transmission eigenvalues Tn replaced by the modal transmission probabilities Tn .49) We conclude that — although GNS according to Eq.37). diﬀerences between GNS and GN appear. . we ﬁnd ∞ GNS = 2 GN 0 dx cosh−2 x 2 − cosh−2 x 2 = GN . one would ﬁnd a totally wrong result: Since Tn l/L 1.4.21. (21. is fully quantum mechanical. The model considered is that of an NS junction containing a disordered normal region of length L much greater than the mean free path l for elastic impurity scattering.48) where . One can therefore write N n=1 f (Tn ) = Tn N n=1 L/ζmin dx f (cosh−2 x) 0 L/ζmin dx cosh−2 x 0 ∞ = 0 dx f (cosh−2 x) . We assume that the only .49). but much smaller than the localization length N l. if one would evaluate Eq. (21. (21. We calculate the average conductance of the junction.4 Andreev levels and Josephson eﬀect Consider a SNS weak link schematically depicted in Fig.47) A fundamental result in quantum transport is that the inverse localization length is uniformly distributed between 0 and 1/ζmin 1/l for l L N l. in contrast. It applies to the “mesoscopic” regime L < lφ . (21. in which transport is phase coherent. Hence the average of Tn is of the same order as the average of Tn . cosh (L/ζn ) 2 (21. 21. 21. (21. (21. Oﬀdiagonal elements of the transmission matrix tt† are crucial to arrive at the result (21.5. one would ﬁnd GNS (l/L)GN — which underestimates the conductance of the NS junction by the factor L/l.
5: SNS Josephson junction containing a disordered normal region (hatched) scattering on the NS interfaces x = ±L/2 is the Andreev one.e (S1 ) = eiη /2 e e−iη /2 e e e (2qn )−1/2 ( 2 /∆2 − 1)−1/4 Φn exp[±iqn (x + L/2)] . Andreev levels Since Josephson eﬀect is the equilibrium property let us start with the excitation spectrum. where ∆ = ∆0 exp(iφ/2).52) . the eigenfunctions are ± ψn. h h (kn )−1/2 Φn exp[±ikn (x + L/2)] . The key simpliﬁcation is to separate in space normal and Andreev scattering. so the vectorpotential can be disregarded.h Here kn = (2m/ 2 )1/2 (EF − En + σ e.e (N1 ) = ± ψn. Thus we approximate ∆= ∆0 exp(±iφ/2) for x > L/2 . Φn (y.h )1/2 and σ e = 1. x) is the transverse wave function for the nth mode.422 CHAPTER 21. 0 for x < L/2 . as well as reduction of the order parameter ∆.h (N1 ) = 1 0 0 1 e e (kn )−1/2 Φn exp[±ikn (x + L/2)] . (21. (21. The wave functions for the lead N2 are chosen in a similar way with the substitution L → −L. For that we have to solve the BdG equation (21. it works also for SSS junctions with a constriction provided its size is ξ. In the superconducting lead S1 . The junction width is assumed to be much smaller than the Josephson penetration depth. In the normal lead N1 the eigenfunctions are ± ψn.12) with proper boundary conditions.51) e.50) This model is rather universal. σ h = −1. The index n labels the transverse modes. its applicability range being ξ0 lS where lS is the mean free path in the superconductor. and En its threshold energy. MESOSCOPIC SUPERCONDUCTIVITY x ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ S1 N1 N2 S2 L/2 0 L/2 Figure 21. (21.
L → −L. (21. c+ (N1 ).4. sA . In a superconductor.h qn = (2m/ 2 )1/2 [EF − En + σ e. c+ (N2 ). c+ (N2 ) . (21. ANDREEV LEVELS AND JOSEPHSON EFFECT ± while for ψn.h ( 2 423 − ∆2 )1/2 ]1/2 .h arccos( /∆0 ) .51) and (21.51) at x = ±L/2 to ˆ the decaying wave functions (21. c− (N2 ) .52) are normalized to carry the same amount of quasiparticle current since we are going to use them as a basis for the scattering problem. The complex functions are deﬁned such that Re q e. We can then deﬁne smatrix for the Andreev reﬂection. e e h h (The mode index is omitted for brevity). The result is sA ( ) = a ˆ 0 rA ∗ rA 0 . Im q 2 ≥ 0.51) by the vector of the coeﬃcients cin ≡ N c+ (N1 ).h ≥ 0. As result the matrix sN has a blockdiagonal form. Now we have to introduce the proper scattering matrices. Here e. The function arccos t ∈ (0. while arccos t ≡ −i ln t + (t2 − 1)1/2 for t > 1. ˆ sN ( ) = ˆ s0 ( ) ˆ 0 0 s∗ (− ) ˆ0 . at the NS interfaces as ˆ cout = sA cin . The eigenfunctions for S2 are obtained by substitution φ → −φ. The functions (21. c− (N2 ).21. there is no propagating modes for < ∆. ˆ N N The elements of sA can be obtained by matching the functions (21. ˆ N N An important simpliﬁcation is that the disordered region does not couple electrons and holes. s0 ( ) = ˆ r11 t12 t21 r22 . rA ( ) = ˆ eφ/2 0 e−φ/2 0 .52). The wave incident on the disordered normal region is described in the basis (21. For > ∆0 we have to deﬁne the smatrix of the whole junction as ˆ cout = sSN S cin .h (S1 ) the label e replaced by h.53) s0 is the unitary and symmetric smatrix associated with the Hamiltonian H0 . π/2) for 0 < t < 1. 0 η e = φ/2 + σ e. S S . where N is the number of propagating modes for given .54) Here a = arccos( /∆0 ). Im q h ≤ 0. The elˆ ements rik and tik are N × N matrices in the mode space. e e h h The matrix sN relates the above two vectors as ˆ cout = sN cin . c− (N1 ). The reﬂected and transmitted waves have vector of coeﬃcients cout ≡ N c− (N1 ).
dφ (21. Using ˆ ˆ s ˆ ˆ U =a det a ˆ c ˆ ˆ b ˆ d 0 rA .424 CHAPTER 21. Then instead of Eq. the identity (21.out are the coeﬃcients of the expansion of the incoming and outgoing waves S in leads S1 and S2 in terms of the wave functions (21. we get the dispersion relation for the Andreev levels ∗ det 1 − a2 ( p )rA s0 (( p )rA s∗ (− p ) ˆ ˆ0 = 0.56) Short junction. This inequality is equivalent to ∆0 Ec ≡ /τ where τ is the traversal time through the junction. det(ˆN sA − 1) = 0. (21.56) we get ˆ ˆ ˆ det (1 − 2 2 ˆ p /∆0 )1 ˆ ˆ21 − t12 t∗ sin2 (φ/2) = 0 .52). For and sN sA = 1.61) 2e d dφ dr ∆2 /g .57) ˆ ˆ21 Denoting Tp the eigenvalues of the N × N matrix t12 t∗ we have p = ∆0 1 − Tp sin2 (φ/2) .58) Josephson current The Josephson current can be derived from the known expression for the BCS free energy F for the superconductor as I(φ) = (2e/ )(dF/dφ) .55) = det(ˆd − aca−1ˆ a ˆ ˆ ˆˆ b) p. Since the elements of s0 change signiﬁcantly at the energies of the ˆ order of Ec one can put s0 ( ) ≈ s0 (− ) ≈ s0 (0).59) (2kT ) ∆0 d ln[2 cosh( /2kT )] dρ .52) at x = L/2 one can obtain ˆ ˆ ˆ s ˆ sSN S = U −1 (1 − M )−1 (1 − M † )ˆN U ˆ where rA 0 ˆ .51) and (21. (21. I1 = − dφ p I2 = − I3 = 2e ∞ (21. . ∗ rA 0 < ∆0 there is no outgoing waves. Consequently. (21. The above equation allows further simpliﬁcation for a short junction with L ξ. After rather tedious calculations one can obtain the following result: I = I1 + I2 + I3 . By matching the wave functions (21. dp 2e tanh( p /2kT ) . MESOSCOPIC SUPERCONDUCTIVITY The vectors cin. (21. M = aˆN s ∗ 0 rA Now we are ready to ﬁnd the excitation spectrum.60) (21.
60) we get I= e∆2 0 sin φ 2 N p=1 Tp tanh p (φ) p (φ) 2kT . (21. 21.5 Superconducting nanoparticles Coulomb blockade of Andreev reﬂection Consider at an ideal superconducting electrode between normal bulk electrodes forming two tunnel junctions in series. the 3d one vanishes for φindependent ∆.58) into Eq. For a ballistic point contact. 0 for p ≥ N0 where conductance G is calculated according to the Landauer formula. Tp = and I = Ic sin φ .62) We see that. 21. For s shot junction the contribution of the continuous spectrum vanishes. (21. (21.6. (21. The superconducting part modiﬁes strongly Figure 21. the transmittance is small. In the opposite limiting case. Substituting Eq.63) l.21. L Ic = Ic = N0 e∆0 / (quantized) . The above result coincides with the AmbegaokarBaratoﬀ formula for a tunnel junction.6: An ideal superconducting electrode between normal bulk electrodes forming two tunnel junctions in series.5. the 2nd one is due to the continuous spectrum with density of states ρ( ). tunneling through the system which becomes sensitive to the parity of the electron number . SUPERCONDUCTING NANOPARTICLES 425 The 1st term is the contribution of the discrete states (Andreev levels). the Josephson current is a nonlinear function of the transmittance Tp . and e∆0 ˆˆ Tr tt† tanh ∆0 π∆0 = G 2kT 2e (21. L l.64) 1 for p ≤ N0 . contrary to the Landauer conductance. Fig.
while E0 allows for the quasiparticle energy. Q = en − ϕC. Lett.66) Here N0 is the electron number at φ = 0. which opens an inelastic channel. C = C1 + C2 . 69. and the lowest curve at a given ϕ corresponds to the equilibrium number n of the excess electrons.65) 2C C Here ni is the number of particles that have tunneled through ith junction. MESOSCOPIC SUPERCONDUCTIVITY N in the superconductor. Rev. (21. n = n1 − n2 . The total number N of the free electrons in the superconductor depends on the electrostatic energy. One can see that the parity of the electrons is changed at the intersections. The total energy can be written as U= E(N ) = [e(N − N0 ) − Cϕ]2 + E0 (N ) . inelastic tunneling cannot take place (at zero temperature) at voltages below 2∆/e. Since the potential diﬀerence ϕ can be changed by the gate the system under consideration behaves as a paritysensitive singleelectron transistor. 2C E0 (N ) = ∆ for odd N 0 for even N . For odd N a quasiparticle exists unavoidably in the superconductor. Phys. and only elastic tunneling is allowed. The graph of E(N ) is schematically shown in Fig. and ϕ is the potential diﬀerence between the middle of the grain and the leads at vanishing bias voltage V . 21. Ci are junction capacitances. (21. Figure 21.7: From Averin & Nazarov.7. . 1993 (1992). eV Q2 − (C1 n2 + C2 n1 ) . When N is even.426 CHAPTER 21. The curves correspond to diﬀerent n.
8: From Eiles et al. Paritysensitive transport To compute the current near the resonances one needs to estimate the tunneling rates Γl and Γr for the tunneling from the left lead and from the right lead to the grain.5. SUPERCONDUCTING NANOPARTICLES 427 Figure 21. Phys. respectively.67) we observe that E(N ) = E(N + 2) at Vg = −(N + 1)e/Cg . Lett. The experimental I − V curve for such a device is shown in Fig. Rev. . 2C C (N ) C = Cl + Cr + Cg .8 Specifying the Coulomb energy for the system under consideration as E(N ) = (N e)2 N e + (Cl Vl + Cr Vr + Cg Vg ) ..21. (21. 70. 21. 1862 (1993).
.70) γl + γr sinh V The G vs. They depend on the energy diﬀerences Γi = 2π i = E(N + 2) − E(N ) − 2eVi as i γi exp( i /kT ) − 1 . Lett. MESOSCOPIC SUPERCONDUCTIVITY Figure 21.69) Here Ni is the geometric factor of the order of the number of transverse modes in the tunneling junction. The result for Ohmic conductance is 4πe2 γl γr V G= . V ≡ 2eCg (Vg − Vg(N ) )/CkT .428 CHAPTER 21. In general. 70. Rev. 21. while Gi is its normalstate conductance. the “phase diagram” in the (N ) .9: From Eiles et al. (21. 1 γi = Ni Gi 2πe2 2 4∆2 arctan 2 ∆2 − Ec ∆ + Ec ∆ − Ec 2 . The nonOhmic I −V curves for diﬀerent gate voltages are shown in Fig. 1862 (1993).68) This is a goldenrule expression which diﬀers from the normalstate expression by two features: (i) the excitation energy corresponds to transfer of two electrons. Phys. (21. Ec = e2 /2C .9. In general. the “phase diagram” in the coordinates V −Vg showing an interplay between singleelectron and pair tunneling is observed. (21. Vg dependence is a set of sharp peaks at Vg = Vg . (ii) the dimensionless parameters γi should be calculated in the second order in tunneling transparency since we are interested in the transfer of a pair of electrons.
Rev.. SUPERCONDUCTING NANOPARTICLES 429 Figure 21.10: From Hergenrother et al. Phys. 1742 (1994). .5.21. Lett. 72.
nonperturbative eﬀects for hightransparency contacts. MESOSCOPIC SUPERCONDUCTIVITY coordinates V − Vg showing an interplay between singleelectron and pair tunneling is observed. There are other eﬀects regarding parityeﬀect tunneling which are beyond the scope of this course. Among them are quantum cotunneling through virtual states which competes with the blockaded transport. inﬂuence of magnetic ﬁeld. .430 CHAPTER 21. etc.
Part V Appendices 431 .
.
The inverse transform is ak = k −1 βki ai . Show that this equality is suﬃcient. Direct calculation. Problem 1. Show that only n = 1. Solution.2. i 2 1 0 1 2 cos φ φ 1 π 1/2 2π/3 0 π/2 1/2 π/2 1 0 Problem 1. (22. 3. k ˆ the suﬃcient condition for the matrix β is det(βik ) = ±1. Show that (a1 [a2 a3 ]) = (a3 [a1 a2 ]) = (a2 [a3 a1 ]). Solution.3.1) where −1 βki = A(βik ) det(βik ) 433 . 2.Chapter 22 Solutions of the Problems Chapter 1 Problem 1. 6 are available. New vectors can be deﬁned as ai = βik ak . We have mentioned that primitive vectors are not unique. Solution.1.
Then we can substitute Eq. Find the reciprocal lattice vectors for fcc lattice.2) Problem 1.10) we get b1 = b2 b1 2π (−x + y + z) . Solution. β. Problem 1. Solution Introducing the dimensionless quantity x = N a∆k /2 where ∆k is the peak’s width at the half intensity we get the following equation sin2 x = x2 /2.2) into (1. 2 a = (z + x) . (22. a Problem 1. γ} = 2πgi .9) we get {α.10) for reciprocal lattice vectors. a 2π = (−y + z + x) .1. so we return to the condition (22. SOLUTIONS OF THE PROBLEMS where A(βik ) is the algebraic augment. 2 a = (x + y) 2 (see Fig. The solution is x ≈ 1.5.38.i nk A(βik ) a. Let is expand the unknown vector b in terms of 3 noncoplanar vectors [ai ak ] b = α[a1 a2 ] + β[a2 a3 ] + γ[a3 a1 ] .1). det(βik ) i All the coeﬃcients are to be integer. Derive the expressions (1. Then. a 2π = (−z + x + y) . V0 (22.6). Making use of the deﬁnition (1.4. for any lattice vector we have a= k nk ak = k.434 CHAPTER 22. Find the width of the scattering peak at the half intensity due to ﬁnite size of the chain with N sites. Chapter 2 . The volume of the cell is V0 = a3 /4. Solution We write lattice vectors for fcc as a1 = a2 a1 a (y + z) .6.
3. Collecting these expressions and using the formula cos we get the formula (2. (2.435 Problem 2. 2π C Solution From the Eqs. Solution. ˙ ˙j j 2N nkα qjq j ei(q−q )an = N δqq .29). (2.12) we get dω = a m  cos qa dq and dq = aL dg.35).9). Derive Eq.13). t)e−iq an .24) and do algebra. Then one can use the relations (B. aq = 2 1 − sin2 aq = 2 1− ω2 4C/m Problem 2. Derive the expression (2. (2.23) to Eq.2) of the Appendix B. Derive the dispersion relation (2. Prove the equation (2. Problem 2.75) for the potential energy.7) we get −mω 2 = −C 2 − e−iqa − eiqa . Solution Substitute expressions (2. We have 1 kk Φ = Φαβ uk α uk β = n n nn 2 all = × qjq j 1 2N Φαβ all kk nn √ 1 × mk mk ejkα (q)aj (q. ˙ ˙j j . ∂Φ ∂unαk = 0 Problem 2.25).1. t)eiqan e∗ kα (q)a∗ (q . Substituting (2. (2. We express the displacements according to the deﬁnition (2. The 2 number dz of the vibration modes within the interval (−π/a.34) of the dynamic matrix and its property (2. t)eiqan e∗ kα (q)a∗ (q . t)e−iq an .5. Solution To prove the relations it is enough to apply the equilibrium condition 0 for constant displacement u0 of all the atoms.74).6. Solution. (2.1) and (B. Problem 2.2.13).4.8) into Eq.7. t)eiqan = ˙ = 2N nkα qj 1 = ejkα (q)aj (q. n 2 Then we use the condition Problem 2. Problem 2. Prove the relation (2. Solution Use the deﬁnition (2. π/a) is equal to 2z because one has to sum over ±q. Solution. Prove the expression (2. Prove the relation of the Section 4.9).72) and get T 1 ejkα (q)aj (q.
One can use the deﬁnition (2.p Problem 3.15) we get ψp (x) = 1 N ei(p−p )na/ ψp (x) = ψp (x) . .76) we get the expression (2. Solution. Derive Eq.14) into (3. Prove the expression (2. Prove the expression (2. ∗ wn (x)wm (x) dx = 1 N a 2π ei(pn−p m)a/ pp π /a ∗ ψp (x)ψp (x) dx = = = 1 N eip(n−m)a/ = p eip(n−m)a/hbar dp = −π /a sin[π(n − m)]/[π(n − m] = 0 .79). Solution.90). 2 Combining this expression with the expression for aj and inserting into the expression for the energy (2.8.m . (3.9.436 Then. Now we can sum over q and use the equation of motion (2. Substituting (3. According to the deﬁnition and equation of motion aj (q) = ˙ 1 ˙ ˙ Qj (q) + Qj (−q) + 2 iωj (q) + [Qj (−q) − Qj (q)] .2 Prove the orthogonality of the Wannier functions. n. SOLUTIONS OF THE PROBLEMS 1 Φαβ mk mk ei(q −q)an kk nn √ ei(q an −qan ) = kk nn eiq (an −an ) = = n n 1 Φαβ mk mk = kk N δqq Dαβ (q) . let us transform √ nn CHAPTER 22.89) and the recursion formula HN (ξ) = 2N HN −1 (ξ) . n = m 1. n=m = δn. Problem 2.1.79). Chapter 3 Problem 3.20) and normalization condition for eigenvectors ej . Solution. Solution.15). Problem 2.
Expand both numerator and denominator in powers of h and I.5 Prove the identity (3. Solution.5) As a result. ∂kx (22. Solution. Problem 3. We expand the exponential in the series exp(a ) = 1 + a 1 + (a )2 + · · · 2 and than we see that it is just the same as the expansion of the shifted function. Then we take the partial derivative of the equation with respect to.7) . Solution. Prove the formula (3. say. The number of nearest neighbors is 6.41). i Problem 3.6. We start from the SE for the Bloch function 2 2 ψ+ 2m [ε(k) − V (r)] ψ = 0 . Problem 3.3 Derive expression (3. we get 2i ∂ψ 2m ∂ε 2m 2 + ψ + ix ψ + 2 (ε − V )ψ 2 ∂k ∂x x 2m ∂u 2 + + 2 (ε − V ) eikr =0 ∂kx + (22.437 Problem 3.16).4 Derive expression (3. Then we multiply the equation by ψ ∗ and integrate over r: 2i ψ∗ ∂ψ 3 2m ∂ε ψ ∗ ψ d3 r + dr + 2 ∂k ∂x x ∂u 2m 2 + eikr + 2 (ε − V ) ψ ∗ d3 r = 0 .4) ∂ψ ∂ψ = 2i + ix ∂kx ∂x 2 ψ+ 2 eikr ∂u ∂x .3) ∂kx ∂kx ∂kx ∂ψ ∂ ∂u = uekr = ixψ + ekr .39). We have 1−6 eika0 = 0 eiki a + e−iki a . ∂kx ∂kx ∂kx and 2 (22. (22.6) where the curly bracket vanishes according to SE. (22.24). Solution. kx with the account of relations ∂ε ∂ψ ∂ [ε(k) − V ] ψ = ψ + (ε − V ) .
438 CHAPTER 22. . . Solution. we expand ϕ(ε) as ϕ(ε) = ϕ( F ) + ϕ ( F )(ε − F) 1 + ϕ ( F )(ε − 2 F )/kB T . Namely. Calculate temperaturedependent corrections to the chemical potential of a Fermi gas.s. The last item in the l. (e−η + 1)2 I = ϕ( F ) + kB T ϕ ( F )I1 + (kB T )2 ϕ ( F )I2 + . Problem 4. we get ∞ Z=e − ω/2kB T N =0 e−N ω/kB T ..2. Prove the expression (4. Calculate the partition function for a harmonic oscillator.1. Solution. Solution. The we use the formula for geometric progression to get the result.3. and introduce dimensionless variable η = (ε − − Finally. If we introduce ε ϕ(ε) = 0 χ(x) dx it is easy to show that I= 0 ∞ ϕ(ε) − ∂f0 dε dε. . At low temperatures the function − ∂f0 behaves as δfunction at we will take advantage dε of this fact.11). is also equal to zero (SE) and we come to the result. To calculate the integrals with the Fermi function ∞ I= 0 χ(ε)f (ε) dε it is convenient ﬁrst to integrate by parts. 2 F) + . Using the deﬁnition. Chapter 4 Problem 4. SOLUTIONS OF THE PROBLEMS where we have used the integration by parts. ∂f0 ∂ε dε = We have e−η dη. Use the formulas εk = 2 k 2 /2m and δ [z − f (y)] = δ(y − z y ) f (zy ) where zy is determined by the condition f (zy ) = z..h. Problem 4.
The equation for the electron trajectory. Derive the formula (4. Problem 4.16) with the Boltzmann distribution function. Problem 4. ε(p) = ε for a given pz . Solution.4. has the form 1 2ε − p2 /mz z p2 p2 y x + mx my = 1. Find the cyclotron eﬀective mass and compare it with the densityofstates eﬀective mass deﬁned as √ 3/2 1/2 2md ε g(ε) = . Use the general procedure outlined in the Problem 4. An electron with a energy spectrum p2 p2 p2 y x ε(p) = + + z 2mx 2my 2mz is placed into a magnetic ﬁeld parallel to zaxis. Solution. 2(e−η + 1)2 6 Making use of the last expression we get 2/3 F =µ 2/3 π2 1+ 8 kB T F 2 that leads to the expression we are interested in. Solution. Use the general expression (4.33).3 with ϕ(ε) = g(ε).5.22)for magnetic susceptibility. Chapter 6 Problem 6. Problem 4. 4 y 3/2 −y Then the sum over N can be done as the sum of geometric progression. .6. π2 3 Solution. Derive expression (4. Calculate speciﬁc heat for the Boltzmann gas.439 where I1 = 0. I2 = 0 ∞ π2 η 2 e−η dη = .1. We chose the integration variable to y= and take into account that 0 ∞ ε − N − 1/2 kB T e √ 3 π dy = .
440 This is the ellipse having the area CHAPTER 22. 2π ∂ε According to the deﬁnition of the density of states. . T ) ∝ εr . pz ) = π(2ε − p2 /mz ) mx my . Problem 6. For zero temperature we have g( F ) = ∂n 3n 3n = = . Expressing the transport relaxation time as τtr (ε. √ py = ζ 2mz 2 (2π )3 dpx dpy dpz δ[ε(p) − ε] . f0 (ε) = exp and that τtr (ε. Derive the Drude formula (6. Problem 6.2.17). 2 ∂ F 2 F mvF ne2 τtr . we obtain that md = (mx my mz )1/3 .3. mc = 1 ∂S(ε. σ= from the expression σ = e2 D( F )g( F ) . pz ) √ = mx my . ζ −ε T . Solution. m py = η 2my . SOLUTIONS OF THE PROBLEMS √ S(ε. according to deﬁnition. T ) = τ0 (T )(ε/kT )r ﬁnd the expressions for Drude conductance at ωτ0 1 and ωτ0 1. g(ε) = Introducing new variables as √ px = ξ 2mx . Assume that that the electrons obey Boltzmann statistics. z Thus.
Thus. Re σ(ω) = ne2 mω 2 1 τtr = ne2 Γ(5/2 − r) . Then − Thus ∞ ∂f0 ∂ε = 1 exp(ζ ∗ − x) . It is practical to introduce the integration variable x = ε/T and denote ζ ∗ = ζ/T (here we skip the Boltzmann constant k for brevity). ζ∗ √ → ζ = − ln ∗ πg(T )T . η = −eg(T )D(T )e ζ∗ 0 dx (x − ζ ∗ )xr+3/2 e−x = −eg(T )D(T )eζ∗ [Γ(r + 7/2) − ζ ∗ Γ(r + 5/2)] . T ) = τ0 (T )(ε/kT )r .5. 2n . At large frequencies. Using the WiedemannFranz law compare the coeﬃcients κ and β for a typical metal. ζ ζ Thus according to the deﬁnition. e 3 ζ Problem 6. σ0 ∝ τ0 (T ). k π 2 kT α = − (r + 3/2) . Γ(5/2) Problem 6. Solution. Similarly.441 Solution Using the deﬁnition of Drude conductance we get τtr = τ (T ) Thus. Compare thermoelectric coeﬃcitns η for degenerate and nondegenerate electron gas. T g(ε)D(ε)(ε − ζ) = g(T )D(T )T (x − ζ ∗ )xr+3/2 . Assume τtr (ε. e Note that n = e g(T )T Γ(3/2) In the Fermi gas.4. σ0 = e2 g(T )D(T )eζ∗ Γ(r + 5/2) . introducing k we get k α = − (r + 5/2 − ζ ∗ ) . d g(ζ)D(ζ) g(ζ)D(ζ) = (r + 3/2) . 2 τ (T ) mω 0 Γ(5/2) Γ(r + 5/2) .
The ratio T ηα/β (according to the WiedamannFranz law) has the order T η 2 e2 ≈ 2 σT σkB kB T F 2 .6. r Solution.7.26) for the screened Coulomb potential. u r2 = Substituting this expression to the Poisson equation we get u − 1 r u = 0 → u ∝ exp − 2 rs rs . e2 / W (θ) = 4πni v 2ε(1 − cos θ) + Solution. Derive the expression (6.442 CHAPTER 22. In a spherical symmetric system it is natural to chose spherical coordinates. q q 0 s 2 2 /2mr 2 s d3 r eiqr e−r/rs r Using the property k = k and the equality q 2 = 2k 2 (1 − cos θ) = 2ε(2m/ 2 )(1 − cos θ) . Problem 6. the Laplace operator for the angleindependent case being 2 ϕ= 1 d r2 dr r2 dϕ dr . Derive the expression (6. Problem 6. One should calculate the matrix element v∝M = where q = k − k. ϕ= Ze −r/rs e .27). If we search the solution as u(r)/r the equation for u has the form 1 d r 2 dr d d r2 dr u = r12 dr r2 u − r r d = r12 dr (ru − u) = ur . We have the relation κ = β − T ηα. We have M = 2π = 4π ∞ 1 rdr −1 d(cos β) exp (iqr cos β) · exp − rrs = 0 ∞ ∞ 2π dr sin(qr) exp − rrs = 4π Im 0 dr exp(iq − r1s )r = q2 +r−2 . SOLUTIONS OF THE PROBLEMS Solution.
+ .71) ﬁnd imaginary part of 1/ (q. ω) 0 (q D + 1/τM ) + ω 0 (1 + q /κ ) + ω τM Chapter 7 Problem 7.2. ∂ε 1 + µ2 H 2 /c2 Use this expression to ﬁnd the conductivity tensor.12. We get q 3 = −4πaωσ0 /c2 = 4πaωσ0 /c2 The following way is straightforward. the dispersion equation for the Fermi gas has the form 1− 2 ωp ω2 1+ 2 3 q 2 vF 2 5 ωp 2 = 0 → ω 2 = ωp 1 + 2 3 q 2 vF 2 5 ωp 9 2 = ωp 1 + (qrT F )2 . We have 1 1 qv qv = −i 1+ + −iω(1 − qv/ω) ω ω ω The longitudinal conductivity contains 2 vz 1 + 2 eiπ . Start from the equation q 2 = 4πiωσ/c2 and substitute σ = iaσ0 /ql. Using the expression (6. Consequently. ω) which is responsible for damping of the wave of electrical polarization. Solution. Solution Use the relatuion (6. The calculation of the conductivity tensor is straightforward. Problem 6. . 5 . .10. = v 2 cos2 θ + q2v4 4 1 3 q2v2 cos θ = v 2 1 + ω2 3 5 ω2 .. qz v z qz v z + ω ω 2 + . Derive the expression for the solution of the Boltzmann equation G = eτtr ∂f0 E + (µ/c)2 (HE)H + (µ/c)[EH] . Derive the dispersion law for plasmons. determine the coeﬃcients α. Problem 7.51).443 we get the result.1.3). Solution. Problem 6. 2 2 2 2 2 2 2 2 (q. Solution We have Im 1 1 ω/τM 1 ωτM =− =− .. β and γ and then substtitute them into initial expression for G. Derive the equation (7. 1 2 δ= =√ Im q 3 c2 4πσω0 b 1/3 .
det q 2 δik − qi qk − 4πiω σik = 0. 2 4 2 Qm 0 ρw q ui  Problem 8. Chapter 8 Problem 8. σik Ek we come to the result. The density of electrical energy in the insulating sample is Qe = ED = 4π 0q φ2 1 4πβi. . Compare electrical and mechanical energies carried by the wave in a piezidielectric. Derive the dispersion relation for electromagnetic waves in metals. Solution. Find the relation between the amplitudes of electric ﬁles and deformation for the case of acoustic wave in a piezoelectric semiconductor. we come to the dispersion equation 1− or 2 ω ≈ ωp (1 + 7q 2 rT F /5) . We start from the Maxwell equations curl H = 4π j. 2 ω 2 1 − (ωp /ω 2 )(qrT F )2 Problem 7.2 . Compare electrical and mechanical energies carried by the wave.kl qi ql uk 2 = .kl qi qk ul 2 =χ= . SOLUTIONS OF THE PROBLEMS Thus. 2 ρ Qe 4πβi.3. 2 8π 2 0q 2 The mechanical energy can be estimated as Qm = 2ρ Thus ω 2 u2 1/2 2 2 2 i = w q ui  . 2 ωp (1 + (9/5)(qrT F )2 ) = 0.1. c2 Solution. c curl E = − 1 ∂H c ∂t and take the curl of the second one with the identity curl curl E = grad div E − After the substitution ji = k 2 E.444 CHAPTER 22.
2 /κ2 )2 + ω 2 τ 2 enw 4π 0 (1 + q m Here w is the sound velocity The coeﬃcient jdc = w 0 φω 2 q 2 4π has the meaning of the ﬂux of electric energy due to the wave which is connected to the ﬂux in mechanical energy. The the product ωτm χq 2 /κ2 )2 + ω 2 τ 2 (1 + q m . S as χS.3 Find dc current induced by a acoustic wave in a nondegenerate piezoelectric semiconductor. Hint: A dc current appears in the second approximation in the wave amplitude. we have from (8.kl qi ukl −iω + q 2 D 4πβi. Thus jdc = ≈ σE − eD(∂ δn/∂x (δσ)E σ (δn)E .445 Solution. = n time ) Solution. Taking into account the Poisson equation div D = 4πe(δn) together with the expression (8. as ω φω = φ0 / (q. ω 2en σ q 2 φω . φ0 . (22. ω) .8) q (q. ω As a result.10) (δn)ω = − As a result. σ φ0 2 q 2 ωτm ω q . ω) q2 0 −iω + q 2 D + 1/τm Problem 8.7) for the electrical induction D and expression (8.10) yields 4πβi. jdc = σ en 2 2 0 φω  q 4π q ω2 Now we can express the actual potential φω through the bare one. Using the hint we write jdc = σ ∗ Re[(δn)ω Eω ] 2en qσ = − Im[(δn)ω φ∗ ] .kl qi ukl φ=i 2 =i . + (q 2 D)2 Then. 2) e(−iω + Dq ω/τm .
446 CHAPTER 22. Finally we obtain jdc = σΓS . Make a similar calculation for a parabolic conﬁnement U (z) = (1/2)mω 2 z 2 . s Chapter 9 Problem 9. for odd n npz n + s = n + spz n 2 W W/2 2 W cos(πnz/W ). n even = −i dz cos(πnz/W )(∂/∂z) sin[π(n + s)z/W ] −W/2 2 [2 sin(πsn/2) + sin(πs2 /2) + sin(πns + πs2 /2)](n + s) .1. npz n + s = i √ √ √ [ nδs.−1 − n + 1δs. Solution. The solution is similar. From textbooks in quantum mechanics. Derive Eq.3). n odd sin(πnz/W ). .1 ] .1. W 2 Chapter 16 Problem 16. W 2n + 1 Problem 4.2. SOLUTIONS OF THE PROBLEMS is nothing else than the absorption coeﬃcient Γ. Assume that light is polarized perpendicular to the well. Calculate dipole matrix element for the transitions between adjacent subbands in a rectangular quantum well with inﬁnite potential barriers. = iW s(2n + s) For s = 1 the matrix element is − 4i n(n + 1) . The typical conﬁnement length is related to the frequency ω as W = /mω → ω = 2 /mW 2 . Deﬁne ω from the request that the typical spread of the ground state wave function is W and compare the result with the case of rectangular conﬁnement. (16. Solution Normalized wave functions are g n (z) = Thus.
8π M dH = − 0 2 Hc .1. Prove that the areas under magnetiation curves are the same for type I and type II SC with the same Hc . (17. We get ∂ B−H (Gn − Gs ) = = M. Solution.447 Solution. Problem 17.2. . ∂H 4π Now we can integrate this relation over H from 0 to Hc2 (where Gn = Gs −equilibrium!). Derive Eq. For A z R2 dR d(cos θ) dϕ (zR)R −R/ζ0 e = R4 A(r )R R −R/ζ0 e dV → A R4 =A R2 dR d(cos θ) dϕ 4π cos2 θ −R/ζ0 e = R2 3ζ0 Chapter 17 Problem 17. Introducing Gpotential as Gs = Fs (B) − BH 4π we note that is should be minimal in an equilibrium state with ﬁxed H : ∂Gs ∂B For a normal state = 0. 8π 4π From the stability condition for the normal state ∂Gn H = 0 we get B = H and ∂B Gn = Fn − Now let us change H by δH.15). H B 2 BH Gn = Fn + − . We get Hc2 H2 . it depends only on Hc . 8π Consequently. Solution. 2 At the same time. at H = 0 Gi = Fi and (Fn − Fs )B=0 = Hc /8π. ∂p ∂ 2 G ∂B B ∂H(B) ∂B B ∂H(B) =B = = 2 ∂x ∂x ∂B 4π ∂B ∂x 4π ∂x.
Prove Eq.8) E =E − with ∆=λ k FN = k ξk (nk↑ + nk↓ ) + 2 2vk (1 ∆2 − nk↑ − nk↓ ) − λ uk vk (1 − nk↑ − nk↓ ). For Eq. uk = 4vk ξk (1 − nk↑ − nk↓ ) − 2 This is just the result we need. (18. We get ∆ δ∆ δE = 4vk ξk (1 − nk↑ − nk↓ ) − 2 = δvk λ δvk = 4vk ξk (1 − nk↑ − nk↓ ) − 2 ∆ duk λ(uk + vk )(1 − nk↑ − nk↓ ) = λ dvk ∆ 2 (1 − 2vk )(1 − nk↑ − nk↓ ) = 0.9) and (18.448 CHAPTER 22.1. (18. We get † † † † uk1 uk2 αk ↑ αk ↓ − vk1 vk2 α−k1 ↓ α−k2 ↑ + vk1 uk2 α−k1 ↓ αk ↓ − uk1 vk2 αk ↑ α−k2 ↑ × 1 2 2 1 † † † † × uk2 uk1 αk2 ↓ αk1 ↑ − vk2 vk1 α−k2 ↑ α−k1 ↓ + uk2 vk1 αk2 ↓ α−k1 ↓ − vk2 uk1 α−k2 ↑ αk1 ↑ Now we should remember that k1 = k1 . Prove the Eqs. onsequently only the following combinations lead to nonzero averages † † vk1 uk2 α−k1 ↓ αk ↓ − uk1 vk2 αk ↑ α−k2 ↑ 2 1 † † uk2 vk1 αk2 ↓ α−k1 ↓ − vk2 uk1 α−k2 ↑ αk1 ↑ → † † † † → vk1 uk2 uk2 vk1 α−k1 ↓ αk ↓ αk2 ↓ α−k1 ↓ − uk1 vk2 uk2 vk1 αk ↑ α−k2 ↑ αk2 ↓ α−k1 ↓ − 2 1 † † † † −vk2 uk1 vk1 uk2 α−k1 ↓ αk ↓ α−k2 ↑ αk1 ↑ + uk1 vk2 vk2 uk1 αk ↑ α−k2 ↑ α−k2 ↑ αk1 ↑ 2 1 . (18.10).2. SOLUTIONS OF THE PROBLEMS Chapter 18 Problem 18. Solution. We have Hint = −λ a† ↑ a† ↓ ak2 ↓ ak1 ↑ = −λ k k 1 2 † uk1 αk ↑ + vk1 α−k1 ↓ 1 † uk2 αk ↓ − vk2 α−k2 ↑ × 2 † × uk2 αk2 ↓ − vk2 α−k2 ↑ † uk1 αk1 ↑ + vk1 α−k1 ↓ .18). Problem 18. Solution.
Problem 18.1. 1 + m2 √ 1 − λ2 tan 1√ 1 − λ2 ωJ (t − t0 ) 2 . the current being U/R while the voltage at the junction is zero. The voltage is V = U − RI = U − Jc R sin θ. Solution. Chapter 20 Problem 20. load resistor R.3. Consequently. dt U As a result ωj (t − t0 ) = dθ 1 − λ sin θ At λ > 1 there is a pole in the integrand at θ0 = arcsin(1/λ). 2c m . k1 = −k2 . Check Eq. we have vk1 uk1 uk1 vk1 × † † † † α−k1 ↓ α−k ↓ α−k1 ↓ α−k1 ↓ − αk ↑ αk1 ↑ α−k1 ↓ α−k1 ↓ − 1 1 − = vk1 uk1 uk1 vk1 † † α−k1 ↓ α−k ↓ αk1 ↑ αk1 ↑ 1 + † † αk ↑ αk1 ↑ αk1 ↑ αk1 ↑ 1 = 1 − n−k1 ↓ (1 − n−k1 ↓ ) − nk1 ↑ (1 − n−k1 ↓ ) − (1 − n−k1 ↓ )nk1 ↑ + nk1 ↑ nk1 ↑ Combining the formulas we come to the ﬁnal result. λ = . At λ > 1 (or J > Jc ) one can calculate the integral exactly: assuming m = tan(θ/2) we get m=λ+ The current being I= √ We see that the current oscillates with the period 2π/ωJ 1 − λ2 . (18. It is checked directly by use of Bogoliubov transform.20). Solution. According to the Josephson formula. Consider the current in a series circuit containing a Josephson junction.449 To get nonzero averages we put k2 = −k1 . Thus at t → ∞ θ → θ0 . 2e 2e Jc R dθ = V = (U − Jc R sin θ) = ωJ (1 − λ sin θ). and a battery.
SOLUTIONS OF THE PROBLEMS .450 CHAPTER 22.
It is not small only in the places where atomic wave functions are small. Usually. From the Schr¨dinger equation we have o [E(k) − Em ]bm ≈ n bn + R=0 d3 r φ∗ (r)φn (r)∆U (r) m d3 r φ∗ (r)φn (r)∆U (r)eikR m Here ∆U is the deviation of the real potential from the superposition of atomic ones. the integrals d3 r φ∗ (r)φn (r)∆U (r) ∝ δnm m and thus lead to a renormalization of the onsite energy. we look for the wave function in the form ψk (r) = R eikR n bn φ(r − R) where φn (r) are atomic eigenfunctions. Namely. IV Semiconductors C Si 1s2 2s2 2p2 1s2 2s2 2p6 3s2 3p2 Ge 1s2 2s2 2p6 3s2 3p6 3d10 4s2 4p2 IIIV Semiconductors Ga 1s2 2s2 2p6 3s2 3p6 3d10 4s2 4p1 As 1s2 2s2 2p6 3s2 3p6 3d10 4s2 4p3 Important feature .outermost valence electrons are made of either s or p orbitals. We will classify the band structure of following a simple tightbinding approximation.Appendix A Band structure of semiconductors Let us start with atomic structure of few important semiconductors. 451 .
. 0. ±1) . • X ⇒ (1.1. Denoting α(R) = βs = − γ(R) = − d3 r φ∗ (r)φs (r − R) s d3 r φ∗ (r)φs (r)∆U (r) s d3 r φ∗ (r)φn (r − R)∆U (r) m and neglecting (for simplicity) α(R) we obtain E(k) = Es − βs − R=0 γ(R)eikR . where 12 nearest neighbors are situated at a a a (±1. We get the following band structure Along ΓX kx = 2πα/a 0≤α≤1 k y = kx = 0 E(k) = Es − βs − 4γ(1 + 2 cos πa) Along ΓL kx = ky = kz = 2πα/a 0 ≤ α ≤ 1/2 E(k) = Es − βs − 12γ cos2 πa) Along ΓK kx = ky = 2πα/a 0 ≤ α ≤ 3/4 kz = 0 E(k) = Es − βs − 4γ(cos2 πa + 2 cos πa) Near the Γ point. E(k) = Es − βs − 4γ cos 2 2 2 2 2 2 Let us examine important points. 0). 0). 0. • Γ ⇒ (0. 3/4. The opposite L points are connected by a reciprocal lattice vector. ±1. ±1). 0. A. (0. 0) • L ⇒ (1. 1/2. bs = 1.452 APPENDIX A. 1/2) and 7 other equivalent points. Xpoint has only 3 distinct analogs in the 1st BZ. It is reasonable to keep nearest neighbors. • L ⇒ (1/2. • L ⇒ (3/4. (±1. E(k) = Es − βs − 12γ + γ 2 k 2 a2 . 0). A simple example is fcc cubic lattice. ±1. 0) and 5 other equivalent points. 1/2. zone center. 2 2 2 In this case. kx a ky a ky a kz a kx a kz a cos + cos cos + cos cos . BAND STRUCTURE OF SEMICONDUCTORS Single atomic slevel In this case. and real degeneracy is only 4fold. Fig.
Spinorbit coupling It is diﬃcult to calculate spinorbit interaction in crystals. H = Htb + Hso . i = x. One of the simplest is sp2 nearest neighbor expansion. The case of s and p orbitals In this case. . z. which ignores spin degrees of freedom. and there are many approximate methods. 4 ψ(k. there are 2 atoms per unit cell. 2.s and pi . Here we consider simple examples using tightbinding approximation. r) = Ri m=1 j=12 Cmj (k)φmj (r − rj − Ri ) where Ri stand for unit cells. j = 1. Moreover. o φm j H − Eψ(k) = 0 . y. and it is usually done with adjustable parameters.453 Figure A. We shall not go along this way leaving this for special courses.1: Brillouin zone of fcc lattice. we have 4 wave functions. This is impossible to do in general. The coeﬃcients are determined from the Schr¨dinger equation.
0 = 3 sin θe±iφ 8π 3 cos θ .−1 ) 2 pz = φ1.3/2 = − √ (px + ipy ) ↑ 2 1 Φ3/2. Thus. So ﬁrst one must decouple electronic states into the eigenfunctions of a given angular momentum. Original pstates are in fact linear combinations of such functions. Here we face a problem – all this considerations are applicable to the eigenfunctions of a given total angular momentum.−3/2 = √ (px − ipy ) ↓ 2 1 Φ1/2.1/2 = − √ [(px + ipy ) ↓ −2pz ↑] 6 √ 2 Φ3/2.−1/2 = − √ [(px − ipy ) ↑ +2pz ↓] 3 1 Φ3/2.1 + φ1. 4π Here φij are eigenfunctions of the operators L2 and Lz with respective quantum numbers l = i and lz = j.−1 ) 2 i py = √ (φ1.g. 2 LS = J2 − L2 − S2 = 2 [j(j + 1) − l(l + 1) − s(s + 1)] .1/2 = − √ [(px + ipy ) ↓ +pz ↑] 3 1 Φ1/2. 1 px = √ (−φ1.1 + φ1.454 APPENDIX A. the total angular momentum being J2 = (L + S)2 = L2 + S2 + 2LS . BAND STRUCTURE OF SEMICONDUCTORS The interaction Hamiltonian is usually written as Hso = λ L · S.0 φ1. In this way one gets (see Quantum Mechanics) 1 Φ3/2.−1/2 = − √ [(px − ipy ) ↑ −pz ↓] 3 .±1 = φ1. e. Then we must add spin and decompose mixed states to get eigenfunctions for total angular momentum.
−1/2 3 2 3 √ 1 2 i py ↓ = √ +Φ3/2. As a result.1/2 2 3 3 √ √ 2 2 pz ↑ = √ Φ3/2.1/2 − √ Φ1/2.−1/2 − √ Φ1/2.2 Spinorbit splitting is given in the table A .3/2 + √ Φ3/2. √ 1 1 2 px ↑ = √ −Φ3/2.1/2 + √ Φ1/2. A.3/2 + √ Φ3/2.−1/2 2 3 3 √ 1 1 2 px ↓ = √ +Φ3/2. l = 1.−1/2 − √ Φ1/2. 3 Here ∆ = 3λ 2 /2 is the spinorbit splitting. 2 For porbitals.m . 3 3 Finally. s = 1/2 while j is given by the ﬁrst index of Φij .1/2 − √ Φ1/2. Fig.−1/2 − √ Φ1/2. For references. we arrive at the following structure of valence band.455 Then one can invert this set of equations to express pi . we can write the spinorbit Hamiltonian as Hso = λ 2 [j(j + 1) − l(l + 1) − s(s + 1)] .1/2 3 3 √ √ 2 2 pz ↓ = √ Φ3/2.−3/2 − √ Φ3/2. s through the functions Φl.−1/2 . One can prove that the only nonvanishing matrix elements in p representation are px ↑ Hso py ↑ px ↑ Hso pz ↓ py ↑ Hso pz ↓ px ↓ Hso py ↓ px ↓ Hso pz ↑ py ↓ Hso pz ↑ = −i = ∆ 3 ∆ 3 = −i ∆ 3 ∆ = i 3 ∆ = − 3 ∆ = −i .−3/2 + √ Φ3/2.1/2 2 3 3 √ 2 i 1 py ↑ = √ Φ3/2.
A.−3/2 = √ (px − ipy ) ↓ 2 . admixture of pstates appears.14 0. Ge) materials.1 Symmetry of the band edge states One has to discriminate between direct gap (GaAs.044 0. he have Heavy holes: 1 Φ3/2.094 Table A. In direct gap materials the conduction band minimum occurs at Γpoint and have a spherically symmetric central cell function.35 0.1: Spinorbit splitting for diﬀerent semiconductors A. In the valence band. This implies important limitations for selection rules.3/2 = − √ (px + ipy ) ↑ 2 1 Φ3/2.29 0.+ 1/2> k Figure A.2: The general form of the valence band including spinorbit coupling. As one goes apart.3. So they are made of s atomic states.+ 1/2> 1/2.82 0. Fig. Semiconductor Si Ge GaAs InAs InSb InP GaP ∆ (eV) 0. BAND STRUCTURE OF SEMICONDUCTORS E 3/2.+3/2> 3/2. InAs) and indirect gap (Si.456 APPENDIX A.41 0.
For simplicity we discuss squarebox conﬁnement.1/2 = − √ [(px + ipy ) ↓ +pz ↑] 3 1 Φ1/2. MODIFICATIONS IN HETEROSTRUCTURES.5.2 A.A. An important feature is how the bands align. and several theories exist. Within the eﬀective mass approach the Schr¨dinger o . Light holes: 1 Φ3/2. A.2.−1/2 = − √ [(px − ipy ) ↑ +pz ↓] 3 A Brillouin zone for silicon is shown in Fig. Quantum wells Let us discuss the case where the well region is made of direct gap material. 457 Direct (k = 0) Indirect (k = X point) stype s+p (longitudinal) p (transverse) Heavy holes Light holes Spinsplit holes Figure A.6.1/2 = − √ [(px + ipy ) ↓ −2pz ↑] 6 1 Φ3/2. Fig. The problem of band oﬀsets is very complicated.3: Schematic description of the nature of central cell functions. A.A. Fig. so conduction band states are of stype while valence band states are ptype.2 Modiﬁcations in heterostructures. Three type are usually studied.−1/2 = √ [(px − ipy ) ↑ +2pz ↓] 6 Splitoﬀ hole states: 1 Φ1/2.
= 2mW 2 if n is even if n is odd En Then the total energy is 2 2 . 2m∗ ∂z 2 2 For an inﬁnite barrier.7 Shallow levels allow a universal description because the spread of wave function is large and the potential can be treated as from the point charge. E = En + k A. 2m The situation for the valence band is much more complicated because the heavy. U (r) = e2 / r .and lighthole states mix away from k = 0. To ﬁnd impurity states one has to treat Schr¨dinger equation (SE) including periodic o potential + Coulomb potential of the defect. BAND STRUCTURE OF SEMICONDUCTORS equation for the electron states is (in the following we do not discriminate between m∗ and m) 2 − Looking for the solution as 2 2m∗ + V (z) ψ = Eψ . its solution has the form f (z) = cos πnz . Ψ(r) = ei(ky y+kx x) f (z) we have the equation for f − ∂2 + V (z) ψ = En ψ . Extremum at the center of BZ Then for small k we have En (k) = We look for solution of the SE (H0 + U )ψ = Eψ k . A.458 APPENDIX A.3 Impurity states A typical energy level diagram is shown on Fig. 2m 2 2 . W πnz = sin . W π 2 2 n2 .
. .A. These function rapidly oscillate within the cell while the rest varies slowly. Vk − k 2 1 U (kk) = V Finally we get 2 2 ei(k−bk )r U (r) dr = − k 4πe2 − E Bn (k) − 2m V k 1 Bn (k ) k − k 2 where one can integrate over k in the inﬁnite region (because Bn (k) decays rapidly).3. and to replace central cell functions u by their values at k = 0. r 1 e4 m . t = 1. a = Et = − For the total wave function one can easily obtain ψ = un0 (r)F (r) . where φn k (r) are Bloch states. 2 . nk Then. t2 2 2 2 F (r) = (πa3 )−1/2 exp(−r/a). Coming back to the real space and introducing 1 F (r) = √ V we come to the SE for a hydrogen atom. Then within each cell cell u∗ un 0 dr = δnn n0 because Bloch functions are orthonormal. Thus. it is natural to assume that B(k) is nonvanishing only near the BZ center. 2 Bn (k)eikr k − Here 2 2m − e2 F (r) = EF (r) . The results are summarized in the table. . IMPURITY STATES in the form ψ= nk 459 Bn (k )φn k (r) . 2 /me2 . [En (k) − E]Bn (k) + n U (kk )Bn (k ) = 0 4πe2 . By a usual procedure (multiplication by φ∗ (r) and intenk gration over r) we get the equation [En (k) − E]Bn (k) + nk nk Un k nk Un k Bn (k) = 0 1 = V u∗ un k ei(k −k)r U (r) dr .
2 11. where n is the number of equivalent ellipsoids.* InP CdTe 12. 2m 2mt x Here m = 0.6 0.32 10.49 42.1 S: 5. Several equivalent extrema Let us consider silicon for example.19m0 .8 Se: 5.28 13 13.) Si(P) Si(As) Si(Sb) Ge(theor/) Ge(P) Ge(As) Ge(Sb) E1s (meV) E2p0 (meV) 31.9 6.1 Si: 5. Material Si (theor.51 45. The energies are listed in table A.75 10. These corrections provide interextrema matrix elements.9 4.52 9.45 53.) (meV) (meV) 5.6 31. In real situation. 2 2 0 (kz − kz )2 + 2 (k 2 + ky ) .5 33.27 11.7 Table A.916m0 .0 4.85(2π/a) in the [100] direction.7 32.08 10 0.7 32.9 30. Excited states are calculated in a similar way.1 Table A.066 E1s (th. and the parameters ai were chosen to minimize the energy at given γ.8 7.9 S: 6.3. mt = 0. the energy levels are N fold degenerate. There must be 6 equivalent ellipsoids according to cubic symmetry. these levels are split due to shortrange corrections to the potential.17 10.460 APPENDIX A.3: Donor ionization energies in Ge and Si. For a given ellipsoid.6 11. The conduction band minimum is located at kz = 0. According to the eﬀective mass theory.6 11. The trial function was chosen in the form E= F = (πa a2 )−1/2 ⊥ x2 + y 2 z 2 + exp − a2 a ⊥ 1/2 . the constant energy surfaces are ellipsoids of revolution around [100].9 9.2: Characteristics of the impurity centers.81 4.5 0.9 32.75 14.0 4. BAND STRUCTURE OF SEMICONDUCTORS Material GaAs m/m0 12. Experimental values are diﬀerent because of chemical shift . The results for an arbitrary ration γ = mt /m can be obtained only numerically by a variational method (Kohn and Luttinger).67 Ge:6.) E1s (exp.74 12.
In general Hmatrix is complicated. ˆi (A. and splitoﬀ mode is very far. Note that if the lattice has no inversion center there also linear in p terms. k ≡ k . while for cubic symmetry one has one more invariant. p (A.. Here σ is the spin operator while V is periodic potential. Now we left with 4 coupled Schr¨dinger equations (A. For simplicity. φj . n0 The functions Fj satisfy matrix equation.t nk which satisfy Schr¨dinger equation without an impurity. . k ≈ 0). In this case (remember. o t ψ= j=1 Fj (r)φj (br) .3) This is the famous Luttinger Hamiltonian. Thus we have only p two independent parameters. let us o ﬁrst put U (r) = 0 and look for solution in the form Fj = Aj (k/k)eikr .3. let us start with the situation when spinorbit interaction is very large. the Hamiltonian is traditionally expressed as ˆi H= ˆ 1 p2 m0 2 5 γ1 + γ2 2 − γ3 (ˆ · J)2 + (γ3 − γ2 ) p i p2 Ji2 .1) If we want to include spinorbital interaction we have to add Hso = 1 [σ × 4mc c2 0 ˆ V ] · p. t 3 αβ ˆ ˆ Hjj pα pβ + U (r)δjj j =1 α. As a result. i p2 Ji2 . ˆ There are only 2 invariants quadratic in p. namely p2 and (ˆ · J)2 . 2. j = 1. Then we have 4fold degenerate system. (A.A. it can be represented by a pseudospin 3/2 characterized by a pseudovector J.β=1 Fj = EFj .1). Mathematically. IMPURITY STATES 461 Impurity levels near the point of degeneracy Degeneracy means that there are t > 1 functions. To check the situation. and traditionally the Hamiltonian is written as H= ˆ 1 p2 m0 2 5 γ1 + γ 2 − γ(ˆ · J)2 .2) That would be OK for spherical symmetry. Here we use the opportunity to introduce a simpliﬁed (the socalled invariant) method based just upon the symmetry.
69 ∆ 0. In this case the set of 4 diﬀerential equations can be reduced to a system of 2 diﬀerential equation containing only 1 parameter.25 5.462 APPENDIX A.4: Parameters of the Luttinger Hamiltonian for Ge and Si The usual way to calculate acceptor states is variational calculation under the spherical model (A. E .29 15. E = γ1 − 2γ 2m0 2 2 k .2) does not depend on the ˆ 2 direction of k. Thus the system is decoupled into 4 independent equation with two diﬀerent eigenvalues.4 0.35 4.044 11.4 Table A.h = 2m0 2 γ1 k 2 ± 4 γ2 k 4 1/2 2 2 2 2 2 2 2 2 +12(γ3 − γ2 )(kx ky + ky kz + kz kx ) .2). The parameters of Ge and Si are given in the Table A. E = If γ1 ± 2γ > 0 both energies are positive (here the energy is counted inside the valence band) and called the light and heavy holes. Thus let us direct k along z axis and use representation with diagonal Jz . .39 1.44 13.3) require explicit form of Jmatrices. BAND STRUCTURE OF SEMICONDUCTORS The corresponding matrix lemenets can be obtained by substitution k instead of the operator p into Luttinger Hamiltonian. β = m /mh .22 0. The calculations for the full Luttinger Hamiltonian (A. The eﬀective masses are m (h) = m0 /(γ1 ± γ) . It solutions lead to the anisotropic dispersion law 2 γ1 + 2γ 2m0 2 2 k . The Hamiltonian (A.3 Material Ge Si γ1 γ2 γ3 4.
5: Various possible band lineups in heterostructures. E=E2 +p2/2m E1 E2 xy plne.6: Subband levels in a quantum well. There are 6 equivalent valleys resulting in a very large density of states. IMPURITY STATES 463 Figure A. E vs k z Figure A.4: Constant energy ellipsoids for Si conduction band.3. E=E1 +p2/2m .A. Type I Type II Type III Figure A.
7: band diagram of a semiconductor.464 APPENDIX A. . BAND STRUCTURE OF SEMICONDUCTORS Ec ED EA Ev Figure A.
2) B.Appendix B Useful Relations B.3) if we replace N → −N and put t = 2πx − π. Finally we get the for Φ(x) 1 Φ(x) = (2π)5/2 ∞ t e l=−∞ ilt 0 τ 3/2 e−ilτ dτ. 465 . In our case ϕ(2πN + t) = 1 (2πN + t)3/2 3/2 (2π) (B. 2 2 The lower limit we replace by 0 that is good for large x. if we introduce the maximal integer in the quantity x as [x] we get the limits of the ϕ 1 1 from 2π x − − x − to t.1) = (B.2 Application of the Poisson summation formula ∞ ∞ ∞ The Poisson formula reads ϕ(2πN + t) = N =−∞ 1 2π eilt l=−∞ −∞ ϕ(τ )e−ilτ dτ. The other diﬀerence is that the function ϕ is ﬁnite.1 Trigonometry Relations cos x sin x cos2 x sin2 x = 1 ix e ± e−ix 2 1 (1 ± cos x) 2 (B. So.
we get (−1)l e2πilx +e−2πilx = (−1)l 2 t 0 t 0 3/2 t 0 τ 3/2 e−ilτ dτ + = τ 3/2 eilτ dτ τ cos [2πl(x − τ ) dτ ] . 5 and combine the item with ±l. USEFUL RELATIONS 2 τ 3/2 dτ = t5/2 . the asymptotic behavior being 0. Then we integrate by parts twice to transform τ 3/2 → τ −1/2 and changing τ → (π/2l)z 2 we get l 1 2 Φ(x) = (2πx)5/2 + 3 ∞ (−1) (2πlx)1/2− 5/2 1 l5/2 5 (2π) . dx These function oscillate with the period ≈ 1 and with dumping amplitudes. The nonoscillating term can be easily summed over l: ∞ l=1 (−1)l (2πlx)1/2 = (2πx)1/2 5/2 l ∞ l=1 (−1)l π2 = − (2πx)1/2 l2 12 .5 at u → ∞. As a result. √ √ π − sin(2πlx)S 4lx + cos(2πlx)C 4lx 2 Here we have introduced the Fresnel integrals S(u) = C(u) = u sin 0 u cos 0 π 2 x 2 π 2 x 2 dx .466 Then we take into account that for l = 0 t 0 APPENDIX B.
If Aik = Ai δik ˆ the matrix is called the diagonal. two kind of vector products are deﬁned: the scalar product AB = A · B = Ai Bi i and the vector product [AB] = [A × B] = det i1 i2 i3 A 1 A2 A3 B1 B2 B3 where ii are the unit vectors. C(B A) = (C B)A. [A × B] = − [B × A] . We have AB = BA. Usually. ˆ ˆ ˆ A1 Trace of the matrix deﬁned as ˆ Tr A = i Aii . The inverse matrix is deﬁned by the relation ˆˆ ˆ ˆ 1. ˆˆ ˆˆ Tr (AB) = Tr (B A).Appendix C Vector and Matrix Relations Vector A is a column Ai. ˆˆ ˆˆ ˆ ˆˆ ˆˆ ˆ It is important that AB = B A. ˆ Matrix A is a table with the elements Aik . At the same time. 467 . AA−1 = A−1 A = ˆ We have ˆˆ ˆ ˆ (AB)−1 = B −1 A−1 . We have ˆA = 1ˆ ˆˆ = A. Matrix dot product is deﬁned as ˆˆ (AB)ik = l Ail Blk . 0matrix has all the elements equal to 0. the unit matrix 1 has the elements δik . (A + B)ik = Aik + Bik .
468 APPENDIX C. k It is a set of i equations. VECTOR AND MATRIX RELATIONS The conjugate matrix is deﬁned as ˆ A† ik = A∗ . A† = A−1 . If the matrix A is Hermitian. or A† A = ˆ Sometimes it is useful to introduce a row A† with the elements Ai . its eigenvalues are real . We get A† A = i A2 . 1) ˆ it is just the equation for the eigenvalues λi . i ˆ Eigenvectors u and eigenvalues λ of the matrix A are deﬁned as solutions of matrix equation: ˆ Au = λu or (Aik − λδik )uk = 0. ki ˆ ˆ If A† = A the matrix is called the Hermitian. They exist only if ˆ det (A − λˆ = 0. The number of solutions is equal to the matrix’s range. The matrix is called unitary if ˆ ˆ ˆ ˆ 1.
W. [3] K. Koch Quantum theory of the optical and electronic properties of semiconductors. Inc. Ashkroft. Mermin. Quantum Theory of Solids (John Wiley and Sons. 1990. Springer (1997) [4] Jasprit Singh. New York. Solid State Physics (Holt.. New York.. World Scintiﬁc. 1976). Seeger “Semiconductor Physics”. [2] C. [5] R. D.Bibliography [1] N. B. 1993). Leighton. Physics of Semiconductors and their Heterostructures (McGrawHill. [6] H. and N. Kittel. 1959). W. Principles of Modern Physics (McGrawHill. Inc. New York. Rinehart and Winston. 469 . 1987). New York. Haug and S.