(A Review of The Principles of Electrical & Electronic Engineering 3) L. Solymar (Auth.) - Modern Physical Electronics-Springer Netherlands (1975)

modern Ph~8iOOI
eleo~roni08
Other Volumes in the Series
Principles of Heavy Current Engineering
2 From Circuits to Computers
4 Microwaves, Communications and Radar
a review of ~he
prinoiples of eleo~rioOI
& eleo~ronio engineering
EDITED BY L. SOLYMAR
volume 3
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LONDON
CHAPMAN AND HALL

First published 1975
by Chapman and Hall Ltd
11 New Fetter Lane, London EC4P 4EE
© 1975 Chapman and Hall Ltd
Typeset by Preface Ltd, Salisbury
ISBN 978-0-412-11680-3 ISBN 978-94-011-6507-5 (eBook)

DOl 10.1007/978-94-011-6507-5
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Distributed in the U.S.A.

by Halsted Press, a division
of John Wiley and Sons, Inc., New York
Library of Congress Catalog Card Number 75-15223
series
preFaoe
We present here a new type of book intended for a wide audience. Before describing
the approach used in the book and the readers we had in mind, it might be
worthwhile to say a few words about the aims the book is not planned to fulfil. It is
not an encyclopaedia enumerating the main applications of the subject, and
crammed full of practical data; nor is this a very simple survey designed for complete
novices. Perhaps the best way of describing the people for whom the book is
intended is to give a few examples. Let us take an Arts graduate who has been
offered a job by an electrical company (say computers). It becomes expedient for
this graduate to learn about circuits and computers and he would probably also like
to look at some other branches of Electricity. All he needs to do is to brush up his
a-level mathematics and read as much of the four volumes as he fmds interesting.
Our next example is a University Professor. Unless he is near to retiring age he
would likely be a specialist in no more than a few branches of Electricity. Let us
now assume that an old schoolmate of his comes to visit him. This friend specialises
in Plasmas, the Professor is an expert in Circuits. The Professor is very reluctant to
admit that he knows next to nothing about Plasmas. He is anxious to find a simple
description that he can digest in half an hour. This is the book for it. And of course
the same applies to other university staff lower down the hierarchy.
The next category I would like to mention is undergraduates. As is well known,
the large majority of them are in a perpetual state of confusion. They are taught so
much in such a short time that only the odd genius is capable of absorbing the lot.
Frequently Science undergraduates become saturated with mathematical derivations
and have only rather vague ideas about the underlying physics. For them a
non-mathematical treatment stressing the basic ideas and their interrelations - such
as are contained within this series - will prove extremely valuable.
Then finally, there is the large body of sixth form students interested in Physics
and Engineering. In their studies they are concerned with the mathematical
foundations. They learn the elements. They know what is an inductor and a
capacitor but a tuned circuit is usually regarded as too complicated. The reason is
v
vi SERIES PREFACE
partly lack of time but more importantly the requirement to keep the Physics and
Mathematics in step. The aim is to give them solid foundations for later University
studies rather than to broaden their perspectives. This is little consolation for the
boy who would like to see a bit further. Of course many boys do see further. All of
us concerned with Entrance Examinations have come across boys whose knowledge
in one topic or another was far superior to ours. Nevertheless the large majority of
schoolboys have no general idea of what Electricity is all about, not even when the
engineering designs are constantly in front of their eyes. During oral examinations I
often pointed at the TV aerial upon the roof opposite and asked the question 'how
does it work?' No one so far could give an answer. Not even a wrong answer.
Reading these four volumes would help a sixth form student to answer this and
similar questions. He will have a better picture of Electrical and Electronic
Engineering, a better idea what the whole thing is about. He should not hope though
to reach a full understanding. Electricity cannot be mastered at the age of 17. But
each Chapter read would make the reading of another Chapter a little easier and a
physical picture will slowly emerge.
There are many authors contributing to these four volumes and each of them will
of course write in a different style. But on the whole we have aimed at a light
presentation, trying to give a readable account that will appeal to a wide range of
people with various backgrounds.
L. Solymar
It should be noted that Chapters 4, 5 and 8 by L. Solymar and Chapter 6 by

D. Walsh bear some resemblance to the corresponding chapters in their book, Lectures
on the Electrical Properties of Materials, Oxford University Press, 1970 which gives a
quantitative (in contrast to the present qualitative) account of phenomena occurring
in the solid state.
oon~en~8
Series Preface page v

1 Vacuum Tubes D. Walsh
2 Electron Optics D. Walsh 11
3 Microwave Tubes L. Solymar 21
4 Electrons and Holes in Solids L. Solymar 41
5 Semiconductor Devices L. Solymar 61
6 Semiconductor Technology and Microelectronics D. Walsh 93
7 Masers and Lasers H. Motz 103
8 Super Conducting Devices L. Solymar 115
9 Electron Microscopes M. J. Whelan 131
10 Plasmas J. E. Allen 151
11 Particle Accelerators B. Minakovic 173
Index 211
viii CONTENTS
The Contributors
L. Solyrnar is Lecturer in Engineering Science at the University of Oxford
D. Walsh is Lecturer in Engineering Science at the University of Oxford
H. Motz is Professor of Engineering Science at the University of Oxford
M. J. Whelan is Reader in Metallurgy at the University of Oxford
J. E. Allen is Lecturer in Engineering Science at the University oj Oxford
B. Minakovic is Lecturer in Engineering Science, University of
Oxford.
vaouum ~ube8
D. WALSH
1.1 Introduction
Vacuum tubes have long been known in the field of electronics. One might even say
that the age of electronics started with the invention of the vacuum diode in 1904
or may be one should allow two more years and count the new age from the
invention of the triode in 1906. The early diodes and triodes were the forerunners of
the sophisticated vacuum tubes that dominated the radio industry up to the advent
of the transistor in the fifties, and which are still holding their own in many
applications.
A vacuum tube* bears some resemblance to a tube that has a nice dome-like
ending at one end and is provided with pins at the other end (Fig. 1.1). Inside there
is a cathode from which electrons are emitted, and a number of so-called electrodes
to which the electrons move.
In the present Chapter we shall say very little about the applications of vacuum
tubes (that is discussed in Chapter 2 of Vol. II), we shall concentrate instead on the
physical principles of their operation, namely how the electrons are obtained and
how they move under the influence of the voltages applied to the electrodes.
1.2 Electron emission
For the operation of a vacuum tube first we need some electrons. They are provided
by the cathode. But the cathode material, in common with all other materials, is
rather reluctant to let its electrons (or even a minute fraction of its electrons) go
*In England it used to be called a 'valve', a term going out of fashion. Other nations immediately
acknowledged the preponderance of the American term and called it Rohre (in German), tube (in
French), tube (in Italian) and so on.
2 MODERN PHYSICAL ELECTRONICS
1.1 Sketch of a typical

radio tube
away. This reluctance of a material to emit electrons is indicated by the work

function ~ measured in volts. If ~ is large, the electrons are locked in; if ~ is small,
the electrons have a better chance to get away. We can actually make this argument
a little more precise. Multiplying the work function by the charge of the electron, e,
we get e~ and that is the energy an electron must have in order to be able to escape
from the material. The equation is simply
I
-mv 2 = e~ (1.1 )
2
Where m is the mass, and v is the velocity of the electron in the right direction
(towards the surface). The next question is that how could the electrons obtain the
required velocity? How can we impart energy to the electrons? By heating them,
that is by bringing the material that contains them to a high temperature. With these
two variables, the work function and the absolute temperature T, we can describe
the current leaving the material. It is given by the Richardson equation in the form
J=AT 2 e- b (cP/T ) (1.2)
where T is the absolute temperature and A and b are positive constants. For high
current density we need a small value of ~/T So to choose a cathode material tube
designers either select a very refractory metal, such as tungsten, and work it at a very
high temperature; or more subtly use a surface with a very low work function, such
as the barium-strontium oxide cathode used in most low power tubes.
A cathode has to work in a fairly narrow range of temperature; hot enough for
electrons to escape but not hot enough for too much of the cathode material to
VACUUM TUBES 3
4·2 4.5
500 1000 1500 2000 2500

anode temperature (K)
1.2 Saturated (temperature limited) current density as

a function of temperature for common cathode
materials
III
C
e
..
u
6i
'0
o 2 4 6 8 10
electron velocity (10 5 ms-1 )
1.3 Maxwellian distribution of electron

velocities for two cathode temper-
atures. T2 > Tl
evaporate. You can see that some does by observing the barium-film on the glass
envelope near the cathode in any long-lived tube.
Let us see now the variation of the emitted current with temperature for a few
cathodes used in practice. It may be seen (Fig. 1.2) that like other evaporation
processes the electron emission varies rapidly with temperature.
The velocity with which the electrons leave the cathode will obviously be the
outcome of many random events knocking the electron about before it can escape.
The fmal result is the so-called Maxwellian velocity distribution plotted in Fig. 1.3
for two different temperatures. The area under a curve gives the total number of
electrons. Note that relatively few electrons have very high velocities.
vacuum envelope
.-1 VA 'E
/ ~
/ :;
'" / '" U
'"
Ol
£
'" '"
"0
(5 / o
'"
C
> o
'" '" '"

cathode VI
cathode ~ anode
distance anode voltage
(a) (b) (c)
1.4 (a) Diagram of simple planar diode. (b) Voltage variation between cathode and anode.
Broken line is the variation with no electrons. The effect of space charge is shown by the
solid line. (c) The current-voltage relationship for a diode with various cathode
temperatures
1.3 The diode
If we add one more electrode within the same vacuum envelope (called plate or
anode) we get a diode as shown schematically in Fig. 1.4(a). Fig. 1.4(b) is an
attempt to plot how the potential varies between the cathode and the anode when a
positive voltage is applied to the latter. If the field everywhere were attracting
electrons to the anode (corresponding to the voltage distribution plotted in
Fig. 1.4(b) by dotted lines) we would get a current going up immediately to the full
value predicted by Richardson. The current-voltage characteristic would resemble
the dotted curve in Fig. 1.4(c) reaching saturation very quickly. In fact, the
well-known experimental curves look different as shown in the solid lines in
Fig. 1.4(c). Notice that at low voltage the current is about the same for all three
temperatures. It is only at high anode voltages that the cathode temperature seems
to matter. Yet we know from the Richardson equation that current increases rapidly
with temperature. From this data we are persuaded that at a voltage like VI
(Fig. 1.4(c)) something prevents some of the electrons that leave the cathode from
reaching the anode. Now nothing can stop electrons flowing in a vacuum but
themselves. It is a space charge phenomenon. From this qualitative argument we can
deduce quite rigorously that the potential in front of the cathode must be something
like the full line in Fig. 1.4(b). There is a potential barrier that the less energetic of
the electrons (those which are emitted with a small initial velocity) cannot
surmount. They will be reflected by the potential barrier so they will hang around in
the space between the potential minimum and the cathode, and by their very
existence prevent the flow of other electrons to the anode. As Va is increased the
barrier height falls and more electrons get to the anode. In the saturated current
VACUUM TUBES 5
distance ___ 1.6 Expanded view of the I a - Va

characteristic near the origin
1.5 Voltage variation with distance
when the anode voltage is
sufficient to collect all the
emitted electrons
region we may expect the potential diagram to look like Fig. 1.5 so in fact all
electrons leaving the cathode do get to the anode. We can arrive at the exact shape
of the potential barrier by solving a differential equation but that is outside the
scope of the present book.
Having got some idea of how a diode works we can try to predict how it might
behave in some unusual conditions. Suppose that instead of completing the anode to
cathode circuit with a voltage supply (as in Fig. l.4(a)) we simply join them together
with a wire. * Will any current flow? Yes, because the initial thermal velocities of the
electrons get some of them to the anode. So we get a current with no source of
external energy supply. Now if we had energy flow between bodies at the same
temperature without external work we should be in trouble with perpetual motion
machines and thermodynamics, but as the cathode is hot all is well. In fact if we
looked closely at the characteristic of Fig. l.4(c) near the origin (shown in Fig. 1.6)
we should see that current flows even if the anode is slightly reverse biased (meaning
that the anode voltage is slightly negative). This is because a few electrons still
overcome both the space charge forces and the retarding field by virtue of their high
initial energy. By analysing how the current varies in this region, it is possible to
estimate the cathode temperature. Those who believe in mathematics and have
noticed the exponential tail of the Maxwellian distribution will conclude that
whatever the reverse bias, some current will flow. However, if you do a quick sum,
for say 100 V reverse bias you will find that on average you have to wait 10 1 5 years
*If there were no external connections, the anode would charge up negatively to stop any more
current flowing, it being a well known law of nature that one cannot have current without a closed
circuit.
.----+ ,----+
f--~_output
IICIOUd speaker
voltage
-::-
(a) (b)
1.7 Triode amplifier circuits with resistive and transformer-

coupled loads
1.8 Input-output arrangements of a general

4-terminal network
for the first electron to be 'hot' enough. Too long for this universe! We can deduce
that if the anode is negatively biased, no current flows. This fact forms the basis of
the rectification of a.c. voltages, now of immense importance in industry.
So we have a picture of the cathode emitting electrons copiously, most of
which are turned back by the space charge potential just in front of it. The added
effect of the (positive) anode field can reduce this barrier so that at a sufficiently
high anode voltage the full temperature limited current flows from the cathode.
1.4 The triode
The critical importance of the potential barrier (only a few tenths of a volt high)
close to the cathode surface is exploited in the triode. A grid of wires is inserted in
the space charge region. It is held at a steady negative potential with respect to the
cathode so as not to destroy the space charge. Then a small a.c. voltage applied to the
grid modulates the effective height of the potential barrier seen by the electrons, and
so has a profound effect on the anode current. The modulated anode current can
then be passed through a load resistor or transformer, connected in series with it
(Fig. 1.7), so that the output appears as a voltage, or feeds into a suitable transducer
to turn it into sound, television pictures etc., depending on what the initial
modulation of the system was about.
One might well ask: why not use the input signal to modulate the anode voltage
directly? Well, firstly the triode arrangement gives us the great advantage of
separating the input and output circuits - we have what circuit engineers call a
four-terminal network (Fig. 1.8) although in Fig. 1.7 two of the four terminals are
VACUUM TUBES 7
Vg
(b)
1.9 Ia - Va and I a - V g characteristics of a triode.
the same earthed connection. Secondly, the input current can be very small because
the grid is reverse biased all the time. Thus we can get power gains even when the
output voltage is less than the input voltage (as for example when the load is a
loudspeaker with an impedance of only a few ohms). In the third place, and this
follows most clearly from our diode model, the grid, being close to the cathode
and the space charge minimum, has a more marked effect than the anode voltage in
the anode current.
The ratio
Change in anode voltage that produces a small change in anode current

Change in grid voltage that produces the same change in anode current
is called the amplification factor of the triode which has the usual symbol fJ..
Typically its value is about 30. The other factor of importance is called the mutual
conductance (gm) which is the rate of change of anode current with grid voltage,
whilst the anode voltage is held constant. It is clearly the slope of the curves in
Fig 1.9(b). The third triode 'constant' is the slope resistance r a of the fa - Va curves
as in Fig. 1.9(a). These constants are related by
(1.3)
A typical value of gm for a good triode is 10 mAy-I. Thus roughly speaking, if

we have a signal of 0.1 Y on the grid we could expect a change in anode current of
1 rnA and hence a voltage change of lOY across an anode load resistor of 10 kn i.e.
a voltage gain of 100 times. This is not quite true, as an anode voltage change of this
magnitude would (adversely) change the anode current, so the gain would be a bit
less.
It is human nature to be greedy; so we do not want the gain to be that bit less.
This necessitates complicating the system by introducing extra grid electrodes.
--,------,-- +
1.10 The tetrode circuit,

showing that the
second grid is coupled
to the positive voltage
1.11 I a - Va characteristics of a tetrode,
by a resistor and
,showing the negative resistance
joined to earth by a region
capacitor
1.5 Tetrodes, pentodes and higher greek odes
In the old days of electronics, -ode was the fashionable suffix. Nowadays it is -tron
or -or. The idea of a second screen grid (or fourth ode) in a tube was to further
increase the electrostatic screening of the anode so that variation in anode voltage
had a minimal effect on the current. In Fig. 1.10, G2 is held positive, like the anode
of a triode, the main difference being that any signal voltage that tries to develop
across it is short-circuited to earth by the capacitor C. So the electrons are heavily
influenced by the voltage of G 1 which includes the input signal, and partly
influenced by the absolutely steady voltage of G2 which accelerates them
purposefully towards the anode. After that there is not much the anode can do to
stop them. So by our definition of amplification factor above, it must be very large
for a tetrode. Hence ra is also large - gm is about the same as for a triode.
There is one substantial snag about the tetrode. When fast electrons hit the anode
they can knock out other electrons, sometimes more than one, a process called
secondary emission. Now this does not matter in a triode because eventually they all
have to go to the only positive ode around, the anode. But in a tetrode they can go
to the screen grid. Electrons leaving the anode give a current flow in the reverse
direction so that the I a - Va characteristics can look like Fig. 1.11. This would be
all right if it were stable and reproduceable - in fact a negative resistance region is
extremely useful if you need an oscillator. But secondary emission is a critical
function of surface state, life history of the tube, day of the week, etc., so this effect
is a nuisance. It can be suppressed by a suppressor grid (Fig 1.12) placed just in front
of the anode and held at a low potential (the suppressor grid is often internally
joined to the cathode). Thus all secondary electrons find themselves in a potential
region where they are accelerated back towards the anode, and all is well.
VACUUM TUBES 9
r---~-----+
t----- output
inpu~t_~===t suppressor grid

earthed (usually 1.13 Equivalent circuit of a
by Internal pentode amplifier
connection)
1.12 Connections to a pentode
1.14 The triode-hexode
So the common tube amplifiers are triodes and pentodes. The latter have the
greater gain. Also their anode slope resistance, ra is so large that they feed their load
resistor like a current generator, whose strength is solely a function of control grid
voltage (Fig l.13).
Having learnt how to put many grids in the tube is there any reason for having
more than three? As far as amplification is concerned the answer is no, the pentode
already having an effectively screened anode. There are a few useful tricks that can
be' used, such as two amplifying stages in one vacuum envelope (double triode or
pentode) or the hexode which has two control grids and can be used for 'mixing' in
superheterodyne receivers. For this purpose engineers usually go one stage further
and build the local oscillator triode, the triode-hex ode in the same envelope
(Fig. 1.14). That is about as far as anyone needs to go.
eleo~ron OP~i08
D. WALSH
2.1 Introduction
When we started to discuss thennionic vacuum tubes (Chapter 1) I made the point
that electrons swann out of the cathode in a bushy random cloud, as vapour boiling
from a liquid. Now the nearest we get to 'seeing' electrons is when we look at the
spot of a cathode ray oscilloscope or TV tube*. Between the bushy cloud of
electrons leaving the cathode and the neat closely controlled spot on the screen
there is a lot of engineering design, the science of which is called 'electron optics'.
This title is very graphic, it immediately gives us the idea that devices like TV
camera tubes and electron microscopes are close analogues of their optical
namesakes. So far so good but there is one important difference: whereas
geometrical optics is built up from the idea that light is a form of wave motion,
electron optics is completely a ballistic idea. The electrons are simply particles which
are deflected by electric or magnetic fields exerting a force on each one individually.
Of course electrons are not simply particles, they have wavelike properties too (see
Chapter 10). But these wavelengths are so minute that they are difficult to observe
in a deliberate experiment and they seldom crop up by themselves. So it is accepted
in electron optics just to talk of forces on particles.
However, there are two things that complicate the simple picture: (1) Our swarm
of electrons leaving the cathode are hot, that is they have a finite initial spread of
speeds in all directions which persists after acceleration. Thus the electric fields bring
them to a limited focus. (2) Their self-repulsion, leading to space charge effects
(Chapter 1) is not at all easy to calculate. These difficulties have contributed to the
development of three brands of electron optics. (l) Space charge forces are
considered but initial velocities are not. The main example of this is in the high
*This phenomenon, the omission of light when a phosphor is bombarded with electrons is
'cathodoluminescence', although everyone talks of a fluorescent screen.
11
(01
l-1
i
i'1=-fJ. );0.
f--------'-XJ\B-
electron beam
~ (x aXISI
I
¥i LI
typical lines of force
for electron ( V2 > V, I 2.1 (a) General sketch of two cylinders at
I
(bl I I potentials VI and V 2 through which
I I electron beam travels. (b) Due to the
E'1
I I
I I difference of potential there is an axial field
(cl
4=t'
I
I
I
I
.. x
which is strongest between the cylinders,
with a fringing field just reaching inside
them. (c) Because of the curvature of the
I
E'1 I lines of force, shown in (a), there is also a
AI
I'J7
radial field which changes sign in the second
half of the lens. In fact Er is proportional
(dl I I the gradient of Ex. (d) The resultant
'1
I I
I I electron path, showing a reduction in the
:t=:L-
~ )ox
distance r from the axis as well as a con-
tinuing convergence
power electron beams used in the transmitter klystron and travelling wave tubes for
microwave links and radar. (2) Initial velocities are taken into account, but not space
charge. This is appropriate to cathode ray tubes, where currents are small. (3) Space
charge and initial velocities are both ignored. This happens, strangely enough, in that
most accurate of instruments, the electron microscope. Here there is a high voltage
(50 kV - 1 MV) and low beam current (10- 8 - 10-6 A). So both the initial
velocities and space charge are negligible.
We will first consider the basic forces which act on the electron and how these are
used in simple 'lenses'. We will then outline the sort of arrangements used in the
three main types of instrument mentioned above.
2.2 Simple lenses
An electron travelling in an electric field moves through regions of different

potential (unless the field is zero!). Providing it is not doing any work*, the
electrons total energy must stay the same. So it trades in changes of potential energy
for kinetic energy, just as a pendulum does periodically or a skier does
monotonically (I almost said monotonously but I must not offend the religious
principles of some of my more masochistic readers). Let us see how this change of
velocity results in change of angle in a simple electrostatic 'lens' shown in Fig. 2.1.
*Sometimes electrons radiate energy but only in appreciable quantities if they are travelling near
the velocity of light.
ELECTRONIC OPTICS 13
0 v
2.2 Lens formed by hole in anode

plate. Near the edge of the hole,
) off axis electrons will experience
axis
- ------ an outward field, giving a diver-
) gent lens (N.B. lines of force are
drawn to show force on electrons.
This is the reverse of the 'con-
vention' direction, as electrons are
unfortunately called negative -
cathode anode
plane plane also a convention)
The electrons travel in a roughly parallel path along the axis of the cylinders, held
at potentials V l and V 2 • We will suppose that V 2 > V l , so that the electrons are
being accelerated to a greater speed in the second cylinder. At the edges of the
cylinders the lines of force are curved as shown in Fig. 2.1 (a). Thus electrons that
are not exactly on the axis experience a force inwards as they near the edge of the
fIrst cylinder. Those farthest from the axis 'see' the greatest radial component so the
beam converges. However as they enter the second cylinder the reverse happens and
the beam is straightened out. Thus the path looks as shown in Fig. 2.1 (d). A
convergent-divergent pair of forces leads to a focussing of the beam in the sense that
the overall beam diameter decreases. But the effect is even greater than this. As the
beam is accelerated along the axis, it spends less time in the divergent region than it
does in the convergent region so the beam continues to converge after passing
through the lens. We thus have something analogous to a convex lens in optics which
focusses a parallel beam to a point. This double cylinder lens is used in cathode ray
tubes. Now, as in optics the 'point' is limited by diffraction, so in electron optics we
also have a limit - either space charge forces or initial velocities, which we will
consider in a moment.
Another simple electrostatic lens is shown in Fig. 2.2. It consists of a hole in a
plate at a potential V through which electrons are shot. The cathode is at zero
potential, so the lines of force are parallel except where they diverge to hit the sides
of the hole. The electrons will now experience outward radial forces, so the lens is
divergent. This occurs naturally in klystrons where the beam has to be shot into a
copper block which is the r.f. cavity. Now suppose one shoots the electrons the
other way in Fig. 2.2, then the field lines will be convergent, and the lens is
non-reciprocal, unlike optical lenses which (for concave lenses) are divergent
whichever way the light goes. However, the reversed electrons 'would also be
decelerated, in fact if their initial starting point was at zero potential like the
cathode of Fig. 2.2 they would be slowed down to zero velocity when they again
reached zero potential. Thus for electrons going the other way, we really should
reverse the field; then the lens would again be convergent. This is an important
(a)
pol e ---i t----

piece
(b)
2.3 (a) General arrangement of a magnetic lens. (b) Expanded sketch

of the radial (Br) and axial (Bx) magnetic fields for a path just off
axis in the region of the pole pieces
property of non-reciprocity of electron lenses; it turns out that a simple hole lens is
divergent if the electrons travel from a high field to a low field region and
convergent if this order is reversed.
It is possible to analyse electron lenses and arrive at a focal length. Just as in
optics, this is the distance in which a parallel beam converges to a point (or appears
to diverge from a point). For the hole in a plate lens just mentioned this has the
particularly simple form of
4V
j=--- (2.1 )
E2 - El
where Eland E2 are the electric field strengths in the direction of the beam before
and after the aperture, and V is the potential of the aperture with respect to the
cathode. This formula is true for a small aperture. Generally formulae in electron
optics are much more complicated, particularly for magnetic lenses.
However once one has found the focal length by theory, computing or
experiment, it is possible to calculate the effect of multiple lenses and, for example,
the overall magnification of a microscope, just as in light optics.
We will now consider the simple magnetic lens shown in Fig. 2.3. A magnetic field
produces a force on a moving electron that is at right angles to both the direction of
the motion and the field (Fig. 2.4). The toroidal iron pole pieces localise the field so
that there is strong axial magnetic field for a short distance, and as lines of force can
not stop in mid-space, they have to bend round to give radial magnetic field lines at
ELECTRON IC OPTICS 15
t magnetic
field
----
current Lid.
force
current,!
2.4 Fleming's left hand rule for working out the direction of a
magnetic force. Remember that electrons go in the opposite
direction to current
each end of this axial field region. How the two components vary along the axis is
shown in Fig. 2.3(b). Now imagine a cylindrical electron beam with all the electrons
travelling parallel to the axis. The axial magnetic field will exert no force but as soon
as the electrons approach the lens they are moving into a region where there is radial
field. Then the magnetic force is at right angles to both the motion and the field, so it is
circumferential. Thus the electron beam is twisted round the axis. This spinning
motion persists through the lens until as the beam emerges it experiences an
opposite radial field which stops it spinning. Therefore inside the lens where there is
ihtense axial field there will be circumferential motion. So there is now a force due
to the main axial field component again at right angles to both field and motion, but
this time directed radially inwards. This radial compression motion continues
outside the lens, eventually focussing the beam to a spot. Space charge and velocity
spreads are the only limits to this action, providing the lens design is good.
There is one further trick that is different in principle from lens action and is of
considerable practical importance. In a klystron or travelling wave tube (TWT) there
is a long interaction distance where the electron beam is required to remain
approximately cylindrical, whilst it is acted on by the radio-frequency fields (see
Chapter 3). How can this be done when another requirement is high current density
in the beam, which must lead to space charge repulsion? Well usually a strong axial
magnetic field is used. It has to start somewhere, so it is arranged that the cathode is
Just out of the field and the first pole~piece coincides with the entrance of the r.f.
structure (see Fig. 2.5). So it's a bit like half the magnetic lens that we considered
before. Now as the cylindrical beam (that has been electrostatically focussed) crosses
the entrance region where there is radial field, it is twisted, as in the lens. and
reg ion
}- -- ~~
cathode
(0)
2.5 (a) Sketch of entrance pole
pieces of magnetised interaction
tunnel, showing that there is a
radial magnetic field at right
axial magnetIC angles to the electrons motion at
field out of the entrance of the tunnel.
w hole e lectron
paper ® beam rotates (b) Cross section of beam. The
main axial magnetic field
interacts with the circum-
ferential motion to give an
(b) inwards magnetic force
continues to rotate in the interaction tunnel. At this stage the beam resembles
Fig. 2.5(b) in section. The space charge forces still act outwards and we have
made things a bit worse by adding an outward centrifugal force. However the
magnetic force due to the axial field plus the circumferential motion is inwards. It is
possible to arrange matters so that the three radial forces just balance each other.
The critical magnetic field at which this occurs is fairly easily calculated to be
B = { (y2 iy[ 1Tr2€o (:f/ 2

V1/2] } 1/2 (2.2)
where i, V, r are respectively the beam current, voltage and radius, and B is the
Brillouin field, named after Leon Brillouin who contributed many good ideas to
physics.
Of course this is an exact magnetic field relationship. In order to allow for slight
misaligments and other manufacturing tolerances a rather larger field is usually
required. Particularly if the magnet is not adjustable (e.g. if permanent magnets are
used) as much as 1.5 times the Brillouin field may be needed. In fact badly designed
electron beams can be forced down small tunnels (if they are lined up!) by
brute-force fields.
But large magnetic fields consume power, add weight to the system and because
they leak magnetism all over the place, interfere with other devices. All this can be
improved dramatically if an artifice called 'periodic focussing' is used. Here,
permanent ring magnets are placed along the tube axis N-S, S-N, N-S etc. as shown
Os Os Os_~~tC. O~~t 10)
electron_
DDD
~om -------------------
(0) (b)
2.6 (a) General arrangement for periodic focussing. (b) Shows lines of
equal field strength (polar diagram) for a single bar magnet. The
arrows show the direction of the field at two particular points. A
second magnet in the position marked will either add or subtract to
those fields, depending on its orientation
in Fig. 2.6. The beam still 'sees' an axial field which interacts to trim its non-axial
motion. The circumferential 'twist' goes on and off, each separate magnet acting as a
lens with the electrons still held in a beam. What good is this complication? Well for
the same magnitude of axial field, the leakage field is enormously reduced. In fact at
any distance outside the magnet array the effects of adjacent magnets tend to cancel
out. This is illustrated in Fig.2.6(b) where lines of constant field strength are
sketched for one magnet. On the right they represent attracting fields and on the left
they are repulsive to a N pole. Now imagine another magnet placed alongside the
one illustrated. If it were the same way round, the field strength at a point like X,
many magnet dimensions away would be about doubled. For a reversed second
magnet, to the same degree of approximation, the field would be about zero. As well
as reducing interference to other devices, this means that less energy goes into the
magnetic field so we can use lighter permanent magnets, or less copper and power if
electromagnets are used. This power and weight reduction is something like 3 times
in practical periodic reversed focussing systems.
2.3 Cathodes and Electron gun design
In instruments where the current is small it is usually sufficient to have a small area
cathode (so that the location is precise) and to focus with lenses as we have
described. It is always easier to focus a small cathode to a small spot, and as the
latter are in great demand for cathode ray tubes (CRTs) and electron microscopes,
the cathode has to be small and emit electrons at a high current density. Another
requirement in microscopes where specimens have to be inserted into the vacuum
envelope, is a resistance to cathode poisoning by a poor vacuum. Thus many
microscopes use tungsten 'hairpin' filaments. The bent part of the hair pin gets
hotter than the rest and emits perhaps 10-4 A at a current density of about
10 5 Am- 2
The very 'brightest' electron sources are in fact cold. They are incredibly sharp
metal points (usually tungsten or tantalum although carbon fibres are a recent
innovation) that emit by field emission. Current densities of about 10 7 Am -2 are
possible from areas of a few atomic lattice spacing. This is because the actual field in
the vicinity of a point is greater by a factor of as much as 10 5 than the
corresponding field for plane electrodes. Thus with a modest applied potential of,
say, 10-100 kV, fields in excess of 10 9 Vm- 1 (which is about the threshold for
field emission) can be achieved at the point.
For heavier current beams as in our previous example of klystrons and travelling
wave tubes a larger cathode area is required. Engineers and chemists have gone to
great lengths to concoct cathode materials that produce high current densities and
have long lives. As the main chemical constituent is usually barium, which
evaporates fairly readily, a compromise has to be made in all cases, since both the
evaporation rate and emission increase rapidly with temperature. (You perhaps
remember the close connection between boiling and emission).
The best modern composite cathodes, consisting of Ba and Sr oxides in a matrix
of Ni or W reach this compromise at a temperature of about 1000K when they
produce 104 - 10 5 Am- 2. This fixes the area of the cathode for a given tube
current. The beam then has to be contained and maybe converged by electron
optics.
J. R. Pierce, who had much to do with the early development of travelling wave
tubes at the Bell Telephone Labs introduced a clever trick to contain dense electron
beams. You recall when discussing thennionic emission in Chapter 1 we found that
current was limited by space charge, such that for plane parallel electrodes the
current density
V3/2
J a:. - - (2.3)
x2
Where V is the potential with respect to the cathode of a point a distance x away.
Now we can manipulate this result to show that for a given current, the potential
in the electron space charge varies with distance as
Va:.X 4 / 3 (2.4)
as shown in Fig. 2.7.
Now suppose instead of infinite plane parallel electrodes, which are inconvenient
in practice, we want a cathode area A i.e. all the stuff outside the dotted lines in
Fig.2.7(a) is surplus to requirements. One way to keep the wanted electrons
contained in the dotted lines is to arrange that the x variation of voltage obeys equn.
(2.4). Then the inside electrons do not realise that the outside ones are not there, so
they continue in their rectilinear paths.
10 ) ............. ... ....... .

...................................................
~
:::::::::::::::::::::::::::::::::::::::::::::::::::
::~:
i nfi nite
cathode
zero
11!11!1!lllllilili! I
potential
eldent in y &z
- x direct ions
concave cathode
second anode and
pole piece for
magnet Ic focussi ng
Ie)
o V, V2 V1 2.8 Section of a travelling wave
finite
cathode ~:«:~:~::+:. tube gun, that produces
1.5 A at 30 kV
area A ~:;i:~:~:R' paraUel
I I
beam
I
I
I
2.7 Principle of the Pierce gun. An

electron beam between infinite
plane electrodes has a potential
variation shown in (b) as V a: x 4 / 3.
Fig. 7(c) shows that intermediate
electrodes give the Fig. 7(b)
potential variation, so that the
wanted electrons carryon as if they
were still in the infinite beam, the
distance r from the axis as well as a
continuing convergence
The calculation of the space charge potential law is equally possible, although
mathematically more tedious, for other geometries. A particularly interesting shape
is a pair of concentric spheres, with the outer ones emitting electrons towards the
inner. A conical piece of this arrangement give a convergent beam and this is the
most useful and usual form of the Pierce gun.
In Fig. 2.8 we show a section of a typical electron gun for a microwave beam
tube. The cathode is concave, it sends out a convergent beam to the anode, the hole
in which is a divergent lens to make the beam parallel. The anode is also the
magnetic pole piece, so the beam is twisted and held together by the Brillouin field
in the drift tube. Finally, the beam is collected on a water-cooled collector, in a
region where the magnetic field is allowed to diverge so that hot spots on the
collector are avoided. The gun whose dimensions are sketched in Fig. 2.8 gives a
current of 1.5 A at 30 kV. It is used in a travelling wave tube that gives an output
power of 5 kW in the frequency band 5-6 GHz, developed at the services
Electronic Research Laboratory for use in the first transatlantic satellite communi-
cation link.
mlorowave
~ube8
L. SOlYMAR
3.1 High frequency effects
The family of vacuum tubes discussed in the previous Chapter continued to fulfill all
the necessary requirements until the late 'thirties at which time the quest for
producing higher frequencies began in earnest. It is difficult to give all the reasons
for the faltering performance of vacuum tubes in the high frequency range, without
introducing lots of new concepts or embarking on a detailed mathematical analysis
of the electron flow. However some of the reasons are quite easy to grasp, e.g. the
effect of scattered inductances and capacitances, and transit-time effects.
3.1.1 Scattered inductances and capacitances

Until now we have looked upon inductors and capacitors as separate entities.
However, if we recall the definitions of inductances and capacitances we must realise
that they are simply related to the magnetic and electric fields generated. Hence
pieces of metals 'scattered' all over the place also represent finite amounts of
(unwanted) inductances and capacitances. They are of course small but at high
enough frequencies (remember that both the impedance of an inductor and the
admittance of a capacitor are proportional to frequency) their effect becomes
important. Let us take as a very simple example the input stage of a triode amplifier
as shown in Fig. 3.I(a) and neglect all internal capacitances with the exception of
the cathode-grid capacitance, CCg • Then the high frequency equivalent circuit of the
input stage takes the form of Fig. 3.1 (b) from which the cathode-grid voltage may
be calculated to give
1
Vg = Vs (3.1)
1 + jwRsCcg
Taking Rg = 10 kohm and Ccg =5 pF we get I Vg I ~ 0.95 Vs at 1 MHz but
21
22 MOD ERN PHYSICA L ELECTRON ICS
(0) (b)
3.1 (a) The input circuit of a triode

amplifier, (b) equivalent circuit
I Vg I == 0.03 Vs at 100 MHz. One should not attribute too much significance to the
actual figures (both the resistance and the capacitance may have quite different
values) but the example gives a good indication of the dependence on frequency.
One could consider a more realistic equivalent circuit taking into account a number
of other scattered capacitances and possibly inductances, but the final outcome is
the same; performance deteriorates at higher frequencies.
3.1.2 Transit-time effects
As mentioned before the role of the control grid is to boost electron flow when it is
positive and reduce electron flow when it is negative. That aim will obviously be
jeopardised if the cathode-grid voltage changes sign by the time the electron passes
from the cathode to the grid. Taking a constant velocity of 2.10 5 ms- 1 for an
electron and a cathode-grid distance of 0.1 mm, it takes 104 /2.10 5 = %10- 9 = %
ns to cross the space from cathode to grid. If during this half nanosecond the
voltage changes from (say) positive peak to negative peak it will certainly be
deleterious for the operation of the tube. Now the half period will be equal to 1/2f
so our equation is
1 1
-10- 9 = - (3.2)
2 2f
whencef= 10 9 Hz = 1 GHz.
It is possible to bring the control-grid closer than 0.1 mm so one can gain a little
there but then the positions of other grids (or of the anode) should also come into
consideration, so all in all a limit of 1 GHz owing to transit effects is about right.
We have now collected sufficient evidence to suggest that a new approach is
necessary; this will be discussed in the rest of this Chapter.
MICROWAVE TUBES 23
I I
I I
I I 5
I I
electron: : beam
I I
I I
I I
I I drift space
I I
gap
3.2 Electron beam traver- (0)

sing a \ridded gap
V
5
3.3 (a) Electron trajectories
(position against time) for
a beam moving with
constant velocity.
(b) Modulating voltage
across the gap. (c) Electron
trajectories of the
modulated beam /c)
3.2 Velocity modulation
'If you can't beat them, join them', says the old saying. If we cannot get rid of
transit time effects, let us try persuading them to work for us. The new principle
making use of transit time effects is called velocity modulation. The basic set-up is
shown in Fig. 3.2. A high-velocity (say one fifth of the velocity of light) electron
beam is incident upon a gap where is gets modulated by an applied voltage; it moves
then into the drift space where the velocity modulation is transformed into current
modulation. This is the description in a nut-shell though for understanding the
usefulness of the principle a little more explanation is needed.
The gap consists of two parallel grids close to each other so that the transit time
of the electrons through the grids is small in comparison with the period of the
modulating voltage. * If there was no voltage across the gap then all electrons would
move on unperturbed into the drift space. To illustrate the process we shall plot the
positions of some electrons as a function of time (see Fig. 3.3(a)). Since they move
*In contrast to low frequency vacuum tubes this is now a realistic assumption, even well above
I GHz, because we are no longer dealing with electrons directly emitted from a not cathode but
with a beam accelerated to about hundred times the average emission velocity.
o I :
I,
I I
I I
cavity
resonator
electron beam
[1
3.4 Electron beam traver- 3.5 Electric lines of force
sing a gridded cavity in the cavity and the
resonator current vector of the
modulated electron
beam
with constant velocity all the curves are straight lines, and since they have the same
velocities all the straight lines are paralle1. The situation is changed when we apply a
sinusoidal voltage (Vm = V, sin wt as shown in Fig. 3.3(b)) to the gap. The electrons
arriving at zero values of the voltage are still unaffected but the others will leave the
gap with higher or lower velocities (appearing as higher or lower slopes in
Fig. 3.3(c)).
Let us concentrate our attention to the group of electrons leaving the gap in a
short time interval centred on td. The faster electrons starting after td will catch up
with the slower electrons starting somewhat before td that is our group of electrons
converges into a bunch.
If we look at the group of electrons leaving the gap in the time interval around tc
we see that they diverge. Hence observing the beam at a certain place in the drift
space (say A in Fig.3.3(c)) we find that the density of the beam changes
periodically as a function of time. In other words we have a current modulation
varying at the modulation frequency w.
Having seen the effect of a gap on an electron beam let us study the inverse
problem, the effect of a beam upon a gap or on an electromagnetic cavity resonator
(anticipating the realisation of a gap by a cavity in the klystron).
What will happen if we shoot an electron beam across a cavity as shown in
Fig. 3.4. Well, lots of things can happen; for example some stray electrons might hit
the cavity wall and by transforming their kinetic energy into heat might melt the
cavity. But barring such unfortunate occurrences we could say that nothing happens
unless the beam is capable of exciting the cavity in the right frequency range. Thus if
the electron beam of Fig. 3.4 is already modulated and the cavity is put at a place
where there is a strong current modulation at frequency w, and if the cavity is
resonant at the same frequency then we may expect the excitation of electric fields
in the cavity. In terms of vectors the situation is depicted in Fig. 3.5. The electric
lines of force of the dominant mode of the cavity are drawn by the continuous lines
and the current vector (note that we are not talking here of the current in, or on the
MICROWAVE TUBES 25
input output
electron gun
/'"
[j [] collector
, ,
coox ial line

coupl ing -
'
~
/
input
signa l
3.6 Schematic drawing of a two-cavity klystron

amplifier
surface of the cavity material but of electron beam current) by dotted lines. It now
seems logical that the coupling between the two vectors is strong or in other words
the electron current varying at w will set up an electric field in the cavity at the
same frequency.
For those who dislike vectors and lines of force it is possible to give an even
simpler explanation. Each bunch of electrons creates a little electric field in the
cavity. Since the bunches arrive at the right (resonant) frequency, the little electric
fields strengthen each other and a large electric field can appear.
3.3 The klystron
1he first practical device, making use of the principle of velocity modulation, was
the klystron invented by the Varian brothers in 1938. It consists (see Fig. 3.6)
essentially of an electron gun, two cavity resonators and a collector for collecting
the electron beam. The input signal is applied to the first cavity via a coaxial line
and the amplified output signal is coupled into a waveguide from the second cavity.*
The operation of the device follows straight from the principles outlined in the
previous section. The first cavity modulates the velocity of the electron beam and
the resulting current modulation causes an output in the second cavity. Obviously,
we want the output to be larger than the input. How can we do that? Well, the input
signal can be very small because we do not need much power for modulating the
beam velocity. Then the beam just drifts on and as a result we have a large current
modulation. Putting in the figures it turns out that the current amplitude at
frequency w may be about the same as the d.c. beam current itself. Thus if we have a
*There is no reason for the input and output transmission lines to be different; they could just as
well be of the same kind.
input intermediate outp!.t
o
cavity cavity cav ity
[J LJ
etl.'Ctron gun
./
cottl.'Ctor
I ,
input output
signal signal
3.7 Three-cavity klystron amplifier
dense beam (that is why we use a convergent beam) we can have a lot of current at
w. Now if the Q of the second cavity is large enough then the electric field created
by the current is also large, and that is the end of the story - or is it? Well we have a
slight contradiction. In order to have high gain we need a dense electron beam but in
a dense beam the repulsive forces between electrons are no longer negligible. Hence
the bunches will not be as tight as would be expected from Fig. 3.3(c) where space
charge forces were not taken into account. Including everything it turns out that we
can have a gain of about 10 dB. That does not sound very much; can we have
somehow more than 10 dB? Yes, by inserting one or more intermediate cavities as
shown in Fig. 3.7. The electric field created by the beam in this additional cavity
reacts to the beam making the bunches tighter. With two intermediate cavities
(usually referred to as a four-cavity klystron) a gain of 50 dB is a typical figure.
We shall return to the role of space charge forces in Section 3.7 for the time being
we shall continue with describing some other members of the family.
3.3.1 Frequency multipliers

When the electron bunches are tight the current is very far from being sinusoidal; it
is rich in higher harmonics. In other words, besides the i 1 = i 1 0 sin wt component
there will be i2 = i 20 sin 2 wt, i3 = i30 sin 3 wt, etc. components present as well.
Hence if the output cavity is resonant at 2w or 3w, we shall extract that particular
harmonic "from the electron beam. The result is a high-efficiency frequency
multiplier. We can actually get a lot more power out at the higher frequency than we
put in at the lower frequency. * The arrangement is however not very economic. In
order to produce some microwave power at 2w we need a frequency multiplier and
an oscillator at w. Would it not be cheaper to build an oscillator at 2w? Generally,
*Energy conservation is of course not violated, the excess power comes from the kinetic energy of
the beam.
MICROWAVE TUBES 27
3.8 A reflex klystron oscillator
yes. Klystron frequency multipliers are of interest only in the frequency range
approaching 100 GHz where it becomes increasingly difficult (see Section 3.8 about
the difficulties) to build self-oscillators.
3.3.2 Two-cavity oscillator

It is always easy to make an oscillator out of an amplifier. All we need to do is to
feed back a certain proportion of the output power to the input. In the case of a
two-cavity klystron the simplest solution is to introduce some internal coupling
(usually by an iris) between the two cavities.
3.3.3 Reflex klystrons

An oscillator needs only one external connection for extracting the power. Hence
one may consider the possibility of using just one cavity instead of the coupled
cavities of the two-cavity oscillator described above. Thus the electrons should be
velocity-modulated by the same cavity to which they deliver microwave power. This
is only possible if at some point in the drift space the electrons turn back and so
they can pass through the same cavity again. How can we persuade the electrons to
turn back? They need an adverse potential as we have already seen in Chapter I
when discussing the potential minimum. In that case the minimum was caused by
the electrons themselves but there is nothing easier than to create an adverse
potential. We just need a new electrode to which we apply a voltage negative with
respect to the anode, as shown in Fig. 3.8. The new electrode is called a repeller,
which true to its name, repels the electrons. The position where the electron turns
back depends on the magnitude of the repeller voltage. The more negative the
repeller, the sooner the electrons will be turned back.
=
/
10,020
~
o£ 10,000
>-
u
C
III
::;) 9980
~
It
~ 400,---,--,,--.---.---.---.---.---.--.---.
~
== 300
°E
c
3 14 2t Ii
mode mode mode
:::;) 200
oS-
::;)
o 100
J O~~~~~~~~~~~~~~~~r-~~
o 100 200 300 400 500 600
Repeller voltage in volts
3.9 Output characteristics of a typical reflex klystron
We may again assume that the electrons crossing the cavity for the first time will
be velocity-modulated which will turn into current modulation in a manner
analogous to the two-cavity klystron. The main difference is that instead of going
straight on, the electrons turn back. We may use the same argument again that the
periodically arriving bunches excite the cavity, but now the exact time of arrival
plays a significant role. The bunches should arrive at a time when the field in the
cavity is retarding so that the bunch can do work against the field (transfer power
from beam to electric field in the cavity). The time of arrival will be mostly
influenced by the repeller voltage. So we may expect that the frequency of oscillation
will be influenced as well, and that there will be certain voltage ranges where
oscillations may not be possible. This is borne out by both theory and experiment;
typical output curves are shown in Fig. 3.9. The tunable range is about 75 GHz at
best, and the maximum power output is somewhat below 400 mW.
The main advantages of reflex klystrons are small size (so there is no need for
focussing the electron beam) and electronic tuneability. They have been mostly used
as local oscillators for microwave receivers and as laboratory signal sources. They are
obviously unsuited for high power applications because the beam is collected by the
cavity itself.
3.3.4 Separate collector

We have just noted that in a reflex klystron the beam is collected by the cavity but
in most microwave tubes there is a separate collector as shown in Fig. 3.6. Its two
MICROWAVE TUBES 29
/'
[J [J
Jr
... l ti
input
~
(a)
jr
lti
output
signa l signa l
/' L t I I I I I I I I I I J
lr
TTTTTTTT
-~J~~v. ... Input

signal
(b)
lti
output
signal
3.10 (a) Three-cavity klystron whose cavities are coupled

by a transmission line. (b) An example of a travelling
wave amplifier
main advantages are that (1) it reduces local heat and (2) it improves efficiency
(useful microwave power related to d.c. input power).
(1) If the collector were part of the microwave circuit then its size would be
limited by considerations of the capacitance introduced but being separate there is
no limitation on size and so can more easily absorb the heat due to the impact of the
electron beam.
(2) By reducing the potential of the collector below the beam potential (the
potential to which the beam is accelerated by the electrodes of the gun) the d.c.
power consumption can be reduced as well. The reason is that the amount of d.c.
power consumed is equal to the product of voltage and current in the power supply.
The current is determined by the electron gun, but one can have control over the
voltage simply by putting in a power supply between cathode and collector in
Fig. 3.6. Disregarding interception of electrons by the grids this power supply would
be the only source of d.c. loss.
3.4 Travelling wave tubes
One disadvantage of klystron amplifiers not mentioned so far is their narrow

bandwidth which is a natural consequence of using resonant cavities. How can we
achieve a wider bandwidth? One thought that comes to mind is to.couple the
cavities to each other Gust as at lower freq¥encies we couple several resonant circuits
for obtaining greater bandwidth). Such an amplifier is shown in Fig. 3.1O(a) where
30' MODERN PHYSICAL ELECTRONICS
the cavities are coupled by transmission lines. Note that the microwave power to a
cavity may now arrive by two independent means, either by a transmission line or
via the modulated electron beam. Hence the successful operation of this tube would
depend on the correct timing (phase relations) between the two contributions - if
such a tube would exist. In fact, no one ever tried to realise this tube, but the tube
that comes about as the limiting case of inserting additional cavities, does exist in the
form of Fig. 3.l0(b). It is called a travelling wave amplifier (TWA) or a travelling
wave tube (TWT). It was invented in a somewhat different form in 1943 by
R. Kompfner, a Viennese architect working in Oxford.
The coupling between the cavities may be looked upon as one way of ensuring
that an electromagnetic wave can travel from one end of the structure to the other
one. Such structures are called slow-wave structures because the phase velocity of
the waves (the velocity with which the field pattern is travelling) is slower than the
velocity of light in the regions of interest.
Why would such a combination of an electron beam and a slow wave structure
yield an amplifier? Well, first because it is the limiting case of the klystron, and a
description in terms of electron bunches would again prove possible. We may also
choose another approach that relies on the following principle.
If we have two coupled streams, one of which is going slighly faster than the other
one, then energy will be transferred from the faster stream to the slower stream. Let
us not worry about the generality of the principle, or about defining a stream or
discussing any exceptions to the rule, and simply be content that the principle is
valid for travelling wave tubes and for microwave particle accelerators. If the
microwave field travels faster than the electron beam, then the beam will be
accelerated. If the beam travels faster than the microwave field, then the microwave
field will be amplified.
When we talk about the velocity of the microwave field we are in fact talking of
the phase velocity of the electromagnetic wave discussed in Section 3.9. The
relationship between frequency and phase velocity may be deduced from the
Brillouin diagram of the slow wave structure. Let us look specifically at Fig. 3.17.
The slope of the OP line may be taken as representing the velocity of the electron
beam. As agreed, amplification occurs when the velocity of a forward wave is
slightly below the velocity of the electron beam. Hence suitable working points on
the curves may be found above the points band c. Which one is more advantageous?
Well, as far as bandwidth is concerned we should work in the vicinity of c. Why?
Because there is a fairly wide range of frequency (from We to Wd) where the phase
velocity is just below the beam velocity. The operation at point b would be very
narrow band firstly because a small change in frequency results in a much larger
change in phase velocity, and secondly because the stop band starts not far above Wb.
MICROWAVE TUBES 31
in out out in
(a) (a)
I
t fI I
f tI
-- 7
gun
I I I
electron
B
slow wave collector
I.
\
slow wave
A
beam structure
(b)
~""
In out
ou.
/ fn
(b)
I
-
g~ !I ] collector
0B
I
I. A
B
3.11 Schematic drawing of I- ·1
Interaction region
travelling wave tubes;
(a) O-type, (b) M-type
3.12 (a) Schematic repre-
sentation of a slow wave
structure capable to
support a backward
wave. (b) An O-type
backward wave amplifier
Since the tube is physically long the electron beam needs to be focused. This is
usually done by an axial magnetic field (see Section 2.2). Interestingly, a transverse
magnetic field can also ensure operation although the electron trajectories will then
be somewhat different. Schematic drawings of both types (called 0 and M-type)
may be seen in Figs. 3.II(a) and (b) respectively.
Finally, a word about actual figures. It is possible to have a gain of (say) 35 db
that differs by no more than I db over a 10 per cent frequency range.
3.5 Backward wave tubes
As the name implies these tubes rely on backward waves which have a phase velocity
in a direction opposite to the group velocity (see Section 3.9). Hence a wave
launched on a slow wave structure (called a circuit wave from now on) at point A
will propagate towards, and emerge at A', Fig. 3.12(a) in spite of the fact that the
phase velocity is from left to right.
Next, let us shoot an electron beam across the slow wave structure as shown
schematically in Fig. 3.12(b). There will be interaction between the electric field of
the circuit wave and the a.c. electric field in the electron beam
For simplicity let us first look at the two extremes of the interaction region, A
and B. The amplitude of the circuit wave at B will naturally depend on its value at A
(the amplitude with which it was launched), but also on the values of the a.c.
electric field in the beam all the way from A to A'. This is a typical feedback
situation. As the a.c. electric field in the beam grows from zero at A' (there can be
no a.c. electric field on the beam before it reaches the interaction region) to its value
at A, it feeds continuously power into the circuit wave. Similarly, the circuit wave
propagating towards the gun feeds power into the a.c. electric field in the beam.
So we have feedback all right. Whether we have amplification as well will surely
depend on the strength of the interaction and on the correct phase relations. One of
the conditions is fairly obvious. For the two kinds of electric fields to 'notice' each
other they must travel with roughly the same velocity. Hence point a on Fig. 3.17 is
a possible operating point. The beam velocity (represented by OP) agrees with the
phase velocity of the backward wave.
What else could influence the overall strength of the feedback? The current in the
beam and the length of the interaction region. Thus the main steps in the design are
as follows.
If the frequency of operation is given, the choice of the slow wave structure will
determine the phase velocity of the backward wave which in turn fixes the beam
velocity. Choosing further the length of the interaction region we just need to
increase the current until the device has a net gain, that is we have an amplifier. This
tube, the backward wave amplifier, is not often used.
A more popular version is the backward wave oscillator (BWO) which we get by
increasing the current a little further. The gain then increases to infinity, indicating
an oscillator. This oscillator has one big advantage. It is easily tuneable. If we change
the beam voltage, the backward wave has to shift its frequency in order to satisfy
the condition of equal velocities. So the frequency of oscillation will change as well.
We have thus an oscillator that may be tuned by varying the voltage. The useful
range may be as high as five octaves (five to one ratio in frequency) say from 2.7 to
13.5 GHz.
The BWO has another claim to fame, it can reach the farthest of all microwave
tubes into the sub millimeter region. BWO's have been built for wavelengths as short
as 0.3 mm (1000 GHz).
3.6 The magnetron
Magnetrons were invented in Britain in 1940 just in time to playa significant role in
the war effort. It is a tube suitable for the genera tion of peak powers in the range of
megawatts, and thus is ideal for providing microwave power to a radar transmitter. A
MICROWAVE TUBES 33
end hat
3.13 Schematic drawing of a magnetron oscillator
schematic drawing of a typical magnetron is shown in Fig. 3.13. Both the cathode
and the anode are cylindrical, but the latter is divided by radial extensions which
form the walls of the resonant cavities. Notice also the presence of a magnetic field
perpendicular to the d.c. electric field. Under the effect of these two fields the
electrons will move around the cathode (remember that the force due to a magnetic
field is perpendicular both to the magnetic field and to the electron velocity). This
situation is similar to that encountered when studying klystrons. An electron beam
is passing in front of resonant cavities. The feedback, due to the circular
arrangement, is obvious so we have an oscillator.
An interesting and rather unconventional application of magnetrons, is in
cooking. Microwaves penetrate deeply in food (in contrast to infrared radiation)
providing not only a new way of heating but reducing greatly the time involved.
3.7 Space charge waves
Most people obtain their first glance at the properties of electrons when they meet
Coulomb's law. They learn that electrons are point charges which duly repel each
other. So one might think that repulsion between electrons is one of the
fundamental properties to take into account. And so it is, repulsion is a fundamental
property but often it makes no difference. When we have a very sparse electron
beam (as for electron microscopes) accelerated to a high speed, the forces between
electrons have no time to act. So we have the right to regard electrons as billiard
balls which none-the-less are accelerated by electric fields. Such an approach proved
sufficient in the present Chapter as well. It was only in relation to klystrons that we
needed to mention briefly the detrimental effect of space charge forces. There is,
however, another approach based entirely on the presence of space charge forces
(a) excess charge

• • • • • • •
• • • • • • •
• • • • • • •
• • • • • •
(b) uniform
• • • • • •
• • • • • • •
• • • • • • •
• • • • • • •
··
(c) charge deficiency
• • • • • •
• • • • • •
• • • • • • •
• • • • • • •
3.14 Density oscillation of

electrons
that could be used for explaining the properties of microwave tubes. We shall not go
into detail but will try to outline the main steps in this alternative approach.
Electrostatic oscillations are one of the easiest to imagine. If we have some excess
density of electrons at one place (Fig. 3.14(a)) the electrons will move apart due to
their repulsion. They do not stop at their equilibrium position (the uniform
distribution, Fig. 3.14(b)) but overshoot. Thus the place which had an excess of
electrons will now have a deficiency of electrons Fig. 3.14(c), and so on. Imagine
now the same density oscillations on an electron beam moving with a constant
velocity, Vo' The resulting wave motion may be interpreted as coming from two, so
called, space charge waves whose wave numbers are
K= w+wp
_ _L w-w
and K= p (3.4)
Vo Vo
where w p is the plasma frequency, given as *
112
epo
w = -- (3.4)
p m€o
and Po is the density of charge per unit volume.

The two waves are called slow and fast space waves corresponding to the fact that
*Note that this is valid only for infinitely large electron beams. For finite electron beams wp needs
to be multiplied by a so-called plasma reduction factor which for most microwave tubes has values
between 0.3 and 0.5.
MICROWAVE TUBES 35
their phase velocities are

W W W
v =-
p k
=
w+wp
Vo and v
P
= w-wp Vo (3.5)
one of them slower and the other one faster than the beam velocity, Vo. Now comes
the interesting thing; the slow space charge wave has a negative power associated
with it. Negative power means that there is less power in the beam when the slow
space charge wave is present. Usually, it is the other way round. If a solid supports
an acoustic wave, for example, the total energy of the solid increases.
The essence of the new approach is to consider the coupling between the space
charge waves and the electromagnetic field to be amplified. We shall discuss here one
example, the travelling wave tube, in order to show the advantages of this approach.
We can forget then the fast space charge wave (playing only a minor role in this
particular interaction) and consider only the circuit wave and the slow space charge
wave. At the input of the tube both are small but if their velocities are equal
w
- - - Vo = Ve (3.6)
w+wp
then they interact strongly, leading to an exponential increase along the tube. The
power relations are simply that the power gained by the circuit wave is equal to the
power gained by the slow space charge wave (and thus lost by the electron beam).
Eqn (3.6) also shows the relation mentioned before, that the circuit velocity must be
less than the beam velocity.
Similar explanations exist for other tubes as well (for a BWO for example the
backward circuit wave interacts with the slow space charge wave), and one can even
understand why the amplification increases when ohmic losses are introduced as in
the resistive wall amplifier but unfortunately there is no more space left for further
discussion.
3.8 The upper limit - millimeter and submillimeter waves
The electromagnetic spectrum is so broad that a single technique can cover no more
than a small part of the spectrum. This is true for microwave tubes as well. They are
useful from a few decimeters to a few millimeters corresponding in frequency to a
range from about I GHz to 100 GHz. Above this frequency it becomes increasingly
difficult to make amplifiers and oscillators, mainly for the following reasons: (i) It is
the number of electrons available per wavelength that counts, so at lower
wavelengths we need denser beams. (ii) The electron beam needs to be within a
3.15 A wave packet
wavelength from the slow wave structure. (iii) High density beams close to metallic
structures will cause large heat dissipation which must be led away.
With brute force (that is with improved technology) the frequency limit could be
pushed up to about 1000 GHz but the resulting devices are not only difficult to
make but expensive to buy.
Besides the obvious means of frequency multiplication (one type was mentioned
in Section 3.3) there have been several original ideas for producing millimeter and
submillimeter waves but they rarely got farther than laboratory prototypes.
3.9 Appendix: Some basic concepts relating to wave propagation

3.9.1 Phase velocity
A wave travelling in the Z direction may be described by the expression
A(t,z)=A o sin(w1t- k1z) (3.7)
where Ao is the amplitude, W - angular frequency, k = 21r/X - wave number,
t - time. The above equation represents a pure sinusoidal. At a given time, t = to,
the pattern looks like the solid lines of Fig. 3.16. A time interval f:lt later the whole
pattern has moved (dotted lines) by an amount f:lz 1 • A certain point on the pattern,
say C, has moved to C'. Taking the coordinates of C as to, Zo and those of C' as
to + f:lt, Zo + fj.z 1, the equality must stand
wlto -klZO =w1(to +f:lt)-k(zo +f:lz 1 ) (3.8)
leading to
(3.9)
or
f:lz 1 WI
-=- (3.10)
f:lt k1
This is clearly the velocity with which the sinusoidal pattern moves. It is called the
phase velocity.
3.9.2 The wave packet
If we add up several pure sinusoidals oJ slightly different frequencies and wave

numbers, we may get a waveform like that of Fig. 3.15 called a wave packet. The
MICROWAVE TUBES 37
,
~L-_ _~~_ _ _ _~~'_ _~_Z
3.16 Two sinusoidal components of the

wave packet ensuring zero ampli-
tude at the edge. Solid lines -
spatial distribution at t = to, dotted
lines - spatial distribution at
t = to + !1t
main point is that the amplitude is finite in the middle and goes to zero at the two
edges of the wave packet. Obviously, the sum of the components is zero at that
point. If for simplicity, we look at two components only, then these two must
cancel each other. At the edge of the wave packet, at point 0 they are in antiphase
as shown in Fig. 3.16 with solid lines. A time interval f:1t later the two components
will have moved distances f:1z 1 and f:1z 2 as shown by the dotted lines. In the
coordinate system of Fig. 3.16 the shifted sinusoidals may be described as
(3.11 )
respectively. Now comes the essence of the argument. Since the phase velocities of
the components are not, in general equal, the velocity of the wave packet will differ
from the velocity of the individual components. How could we make a guess at the
velocity of the wave packet? We have to work out the velocity of the edge, that is
the velocity of the zero point. We ask the question where is the zero point of the
sum after an interval f:1t? Mathematically this is equivalent to asking at what value of
z (called f:1z since it must be small) will the function
fez) = sin[k 1 (f:1z - f:1z 1 )] - sin[(k 2 (f:1z - f:1z 2 )] (3.12)
be zero? By using a trigonometrical identity
f(z) = 2 cos V2[k 1 (f:1z - f:1z d + k2 (f:1z - f:1z 2 )] sin Y2[k 1 (f:1z - f:1z 1) - k2 (f:1z - f:1z 2)]
(3.13)
which has a zero in the vicinity of f:1z 1 when
k 1 (f:1z - f:1z 1 ) - k2 (f:1z - f:1z 2 ) = 0 (3.14)
Noting that
(3.15)
Equation (3.14) modifies to

(kI - k2 )!:J.z = (WI - 0h )!:J.t (3.16)
or
!:J.Z=W I -W 2
(3.17)
!:J.t kI - k2
This is the velocity of the wave packet called the group velocity, usually denoted by ug .
If the relationship between wand k is simply W = kc where c is a constant, then
the phase velocity is
(3.18)
and the group velocity
(3.19)
is the same. In general, this is not true. Take as an example

U.12 = 1.1 WI and k2 = 1.2 kI (3.20)
then the phase velocity of the second component is
w2 1.1 WI
Up' = - = - -~ 0.918 up' (3.21 )
k2 1.2 kI
The two phase velocities prove to be different. What about the group velocity? It is
given by
1.1 WI -WI WI
Ug = . = 0.5 - = 0.5 up' . (3.22)
1.2k I -k I kI
It differs appreciably from either of the phase velocities.

Next, let us have a second look at Eqn (3.17) and ask the question what happens
when WI >w 2 but kI <k 2 . The distance!:J.z to the zero point of the wave packet
becomes negative. Remember, !:J.z I and !:J.z 2 are positive; both components travel to
MICROWAVE TUBES 39
w
p
~L-------------~_k
3.17 A typical Brillouin diagram
the right and still the wave packet seems to move to the left. Is this possible? Isn't this
just a freak result due to the inadequacy of our model? No it is not a freak result. A
group velocity in a direction opposite to the phase velocity is quite possible. The
operation of a backward wave oscillator (see Section 3.5) is based on just that.
If one solves the problem properly (that is not restricting the treatment to two
components) the conclusions do not change but, as may be expected, the group
velocity is defined by the differential
dw
v =- (3.23)
g dk
an operation that can be easily performed once w is a known function of k.
3.9.3 Brillouin diagrams

The properties of all media capable of supporting electromagnetic waves may be well
represented by the relationship between the frequency and wave number, usually
referred to as the dispersion relation. Such a relationship for a periodic structure is
called a Brillouin diagram after Leon Brillouin who used to use them a lot. Periodic
structures (also called slow wave structures and delay lines) are discussed in detail in
Section 1.11 of Vol. 4.
A typical Brillouin diagram is shown in Fig. 3.17. It may be seen that the curves
are periodic as a function of k, that for certain frequency band (pass bands)
propagation is possible and for some other bands* (stop bands) propagation is not
*Note that for the periodic structure of atoms the corresponding terminology is allowed bands and
forbidden bands.
possible. The slope of a straight line OP is tan a = w/k, that has the dimension of
velocity. Hence the slope of any straight line drawn from the origin to a point on the
diagram gives the phase velocity of the wave. Remembering that the slope of the
curve, dw/dk, gives the group velocity, we may see that there are forward waves
(phase and group velocity in the same direction as at points band c on Fig. 3.17)
and backward waves (phase and group velocity in opposite directions as at point a).
It is important to remember that the wave packet represents the 'information'
carried (a pure sinusoidal wave carries no information whatsoever). Hence the
direction and speed of information and energy are also given by the group velocity.
eleo~rons and
holes in solidS
L. SOLYMAR
4.1 Introduction
In the previous three Chapters we have been concerned with electrons moving in
vacuum, a me~ium that offers no resistance to motion. The situation is radically
altered once we consider a solid. Firstly, because most of the electrons are not free
to move. Secondly, because other charged particles (mobile or immobile) may also
be lJresent, and in the third place because particle motion is hampered by all sorts of
obstacles.
The approach chosen here resembles a shock treatment. We shall leave the
physical description of the build-up of a solid from atoms to the second part of the
Chapter and begin instead with concepts taken from the theory of solids. It is felt
that for understanding the conduction properties of semiconductors (the most
important group of materials from our point of view) one must first grasp the
fundamentals of energy structure and band theory. No attempt will be made, to give
the mathematical re!ationships instead the treatment will be entirely qualitative
relying on the use of models.
4.2 Discrete energy levels and the multistorey car park
In order to understand the pn"'perties of electrons in a solid, we must first accept

that they cannot have arbitrary energies. Why? There is no ultima te reason. This is
how nature works and we have to accept it. The trouble is that it does not come
naturally. It is against common sense. At the level of everyday experience energy is
continuous. Whether we take potential energy, kinetic energy or heat, it is always
possible to add a tiny amount of energy by lifting an object slightly higher, by
accelerating a little or by switching the electric fire on for a fraction of a second. To
say that energy is discrete means that there are energy levels EA and EB which are
41
permissible for our object to have, but any value of energy between EA and EB is
forbidden. Since it is difficult to imagine such a thing it may be best to think in
terms of a model.
Let us imagin~ that our electrons turn into cars and let us identify energy levels
with the floors of a multistorey car park. We are not claiming that the multistorey
car park represents the solid nor are we saying that electrons will stay motionless at
predestined places, we use the model only to represent energy levels. The statement
that a particle cannot have energies between EA and EB is now equivalent to saying
that cars are not allowed to stay between (say) the 2nd and the 3rd floor.
4.3 The free electron theory of metals and the Fermi energy
We have discussed, when talking of hot cathodes in Chapter I, that the electrons can
leave the cathode material provided their energy is in excess of the work function, ¢.
This explains why some of the electrons may come out and why the vast majority
cannot get out. Simply, the energy available to them is not sufficient. But how large
are the energies they have?
Let us go back to our multistorey car park. If we want it to model energy levels
in a metal, it will have a rather odd shape. It is built downwards, it has many floors
and as we go lower the floorspace is reduced. On the bottom floor there is room for
only two cars.
As a simple example let us assume that there are five floors, the top one is capable
of accommodating 10 cars, and as we go down there is room for 8, 6, 4 and 2 cars
respectively. The rules of the establishment are that the lower floors must be filled
first, thus if we have 12 cars they will be parked on the three lowest floors as shown
in Fig. 4.1. We may now say that floors I to 3 are filled and floors 4 and 5 are
empty. We may also give a name to the last filled floor and call it the Fermi floor.
The next question we are going to ask is what is the minimum number of floors by
which a car needs to be raised in order to get into the bustle of the outside world.
The answer is obviously two. If we raise the cars at the Fermi floor by a further two
floors they become free. In more technical language we may say that in order to
liberate a car from this car park a minimum work of two floors must be
accom plished.
If we revert to electrons then a floor corresponds to an energy level, a floor space
sufficient to park one car is called a state, the highest filled energy level is called the
Fermi energy (denoted by E F ), the energy level of the outside world is called the
ELECTRONS AND HOLES IN SOLIDS 43
4.1 Discrete energies modelled by a multistorey car park
Sire el
S' floor
,I floor
3'" floor. Fermi lloor
4.2 Cars in a multistorey car park. All parking spaces occupied up to the third floor
vacuum level
E=EFI------I
0·5
E=O L...-._ _ _- ' Fermi -Dirac

O~ _____ ~~ __ ~ __ ~
4.3 Electron energies at T = 0 E
4.4 The Fermi-Dirac distribution

function for a Fermi energy of
2.5 eV and for temperatures of
o K, 600 K, and 6000 K
vacuum level, and the work required to liberate an electron is ¢ as shown in Fig. 4.3
where energy is plotted upwards and the abscissa has no particular meaning. This
representation is often used when the information about the number of states at a
given energy level is not needed.
We have now answered the question asked in the first paragraph of this Section.
The electrons have energies from zero to EF but even the most energetic electrons
need a further amount of energy ¢ in order to leave the solid.
A parameter not talked about so far is temperature. To what temperature does
the energy diagram of Fig. 4.3 correspond? To zero temperature; not zero degree
Celsius but zero degree Kelvin, the zero of the absolute temperature scale. Most
people who have heard of absolute temperature believe that T = 0 is the lowest
possible temperature (and they are right), that T = 0 can never be reached (and they
are right again), and that approaching T =0 everything becomes quiet and
motionless (and there they are wrong). The electrons in a metal show no signs of
becoming less bouncy as the absolute zero temperature is approached. Their energies
range from zero to E F • What happens then when the temperature is higher than zero?
The solid will obviously receive some energy in the form of heat and hence the
electrons in the solid must also become more energetic. This is achieved by electrons
occupying energy levels above the Fermi energy, and consequently some states
below the Fermi energy become empty. Since we have lots of electrons the rule is
formulated statistically. The function
F(E)=----- (4.1)
E-EF
1 + exp
kT
gives the probability that a state at a certain energy is occupied. Those who are fond
of mathematics may find a simple analysis in Appendix 4; for those who prefer
graphical presentation, F(E) is plotted in Fig. 4.4 for several values of the
temperature. It may be seen that for T> 0 there is a certain probability that a state
above EF is occupied but the curves are not drastically altered even for a
temperature as high as 600 K.
4.3.1 Thermionic emission

We are now in a position to explain electron emission from a hot metal cathode. In
order to escape from the metal the electron needs an energy EF + ¢. We can see
from Fig. 4.4 that there is a certain probability that states at that energy may be
occupied, hence electron emission is possible. How could we work out the number
of electrons that will escape? We need to know the number of states at a given
energy level (the number of car spaces on a floor), the probability with which they
are occupied and then we can work out the number of electrons which possess
energies in excess of EF + ¢. If we do everything carefully and use a little
mathematics we obtain Richardson's formula for the emitted current (Equation
1.2).
4.3.2 Photoemission
Applying heat is not the only way of inducing electrons to leave the solid. Incident
light can also perform the task. If we regard light as made up of photons* and we
think of a proc€ss in which the electron receives all the photon's energy, then
obviously the condition of escape is
(4.2)
where Ep is the energy of the incident photon. According to Planck's relationship
Ep =hf (4.3)
(where h = 6.62 X 10- 34 Joule sec and f= frequency). Hence if the frequency of
incident light is high enough we can notice a current flowing in the experimental
*We should perhaps go into a little more detail here and explain the dual nature of light, that it
sometimes behaves as a wave and other times as if it was made up of particles. The trouble is that
no amount of explanation would suffice. The properties of light that we experience in everyday
life are manifold but in no obvious way related to waves nor to particles. If physicists insist that in
order to explain some of their experiments they must invest light with wave properties we cannot
raise any serious objections. If the same people claim that for explaining some other
experiments they have to look upon light as consisting of many particles, we may despair a little,
but what can we do? Not being able to offer a better explanation ourselves we just have to accept
whatever is offered.
1----'- £1)
4.6 The Fermi levels and work

functions of two metals to be
brought into contact
4.5 An experiment showing
the photoelectric effect. If
the frequency of light is
above a certain threshold
value, the incident
photons knock out
electrons from the
cathode. These cause a
current in the external
circuit measurable by the
ammeter A 4.7 When the two metals
are brought into
contact there is a
potential difference
¢2 - 4>1 between them
arrangement of Fig. 4.5. It is like a vacuum diode in the sense that the two
electrodes are within an evacuated envelope but the electrons are emitted by light
instead of hea t.
4.3.3 The junction between two metals

Let us see what happens when two metals of different work functions (see Fig. 4.6)
are brought into contact. Clearly, the electrons from metal I could move into lower
energy states by crossing over to metal 2. So migration will start. But as more and
more electrons cross over, metal 2 will have an excess of negative charge and metal I
an excess of positive charge (absence of negative charge, in fact). Two sheets of
opposite charge create an electric field that will prevent further migration. Thus the
result is an electric field over a short distance that is equivalent to a potential
difference (called the contact potential) between the two metals.
As far as devices are concerned the significance of the metal-metal junction is
small but since we shall meet a large number of junction devices in the next Chapter
it is worth approaching the problem from another angle.
When two materials are brought into contact the general rule is that the Fermi
energies must be equated. Note however that the energy needed to liberate an
electron is still cf>1 in metal I and cf>2 in metal 2, so we may still draw the vacuum
levels at the same height (Fig. 4.7). But what happens in the middle? There is a
potential difference if>2 - if> 1 , and that is exactly the magnitude of the contact
potential. How real is this potential? If we put an electron into the contact region,
would it be forced to move? Yes, it would. Well, if that potential difference is really
there, could we use that metal-metal junction as a battery? It sounds like a cheap,
new source of energy. Would it work? The answer is to be supplied by the reader.
4.4 The band theory of solids
The free electron theory was concerned with electrons only. It said nothing about
the environment the electrons find themselves in. A piece of solid consists of course
of atoms, and if we take into account the effect of atoms upon the electrons we
arrive (after pages of mathematics) at the so-called band theory.
At first glance, band theory is not very different from free electron theory. The
electrons can again have only discrete energy levels and each state can be occupied
by one electron only. The main difference is that there are now forbidden and
allowed energy bands. Going back to our model of the multistorey car park, we find
that besides the obvious restriction not to park a car between two floors, there are in
addition certain groups of floors unavailable for parking cars.
An example of band structure would be the following car park,
1st allowed band floors 1-5
1st forbidden band floors 5-10
2nd allowed band floors 10-15
2nd forbidden band floors 15 - 20
3rd allowed band floors 20-25
and one could drive out from the 25th floor.
Let us also assume that the five floors in each allowed band can accomodate cars
according to the following rule,
1st floor 2 cars
2nd floor 4 cars
3rd floor 6 cars
4th floor 4 cars
5th floor 2 cars
that is 18 cars in an allowed band.
Assume further that there are 48 cars to be parked. We can therefore allocate 18
to the first allowed band, 18 to the second allowed band and 12 to the third allowed
band which will be filled up to the third floor. Clearly, the Fermi floor is the 23rd
floor and the work function corresponds to 2 floors. It is also obvious that if we
want to bring a car to the street level it is easiest to get it from the 23rd floor. What
apparently matters is what happens in the highest allowed band. If there were only
36 cars then the last allowed band would be empty and we would need to raise a car
at least 10 floors to get it on the street.
The number of electrons in a solid cannot be described by two digits, but the
main effects are the same. At T = 0 all the states up to a certain energy level are
occupied and all the states above that energy level are empty.
4.4.1 Conduction
We shall discuss the flow of electrons in more detail in the next Section where we
shall concentrate on the motion of charged particles. Here we shall just quote a
theorem that is easy to remember. There is no conduction if all the states in an
,allowed energy band are occupied. At a deeper level this is a very difficult theorem
to understand but superficially we could just say that if the band is full there is no
room to move about, therefore conduction is not possible.
4.4.2 Metals and insulators

Solid materials can be roughly divided into two classes. When the last filled state at
T = 0 happens to be in the middle of the highest allowed energy band then we talk
of a metal. When the highest allowed energy band contains no electrons at all, we
have an insulator.
A metal, as we know, conducts electricity. An insulator, on the contrary, prevents
the flow of electricity. Both these properties follow from the above quoted theorem.
For an insulator all bands are full, hence there is no conduction at all. For a metal all
bands are full but the highest one which is half-filled. Metals are good conductors on
account of this half-filled band.
4.4.3 Effect of finite temperature

I t is usually sufficient to look at the two highest bands only (the valence and
conduction bands) and this is what we do when we investigate the effect of finite
temperature.
For a metal the highest band is half-filled and the next band is completely filled as
shown in Fig. 4.8(a). Below the Fermi level all states are occupied, above the Fermi
level all states are empty. At finite temperature (that is T> 0) some of the states
conduction
bond
conduction
bond
energy gop
energy
gop
valence
(a) (b) band
4.8 Energy diagram showing the (a) (b)

band structure for (a) a metal,
(b) an insulator 4.9 The energy diagram of an insulator at
finite temperature. There is a finite
probability for occupation of states in
the conduction band
above the Fermi level become occupied but that is all. There is hardly any change in
the conduction properties.
For an insulator the highest band is empty and the next band is completely filled
at T = 0 as shown in Fig. 4.8(b). Where is the Fermi energy? It must be above the
filled states and below the empty states. But now there is an energy difference of Eg
(called gap energy) between the highest filled state and the lowest empty state. Thus
the Fermi energy could be anywhere within the gap. Its exact position makes a lot
of difference to the conducting properties as we shall see in Section 4.6; for the time
being, faute de mieux, let us place it in the middle of the gap.
e To see what happens at a finite temperature we shall redraw Fig. 4.8(b) and place
Fig. 4.4 by its side, turned through 90 degrees. Energy is plotted upwards and the
probability of occupation is in the horizontal direction. It may be seen that if the
temperature is high enough the probability of occupation in the conduction band is
different from zero. Hence certain states at the bottom of the conduction band will
be occupied, and because a partially filled band permits conduction we come to the
conclusion that at high enough temperature an insulator will conduct electricity.
The amount of conduction will depend on the height of the energy gap. If Eg is
small, the conduction at room temperature may be appreciable, and the material will
no longer be called an insulator but a semiconductor.
4.4.4 Holes
The basic concept is a fairly easy one; if something is missing from somewhere it
leaves a hole behind. When an electron moves from the valence band into the
conduction band it leaves an unoccupied state behind. We shall look upon that state
(01
(b1
(e 1
4.10 While the cars are moving to the right, a 'hole' is

moving to the left
as being occupied by a hole. Naturally, most holes will reside at the top of the
valence band. The probability of a hole being present decreases strongly wi th
decreasing energy.
Can holes conduct electricity? Yes, they can, the mechanism is shown in
Figs. 4.1O(a-c). In Fig. 4.1 D(a) there is a 'hole' between the cars. As the cars move to
the right, the hole moves to the left (Figs. 4.1O(b) and (c)). In a solid the cars should
be replaced by electrons which have a negative charge, a hole moving in the opposite
direction must therefore have a positive charge. This is about as much as most
people, including electronic engineers, know about holes. For a full understanding
one must belong to the eminent set of theoretical physicists who invented the whole
thing in the first place.
There is no doubt that the concept of a 'hole' is a pure artifice. It is not a 'real'
particle in the sense that holes cannot be emitted from hole guns. Nevertheless, from
now on we shall assume that there are two kinds of particles in a semiconductor,
electrons and holes, possessing the same unit of negative and positive charge
respectively.
4.4.5 Recombination
Electrons and holes in solids behave very much like electrons and positive ions in
ionized gases (see Chapter 4, Vol. 1). The analogy holds in many respects:
conductivity, mobility, diffusion may be defined in alike manner as will be discussed
in Section 4.7. Such similarities are also found in the recombination process. In both
cases particles of opposite charges meet and both charges suddenly get lost. In
ionized gases they make up a neutral atom, in semiconductors the two particles
disappear. In band theory parlance what happens is that an electron drops from the
conduction into the valance band and the corresponding energy is transformed into
heat.
4.4.6 Effective mass

An electron in a solid will not respond in the same manner to an applied electric
field as if it was in vacuum. This is reasonable enough. What is more surprising is that
by introducing a little moditication, by multiplying the mass of the electron by a
4.11 Two electrons

orbiting around two
protons ensure the
existence of a
hydrogen molecule
factor not too far from unity, we get thil}gs right. In for example germanium the
mass of an electron inside a piece of germanium is 1.09 x 10 -3 1 kg instead of
9.11 x 10 -3 1 kg, the value in free space. The usual notation for this so-called
effective mass is m *. Note that holes have also effective masses, usually a little larger
than those of electrons.
4.5 Atoms in solids
It is obviously beyond' the scope of the present book to describe in any detail the
various models of the atom, the formation of molecules or the crystalline structure
of solids. Nevertheless, we have to say something about them because that is the way
to explain where the electrons available for conduction come from.
Since everyone knows about atom-smashers and atomic bombs, the existence of
atoms can no longer be questioned. It is though, one of those things clearly in
contrast with common sense. Everyday experience tells us that matter is continuous.
If we fail to di'9'ide up a small piece we can usually blame the tools at our disposal
for this failure. We would hardly come to the conclusion that there was a piece
which could no longer be divided, that we had reached the limit and that material
was no longer divisible. It needed a leisurely age, a lot of like-minded men discussing
everything under the sun, to come to the idea that there is a smallest indivisible unit.
At the time it was only an intellectual exercise; the first proofs started to
accumulate only two millennia later. But even in the second half of the 19th century
Mach could still permit himself to doubt the existence of atoms on the evidence
available.
The structure of the atom as built up of protons, neutrons and electrons, is a
product of the present century. The first satisfactory mathematical solution for the
hydrogen atom (the simplest of them all) came in 1926 and for the hydrogen
molecule in 1929.
A hydrogen atom (H) consists of one proton and one electron. Two hydrogen
atoms make up a hydrogen molecule (H 2 ), so we have then two protons and two
electrons. What is the mechanism keeping two hydrogen atoms together? In the
simplest picture we can say that both electrons orbiting around both atoms provide
the bond as shown schematically in Fig. 4.11. We may imagine two sheep (the two
II II II
- 0---
- 0---
- - 0 --
• I I II
· o ·-- 0---
- 0---
-0- -
•
I I I
(0)
-
- 0---
- 0---
- 0 --
II II II
(b )
4.13 The structure of silicon in three
4.12 (a) A silicon atom with four outer elec- dimensions; each atom is
trons. (b) A schematic representation of symmetrically surrounded in an
the bond between silicon atoms imaginary cube by its four nearest
neighbours. The bonds are
represented by the tubular
connections
protons) eager two escape but two sheep-dogs (the two electrons) running round
them foiling their attempts.
Let us look now at the atom of the most widely used semiconductor, silicon. It
has 14 protons, 14 neutrons and 14 electrons. There are two inner shells containing
10 electrons and an outer shell with 4 electrons. We can forget the inner shells; they
play no role in the operation of the existing semiconductor devices. It is the outer
electrons that are responsible both for bonding and for conduction properties.
A schematic two dimensional (not really correct but a three dimensional picture
would look much more complicated) picture of a silicon atom is shown in
Fig. 4.12(a) and of solid silicon in Fig. 4 .12(b). The double lines represent two
electrons orbiting around the atoms at the end of the lines. Thus each bond looks
like that of the hydrogen molecule. Each atom has four neighbours because each
outer electron is capable of bonding one atom In reality the four neighbours are
symmetrically located in three dimensional space as shown in Fig. 4.13.
If all the outer electrons are needed for bonding how can we get electrons for
conduction? At absolute zero temperature we cannot get any electrons. The
conductivity is then zero, that is silicon must be an insulator. This is not so for finite
temperatures. For T> 0 the atoms have some thermal motion, they vibrate and that
vibration is sufficient to knocking out some electrons. Once an electron stops
participating in a bond, it is free to respond to an electric field, and is available for
conduction. So silicon may after all conduct electricity and deserves the name of
semiconductor. It cannot aspire to the title of full conductor because only a small
number of electrons are shaken off. Is the conductivity obtained in this way
II II II II II II
=0=0=0== =0=0=0=
" II •:~~?ron II " I 1/
=0=0=0= ==0=0=0=
1/ 1/ II II 1/ /I
=0=0=0= =0=0=0=
II II II II II II
4.14 An impurity atom with 4.15 An impurity atom with
five outer electrons uses three outer electrons needs
only four for bonding; the one more electron to
fifth can be removed with complete the bond
relatively little energy
sufficient for device applications? Mostly not. We must find a way to make our
material a somewhat better conductor. This is achieved by adding impurities.
Pure silicon consists of silicon atoms and of nothing else. An impurity atom in
silicon is anything that is not silicon. To achieve our purpose of increasing
conductivity we cannot of course add any impurities, they must be rather special
ones, namely those which have 5 or 3 electrons in the outermost shell.
We shall first illustrate the effect of an impurity (like antimony or arsenic) that
has 5 outer electrons. If such an atom occupies the place of a silicon atom then it
must conform to the bonding arrangement of the host lattice (that is silicon) and use
four of its electrons for bonding as shown in Fig. 4.14. What about the fifth
eiectron? Can it move away? Not at absolute zero temperature for it is still bound to
the parent atom but now even a little thermal vibration will break the fifth electron
free. There is no need now to break a bond; there is only one stray electron to shake
off, therefore even at room temperature, the thermal energy is sufficient to break
most of these electrons away. Our aim has been achieved; we can have a high enough
conductivity but even more important we can control the conductivity by varying
the amount of impurity added. This process is called doping and the finished
product is an extrinsic semiconductor. It contrast an undoped semiconductor is
referred to as being intrinsic.
If the impurity atom possesses 3 outer electrons the situation is fairly similar, but
there is one electron missing instead of having a surplus electron in the bond as
shown in Fig. 4.15. In order to complete the bond, one additional electron is badly
needed. Any free electron wandering that way is likely to be snatched or even worse,
the impurity atom might consider stealing an electron from one of its neighbours. In
either case the effect is that an electron disappears and an electron disappearing is
equivalent to a hole appearing. Thus doping with a three outer electron impurity
Eg------- Eg
donor
Eo------- levels
acceptor
EA levels
0------- 0
(a) (b)
4.16 (a) Donor levels in an n-type semiconductor. (b)-

Acceptor levels in a p-type semiconductor.
(like indium, aluminium or boron) we obtain a semi-conductor where electrical

conduction takes place via the good offices of holes.
4.6 Band theory explanation of extrinsic semiconductors
In this Chapter we have shown two approaches, the links between them have so far
been rather tenuous. We started with the assumption that energy is discrete and then
introduced the free electron theory and the band theory. Secondly we described the
behaviour of atoms in a solid, based on the properties of the outer electrons. The
first approach was very artificial as really it was based on mathematical solutions of
a differential equation without mentioning the differential equation. The second
approach was much more physical; one could actually imagine the fifth electron of
antimony breaking away from the parent atom. Has there been any link between
these two approaches? Yes, both of them suggested that silicon was an insulator at
absolute zero temperature and a semiconductor at finite temperatures. The
description of finite conductivity was also similar. In both cases the electrons got
free, but in the first approach by being excited from the valence into the conduction
band whereas in the second approach they break physically away by breaking a
bond.
It is much easier to introduce extrinsic semiconductors with the aid of the second
approach but we must express the same concepts in band theory parlance as well,
because this offers the key for understanding the operation of semiconductor
devices.
According to Section 4.4 we need a minimum amount of energy equal to the gap
energy for making an electron free. However this can no longer be true when
impurity atoms are present, because a tiny amount of energy must be sufficient for
raising the electron into the conduction band. So even if the band is ordinarily
forbidden, it is the only possible place for the energy levels of impurity atoms. They
must be just below the conduction band as shown in Fig. 4.16(a). They are called
donor levels because electrons are donated by the impurity atoms.
The creation of holes can be represented in a similar manner. A three outer

electron impurity would attract an electron and leave a hole behind. A tiny amount
of energy is sufficient to create a hole. But for each hole created an electron must be
removed from the valence band. Where to? Into levels in the forbidden band but this
time in the close vicinity of the valence band as shown in Fig. 4.16(b). They are
called acceptor levels because they accept electrons.
A real material will usually have both donors and acceptors present. However, one
type of impurity usually exceeds the other, and we can talk of impurity
semiconductors as n- (negative carrier) or p- (positive carrier) types according to
whether the dominant charge carriers are electrons or holes. If we had some silicon
with 10 20 atoms per cubic metre of indium, it would be a p-type semiconductor. If
we were to mix in 10 21 atoms per cubic metre of phosphorus, the electrons
donated by the phosphorus atoms would not only get to the conduction band but
would also populate the acceptor levels, thus obliterating the p characteristics of the
silicon and turning it into an n-type semiconductor.
4.6.1 Determination of the Fermi level

We can rely on one thing in an ordinary piece of ma terial, that it will look neutral to
the outside world. Hence the number of negative charges must be equal to the
number of positive charges. Considering only donor impurities we have one kind of
negative charge carriers, namely electrons, and two kinds of positive charge carriers,
holes and ionized donor atoms. Ionization means loss of an electron hence an
ionized donor atom is one that has lost its extra electron and thereby acquired a
positive charge. How many shall we have of each kind? Let us first look at electrons.
They will all reside in the conduction band. If Nc (E) gives the number of states at an
energy level E, and F(E) is the probability of occupation of a state at energy E, then
Nc(E)F(E) gives the number of occupied states at E, and if we sum the over all
energy levels in the conduction band we shall have the total number of electrons.
The total number of holes may be determined in a similar manner. We have to
count then the number of electrons missing from the valence band. Denoting by
Nv(E) the number of states at an energy level E, the number of unoccupied states at
energy E is
Nv(E)[1 - F(E)] (4.4)
and we get the total number of unoccupied states by summing all the states in the
valence band.
Next we need to determine the number of ionized donor levels. If the total
number of donor atoms is ND with energy levels at ED then the number of donor
~~---------------- Eg ~------------
ED
Eg _______ _
T
o~--------------~_
o T
(a) (b)
4.17 The variation of the Fermi level as a function of temperature for an

(a) n-type and (b) p-type semiconductor. The curves 1, 2, and 3
correspond to increasingly impurity concentrations. EFi is the
Fermi level of the intrinsic material
atoms still having their extra electrons is ND F(ED ) and the number of ionized donor
atoms is
ND [l - F(ED )]· (4.5)
Our equation expressing charge neutrality is then

~ Nc (E)F(E) = ~ Ny(E)[ 1 - F(E)] + ND[l - F(ED )] . (4.6)
conduction valence
band band
What is known and what is unknown in the above equation? Having chosen our
semiconductor we know Nc and Ny. The fype of impurity chosen gives ED and the
concentration of the impurity yields N D . Thus the only unknown appears to be the
F(E) function. According to Equation 4.1 it contains a constant k, the temperature
and the Fermi level. Knowing the temrerature the only unknown is the Fermi level,
which can be easily determined. How easily, depends on the mathematical abilities
of whoever attempts the solution. We shall not give the formulae here because even
in their simplest forms, they look unattractive. However, we have presented the
results graphically in Figs. 4.l7(a) and (b) for n- and p-type materials respectively.
At very low temperatures the excitation of an electron across the gap is negligible
and we can regard our materials as if they were intrinsic with gaps Eg - ED and
EA respectively. As the temperature increases the Fermi level gets nearer to the
middle of the gap. The dotted curves denoted by EF i give the Fermi levels of the
intrinsic material. And of course at sufficiently high temperature all extrinsic
semiconductors will behave like intrinsic ones. The reason is that once all the donor
atoms have been ionized further contributions are bound to come from electrons
excited across the energy gap. Since there is an enormous reservoir of electrons in
the valence band, at sufficiently high temperature they will swamp the electrons
donated by the donor atoms.
4.7 Dynamic equilibrium
The number of electrons, holes, ionized donor atoms and acceptor atoms are all
dependent on temperature. But even at a given temperature the number of carriers
will not always be the same. There will always be some fluctuations (as in all
physical processes) but note also that the equilibrium established is a dynamic one.
Electrons and holes are continuously created and destroyed. On the basis of this
argument (without using any complicated mathematics) we can derive an interesting
and important formula, often employed when evaluating the properties of
semi cond uctors.
We shall start with the assumption that electrons and holes can find each other
more easily when there are more of them present; so the rate of recombination, r,
must be proportional to the densities of holes and electrons, (denoted by p and n
respectively),
r=apn (4.7)
where a is a proportionality constant.

For an intrinsic material the number of electrons equals the number of holes
n =p = ni (4.8)
leading to
2
rintrinsic = ani· (4.9)
The rate of electron-hole generation must be the same

gin trin sic =an? . (4.10)
How is the rate of generation affected by impurity concentration? Since there is

about one impurity atom for one miliion host atoms, and thermal generation is a
consequence of breaking up the bonds of host atoms, we could argue that the rate of
generation remains the same for an extrinsic rna terial.
The rate of recombination for an extrinsic material is correctly given by Equation
4.7, hence by comparing Equations 4.7 and 4.10 we obtain the relationship
np = n?-1 • (4.11) .
conduction bond
(i) ( ii )
(iii )
valence bond
4.18 Three methods of obtaining

mobile charge carriers by
illumination: (i) band-to-band
transitions yielding an
electron-hole pair, (ii) ex-
citation from a donor level
into the conduction band,
(iii) excitation of an electron
into an impurity level
4.8 Non-equilibrium processes
In this Section we shall discuss cases where the equilibrium is perturbed owing to
illumination by light. One of the effects that may occur is emission of electrons
(termed photoemission) just as for metals. Another one is photoconduction when
the number of carriers available for conduction increases by a large factor.
The three possible processes of producing carriers for conduction are shown in
Fig. 4.18 (i) creating an electron-hole pair, (ii) exciting an electron from an impurity
level into the conduction band, (iii) exciting an electron from the top of the valence
band into an impurity level, thus leaving a hole behind.
Extra carriers are available for conduction as long as the semiconductor is
illuminated. When the light is switched off the number of carriers must fall gradually
to the equilibrium value. The time in which the extra density is reduced to 38 per
cent of its original value is called the lifetime of the carrier.
Assume now that only part of the semiconductor is illuminated; we then have a
region of high concentration next to a region of low concentration. This clearly is an
unstable situation, and by analogy with gases we may expect the carriers to move
from the higher to the lower concentration. This process is called diffusion. The
resulting current is the diffusion current, and this plays a significant role in the
junction devices discussed in the next chapter.
4.9 Conductivity and mobility
The simplest way to account for the flow of electricity in a solid is to introduce
conductivity, a, by the equation
J=aE ( 4.12)
where J is the current density and E the electric field. The conductivity is regarded
as a constant for a given material independently of the amplitude of the electric field
applied. this is a very good approximation for metals and quite a good one for
semiconductors.
We may now proceed, in analogy with ionised gases (Chapter 4, Vol. 1) and
assume that the conductivity is proportional to the densities of each species
a = e(nJ.Ln + PJ.Lp) (4.13)
where J.Ln and J.Lp are the mobilities of electrons and holes respectively, and can be
defined by the equations
Un = J.LnE, Up = J.LpE (4.14)
where un and up are the velocities of electrons and holes respectively.
Conduction in metals may for all practical purposes be described by a single
constant, conductivity. This is possible because the number of charge carriers in a
metal does not depend on temperature or impurities. In semiconductors the number
of carriers is not a constant; therefore two parameters (density and mobility) are
required for describing conduction properties.
4.10 Appendix: Some properties of the Fermi-Dirac distribution function
We shall analyse briefly the function

F(E) = {I + exp[(E -Ep )/kT] }-1 (4.15)
where k is a constant. Its value is k = 8.62 X 10- 5 eV/K quoted in units most
suitable for calculations. A useful thing to remember is that at room temperature
kT ~ 1/40 eV.
First let us look at the function at T = O. The result is simply
F(E) =1 E<Ep
for (4.16)
F(E) = 0 E>Ep.
Thus at absolute zero temperature all the available states are occupied up to Ep and
all the states above Ep are empty.
For electron energies above the Fermi level, so that
E-Ep ~kT (4.17)
the term unity in Equation 4.15 may be neglected, leading'to
F(E) ~ exp [-(E -Ep )/kT] (4.18)
that is for sufficiently large energies the Fermi-Dirac distribution function varies
exponentially. *
For electron energies below the Fermi level, so that
Ep -E~ kT (4.19)
Equation 4.15 may be approximated by
F(E) ~ 1 - exp[(E - Ep )/kT] (4.20)
that is the probability of a state being occupied is very close to unity. Alternatively,
we may say that the probability of non-occupation (that is a state being empty)
varies exponentially.
In the range E ~ Ep the distribution function changes rather abruptly from nearly
unity to nearly zero. The rate of change depends on kT. For absolute zero
temperature the change is immeasurably fast; for higher temperatures it is more
gradual. We may take this central region as between F(E) = 0.9 and F(E) = 0.1. The
width of the region comes out then (by solving Equation 4.15) to about 4.4kT.
*The same as the classical Maxwell-Boltzmann distribution. For this reason it is often referred to
as the 'Boltzmann tail',
semioonduo~or
devioes
L. SOLYMAR
5.1 Introduction
Semiconductor devices have been employed in electrical and electronic engineering

for a long time. The best example is probably graphite which is used for both
brushes and microphones. The semiconductor revolution is, however, of more recent
origin; it started in the immediate post-war years with great leaps forward in
technology. First came the production of pure material, then controlled doping,
then p-n junction and finally, the crowning success, the transistor. Other
semiconductor devices have followed in due course but so far none have outshone
the transistor.
The latest revolution, microelectronics, has been left for the next Chapter; here
we shall attempt to explain the basic principles of the operation of semiconductor
devices. These devices are too numerous for individual consideration, but by
discussing the more typical ones we aim to show the richness of ideas, the variety of
approaches, and the versatility of the products.
In previous Chapters we have touched upon the emission process from a hot
cathode and discussed the useful services electrons can perform on their journey
from cathode to anode (in low frequency tubes), and from cathode to collector (in
microwave tubes). The interaction between electrons and electric fields that
determine the operation of these devices is anything but simple. Are we going to be
better off with solid state devices? Is it easier to understand their operation? The
answer is a tentative yes. Having reconciled ourselves to the existence of two
separate kinds of charge carriers, and having accepted the phenomena caused by
their interplay, the actual operation of devices can be followed without too much
difficulty.
In the field of microwave tubes all the ingenuity of Man was required to build
some useful devices. Ingenuity is still a necessary requisite when the charge carriers
happen to be contained by a solid, but the act of creation takes a different form; it
61
(0)
p n
(b)
CI> Pp
C nn
lI!
.!'!
~t
~
np
Pn
~
(e)
x
)0
5.1 (a) A p-type and an

n-type material in
contact, (b) the
variation of electron
and hole densities as a
function of distance.
(c) The variation of
electric field as a
function of distance
is more like recognition than invention. Complexity is supplied by Nature; the

operations required of Man are, a little synthesis and a lot of exacting technology.
5.2 The p-n junction
The simplest semiconductor device is a junction, consisting of an n-type and a p-type

semiconductor joined together as shown in Fig. S.l(a). First let us imagine them
apart and recapitulate what sort of charge carriers they possess. The p-type material
contains holes, negatively charged acceptor atoms and very few electrons. The
n-type material contains electrons, positively charged donor atoms and very few
holes. Electrons and holes are mobile charge carriers; they move under the effect of
a force. Donor atoms and acceptor atoms are immobile; they are kept in their places
by forces in the solid.
Now put the two pieces together. At the moment of contact the electrons will
rush over into the p-type material and the holes into the n-type material. The reason
is diffusion; both carriers make an attempt to occupy uniformly the space available.
The first thing that happens is that electrons and holes collide head on and
recombine. So part of the mobile carriers immediately disappears depleting the
63 SEMICONDUCTOR DEVICES
8 8 8 e e e
8 8 8 e e e
8 8 8 e e e
5.2 Positively charged donor atoms
and negatively charged acceptor
atoms in the depletion region
region in the immediate vicinity of the junction. However the positively charged
donor atoms and the negatively charged acceptor atoms will remain, as shown in
Fig. 5.2. The opposing charges set up an electric field that prevents further motion
of the mobile carriers and equilibrium is reached.
Let us see how the mobile carrier densities vary as a function of distance. Far
away from the junction the density of holes is Pp in the p-type material and Pn in
the n-type material. The change from one value to the other value will obviously
take place in the vicinity of the junction (called the transition or depletion region)
and will be some sort of smooth function as shown in Fig. 5.1 (b).
How will the electric field look? It will differ from zero only in the depletion
region. It will increase on the p-side owing to the negative charge of the acceptor
atoms and decay at the other side of the junction under the influence of the
positively charged donor atoms.
Will the depletion region be situated symmetrically around the metallurgical
junction? Not, in general. Fig. 5.1(c) shows an asymmetric arrangement due to our
assumption that Pp > nn. Could we work out the values of Xn and xp in Fig. 5.1 (c)?
We could with the aid of a few simple integrations, but we shall refrain from doing
so in order not to interrupt the physical argument (and of course some of the
readers may not be fond of integration). However it would be quite easy to
determine the ratio of Xn to xp. We could start with the assumption that the
depletion region is completely depleted of mobile carriers. Then the total amount of
negative charge is xp N A, and the total amount of positive charge is xnND where N A
and ND are the densities of charged acceptor atoms and donor atoms respectively.
The condition of overall charge neutrality is
(5.1)
which gives immediately
~E. =Nn (5.2)
Xn NA
Since in our chosen example Pp > nn that is N A > Nn it follows from Equation
(l.2)thatx p >x n .
(0) p n
p n
(0) _ _ _-il :
(b)
1 1
_ _ _ _ conduction bond r1 1
11--_ __
- - - - - - - - donor levels
-_ ........... _... Fermi level :-:-:-:::::.:.-~ ---j' .<-:-:. _.-... ::
Fermi leve!.. .......... _..... _ 1 1
1
acceptor levels- - - - - - - -
f - I _ __
- - - - valence bond 1 1
(b) 1 1
N
1 I
5.3 (a) A p-type and an n-type material before contact (c)
and (b) their energy diagrams leVa
----1,~
i~:. . ---
;
5.4 (a) A p-type and an

n-type material in
contact. (b) Matching
of the Fermi levels.
(c) Energy diagram of
the p-n junction
5.2.1 Description in terms of band theory

An alternative way of describing the properties of p-n junctions is by appealing to
band theory and to some of the other theorems mentioned in Chapter 4.
When the two materials are not in contact (Fig. 5.3(a)) we can draw the two band
structures and Fermi levels separately (Fig.5.3(b)). For the p-type material the
Fermi level is in the vicinity of the valence band, and for the n-type rna terial it is
near to the conduction band. When we bring the two materials into contact
(Fig. 5.4(a)) the Fermi levels must agree as mentioned in Section 4.3, the result
being shown in Fig. 5.4(b). The energy of an electron at the bottom of the
conduction band is higher on the left hand side than on the right hand side. This
represents a real energy difference. If we want to move an electron from the n- into
the p-type material we have to perform work equal to e Vo.
What happens in the transition region? It makes sense to assume that the energy
will monotonously decrease from the higher to the lower value as shown in
Fig. 5.4(c).
The eqUilibrium in the p-n junction can be described as a dynamic one in terms
of opposing currents. In the p-type material there are only a few electrons so we
could say that all of them sit at the bottom of the conduction band. Since an
electron can lower its energy by moving over from the p-type into the n-type
material it will roll down the slope as a billiard ball would. So there will be a flow of
electrons from left to right proportional to the density of electrons in the p-type
material.
SEM ICONDUCTO R DEVICES 65
~ ~
~~ ~~.1
~,, __ ]:~_le~
~--- (0)
5.5 The energy diagram of a p-n junction for

(a) forward bias, and
(b) reverse bias
In, left to right '" np . (5.3)

The electrons in the n-type material being the majority carriers are very
numerous. So although most of them will be sitting at the bottom of the conduction
band there will still be a considerable number with energies in excess of e Vo. It is
the number of these electrons that will determine the electron flow from right to
left. If the calculations are done properly one gets the result that the right to left
current is proportional to exp( -e Vo ),
In, right to left '" exp(-e V o ) (5.4)
In equilibrium, in the absence of any applied voltages, the two currents must
balance each other.
5.2.2 Rectification
Let us now apply a voltage as shown in Fig. 5.5. In the transition region the
conductivity is low therefore nearly all of the applied voltage will drop across that
region. Then depending only on the polarity, the potential barrier between the p and
n regions will decrease or increase. If the p-side is made positive (Fig. 5.5(a)) the
potential barrier is reduced and we talk of forward bias. The opposite case
(Fig. 5.5(b)) is known as reverse bias; the p-side is then negative and the potential
barrier is increased.
It is fairly obvious that the number of electrons flowing from left to right is not
affected in either case. The same number of electrons will still roll down the hill as
in equilibrium. The flow of electrons from right to left is, on the other hand,
seriously affected. For reverse bias it will be reduced and for forward bias it will
significantly increase. So we can see qualitatively that the total current-flowing for a
voltage VI will differ from the current flowing at a voltage - VI. This is what is
meant by rectification.
5.6 The current as a function

of applied voltage for a
p-n junction
It is not difficult to derive the mathematical relationships as we have practically

everything ready. The current from left to right is the same; let us denote it by 10 •
The current from right to left may be obtained by putting e(Vo - V l ) in place of
eVo in Equation (5.4). At V l = 0, this current is equal to 10 (the equilibrium case)
and increases exponentially with V l ; that is
I n, right to left = 10 exp(e V l /kD (5.5)
Hence the total current
In = In, right to left - In, left to right
= 10 [exp(eVdkD - 1] (5.6)
which is known as the rectifier equation; it is plotted in Fig. 5.6. For negative values
of V l the total current tends to 10 but there is an exponential increase of current
with forward voltage.
5.2.3 Injection
In thermal eqUilibrium the number of electrons moving towards the left is equal to
the number of electrons moving towards the right. However, when a forward bias is
applied, the number of electrons poised to move left is increased by a factor
exp (eV l /kD. This is quite large; for an applied voltage of 0.1 V the exponential
factor is about 55 at room temperature. Thus the number of electrons appearing at
the boundary of the p-region is 55 times higher than the eqUilibrium concentration
of electrons there.
What happens to those electrons? When they move into the p-region they become
minority carriers, rather like immigrants travelling to a new country suddenly
become foreigners. But instead of mere political friction, the electrons' ultimate
fate is annihilation. As they move inside foreign territory the likelihood of meeting a
hole increases, whereby both particles disappear from the stage. Hence the electron
SEMICONDUCTOR DEVICES 67
junction
t
I 1 - 1 -_ __ II total current
- ---
log ne : (iii)
® I ® ,. .....
~
(vil.../
® /
/ 0
/
/
(v)
-------
I
..x
5.7 The electron distribution
in a forward biased p-n 5.8 The current distribution in a forward biased p-n
junction junction
concentration in the p-region will be a function decaying away from the junction as
shown in Fig. 5.7. The electron density declines but not very rapidly. A typical
distance is about I mm, which is about a thousand times larger than the width of the
transition region.
Let us go back to the plight of the holes. They are there in the p-type material to
neutralise the negative charge of the acceptor atoms (disregarding for the moment
the small concentration of minority carriers). But how will space charge neutrality
be ensured when electrons are injected? It can be done in only one way; wherever
the electron density is increased, the hole density must increase as well. And this
means that new holes must move in from the left to ensure charge neutrality. Hence
the current of electrons and holes will be made up of six constituents as shown in
Fig. 5.8. (i) The electron current flowing in the n-type material providing the
electrons to be injected into the p-type material. It is constant in the n-region. (ii) A
declining current of injected electrons in the p-region. The current declines because
the number of electrons becomes less and less as they recombine with the holes.
(iii) The current of holes in the p-region to provide the holes to be injected into the
n-region. We have not discussed this because the injection of holes is entirely
analogous to the injection of electrons. (iv) A declining current of injected holes in
the n-region. The current declines because of recombination with electrons. (v) A
declining current of holes in the p-region to compensate for the holes lost by
recombination. (vi) A declining current of electrons in the n-region to compensate
for the electrons lost by recombination. Adding up it may be seen that the total
current is constant, as it should be.
It needs to be emphasised that the current in a p-n junction is quite different
from the current encountered in a homogeneous material. When we apply a voltage
to a piece of metal all that happens is that the electrons, which are already there,
acquire some ordered motion. When a forward bias is applied to a p-n junction,
minority carriers get injected into both regions. These minority carriers were not
originally there in such high density; they appeared as a consequep.ce of the applied
voltage.
ClpF)
60
40
20
li~
1 (volt)
__~__~__~__~O
-6 -4 ~ 0
5.9 Capacitance of a
commercially available
junction diode as a
function of applied
voltage
The distinction between ordinary conduction and minority carrier injection is

important. It is the latter which makes transistor action possible.
5.2.4 Junction capacitance

In a charged capacitor, positive and negative charges oppose each other. When an
additional small voltage is applied the amount of charge on the capacitor will
increase or decrease depending on the polarity of the applied voltage. The situation
is rather similar in a p-n junction. Positive and negative charges face each other
across the junction as it was shown in Fig. 5.2. When a small forward bias is applied,
carriers are injected and the region, which can be regarded as being deplete of mobile
carriers, decreases. For reverse bias the carriers recede from the junction, exposing
charged impurity atoms.
What matters is that an application of voltage is accompanied by a corresponding
change in charge. So we are entitled to regard the p-n junction as a capacitance;
moreover it is a capacitance dependent on voltage, as shown in Fig. 5.9 for a
commercially available junction diode.
5.3 The transistor
The transition from a rectifying junction to a transistor is the same kind as the one
from a vacuum diode to a triode. If it is possible to develop an amplifier by inserting
a control electrode between the anode and the cathode then one should also be able
to build a semiconductor amplifier by somehow controlling the flow of charge
carriers. This was the aim of the team at Bell Telephone Laboratories and the
product was the transistor, the most remarkable device of the century. It has a
history of no more than 25 years but in that time it has conquered the world,
.eu
~
~
~ CI>
.!!:!
(a)
°E
CI>
11\
0
.a "0
u (b) signal
input
5.11 The common base amplifier
5.10 (a) A p-n-p transistor with its bias

arrangement, (b) the u;ual symbol of a
p-n-p transistor
forming the basis of both the pocket radio and the giant computer, to mention just
two applications.
The principles of operation of the transistor are fairly easy to understand if one is
familiar with the properties of p-n junctions. A transistor may be regarded as two
p-n junctions (one forward biased and one reverse biased) connected back to back
as already mentioned in Chapter 2 of Volume 2.
A p-n-p transistor with its bias arrangement and usual symbol are shown in
Fig. 5.10. The first p-n junction is forward biased, injecting holes into the n-region.
Since the holes are emitted by the p-region it is called the emitter. The notation for
the thin n-region in the middle is less logical, it is called the base. Since the holes are
pouring in from a high concentration region the dominant conduction mechanism is
diffusion. Thus if the n-region is sufficiently thin (~ 1 mm) only a small number will
recombine in the base region (thus giving rise to a base current); the large majority
of holes will travel across the n-region into the second p-region known as the
collector. They see a negative voltage (the base-collector junction is reverse biased)
and carryon happily towards the battery. Thus the collector current is only slightly
smaller than the emitter current. Their ratio is an often used parameter
collector current
a= (5.7)
emitter current
The transistor has three terminals, accordingly it may be used in three different
configurations with one of the terminals common. Let us look at the common base
amplifier (Fig. 5.11) first because conceptually it is the simplest. The input
impedance of the circuit containing a foward biased p-n junction is obviously low
thus a small voltage is sufficient to create an appreciable emitter current. The output
circuit is a high impedance circuit hence the current appearing can provide a high
voltage if made to flow through a large load resistance. Thus the voltage
amplification may be high although the current amplification is a little-below unity.
Let us look more closely at the relevant resistances. Looking at the terminals A
and B we find: (i) the resistance of the emitter, (ii) the resistance of the junction,
ai~
I•
.m~~} (a) (b) ( c)

collector emitter
(d)
collector
5.12 The construction of the equivalent circuit of a transistor in the common base circuit
and (iii) the resistance of the base. In a practical case the emi tter is highly doped so
its resistance may be neglected. We are left then with re (called misleadingly the
emitter resistance; it is in fact the resistance of the junction) and rb (not negligible
because the base is made of lower conductivity material and it has small physical
dimensions) forming the input circuit shown in Fig. S.l2(a).
What is the resistance of the output circuit? We must be careful here. The
question is how will the a.c. collector current vary as a function of the a.c. collector
voltage? According to our model the collector current is independent of the
collector voltage; it is equal to aie where ie is the emitter current. Hence our
equivalent output circuit must simply consist of the current generator shown in
Fig. S.12(b). In practice the impedance turns out to be less than infinite (a few
hundred thousand ohms is a typical figure); so we should modify the equivalent
circuit as shown in Fig. S.12(c). Having both the input and output circuits we can
join them* to form the equivalent circuit of the common base transistor
(Fig. S.12(d)).
We have not included any reactances. Can we say anything about them? Yes, we
can. We know that a reverse biased junction has a certain capacitance so that should
appear in the output circuit in parallel with rc. The other important reactance, the
so called diffusion reactance can also be explained qualitatively without any
recourse to mathematics.
Let us consider the injection of holes into the forward biased p-n junction.
Applying a step voltage in the forward direction the number of holes able to cross
into the n-region suddently increases. Thus in the first moment, when the injected
holes appear just inside the n-region, there is an infinite gradient of hole density,
leading to an infinitely large diffusion current. As the holes diffuse into the n-region
the gradient decreases, and finally the current settles down to its new stationary
value as shown in Fig. S.13. But this is exactly the behaviour one would expect from
a capacitance in parallel with a resistance. Thus when we wish to represent the
variation of emitter current as a function of emitter voltage we are entitled to put in
*This exceedingly simple construction cannot be done in general but is permissible in the present
case when rc »rb.
Q; 1----1
.~
(0) (b)
5.13 The emitter current as a function of time when the

emitter voltage is suddenly increased. It looks like
the current response of a parallel RC circuit
emitter collector
5.14 A good approximation to the

high-frequency equivalent circuit
of a transistor in the common
base circuit
a capacitance. This is not a real, capacitance; it just looks as if it were a capacitance

but that is all that matters. When drawing the equivalent circuit we are interested in
appearance only.
Including both capacitances we can form the equivalent circuit of Fig. 5.14. We
are nearly there. There is one more important effect to consider: the frequency
dependence of 01.. It is clear that the collector current is in phase with the emitter
current when the transit time of the carriers across the base region is negligible but
when the transit time is comparable with the period of the a.c. signal we have all the
complications discussed in Chapter 2, in connection with vacuum tubes. Thus if the
frequency is high enough the transistor stops being a useful device because of transit
time effects. There is however a range of frequencies in which a transistor still works
but the value of 01. modifies to
01.0
01.=--"-- (5.8)
1 + jw/w cx
where wa is called the alpha cut-off frequency. The corresponding equivalent circuit
is obtained by replacing 01. in Fig. 5.14 by that given in Equation (5.6). And that is as
far as we go. Our final equivalent circuit represents fairly well the frequency
dependence of a commercially available transistor in the common base circuit.
5.15 The common emitter

amplifier
collector
(a) (b) (c)
5.16 An approximate equivalent circuit of the common emitter ampli-

fier
The main disadvantage of the common base circuit is that cascading is difficult
owing to the vastly different input and output resistances. The circuit used most
frequently is the common emitter one; its equivalent cuicuit may be constructed
from that of the common base circuit. If an equivalent circuit is calculated for one
set of terminals it may easily be calculated for another set - provided one is well up
in the theory of four-terminal networks. We shall not do the calculations, firstly,
because it is boring and secondly, because in this volume we are mainly concerned
with the physical foundations. However we shall set up an approximately equivalent
circuit based on some physical arguments.
The common emitter amplifier is shown in Fig. 5.15. The biasing of the input
circuit is achieved by a current generator where Ib and Ie denote the d.c. currents.
The a.c. input is represented by ib. We may argue that the input circuit may be
looked at separately and represented by a single resistance* hie as shown in
Fig. 5.l6(a). The output (collector) current is ie that may be written in the form**
(5.9)
Hence the output circuit may be represented by a current generator as shown in

Fig. 5.l6(b). The input and output circuits together (Fig. 5 .16( c)) form one of the
most used equivalent circuits.
*It is unusual to denote a resistance by the letter h; we do it here because in the case of the so
called hybrid parameters (see Chapter 2, vol. 2 for more details) this is the accepted notation.
**h fe is another one of the hybrid parameters.
conduction
i118
I---+....:...._..J....~
bond
valence
bond
conduction
bond
va lence
bond
5.17 Energy diagrams for a junction between a

metal and an n-type semiconductor
(¢M> <p) S), (a) before contact, (b) after
contact the Fermi levels agree (EM = EFS).
5.4 Metal-semiconductor junctions
Junctions between metals and semiconductors had been used in radio engineering
for many years before the distinction between p- and n-type semiconductors was
appreciated. The behaviour of metal-semiconductor junctions is more varied than
that of p-n junctions. We find that there are differences in behaviour, on the one
hand with p- and n-type semiconductors, and on the other, when the metal work
function is greater or lesser than that of the semiconductor.
First we shall consider the case of the n-type semiconductor in contact with a
metal whose work function is greater than that of the semiconductor. The
semiconductor work function is defined as the energy difference between the Fermi
energy and the vacuum level. The fact that there are usually no electrons at the
Fermi energy need not bother us - we do not have to explain definitions.
The band picture of the two substances looks like Fig. 5.17(a). When they are
joined together we may apply our general theorem and make the Fermi levels equal.
Thus we may start the construction of Fig. 5.17(b) by drawing a horizontal line for
the Fermi energy, and a vertical one for the junction. We leave the metal side
unchanged because we assume that 'band-bending' cannot occur in a metal. We are
really saying that all the potential drop will take place in the semiconductor, which,
in view of the much smaller number of carriers there, is a reasonable assumption.
Away from the junction we draw the valence band edge, the conduction band edge,
and the vacuum level in the same position (relative to the Fermi level) as the bulk
material, Fig. 5.17(a). These are shown as solid lines. Now with an infinitely small
gap the vacuum levels are equal; thus we may join them with a dotted line,
...........1.
e
5.18 The junction of Fig. 5.17 under

forward bias. The potential
barrier for electrons on the
semiconductor side is reduced
byeV l
Fig. 5.17(b). The conduction and valence band edges must also be continued parallel
to the vacuum level.
What can we say about the charges? In the first instance, when the metal and the
semiconductor are brought together, the electrons from the conduction band cross
over into the metal in search of lower energy. Hence a certain region in the vicinity
of the junction will be practically deplete of mobile carriers. So once again we have a
depletion region and its accompanying potential variation, which is, the same thing
as the 'band-bending' obtained from the band picture. So the two pictures are
complementary to a certain extent. In the first one the 'band-bending' is a
consequence of the matching of the Fermi levels and vacuum levels, and the charge
imbalance follows from there. In the second picture electrons leave the semi-
conductor, causing a charge imbalance and hence a variation in the potential energy.
Whichever way we look at it, the outcome is a potential barrier between the metal
and the semiconductor. Note that the barrier is higher from the metal side.
In equilibrium the number of electrons crossing over the barrier from the metal to
the semiconductor is equal to the number crossing over the barrier from the
semiconductor side. We may say that the current /0 flows in both directions.
If we apply a voltage the electrons' potential energy on the semiconductor side
will go up or down according to the polarity. For a forward bias it goes up, which
means that we have to draw the band edges higher. But the vacuum level at the
junction stays where it is. So the effect of the higher band edges is a smaller
curvature in the vicinity of the junction and a reduced potential barrier, as shown in
Fig. 5.18. Now all electrons having energies above cf>M - cf>s - eV l may cross into
the metal, so it follows (in analogy with the case of the p-n junction) that the
number of carriers (capable of crossing from the semiconductor into the metal) has
increased by a factor exp(eV l /kT), and hence the current has increased by the same
amount. Since the current from the metal to the semiconductor has not changed,
the total current is
/=/o[exp(eVl/kT) - 1] (5.10)
A junction of this type is a rectifier.
conduct ion
~s band
conduc tion
band
........ .......... . EFS
valence
valence band
band
Ca l Cb)
5.19 Energy diagrams for a junction between a metal and an n-type semiconductor
(¢M > ¢s), (a) before contact, (b) after contact the Fermi levels agree (EFM =EFs)
What happens when the work function of the metal is smaller than that of the
n-type semiconductor? The situation before and after contact is illustrated in
Fig. 5.19. Now to achieve equilibrium, electrons had to move from the metal to the
semiconductor, establishing there an accumulation region. There is no potential
barrier from whichever side we look at the junction, and as a consequence the
current flow does not appreciably depend on the polarity of the voltage. This
junction is not a rectifier.
5.4.1 The role of surface states

The theory of metal-semiconductor junctions as presented above is a nice, logical,
consistent theory that follows from the physical picture we have developed sc far. It
has, however, one major disadvantage; it is not in agreement with experimental
results, which seem to suggest that all metal-semiconductor junctions are rectifiers
independent of the relative magnitudes of the work functions. This does not
necessarily mean that the theory is wrong. The discrepancy may be caused by the
physical realisation of the junction. Instead of two clean surfaces lining up, there
might in practice be some oxide layers and the crystal structure might also be
imperfect. This may be one of the reasons why 'real' junctions behave differently
from 'theoretical' junctions. The other reason could be that the theory, as it stands,
is inadequate and to get better agreement with experiments we must take into
account some hitherto neglected circumstance.
The circumstance, one is apt to forget, is that band theory in its simplest form is
valid only for bulk materials, for materials that are homogeneous. If the effect of a
free surface is included into the theory, it turns out that some states (called surface
states) can have energies in the energy gap. This is not unlike the case of impurities.
Then additional states were permissible because the bulk material was impure; now
additional states are permissible because we are considering the surface of the
material and not its bulk.
~onduc"o band
5.20 In a real semiconductor

electrons may occupy strrface
states. The donor atoms left
behind have a positive charge
which leads to the 'bending' of
the band
Assuming now an n-type semiconductor some of these surface states may be

occupied by electrons that would otherwise be free to roam around. Some of the
donor atoms will therefore have uncompensated positive charges leading to
'band-bending' as shown in Fig. 5.20. Thus the potential barrier is already there
before we even think of making a metal contact.
What happens when we do make contact between the semiconductor and the
metal? Let us choose the case when the metal has the lower work function and
when, according to our previous theory the junction is not rectifying. Then, as
agreed electrons must flow from the metal to the semiconductor until eqUilibrium is
established. But if there are a sufficient number of empty surface states still available
then the electrons will occupy these without much effecting the height of the
potential barrier. So the potential barrier stays and the junction is rectifying.
It would be difficult in a practical case to ascertain the share of these 'theoretical'
surface states in determining the behaviour of the junction, because surface
imperfections are also there and can trap electrons equally well. However, it seems
certain that it is the surface effects that make all real metal-semiconductor junctions
behave in a similar manner.
Finally, there is a class of metal-semiconductor contacts whose behaviour is
independent of the polarity of the applied voltage. They are called ohmic contacts*
and are used mainly for connecting a semiconductor device to the outside world.
The basic principle is to create some sort of transition (e.g. by diffusing metal into
the semiconductor or by very high doping) between the metal and the semi-
conductor.
*Not a very good name because it suggests to many people that voltage across the junction is
proportional to current. In fact there is a voltage drop at zero current that remains unchanged
when the current increases.
valence
band
(a) Thermal equilibrium (b) Reverse bias (c) Forward bias (d) Forward bias
(e) Forward bias 5.21 Energy diagrams for the tunnel diode
I I I
rect ify ing current V tunne lling current V total current v

(a) (b) (cl
5.22 The current as a function of applied voltage in a tunnel diode, (a) rectifying current,
(b) tunnelling current, (c) total current
5.5 The tunnel diode
So far we have considered impurity semiconductors with impurity contents, of less

than one part per million. The Fermi levels considered so far have all been within the
0liergy gap. However, when the impurity level becomes very high (about 10 24 1m 3 or
about 0.01 %) the Fermi level moves right up into the conduction band (or down
into the valence band for a p-type impurity). The semiconductor is then said to be
'degenerate'. The tunnel diode is the only device we shall discuss in which
degenerate semiconductors are used on both the p- and n-sides of the junction. The
energy diagram of such a diode at equilibrium is given in Fig. S.21(a). It is interesting
to see that the 'built-in' potential is larger than the energy gap; thus the number of
--.
5.23
(a) A marble given insufficient initial (b) The marble moves to the other
velocity cannot move across the side of the hill with the aid of a
hill tunnel
electrons crossing over the potential barrier must be small. Hence 10 in the rectifier
equation is small and the rectifying characteristic is elongated, as shown in
Fig. S.22(a).
What happens if we apply a reverse bias? The energy diagram wi11look like that of
Fig. 5.21 (b), and the corresponding current should be negligible. In fact, it is not
negligible because a new mechanism of electron flow appears: this new mechanism is
called tunnelling. The current from left to right consists not only of the electrons
rolling down the hill but also of those crossing directly from the valence band of the
p-type material into the conduction band of the n-type material. How this is possible
remains one of the mysteries of modem physics. According to a theorem of
quantum mechanics there is a certain probability that a particle may overcome a
potential barrier and appear at the other side of the barrier with the same energy.
Classically, this is nonsense. If we give a marble insufficient initial velocity it will
never be able to move across a hill, as shown in Fig.S.23(a). The quantum
mechanical view is different. Even if the marble has only sufficient energy to reach
point M, it will appear (Fig. S.23(b)) at the other side of the hill just as if it had
passed through a tunnel. Naturally, the barrier has to be very narrow for the tunnel
current to be appreciable but this is exactly what happens in a highly doped p-n
junction where the barrier width is no more than a small fraction of a micrometer.
If one makes a detailed calculation, under the conditions mentioned there will be
a fairly high reverse current, and of course the same applies in case of a forward bias
(Fig. 5.21 (c)). Now the electrons tunnel from the filled states on the right to the empty
states on the left. Increasing the applied voltage increases the number of states on
the p-side available for tunnelling and thereby increases the current. Maximum
current flow occurs when electrons on the n-side have access to all the empty states
on the p-side, that is, when the Fermi level on the n-side coincides with the valence
band edge on the p-side. (Fig. S.21(d)).
A further increase in the bias will produce an increase in the number of electrons
opposite the forbidden gap. They cannot tunnel because there are no energy levels.
Therefore the current must decrease, reaching zero when the top of the valence band
on the p-side coincides with the bottom of the conduction band on the n-side.
Fig. S.2l(e). Therefore the plot of current against voltage will look like Fig. S.22(b).
This is not the total current but the current due to tunnelling alone. We can
calculate the total current by simply taking the algebraic sum of the currents as
plotted in Fig. S.22(a) and (b). This procedure is permissible because the two
mechanism are independent of each other. Performing the addition we get the I-V
characteristics Fig. S.22(c), which can be measured on a real tunnel diode.
Why is a tunnel diode a useful device? The answer follows from the I-V
characteristics. There is a region where the slope is negative which is usually referred
to as a negative resistance.
Positive resistances were amply discussed in Chapter 1 of Vol. 2. They dissipate
energy, therefore their presence in an L-C circuit leads to the decay of the
oscillating current. If we insert a negative resistance equal to the positive resistance
into the resonant circuit, the total resistance becomes zero. Once an oscillation is
started it will continue for ever. All the energy dissipated by the positive resistance
in the form of heat is replenished by the negative resistance.
Have we violated the principle of energy conservation? No, because the circuit
providing the negative resistance is an active circuit, it contains a power source. The
tunnel diode needs to be biased with a battery to the point A as in Fig. S.22(c). The
power to overcome the circuit losses comes from this battery.
If the magnitude of the negative resistance is greater than the loss resistance, the
oscillation will not only persist, it will grow. Fig. S.22(c). Its magnitude will, of
course, be limited because the tunnel diode can be a negative resistance for only a
finite voltage swing (about 0.2 V). So, given a negative resistance, circuit engineers
can make oscillators and amplifiers. The particular advantages of tunnel diodes is
that their junctions are thin, their carrier transit times are shorter than in a transistor
and they can operate up to a very high frequency (about 10" Hz). Owing to the
inherently low voltages used they are limited to low power operation.
5.5.1 The backward diode

This is essentially the same as the tunnel diode only the doping is a little lighter. It is
called a backward diode because everything is the other way round. It has low
impedance in the reverse direction and high impedance in the forward direction, as
shown in Fig. 5.24.
The secret of the device is that the doping is just that much lighter, causing the
band edges to line up (the top of the valence band on the p-side to coincide with the
bottom of the conduction band on the n-side) at zero bias. Hence for a forward bias
there is no tunnelling, just the normal flow which is very small. In the reverse
direction, however, a large tunnelling current may flow.
I I
v v
5.24 The current as a 5.25 The current voltage

function of voltage characteristic of a p-n
for a backward diode junction showing the
sudden increase in
current at a specific value
of reverse voltage
The backward diode is a very efficient rectifier (of the order of one to a
thousand) for low voltages. For higher voltages, of course, the 'forward' current may
become significant.
5.6 The Zener diode and the avalanche diode
Let us see what happens to a p-n junction at higher voltages. In the forward
direction the current goes on increasing, and eventually the diode is destroyed
because more energy is put in than can be conducted away. This is a fascinating
topic for those engineers making high-power rectifiers, but as far as new principles
are concerned it is of limited scientific interest.
There is considerably more interest in the reverse direction. It is an experimental
fact that breakdown (a sudden increase of current) occurs very sharply at a certain
reverse voltage as shown in Fig. 5.25. Since the 'knee' of this breakdown curve is
much sharper than the current rise in the forward direction, and since the knee
voltage can be controlled by the impurity levels, this effect has applications
whenever a sudden increase in current is required at a certain voltage. The diode can
therefore be used as a voltage stabiliser or a switch. The latter application has the
further advantage of a fast as well as sharp breakdown.
This breakdown may occur by two distinct mechanisms: (i) Zener breakdown,
(ii) avalanche breakdown.
(i) At low reverse bias there is only the flow of minority electrons from the p-side
to the n-side. As the reverse bias is increased, at a certain voltage the bands begin to
overlap, and tunnelling current may appear. But Zener diodes (in contrast to tunnel
diodes and backward diodes) are designed in such a way that practically no
(0) avalanche
breakdown
valence
bond
(bl
5.27 The mechanism of Zener

valence cond uc! ion and avalanche break-
bond bond
down
5.26 A heavily doped p-n

junction (a) in thermal
equilibrium, (b) at
reverse bias. The width
of the potential barrier
decreases as the reverse
bias is increased
tunnelling occurs when the bands just overlap because the potential barrier is too
wide Fig. 5.26(a). However, as the reverse bias is increased the width of the barrier
decreases (Fig. 5.26(b) leading - above a certain voltage - to a very rapid rise in
current.
(ii) Avalanche diodes differ from Zener diodes by having a smaller impurity
density. The depletion layer is then wider and the Zener breakdown would occur at
a considerably higher voltage. However, before the tunnelling current has a chance
to become appreciable, another mechanism takes over. This - very aptly - is
designated by the word avalanche.
The mechanism of avalanche breakdown may be explained as follows. Electrons
accelerated by an electric field acquire a certain kinetic energy which they lose in
their collisions with atoms. At a sufficiently high electric field an electron may
take up enough energy to ionise a lattice atom, that is to knock out an electron,
which is equivalent with creating an electron-hole pair. The newly created electrons
and holes may in turn liberate electron-hole pairs, so initiating an avalanche.
It should be noted that these two mechanisms are quite different, as clearly seen
in Fig. 5.27. In both cases the electron moves from the valence band of the p-type
material into the conduction band of the n-type material, but for Zener breakdown
it moves horizontally whereas for avalanche breakdown it must move vertically.
Although the mechanisms are different in theory in practice it is difficult to
Q (a) (e)
,.
t
d
(b) (d)
)-
t
5.28 Illustration of the basic principles of parametric amplification
distinguish between them, because diode break down is the only experimental result
in both cases. For most practical purposes this is not a disadvantage. All that matters
is the rapid increase in current, whatever its cause.
5.6.1 Microwave emission

Avalanche diodes may also be used for generating microwaves. The principle of
operation (as for most microwave oscillators) is fairly complicated. The essential
thing is that during the avalanche process and the subsequent drift of the created
carriers, the current and the electric field are not in phase with each other. By
judicious choice of the dimensions of the diode (and of the doping) one may get a
180 0 phase difference between voltage and current, at least for a certain limited
frequency range. But this is nothing, other than a frequency dependent negative
resistance. By putting the diode into a microwave circuit, one can make both
amplifiers and oscillators.
5.7 Varactor diodes
As mentioned the capacitance of a p-n junction is voltage dependent. In other

words the capacitance is variable, and that is what the name 'varactor' means.
Varactor diodes are p-n junctions designed for variable-capacitance operation. Is
a variable capacitance good for anything? Yes, it is the basis of the so called
'parametric amplifier'. How does a parametric amplifier work? The principles of
operation are quite different from an ordinary amplifier; the power source is not
battery or mains but another high frequency oscillator. A brief explanation of its
operation may be attempted on the following lines.
In an ordinary resonant circuit oscillating at a certain frequency the charge on the
capacitor varies sinusoidally as shown in Fig. 5.28(a). Suppose the plates of the
capacitor are pulled apart when Q reaches its maximum and are pushed back to the
initial separation when Q is zero. This is shown in Fig. 5.28(b) where d is the
distance between the plates. Remember that the plates are oppositely charged, and
opposite charges attract each other. In order to pull the charged plates apart we need
to do some work. Hence at times t l , t 3 , t s , etc. certain amounts of energy need to be
pumped into the resonant circuit. When the charge is zero no energy need be
expended to push the plates back. The energy of the resonant circuit is therefore
monotonically increasing.
To see more clearly what happens let us plot voltage against time. From to to tl it
varies sinusoidally. At tIthe seperation between the plates is suddenly increased,
that is the capacitance decreased. The charge on the plates could not change
instantaneously; so the reduced capacitance must lead to increased voltage (Q = CV
must stay constant). The voltage across the capacitor therefore jumps abruptly at t I,
t 3 , t s , etc., and it is unaffected at t 2 , t 4 , t 6 , etc., as shown in Fig. 5.28(c).
We may argue that the charge must increase in a similar manner. When the plate is
pushed back at t 2 ' the voltage is not affected but the capacitance goes back to its
original value. Hence when the capacitor is charged again Q will come to a higher
peak value, as shown in Fig. 5.28(d).
If we study the problem in more detail we find that the variation of the
capacitance need not be abrupt, nor twice the signal frequency. The only thing that
matters is that the capacitance needs to be varied periodically; the rest is a circuit
problem that need not concern us here. Amplification is achieved at the expense of
the energy which is available to vary the capacitance.
It is interesting to note that amplification by a variable capacitance is not a new
idea. It was first propounded in the early 'forties but did not become practical until
the advent of the p-n junction.
5.8 Photo-diodes and lamps
Semiconductor devices have vastly changed the electronics industry but so far have
had little impact on lighting methods. We still rely on glowing pieces of wire
producing reddish light with an efficiency of less than 5% and large, awkwardly
shaped tubes containing poisonous chemicals seem to be the only improvement
offered. Semiconductor devices offer a hope for revolution in the lighting industry,
but recent progress has not been spectacular. For the present we shall limit ourselves
to a brief comment on how light and semiconductors interact. We shall do this by
describing several devices that detect light, one that generates electricity, and one
that generates light.
The simplest light-detection method is photo-conduction. As described in
pv
1~11
~}
®
~11
®
® ®
5.29 The p-n junction as a light 5.30 The p-n junction as a

detector generator of electric power
Section 4.8 light incident upon a piece of semiconductor creates extra carriers. The
increase in conductivity related to the intensity of input light, forms the working
principle of CdS cells, which are used extensively in exposure meters and the
automatic shuttering devices in cameras.
Now let us return to our favourite subject, the p-n junction, which can also be
used as a light detector. We choose reverse bias because for sensitive detection we
require a large fractional change - it is very noticeable if I p.A current doubles but it
is quite difficult to see a I p.A change in I rnA. Light shining on the p-side creates
electrons which are accelerated across the reverse biased junction .. This is the basis
of a sensitive photo-detector, which is made by producing a shallow layer of p-type
material on an n-type substrate so that the junction is very close to the illuminated
surface Fig. 5.29.
Another interesting effect occurs when there is no bias voltage at all, so that the
junction is in its equilibrium state in the dark. The incident light creates extra
electron-hole pairs just as before. The extra electrons created in the p-type material
diffuse to the junction and slide down the slope of the 'built-in' potential curve into
the n-type material. Similarly, the extra holes created in the n-type material 'slide
up' into the p-type material. Hence the p-type material becomes positively charged
and the n-type material negatively charged, which results in a voltage in the forward
direction. This voltage is measurable on open circuit and is called the photo-voltage.
If an external circuit with a load is connected to the p-n junction (Fig. 5.30) a
current will flow across the load. Thus the p-n junction can also be used for electric
power generation, or more correctly for the conversion of light into d.c. power. If
the input light happens to come from the sun, the p-n junction is called a solar
battery. This is useful in a spaceship where there is plenty of sunshine but a scarcity
of other sources of energy .
.Many processes have the converse, and we may quite legitimately ask whether a
junction in non-equilibrium will produce light. The answer is yes; we can indeed get
light out of a forward-biased p-n junction. At forward bias many of the minority
carriers that are injected will recombine and at least some of them will radiate their
energy in the form of light. The most successful material so far has been GaAs, with
a best efficiency of 10 per cent radiating just below the visible region.
metal gate electrode Si 02
~~ ~-
'-
(n+ )
drain
( ~)
p- Si
/
n-type channel
farmed by gale bias
5.31 Schematic representation of the
metal-oxide-silicon transistor
5.9 Infrared detectors
Semiconductors may also be employed as detectors of infrared radiation; the only

difference between visible and infrared radiation is the longer wavelength of the
latter. Hence semiconductors with smaller energy gaps must be used. These devices
are efficient up to a wavelength of about 10 Mm (corresponding to an energy gap of
0.08 eV). There are some semiconductors with even smaller energy gaps, and in
principle the same technique of exciting band to band transitions could be used for
longer wavelengths. In practice the range of wavelengths from 10 to 100 Mm is
covered by impurity semiconductors. The increased conductivity is then obtained by
exciting an electron from a donor level into the conduction band (or from the
valence band into an acceptor level).
Infrared radiation between 100 Mm and 1 mm is usually detected with the aid of
so called 'free carrier absorption'. This is concerned with the excitation of electrons
from lower to higher energy levels in the conduction band. The number of electrons
available for conduction does not change but the mobility does owing to the
different energy distribution of the electrons. The change (not necessarily increase)
in conductivity may then be related to the strength of the incident infrared
radiation. Since electrons can be excited to higher energy levels by lattice vibrations
(thus masking the effect of the input electromagnetic wave), the crystal is usually
cooled to liquid helium temperatures.
5.10 Field-effect transistors
We have looked at a number of two-terminal devices; now let us discuss devices that
have a control electrode as well, like the vacuum triode or the transistor. The basic
idea is to affect the conductivity of a channel by applying and electric field
perpendicular to it. Thus the current in the channel is controlled by a voltage not
unlike that in a vacuum tube. Though the idea was already known in the 'thirties,
realisation was not achieved until the 'fifties owing to technological difficulties. The
device was originally christened the field-effect transistor (FET) but in recent times
it is better known as the metal-oxide-semiconductor transistor (MOS transistor or
MOST), shown schematically in Fig. 5.31. In this particular example the basic
I
I
threshold or
pinch off' voltage
5.32 The current voltage

characteristic of aMOS
transistor
material is p-type silicon to which are joined two highly doped n-regions (denoted
by n+), called the source and the drain. The current between the source and the
drain (the drain current) is bound to be very low because one of the n+ -p junctions
is reverse biased. However we can influence this current by applying a voltage to the
third electrode, this so called gate is made of an aluminium layer on top of a silicon
dioxide film. If a positive voltage is put on the gate, holes are repelled from, and
electrons are attracted towards the silicon-silicon dioxide interface. If the applied
positive voltage is large enough, the surface layer next to the gate will turn into
n-type material, the width of the channel depending on the voltage.
The drain current as a function of gate voltage is plotted in Fig. 5.32. It can be
seen that the current is practically zero until a certain threshold voltage and then
increases in a non-linear manner reminiscent of the anode current-grid voltage
characteristic of a triode. A further resemblance is that the input resistance of the
gate circuit is very high since Si0 2 is a good insulator. Also, as in a vacuum tube,
there is only one type of charge carrier taking part in the conduction mechanism.
For this reason the MOST is termed a unipolar device, whereas transistors that
depend entirely 011 the interplay of minority and majority carriers are bipolar
devices.
With the advent of microelectronics (see Chapter 6) the fabrication of MOS
transistors turned out to be cheaper than that of bipolar transistors. Their large
input impedance and smal1 power consumption being further reasons for their
popularity. At the time of writing (1973) there is fierce competition between unipolar
and bipolar devices. The latter are still holding their lead (on account of their more
mature technology) but they will probably lose this in the future.
common curve after

breakdown of junction (2)
injecting
contact
5.33 The silicon controlled

rectifier (SCR)
Vs (0) v
5.34 The current voltage characteristic of a
SCR. The switching voltage Vs may be
controlled by the injected current Ie
5.11 Si I icon controlled rectifier
This device has four semiconductor layers, as shown in Fig. 5.33. Apart from the
ohmic contacts at the end there are three junctions. If we suppose that junctions (1)
and (3) are forward biased by the external supply, then junction (2) must be reverse
biased. As the supply voltage increases the current will be limited to a low value by
junction (2), until it gets to the reverse avalanche breakdown point. Then its
resistance falls very rapidly and the current through the whole device 'switches' to
follow a curve approximating to the forward bias junction characteristics, starting at
the breakdown point, Vs (Fig. 5.34).
So far we have described a self-switching arrangement: at a certain applied voltage
the device resistance might fall from several megohms to a few ohms. The switch is
made even more useful by the additional contact shown in Fig. 5.33, which injects
holes into the n-region between junctions (I) and (2) by means of an external
positive control bias. By injecting extra minority carriers into the junction (2) region
the current Ie controls the value of Vs at which the device switches to the on
position.
The silicon controlled rectifier (often abbreviated as SCR) is used mainly as a
switch; broadly speaking it is the solid state version of the thyratron. By analogy the
name thyristor is also used to describe it.
5.12 The Gunn diode
The last semiconductor d~vice we are going to discuss in this Chapter is the Gunn
diode. To understand its operation we need to appeal to a number of concepts in
I L v
v E
5.36 The electron velocity as a

5.35 The current voltage charac- functio of electric field for GaAs
teristic of a sample of GaAs
(dotted lines). OL - light
electrons, OH - heavy electrons
quantum mechanics, thermodynamics and electronics. However, the explanation is

not too difficult if we are less ambitious and do not want to start with first
principles.
Let us begin with the established fact that the semiconductor GaAs has two kinds
of electrons, light and heavy. Since mobility is inversely proportional to effective
mass* light electrons will produce a higher current at a given voltage. The possible
I-V characteristics are shown in Fig. 5.35, OL representing light electrons and OH
heavy electrons. When the voltage is small there are no heavy electrons at all, but as
the voltage increases, an increasing number of light electrons turn into heavy
electrons. At a sufficiently large voltage all the electrons become heavy. This means
there is a gradual transition from the light electron characteristic to the heavy
electron characteristic. This transition is illustrated in Fig. 5.35 by dotted lines.
There is, obviously, a negative resistance region between the voltages V A and Vc .
Having obtained the negative resistance all we have to do is plug it into a resonant
circuit (usually a cavity resonator in the microwave region) and it will oscillate.
Unfortunately it is not that simple because negative resistance in a bulk
semiconductor is unstable, and is unstable in the sense that a slight perturbation of
the existing conditions will grow instead of decaying.
This instability is best explained by investigating the case where a voltage VB
(corresponding to a point in the negative resistance region as shown in Fig. 5.35) is
applied. The corresponding electric field EB = VB /d (d is the length of the sample) is
shown in Fig. 5.36 where velocity (proportional to current) is plotted against
electric field. Quite obviously, a negative slope on the I-V curve means a negative
slope on the v-E curve.
When everything is homogeneous, the voltage, electric field, and carrier density
*Since acceleration for a given electric field is inversely proportional to mass.

?
---
-- -- -- --
-------
,
(a)
v~
~/
,
~
---_ ...
0 d
/
-- ,
------ ----------
(b)
0 d
.
"
'.
(e)
0 xII X3 x, X6 d
5.37 Illustration of the growth of a distur-

bance when there is a bulk negative
resistance
vary along the material as shown by the solid lines in Fig. 5.37. Now assume that for
some reason the electric field is above its equilibrium value in the X2 - Xs region
(assumed to be quite large for the purpose of illustration). Since the total voltage
between 0 and d is constant, an increase of the electric field in the X2 - Xs region
implies a reduction in the regions 0 - X2 and Xs - d, as shown by dotted lines in
Fig. 5.37b. As the electric field changes between Xl and X3, and X4 and X6, there
must be an accompanying excess and deficiency of space charge (dotted lines in
Fig. 5.37c).
Next, we will consider the electron velocities. In the absence of this perturbation
all electrons move with the same velocity. In the presence of the perturbation the
electric field at point X I is lower, hence the electron velocity is higher; that is more
electrons flow into the Xl - X3 region. At the same time the electric field at X3 is
higher, and the velocity lower; that is a smaller number of carriers flow out of the
Xl - X3 region. Consequently, the carrier density in the Xl - X3 region must
v E
o~~=-
o
____ ________ ~ ~
d
(0 )
~~==~i===============~
O~ ________________________ ~
o d
(b)
5.38 The high field domain fully formed. (a) Voltage and (b) electric field plotted as a
function of distances along the sample
Ie - - - - - - - -- r - - - - - - - - -,-. - - - -
5.39 The current as a function of time in GaAs when

high field domains move across the material
increase, causing a further increase in the electric field, which in turn causes a
further accumulation of space charge, and so on, until the fields on either side are
high and low enough respectively to make the resistance positive. The final state is
shown in Fig. 5.38; there is a domain (its typical width is about I ~m in practice) of
high field strength which acts as if a piece of high-resistivity rna terial has been
inserted.
We have not reached the end yet. In order to explain experimental results we
must assume three more things: (i) the initial perturbation occurs at the cathode
(x = 0), (ii) once the high-field domain is formed it moves along the material with a
velocity roughly equal to the velocity of the electrons, and (iii) when the high-field
domain reaches the anode (x = d) it is extinguished. In view of these three
assumptions the current in the device varies as shown in Fig. 5.39-. At t = to, when
the voltage VB is switched on, the current is lB. The high-field domain is formed at
the cathode between t = to and t = t 1. This is equivalent to having a high resistance,
SEM ICONDUCTOR DEV ICES 91
which means a reduction of current. The current remains constant while the
high-field domain moves along the material. At t = t2 (where t2 - tl = d/Vdomain)
the domain reaches the anode. The high resistance region disappears and the current
climbs back to lB. By the time t3 is reached the domain is newly formed at the
cathode and the process is ready to repeat itself.
We have obtained a periodic current waveform rich in harmonics and with a
fundamental frequency.
(5.11)
Thus the Gunn diode has an oscillation frequency governed by the domain transit
time. The velocity of the domain cannot vary a lot so in practice the frequency is
determined by the length of the device. For good quality GaAs the domain velocity
is about 10 5 ms -1, a 10 JIm layer of active material will therefore make an oscillator
in the 10 GHz frequency band.
Note that the transit time mode is not the only mode of operation for this GaAs
oscillator. By preventing the formation of domains the bulk negative resistance can
be directly utilised. This is, however, a rather specialised subject and beyond the
scope of the present book.
8emioonduo~or
~eOhnOIOQ~ and
mioroeleo~ronio8
D.WAlSH
6.1 Introduction
The development of electronic devices has always been heavily dependant on

materials technology. At first vacuum tubes used exotic rna terials like platinum, and
tungsten at a time when its metallurgy was hardly understood. The eventual
widespread production of radio tubes stimulated great improvements in the
manufacture of pure nickel, and advances in the metallurgy of tungsten, zirconium
and tantalum.
This trend has of course intensified now that most devices are 'solid state'. In fact
it was the purification of germanium to a most remarkable extent that made the
transistor possible. For these semiconductor devices we need a controlled impurity
level of about I part per million. It is necessary to reduce the background impurity
to about 1 in 10 8 to achieve the desired control. In fact it has proved possible (and
it is necessary for some special devices) to get the background impurity down to I in
10 10 • Compared to the purities of most engineering materials this is an absolutely
staggering result, e.g. it is about six orders of magnitude more pure than 'pure iron'
which is used as a soft magnetic material in electromagnets. This breakthrough was
made possible by the exploitation of the technique of zone refining, after a single
crystal had been grown from a melt.
6.2 Single crystals
Melt growth is the simplest way of preparing a single crystal. The rna terial is purified
by chemical means, to an impurity concentration of a few parts per million, then
93
molten
semiconductor
furnace wall
6.2 Metallurgical phase diagram for an impurity

in silicon
6.1 Crystal growth from melt
melted in a crucible shaped something like Fig. 6.1. The crucible is slowly cooled.
As the pointed end tends to cool slightly faster than the bulk of the rna terial, the
crystal 'seeds' at the bottom then grows through the melt. If conditions are well
controlled a single crystal growth is obtained. It is found that the impurity
concentration is no longer constant throughout the crystal, but there is a definite
concentration gradient, usually with the purest material at the bottom.
To understand the reason for this we have to consider the me tallurgical phase
diagram for the semiconductor and the impurity. You have probably come across
the phase diagram for copper and zinc, stretching from 100 per cent copper, 0 per
cent zinc to 0 per cent copper, 100 per cent zinc, with brasses in the middle, and
curves representing liquidus and solidus lines, with temperature as the ordinate. We
need not consider such a range of composition since we are thinking of a minute
amount of impurity in silicon. We need only look at the region close to pure Si
where there will be no complications of eutectics but only the liquidus and solidus
lines, shown diagrammatically in Fig. 6.2. The temperature separations of these lines
will be only a few degrees.
Suppose initially there was an impurity content Ca (Fig. 6.2) then as the melt
cools it stays liquid until it reaches a temperature Ta. At this temperature there can
exist liquid of composition Ca and solid of composition Cb' The latter composition
of solid is the first to crystallise out. This purer rna terial becomes lost to the rest of
the melt once it solidifies, leaving the remainder with a higher impurity
concentration, say Ce . Thus no more solidification occurs until the temperature Te
is reached, when more solid of impurity concentration Cd comes out. And so it goes
on. Of course, if the cooling is slow this is a continuous process and the impurity
concentration of the solid, still starting at Cb , smoothly increases up the crystal.
It is usual to describe this process in terms of the distribution coefficient k,
defined as the concentration of impurity in the solid phase divided by the
SEM ICONDUCTOR TECH NOLOGY AN D M ICROELECTRON ICS 95
heati ng coil furnace

'fm ?ZZ 9 &~
-----..- motion
\----r.--r-----l
boot conta ining

semiconductor molten zone
crysta l
6.3 General arrangement for zone refining
concentration in the liquid phase, both measured close to the phase boundary. For
the case of Fig. 6.2
Cb
k=-. (6.1)
Ca
If it is assumed that k does not change during solidification, it is a simple matter
to find the impurity concentration gradient of the crystal.
6.3 Zone refining
The different concentrations of impurity in the solid and liquid phase can be
exploited in a slightly different way. We start with a fairly uniform crystal and melt
a slice of it, and then arrange for the molten zone to travel along the crystal length.
This can be done by putting it in a refractory boat and dragging it slowly through a
furnace, as shown in Fig. 6.3. At any point, the solid separating out at the back of
the zone will be k times as impure as the melted material which as k < 1, is an
improvement. By a fairly simple piece of algebra it can be shown that the impurity
concentration in the solid, Cs(x), after the zone has passed down the crystal (of
length l) once is
Cs(X) = Co [1 - (1 - k)exp(-kx/z)] (6.2)
where Co is the initial concentration and z is the length of the molten zone. Clearly,
at the end of the crystal which is melted first the value of impurity concentration
will be
(6.3)
if this process is repeated n times. Since k is typically 0.1, it is possible to drive most
of the impurity to a small volume at the far end with relatively few passes.
This very simple idea is the basis of the great success of s~miconductor
engineering. As we have said before impurities can be reduced to a few parts in
10 10 , and then they are usually limited by impurities picked up from reactions with
the boat.
heating cOil
00000000000000000
SiCI, + H2
gas flow
-----.CI=:::::::~===l-I_
00000000000000000
sHicon substrates
6.4 Vapour phase epitaxial growth of Si on

to Si substrates at a temperature of
about I 200°C
Having obtained pure material it is possible to make pn junctions and transistors

by alloying low melting point impurities, or diffusing in impurities from a controlled
external atmosphere, at a controlled high temperature. It is the refinements in
diffusion technique - the 'planar' process, that has made integrated circuits
possible. However, before going on to this, our main topic for the chapter, we will
describe another key 'pure materials' process.
6.4 Epitaxial growth
'Epitaxial'* is derived from a Greek word meaning 'arranged upon'. There are several
ways in which such growth can be carried out. To deposit silicon epitaxially from
the vapour phase the arrangement of Fig. 6.4 can be used. Wafers of single crystal
silicon are contained in a tube furnace usually at l250°C. Silicon tetrachloride
vapour in a stream of hydrogen is passed through the furnace and the chemical
reaction
Si + 4HCl (6.4)
takes place. The Si is deposited on the silicon wafers, as a single crystal layer
following the crystal arrangement of the substrate. Sometimes the silane reaction is
preferred:
(6.5)
as it gives no corrosive products.
The epitaxial layer can be made very pure by controlling the purity of the
chemicals; or more usefully it can be deliberately doped n or p type by using
phosphorous or boron impurities. These are formed by bubbling hydrogen through
weak solutions of phosphorus and boron trichloride respectively. In this way
*My friends who speak Ancient Greek tell me that epitactic is the correct adjective. However
epitaxial is so widely used, we can conclude that a classical education is less influential now than
once it was.
SEMICONDUCTOR TECHNOLOGY AND MICROELECTRONICS 97
30mm
,~.i======li=~*O.OI mm
\ I I
(0 )
\ substrote
Ib)
ultro violet light
i ~ mosk
- - -L photo res ist Iw indow etched in
SiOz
rz...\h+W r S iOz ~r~=~!!f!!!A~=~~~----Si02
Ie) Id l
If I 2nd diffused loyer

(e) the same, after diffusion (f) section, further enlarged,
showing second diffusion.
Starting with an n-pitaxial
layer, diffusing first p then
n gives a npn transistor
6.5 Stages in microelectronic circuit making - the planar transistor
epitaxial layers of about 2 microns to 20 microns' thick can be grown to a known

dimension and the resistivity is controllable to within 5 per cent from batch to
batch.
6.5 Microelectronic circuits
Now, we can consider our main topic, and describe the basic techniques for making
the latest type of electronic devices. Since these techniques are suitable for
producing very small electronic circuits, they are called microelectronic circuits, and
because lots of them can be interconnected they are often referred to as integrated
circuits. It all began with the so-called planar technique for making pn junctions
(Fig. 6.5). The crucial property of silicon that makes this possible is its ability to
acquire a tenacious 'masking' layer of silicon dioxide. Si0 2 is familiar in an impure
state as sand on the beaches; it has a ceramic form used for furnace tubes, and a
crystalline form (quartz) that has good optical properties. It is a very hard,
chemically inert and high melting point ( ..... 1700°C) insula tor. An oxide layer
can be grown by heating the silicon (usually in the form of 25 mm diameter slices,
0.25 mm thick, with an epitaxial layer on the surface) to 1200°C in an oxygen
atmosphere. The growth rate is very slow, about one micron per hour, so the
thickness is easily controlled. After the oxide layer has grown, the next stage is to
form a pattern by photo engraving. The surface is covered by a thin film of
light-sensitive material, called photo-resist. The pattern is fIrst drawn in black and
white, typically 250 times as large as fInally required. It is then reduced in size
photographically (using a rather sophisticated 'enlarger' backwards) so that the
required size pattern is produced on a photographic plate. This pattern is repeated
using what is called a step and repeat camera. The photographic plate might contain
hundreds or even thousands of the required pattern, repeated every millimetre or so.
The plate or mask is held close to the oxidised, photo-resist covered silicon and
exposed to ultraviolet light. After development, the exposed resist is washed away
and that shielded by the pattern on the photographic mask remains.
The one chemical that readily attacks Si0 2 is hydrofluoric acid (HF) but it does
not dissolve the photoresist. Hence the 'windows' in the resist can be turned into
windows in the Si0 2 by etching with HF. The silicon is now in the form where it is
unprotected in the window areas, but is elsewhere covered by the inert Si0 2 layer.
The process that follows is diffusion. The silicon is sealed into a clean furnace
tube containing a volatile form of the required doping rna terial. It is then heated for
a specifIc time and the impurity diffuses into the surface. This solid state diffusion
process has the great advantage of being completely inhibited in the oxide covered
regions. If the initial silicon layer (probably grown epitaxially as already described)
was n-type, a p-type diffusion would be accomplished by enclosing boron bromide
(BBr3) in the tube and heating at about I 100°C. There is now a pn junction as
shown in Fig. 6.5(e), in fact there will be several hundred of them distributed over
the slice. The surface is then re-oxidised, a new pattern printed and a fresh diffusion
done. Fig. 5(f) shows the next stage to consist of an n-type diffusion within the p
diffusion, so that a series of npn transistors are formed. The techniques can be used
to isolate areas of Si to act as resistors or to make capacitors with Si0 2 dielectric.
Usually however, back biased pn junctions are used for capacitors.
One major technological change now incorporated into some production circuits
and which may have great influence in the future, is ion implantation. This is an
alternative way of introducing controlled impurities into the silicon. Instead of
thermal diffusion, the impurities (still usually boron, phosphrous and maybe arsenic)
are ionised and then accelerated by a high voltage, typically of a few hundred
kilovolts (Fig. 6.6). When the ions strike the silicon surface they penetrate a
calculable distance, and by controlling voltage, current, and time of implantation a
I-f--+-- ion source
~-+---+-- accelerating
electrodes
_ i _------silts
~D I "'0
\,_ __~_}- ___ ~ target
I T ~ chamber
magnet
6.6 General arrangement for ion

implantation
bespoke impurity profile can be obtained. Of course the disadvantages are expense
and radiation damage. The latter can be overcome, (by annealing) and the former is
acceptable if it is going to result in better devices.
Various manufacturers have different ways of connecting and forming their
integrated circuits to achieve compact high speed circuitry. But there is a
fundamentally different approach based on using the Metal-Oxide-Semi-conductor
Transistor (with the impressive acronym of MOST). There are several varieties, let's
just consider one as illustrated in Fig. 5.31. It is called an n-channel enhancement
mode MOST. When you try to pass a current from the source-electrode to the
drain-electrode it is held to a small value by the reverse-biased pn + junction at the
drain. However, a positive voltage on the gate electrode will induce a surface
negative charge on the semiconductor so that an n-type channel is formed on the
p-semi-conductor, giving a good conduction path controlled by the gate voltage. This
simple principle is relatively easy to make compared with the minimum of two
accurately controlled diffusions needed for a conventional (bipolar) transistor. The
MOST also tends to be smaller. Only one diffusion is needed for the contacts, which
have relatively non-critical doping and the oxide layer is grown by merely heating
the Si slice in oxygen.
The final stage of all microelectronic manufacture involves the evaporation of
metallic interconnection and contact patterns through photoengraved masks and
then mounting them on suitable 'headers', to be connected to the outside world.
xo
6.7
c!J oY
Circuit device for making

a capacitor look larger.
The apparent capacity
between X - Y seems A
times larger than C
One of the casualties of microelectronics is the whole conventional concept of

circuit design. Lots of 'impossible' things are now quite easy, mainly because of a
reduction in size and cost of complicated circuits. A less obvious advantage is that
circuits involving matched sets of components e.g. the long-tailed pair used in many
d.c. amplifiers, are easy to make and accurate in performance. Resistors or
transistors processed together, a few micrometers apart on a piece of silicon are very
similar both for initial performance and for ambient temperature changes.
On the other hand large capacitors and inductances are quite impossible. A small
capacitor can be made by using a back-biased pn junction or a thin layer of Si0 2 on
conducting Si with a metal top electrode. In either case a capacity of around 10-3
pF per square micrometer is possible, with a breakdown voltage of 10V. Then circuit
tricks are used for example connecting an inverting amplifier across the small
capacitance so that a small applied voltage drives a large current through it. Thus it
seems that the capacity within the circuit is increased by the amplifier's gain
(Fig. 6.7). Similarly, tuned circuits are replaced by amplifiers with filtered feed
back, thus avoiding inductance. In both these cases the integrated circuits designer
har. used several passive components, resistors, a capacitor and perhaps six or seven
transistors, just to simulate one 'component'. This would have been hopelessly
uneconomic in the soldering iron' age when transistors cost far more than passive
components. But with the new technology it is much better to use perhaps a
1000 tLm 2 area of your 'chip' than to provide for a lead out and back to a real coil
of wire.
At first, one thinks that the main advantage of integrated circuits is the smaller
size. In fact this is not very important. Most equipment has to have 'people' sized
inputs and outputs. A reasonable loudspeaker has to be larger than an ear, so
integrated circuit radios are not noticeably different from discrete transistor sets. In
television the size advantage is even less dramatic.
For really vast circuits like large computers, size rna tters, but mainly for the speed
at which signals can be processed. The bit speed of modern computers is heading
towards a nanosecond and it takes that long for a signal to go along a piece of wire
0.3 m long. So replacing printed circuit boards with integrated circuits can speed up
signal processing appreciably.
However the really dramatic and important advantage of integrated circuits is the
reduced cost. If you process a large number of circuits each a millimetre or so square
on a slice of Si about 3-5 cm diameter their individual cost is not much more than
making discrete transistors by the same method. So for a large computer something
like a ten fold cost reduction in the arithmetic part becomes immediately
possible - or expressed another way, the computer becomes ten times as large with
only a small increase in cost.
But why only ten times? How large an integration should one make? Why not the
whole computer on a single chip? Well these are questions that continually occupy
engineers and economists in the industry, and the answer changes as technology
advances. For example the advent of the MOST (metal-oxide-silicon transistor) has
reduced the number of masking operations required to make a circuit, from eight to
four. Thus the success rate increased and it became practical to make larger circuits,
called large scale integration (LSI). At the moment it seems practical to make
circuits with a chip size of 5-6 mm square which have a reasonable yield of about
10 per cent. The component density is around 500 mm -2 so these LSI chips can
have about 20,000 components! A single chip arithmetic unit is practicable for a
small computer, and this has led to an abundance of cheap desk and pocket
calculators in the past few years. Larger, faster calculators still use ordinary bipolar
transistors as these have faster switching times. Bipolar circuits have a lower
component density and hence a smaller optimum chip size. Many new ideas to
improve these matters are currently under development.
Apart from the economic optimisation of function, yield and circuit size,
integrated circuits present an even larger economic problem. When the plant is built
and the development done, a gaggle of girls of reasonable intelligence but little
formal training, can set to and make in 2-3 weeks more circuits of a particular type
than their company, or maybe the whole world, needs in a year. Consequently there
has been some sharp dealing in the selling of ICs. Some companies which were not
inefficient in production have gone bankrupt, because together with their
competitors they were too efficient. Several famous electrical firms with a long
history of making their own electronic components have opted out of micro-
electronics, after considerable financial loss.
In the long run, this may have as profound an effect on the organisational side of
the electrical industry as the little chips of silicon have on electronic technology
now. But don't worry too much about the electrical giants. We all have our
problems. And one of the greatest problems of mankind is to learn to live with and
be served by the enormous computers made possible by this micro-technology, rather
than vice versa.
masers and
losers
H. MOTZ
There is a class of devices, masers and lasers which at first seem to fall outside the
categories so far discussed. Their names, when properly explained contain the clue
to what they really are. The word maser stands for Microwave Amplification by
Stimulated Emission of Radiation, and laser, stands for Light Amplification by
Stimulated Emission of Radiation. Historically speaking the masers came first, in
1955. It turned out that this particular method of amplification of microwave had
its most important application as an amplifier for very low level microwave
radiation. Their sensitivity can be made to approach the limiting value allowed by
Heisenberg's uncertainty principle. The application of lasers ranges from com-
munication to the tailoring trade; e.g. a laser beam can be made to cut out a pattern
for a garment ready for sewing up. It is a versatile tool and the list of possible
applications is not yet complete.
The principle involved appeared at first to be very novel, but now we realise that
the same principle underlies the operation of more conventional devices like
microwave tubes etc. Like so many other important ideas, we owe this principle of
stimulated emission to the insight of Albert Einstein, but before we can explain
what this is we must talk about basic atomic physics, or at least the bare outlines of
the interaction of light and matter.
All matter comes in the form of atoms, and atoms consist of nuclei with electrons
dancing around them. With every chunk of matter, let us sayan atom, we can
associate its energy. Actually, Einstein has taught us that its energy E, is just its
mass m, multiplied by the square of the light velocity c, E = mc 2 , but this formula
does not concern us here. Then came Planck telling us that light energy comes in
packets, called quanta, and that such a chunk of light energy is equal to the
frequency of the light wave f multiplied by a constant h (Plancks constant) which is
equal to 6.10- 34 joule sec. Energy is conserved, so when matter emits light it must
lose energy. If a chunk of matter, before emitting light has an energy E2 and after
103
-------------- ~
E2} hf --------------E6
--------------~
-------------E, --------------E4
7.1 -------------- E3
-------------- E2
-------------- E,
7.2
emitting it an energy El then the difference is equal to the light quantum energy
(7.1 )
We can make a picture in which we represent the energies before and after emission
(E 2 , E 1 ) by horizontal lines, we call them energy levels (Fig. 7.1). We draw a line
corresponding to the bigger energy above the one corresponding to the lower one,
and we have also indicated the frequency of light emitted when the chunk of matter,
the atom, or molecule, changes from the upper energy state to the lower energy
state. Such an energy change is accompanied by a rearrangement of the electron
cloud and in many cases physical theory allows us to understand the change involved
and even to calculate the spacing on the energy scale of the possible energy levels. In
general, there is an immense number of possible levels which we can illustrate by
drawing a few more lines as in Fig. 7.2. Now it is obvious, from energy conserva tion,
that the atom must change from a higher energy state to a lower one when emitting
light. But why does it do so? It was Einstein who pointed out that this may happen
for two different reasons. One mode of change he called a spontaneous change or
spontaneous transition. It just means that what has gone up must some time come
down. There exists, in this case, a probability for coming down. On average, in one
unit of time, a certain number of states E2 will change into states E 1 . We call this
number N. The rate (number per unit time) N is clearly proportional to the number
N2 of atoms which are in the upper state E 2 . We have
(7.2)
The constant of proportionality W 21 has a simple physical meaning. If the
probability per unit of time for a state E2 to change into a state El is W 21 then if
there are N2 atoms in the upper state the average number Nwhich will come down
from E2 to El in unit time is just N = W 2 1 N 2 . To emit light atoms must be in the
upper state and fall down into the lower state. However when a body is in thermal
equilibrium, the upper states tend to be less populated than the lower ones.
Transitions from higher to lower levels occur spontaneously, but the inverse
transitions, from lower to upper levels do not. Thus after a while, when a system is
undisturbed a distribution of energy over available levels is reached which favours
the lowest ones most strongly. Statistical thermodynamics shows that, in equilib-
MASERS AND LASERS 105
N
N,------ I
------i-
N
2 I:
N3 ------j--:---- I
I I I
f.
I!
~2 ~3
I ,.
7.3
rium, the population numbers decrease exponentially with energy as in Fig. 7.3, so
that the population ratio N21NI of two levels E2 and EI is given by
(7.3)
where k is Boltzmann's constant and T the absolute temperature.
In order to come down the atom must find an empty lower state available, but, as
we have just said, the lower ones are likely to be occupied. So something has to
empty the lower states, and populate the upper states, before emission can occur.
One calls processes which get the atoms into higher states excitation processes.
There are many such processes. What is common to all of them is that they are able
to supply the necessary energy. If we are dealing with a gas, electrical discharges can
excite atoms. Clearly, another way to excite is to shine light on them The light is
absorbed, and the atoms make transitions to the upper state, only to return later
with re-emission of light, on average after the life-time of the excited state.
Now we want to complete our picture by explaining another reason for atoms to
make downward transitions, once they are excited: stimulation by light which shines
on the atom and, shakes it up, so to speak so that it immediately makes a downward
transition rather than waiting for the decent customary time. This is the stimulated
emission we mentioned earlier.
So light shining on our atoms can cause upward transitions as well as downward
transitions and one might just think the two might balance nicely. On the other
hand if we could manage to have more atoms in the upper state than in the lower
state, then a beam of light of intensity I would cause a number of upward transitions
proportional to I
(7.4)
and a number of downward transitions

(7.5)
and if N2 W2 I is larger than NI WI 2 then the difference

(7.6)
is positive, i.e. the light beam is amplified.

E3
{
hf ------- E2
-------E,
v
7.4
7.5
Einstein has shown that in fact W 21 = WI 2, so the conclusion is even simpler: if

there are more atoms in the upper state E2 than in the lower state E1 i.e. if N2 :;.., N1
the original light beam is amplified. We have light amplification by stimulated
emission. So the question is how we could contrive to have more atoms in the upper
state than in the lower state.
Ideas to do this were proposed independently by the Russian Scientists Basov and
Prokhorov and by the American, C. Townes. One has to choose the atoms carefully.
Also, we must at least consider three levels of energy as in Fig. 7.4. We must have
substance in which the life-time of the middle level is long, compared to that of the
uppermost level. One needs a source emitting light of a frequency f which is made to
shine on our substance. The light is absorbed and the level 3 is excited. Let there be
a strong probability for downward transitions from 3 to 2. Then the atoms will
accumulate in the state 2, and what is called a population inversion can be achieved,
i.e. we get more atoms into the upper state than into the lower state. One speaks of
pumping atoms into the upper state and the light source needed for this is called the
'pump'. But what, one may ask, is the purpose of using a light source, to get another
at the expense to be sure of energy losses incurred in the procedure?
The answer is that, in this way we can get a light source which has the following
desirable properties. 1. It can be monochromatic, to a degree which cannot be
realised in any other way, i.e. the light comes at one frequency or rather in a
frequency interval which is very narrow, and this allows a frequency to be defined
and established with an accuracy of, say, one in 1011. 2. Connected with this
concentration of laser power at one particular frequency is another property. Such
light has a well defined phase. Now two light beams with a phase difference of one
half-period (180°) will, when superposed lead to extinction, or darkness, (see
Fig. 7.5) and reinforce when the phase shift is 300°. This is the phenomenon of light
interference. The property of light which enables it to produce reinforcement and
cancellation due to phase difference is called 'coherence'. Laser light is much more
coherent than ordinary light. Light from an ordinary lamp does not interfere with
that of another. Light from an ordinary lamp will only interfere with itself, i.e. one
can split the beam with a half silvered mirror and a prism and bring the two parts to
7.7
---¥._---------
7.6
I -t-----------i---
l- --'
..-- ------------ -- "I
7.8
interfere (Fig. 7.6). However, this 'coherence' will only extend over a small length.
Two lasers not only interfere, but they do so over a very long distance.
As the spatial period (the wavelength) may be a fraction of a millionth of a metre,
interference may be used to measure length to this accuracy. 3. Laser beams can be
made into almost parallel (Fig. 7.7), sharply defined beams, spreading less than a
wavelength A, over a length of a few centimeters, and thus light may be beamed over
enormous distances. 4. The light energy can be concentrated in a very narrow region
of space, or focussed sharply, and power densities of 100 millions wa ttl cm 2 have
been reached. 5. The light energy may be concentrated in a very short interval of
time, say 5 nanoseconds (10- 9 sec) and thus extremely high energy densities can be
achieved by delivering all the energy gained from the flashlamp pump in such short
time to a target.
To explain some of these features, let us consider a laser medium which we have
pumped so that it has an inverted population, (more atoms in the upper state than in
the lower one). The medium amplifies a light beam, but when one calculates the gain
per meter one finds this quite small. So, instead of making the laser very long one
places the lasing substance between two mirrors as in Fig. 7.8. The light travels
backward and forward and crosses so many times that a very large effective length is
realised. Finally the beam escapes through a small hole.
We have stated that the lasing action relies on stimulated emission. Thus the light
is in phase with the stimulating light, starting from a small amplitude and reaching a
large one, always in phase with the light that is already present and doing the
stimulating. This is why it is so coherent, and also why it is concentrated in such a
small frequency interval. Ordinary light, emitted from atoms spontaneously at
random phase has a higgledy piggledy appearance when looked at as a function of
time. This is another way of saying that it is made up of many frequencies. Why the
beam is parallel can be explained with reference to the chapter on aerials, where it
was pointed out that the opening angle of a beam of radiation is given by the ratio
of the wavelength to the diaphragm, in our case the mirror diameter, and this is
indeed a very small number ~10-s The reason why the beam is so concentrated
near the axis is not quite so easy to explain. Suffice to say that the successive
reflections filter out all the other sideways distribution patterns which are possible
7.9
and are not so narrow and therefore spill over the mirror edge, until only the very
narrowest one survives.
There remains only point 5 to explain, how the light is concentrated in time. One
way is to rotate one mirror with constant speed. The light pump stores the inverted
population, but only for a short moment, when the mirrors are parallel, can the
beam travel on its multiple reflection path. Light travels 10 x 3.10 11 m sec -1 , 30 cm
in a nanosecond, i.e. 10 times through a laser rod 3 cm long.
The laser rod, yes, a laser can be solid. The first lasers were made of ruby crystals,
an aluminium oxide lattice containing a little chromium. In this case, the levels are
those of electrons belonging to Cr 3 +. Ruby is a transparent crystal, it serves as a host
to the very diluted impurities (chromium) and modifies the atomic or rather ionic
energy levels. Instead of ruby, glass has been used with great success as a host to
certain impurity atoms, notably neodynium. Many combinations of crystals and
glass with traces of rare elements are available for laser operation and provide a wide
choice for the operating frequency.
In the case of these solid state lasers the arrangement of pump and lasing rod is
often as follows:
The pump is a gas filled flashlamp often in the form of a spiral surrounding the
laser rod. The two are placed in a cylindrical mirror to catch all the light. In some
cases the mirror cross section is elliptic (Fig. 7.9) and the flashlamp is a straight tube
placed along one of the foci while the laser rod is placed in the other. The mirror
efficiently channels the light from the pump to the rod. Solid state lasers are
particularly suited to nanosecond pulse operation.
There are several other laser types: gas lasers, semi-conductors, liquid and
chemical lasers. We shall characterise each type in turn. Amongst the gas lasers three
systems have assumed supreme importance, one uses a helium-neon mixture, another
relies on ionised argon, and a third on a mixture of carbon dioxide, nitrogen and
neon.
Neon was already well known for its fluorescent properties and for this reason,
not surprisingly, it was selected as the first successful gas-laser medium An excited
state of helium with a very long life time occurs at 19.81 eV and this happens to
coincide with a so called 2S state of neon. The excitation is achieved by passing an
a.c. or d.c. discharge through a column long tube containing the gas mixture. In the
gas discharge frequent collisions occur between excited helium atoms and neon
atoms in which the excitation energy is transferred from the helium atoms to the neon
17
Collision
..
,!;
~ 13
11>
c
UJ
12 Diffusion to walls
11 .-;m~" I ,
Helium
~(2P)- Neon
7.10 He-Ne energy levels. The dominant excitation paths for the red and
infrared maser transitions are shown. After Bennett
atoms. Because the 19.81 volt state is long lived, energy is collected in this state and
it is then transferred to neon 2S state which has the desired property for laser
action.
It can radiatively decay into terminal laser levels (labelled 2p). The 2p levels in
turn decay in a time of 10 -2 fJ. sec to a state labelled IS, a time which is much
shorter than the lifetime 10- 1 fJ. sec -1 of the 2S state against spontaneous
transitions to the 2p state. Thus lasing takes place between the 2S and the 2p levels.
The energy difference between these two levels corresponds to a wavelength of
1.15fJ. an infra-red wavelength. The diagram of Fig. 7.10 illustrates the level scheme.
The letters and number which label the states make sense to spectroscopists. They
tell them details about electronic configurations which are not essential for our
present purpose.
Other gas lasers which are much used involve Argon discharges in which the laser
states are those of the ionised Argon atoms, the Argon ions.
We have already mentioned an infrared laser. Still longer infrared wavelength
(10.6 fJ.) are radiated from mixtures of nitrogen and carbon-dioxide gas. The
nitrogen is diatomic, and the two atoms can vibrate with respect to each other, and
matched
load
lossless
waveguide
'Incident
power·_ _ _, output
line
, microwave
-;===-....:::=~r cavity
7.11
when excited by the discharge, can transfer energy quanta to the CO 2 molecules
which again can vibrate, but in this case each vibrational level is split into more levels
due to the rotational motion with an energy spacing corresponding to 10.6 J.l. This
laser is very efficient and very high powers have been obtained. The high efficiency
(50 per cent) of conversion of electrical into radiation energy is particularly
attractive in many applications where energy economy is important.
The question of the limits of the frequencies obtainable by means of the
stimulated emission principle arises quite naturally. Historically speaking, the maser,
i.e. a microwave amplifier came first. From our point of view, it represents an
extension further away from the infrared towards radio-waves. There are, as yet, no
possible extensions into the frequency region on the other side of the optical range,
i.e. into the X-ray region. Obviously it would be very desirable to have coherent
X-rays, which could furnish pictures of matter on an atomic scale. The difficulty
which so far has not been surmounted is that of providing mirrors in the X-ray
region - X-rays are. too penetrating. Returning to microwaves, one might wonder,
whether there are energy levels of atoms in this range which can be used. The levels
commonly in use are those arising from the energy difference between the parallel
and anti parallel orientation of an electron 'spinning', in a magnetic field.
The energy difference E2 - El corresponds to a frequency
(E 2 - El )/h = 2.8 10 6 Hz G- 1
i.e. to a microwave frequency 2.8 10 9 Hz for a magnetic field strength of 1000
gauss. Loosely bound atomic electrons provide such levels. In practice, Ruby is
much used, again as a host crystal to Cr ions which have such electrons.
For microwave amplification such a crystal is put into a microwave cavity, as
shown in the schematic arrangement below (Fig. 7.11). It is practical to feed the
microwave in and out through the same waveguide port leading in and out of the
cavity. This is done by means of a circulator, a rather clever arrangement by which it
is possible to feed microwaves directionally from 1 to 2 that is from signal input to
the cavity, and out of the cavity from 2 to 3. In this arrangement power cannot
travel from 2 to 1 or from 3 to 2. Any waves coming back along the output line, e.g.
waves reflected at the far end of the output line would travel from 3 to 4 where they
would be totally absorbed on a matched load.
It has been stated before, that the most useful application of masers is in the field
of weak signal amplification. It is usually necessary to place the resonator in a low
temperature bath, e.g. a helium cryostat at 4K to achieve maser operation. This is
because at higher temperature the upper maser level cannot be made long lived, it
loses its energy to crystal vibration, which does not happen at low temperatures. For
an amplifier this added complication would have made it of little practical value,
were it not already necessary to operate at low temperature to obtain good noise
properties so making the device fit for low level amplification. Clearly, for such a
purpose the device must not itself contribute too much unwanted noise signal. We
shall discuss the problem of noise generation below.
Recently it has been discovered that interstellar space is a radiation source at
about 4K. This could only be detected with a low noise receiver, and, in fact the
maser, mounted on a radio-telescope pointing into space is an important tool of
astrophysicists.
So far we have implied that different lasing substances must be used to obtain
different frequencies. Sometimes it is possible to select several different lines from
the same discharge (e.g. in argon ion lasers). This is done by providing mirrors which
are only capable of reflecting light within a narrow frequency range. Such mirrors
are coated with many layers of substances with different dielectric constants, with a
thickness of the order of the wavelength which it is desired to select. Recently, it has
been possible to provide continuously tunable lasers, not just lasers which can select
various discrete frequencies. These continuously turnable lasers use liquids with
suspended dyestuffs, thereby forming broad-band levels from which one can select
lasing transitions by means of the previously mentioned frequency selective mirrors.
To complete our list we must mention semiconductor lasers. The substance used
is gallium arsenide, a semiconductor which has recently come into prominence in
connection with Gunn diodes and transistors. One can obtain n-p junctions and
lasing action by passing a current through the n-p junction.
We shall now explain how lasing is obtained. Suppose that it were possible to
prepare a crystal so that the states up to 'some' level in the conduction band are all
occupied and those above a certain level in the valence band are empty, as illustrated
- - - - - EFc
--- E
________~L---~----~~----------+_~- k
7.12 A semiconductor with degenerate eh~ctron and

hole populations. At a frequency hw, as shown,
the sign of the absorption is reversed with respect
to that of Figure 17.3 and amplification results
(o) (b)
7.13 (a) Degenerate p~n junction at zero-applied

bias. (b) At a forward bias voltage
Vappl ~ Eg/e. The region containing both
electrons and holes is called the active
region. The oscillatory arrow indicates a
recombination of an electron with a hole in
the active region leading to an emission of a
photon with energy hw
in Fig. 7.12. Then, because there are more electrons in the upper states than in the
lower states, the absorption coefficient for a frequency such as w is negative, in
other words we have amplification instead of absorption.
It turns out that the narrow region at the junction, channels the light in a
direction perpendicular to the section of the crystal as shown in Fig. 7.13, so that
mirrors can be placed at the ends. In fact it is sufficient to polish the end faces. The
intensity obtained from semiconductor lasers is moderate, but because of their very
high efficiency they are likely to become important in connection with communi-
cation systems.
At the beginning we hinted that other devices, like conventional microwave
oscillators, work on a principle which is closely related to the stimulated emission

principle. Indeed, the bunched beam which, in a klystron passes through the
resonator cavity, has more electrons of higher velocity than of lower velocity in a
certain velocity band. The field in the cavity stimulates microwave emission at the
expense of electron energy. In this case classical physics notions are sufficient to
describe the action and it is not necessary to resort to quantum theory. In fact,
lasing or masing is not essentially a quantum phenomenon.
We now pass to some of the applications of lasers. They are used as a research tool
by plasma physicists who wish to study oscillations, (often turbulent), in a plasma
device. Laser light is scattered by such oscillations, without disturbing the effects
one wants to investigate. From the deviations the laser beam suffers when it is
passing through the oscillating regions one can deduce their frequency distribution,
their intensity and spatial location.
Many applications are based on the observation of interference fringes between
light which has gone through a reference path of known length and light which has
passed over a path of unknown length. Very precise length measurements are
possible, moreover they can be carried out with great speed. Already the laser has
served for precision surveys.
Of course the laser has many military applications, such as range-finding for
gunning and bombing, but one must not think of the laser as a successful 'death ray'.
They are as yet too weak to pierce armour or bring down planes.
One of the most interesting applications of lasers is holography the principle of
which was discovered by D. Gabor, who was awarded the Nobel prize for this idea.
An object can be photographed by laser light without the use of lenses. A laser beam
is made to illuminate an object which scatters it in various directions. The scattered
portions are made to interfere with an undisturbed beam and the interference fringes
are recorded on a photographic plate. The result is a picture showing light and dark
lines in a complicated striated criss-cross pattern. If then the photographic plate is
illuminated by another laser beam, a picture of the original object is created behind
the plate, which can be intercepted by misty air or an aerosol and viewed as a three
dimensional object. The viewer can, by moving to and fro, see the object from many
sides, as though it was a real three dimensional thing. It is not possible without
mathematical analysis to give a detailed explanation of this phenomenon, but we can
indicate roughly how it is obtained. The laser light has phase as well as amplitude.
Interference with the reference beam of standard phase records in forma tion about
phase differences between light coming from all parts of the object and what is
recorded on the plate serves as a catalogue of all the relative distances encountered
on the object. Projection inverts the recording process and hence reconstructs the
object.
It is particularly interesting that the information is not localised in any particular

part of the photographic plate. It is spread all over it, so that the whole in forma tion
is still contained in a fragment of a broken plate. Projecting from a small part still
reproduces the object, but it is less sharp and less well defined.
There is yet another very important application of lasers, laser fusion. For some
decades to come the world will be beset with the problem of replacing fossil fuels,
which are running out, by other energy sources. The present programmes envisage
the use of the most highly developed nuclear reactors which are based on nuclear
fission (uranium, plutonium, etc.) At the same time much research is being done on
the harnessing of fusion, that is the use of the energy which is liberated when
hydrogen isotopes e.g. deuterium or tritium fuse to produce helium. At the time of
writing one interesting method for achieving a controlled fusion reactor is under
lively discussion. According to this method, several powerful laser beams would be
made to converge on a tiny pellet of reactive material in order to ignite the fusion
process. If enough laser power were available another light element reaction between
protons and boron could be used. Boron and the proton form a compound nucleus
which breaks up into three helium nuclei (alpha particles).
The advantage of laser ignited reactors, or indeed all fusion reactors, is that they
produce none of the long-lived radioactive by-products of fission reactors which are
so notoriously hard to dispose of. They can be switched on and off (which fission
reactors cannot be) and thus do not present an environmental hazard.
super
oonduocing
devioes
L. SOLYMAR
8.1 Introduction
A superconductor, as the term suggests, is more than a conductor; it is a very good

conductor. In fact, it conducts electricity so well, and the resistivity is so low, that it
is impossible to measure. The usual technique is to induce a current into a ring made
of superconducting material and measure the magnetic field due to this current. In a
normal metal the current would decay in about 10 -1 2 second. In a superconductor
the current can go round for a considerable length of time - measured not in
picoseconds but in years. One of the longest experiments, made somewhere in the
United States produced a current which went round and round for three whole years
without any detectable decay - until an oblivious research student messed up the
experiment.
If superconductors have such fantastic conduction properties why don't we use
them everywhere? Are they perhaps very rare materials? No, they are quite common
materials like lead and tin. Then where is the snag? The trouble is that the operation,
needs a temperature not very far from absolute zero.
The relevant experiment is to measure the conductivity while the material is
cooled. At a certain temperature called the critical temperature (and usually denoted
by Tc) the resistivity drops to zero. The critical temperatures of a few materials are
shown in Table 8.1. As we can see they are all very low, the highest reaching only to
the boiling point of liquid hydrogen. Thus the only cooling agent that can be used is
helium (boiling point 4.2KO), a rather expensive material. If we add to this the cost
of the shielding apparatus (to prevent heat entering), it becomes clear that to
employ superconductors economically would require a miracle. Does it mean that
large scale industrial applications are out of the question? For the time being, yes,
115
Material TcCK) Material TcCK) Material Critical field, Ho (gauss)
Al 1.19 Nb 3Sn 18.45 Al 99

Ga 1.09 V3 Ga 16.8 Ga 55
Hg 4.15 Nb 3Ga 14.5 In 285
Hg 3.95 Nb 3 Al 17.1 Nb 1960
In 3.41 V 3 Si 17.0 Pb 803
Nb 9.46 Nbs Pt 3 4.2 V 1020
Pb 7.18 Nb 3Ir2 9.8
Sn 3.72 Cr 2 Ru 2.02 Table 8.2
Ta 4.48 Re3Mo 9.8
Th 1.37 Re3W 9.0
V 5.30 Re 3Ta 6.78
Zn 0.92 Nb 1S A1 4 Ge 20.05
Table 8.1
but not necessarily in the future. The potentials are so enormous that industry
cannot afford to ignore them. Though research and development efforts have shown
oscillatory behaviour in the last decade or so, and similar performances are likely to
occur in the future, the relative importance of superconductivity is expected to rise.
The aim of this Chapter is to give some idea about the properties of
superconductors in general. We shall start with a brief historical introduction,
followed by the main tenets of the theory, and finish by describing some of the
applications.
8.2 A brief history of superconductivity and some basic concepts
Superconductivity is nearly as old as this century. When Heike Kamerlingh Onnes of

the University of Leiden succeeded in liquefying helium in 1908 he looked round
for something worth measuring at that temperature range. His choice fell upon the
"resistivity of metals. Platinum showed quite ordinary behaviour; the resistance
decreased as a function of temperature, tending to a small but finite value. The
resistance of mercury, however, dropped suddenly to zero (Fig. 8.1), becoming the
first superconductor to be discovered - and earning the Nobel prize for the
discoverer.
It was soon established that a sufficiently large magnetic field could destroy
superconductivity. This, so called critical field, is a simple function of temperature
as shown in Fig. 8.2 (the value of Ho for various materials is given in Table 8.2).
Taking the two effects together it follows that the effect of varying the
temperature and applying a magnetic field depends on the order of the two
operations. To make this clearer let us study Fig. 8.2. At point A the magnetic field
is zero, and the temperature is above the critical one. Moving first to point B means
that the temperature is lowered below the critical temperature. Moving from B to C
SUPER CONDUCTING DEVICES 117
0·02.-------.-----------, H
R/Ro
0·01
super conducting
state
O·OO=-_L--_---':-_ _ _ _..L-_ _-:-'

o T
8.1 The resistance of samples of platinum and
T
mercury as a function of temperature (R 0 is 0
the resistance at O°C)
8.2 The critical magnetic field as a function of
temperature
(a) (b) (c)

(a) (b) (c)
0
A
0
B
~~;C
0
A
)M) lml)
T>~ T<~ T<Tc T>~
H=O H=O O<H<Hc H=O
8.3 The magnetic states of a 8.4 The magnetic states of a
superconducting material superconducting material
while tracing the ABC path in while tracing the ADC path
Fig. 8.2 in Fig. 8.2
means that a magnetic field is applied at a constant temperature. What happens

physically to a superconductor (Fig. 8.3(a)) while we follow the ABC path? When
the temperature is reduced below the critical one there is no change (Fig. 8.3(b)).
But when the magnetic field is switched on, the changing flux creates an electric
field that sets up a current opposing the applied magnetic field. These are just the
familiar eddy currents. The essential difference now is the absence of resistivity. The
eddy currents do not decay but produce a magnetic field that completely cancels the
applied magnetic field inside the material, as shown in Fig. 8.3(c).
If again we start with no magnetic field (Fig. 8.4(a)), but this time proceed to D it
will put the material into a magnetic field at a constant temperature. Assuming that
our material is non-magnetic, the magnetic field will penetrate (Fig. 8.4(b)). Going
from D to C means reducing the temperature at constant magnetic field. The
material becomes superconducting at some point but there is no reason why this
should imply any change in the magnetic field distribution. At C (Fig. 8.4(c)) the
magnetic field should penetrate just as well as at D.
Thus the distribution of the magnetic field at C depends on the order of the
operations. If the temperature is reduced first, the magnetic field is expelled. If the
magnetic field is applied first, it is the same inside as outside.
The above deductions followed quite logically from the state of the theory at the
time, and remained unaltered until the experiments of Meissner and Ochsenfeld in
1933. They found that the transition from D to C does not take place according to
expectations. A superconductor cooled in a constant magnetic field will set up its
own current and expel the magnetic field when the critical temperature is reached. It
became clear that superconductivity is a new kind of phenomenon defying the
accepted rules of the game.
The first new theories, based on thermodynamics, regarded the normal to
superconductor transition as a phase transition (not unlike the transition from water
to ice). According to this theory the material chooses the superconducting state
because the relevant energy becomes smaller, and the aim is always to occupy a low
energy state. Assuming now that the magnetic field is expelled, work needs to be
invested in order to expel the magnetic field, raising thereby the total energy of the
material. At a sufficiently large magnetic field (the critical field) the energy of the
superconductor will be so much higher that it will pay (become energetically
favourable) to enter the normal state.
The electrodynamics of superconductors was described not long afterwards by the
phenomenological * theories of the London brothers. They showed that the
magnetic field is rapidly decreasing towards the inside of the superconductor. The
penetration depth (the distance where the field strength drops to 38 per cent of its
original value) is of the order of 10 -8 m.
But now we are in trouble again. If the magnetic field is appreciable in a certain
layer then no work needs to be invested for expelling the magnetic field, so the
energy of the superconductor may remain low. It follows that if we want low energy
we need lots of surfaces. It is easy to create superconducting surfaces by alternating
*It is not easy to explain the difference between a 'phenomenological' and a 'basic' theory. Both
of them give mathematical relationships and both of them must come up with predictions in
agreement with experiments. The claim that 'basic' theories go back to basic relationships whereas
'phenomenological' theories merely describe some experimental findings is not really tenable
because the justification behind all basic theories is no more than eventual agreement with
experiments. The probable reason why the Londons' theories were deemed to be phenomeno-
logical was the belief (propagated by the authors) that the relationships they guessed should be
derivable from some 'more basic' relationships.
Note also the distinction between microscopic and macroscopic theories. The former are
concerned with what happens at the atomic level whereas the latter one is concerned with averages
over many atomic distances.
SNSNSNSNSNSNSN
8.5 Alternating superconducting and

normal layers
normal and superconducting layers as shown in Fig. 8.5. To make the contribution
of the normal material (remember that the normal material has higher energy) to the
total energy small the width of the normal layer must be small in comparison with
the width of the superconducting layer n ~ s.
Although not simple, the foregoing argument suggests that all superconductors
should break up into small superconducting, and even smaller normal parts.
Experimental evidence shows that some superconductors do break up in this manner
but others do not.
A theory that can predict the result was first formulated by Ginzburg and Landau
followed by Abrikosov in the middle fifties. Accordingly, superconductors have
been divided into two broad classes called (with admirable logic) Type I and Type II
superconductors. Those belonging to the first group always expel the magnetic field,
those in the second group also expel the magnetic field up to a so called first critical
field, Hcl> but break up above this field. At the second critical field, Hc2, the
superconductor goes into the normal state. The region between Hel and Hc2 may be
rather large one giving rise to important applications as we shall see in the next
section.
None of the theories mentioned so far have been at the atomic level. The first
successful microscopic theory was put forward by Bardeen, Cooper and Schrieffer
(abbreviated as the BCS theory) who were awarded the Nobel prize for this work in
1972.
It was suggested in Chapter 4 that the derivation of band structure even in its
simplest form needs a lot of mathematics. The amount of mathematics needed to
derive the simplest microscopic theory of superconductivity is incomparably larger. It
is really postgraduate stuff, well beyond the scope of most undergrartuate courses.
It is possible though to give a rough picture of what is involved. At the onset of
superconductivity electrons pair up (forming so called Cooper pairs) via the good
offices of lattice atoms. As an electron passes by, the positively charged lattice
normal
core
8.6 Cylindrical normal core

surrounded by
supercurrent
atoms are attracted and therefore move slightly nearer (elastic forces keep them
back of course) to the electron. A second electron coming will see the excess
positive charge and will be attracted by it. Thus it looks as if there is attraction
between the two electrons*. For the effect to be noticeable all electrons have to
work in unison and this occurs when the average velocity of all pairs is the same. In
the absence of any force the average velocity is zero, that is if one electron has a
velocity u, its pair must have a velocity -u. In the presence of a force all pairs move
with the same average velocity. This refers to a flow immune of influence from
various obstacles. The reason is that the bond between members of a pair is stronger
than the disrupting energy made available from collisions. Hence once the electrons
are given an initial push, the current will persist for ever - or, at least, for three
years.
An important step forward for both theory and applications came with the
discovery of normal tunnelling in 1960 and of Josephson tunnelling in 1962. They
will be discussed in Sections 8.4 and 8.5 respectively.
8.3 Type II superconductors and high field solenoids
As mentioned in the previous Section, if H>Hcb a Type II superconductor breaks up

into superconducting and normal regions. However, the pattern found is not that of
Fig. 8.5; there are not alternate layers of normal and superconducting materials. The
normal region takes the form of a small cylinder round which a lossless supercurrent
is flowing as shown in Fig. 8.6. By hydrodynamical analogy this is called a vortex.
There are many vortices in an actual material (their distance from each other is
about 1 Mm) making up a triangular or rectangular lattice.
The intriguing possibility of producing high magnetic fields without incurring any
ohmic losses was recognised as soon as superconductivity was discovered. However,
*A useful analogy proposed by Little is as follows. Consider two marbles close to each other, on
the top of a drumhead covered by an elastic membrane, When the drum is tilted both marbles start
to move downwards but the second marble rolls down into the depression made by the first one.
Thus it looks as if the two were attracted to each other.
hopes were soon dashed by the realisation that relatively small magnetic fields (see
Table 8.2) suppressed superconductivity. The renewal of interest dates back to the
early 'sixties when the first high field material, Nb 3 Sn, with Hc2 ::::; 30 000 gauss,
entered the scene *.
The advantage of using a superconducting solenoid may be clearly seen in the
following example. A magnetic field of 70 000 gauss can be produced by a solenoid
not larger than about 12 x 12 cm. A conventional magnet producing the same
magnetic field would look like a monster in comparison. It would need a few
megawatts of electric power, and at least a few hundred gallons of cooling water per
minute.
At this stage one might think that having manufactured a material with a high
Hc2 all we need do is wind a solenoid and raise the current until the predicted Hc2
is reached. This is not so. When a current flows the vortices experience a J x B force
(the same force that drives electric motors) which removes the vortices from the
material. To exclude the high magnetic field costs energy and consequently the
superconductor becomes normal, which is highly undesirable. The problem is to
keep the high magnetic field inside, or in other words, pin the vortices. The remedy
is to have lots of structural defects, and to do this we must make our
superconductor as 'dirty' and as 'non-ideal' as possible. The resulting materials are
called hard superconductors.
We still have not reached the end of the road. There is one more difficulty with
vortices. Even if they do not move out of the material, any motion will represent an
ohmic loss. This causes heating, thereby increasing the local temperature in that part
of the superconductor above the helium bath. A rise in temperature promotes
further motion of vortices with still more heat, which continues until the whole
material returns to normal. The solution turned out to be cladding the super-
conductor with copper. Since copper is a good thermal conductor it can conduct
away the local heat before the runaway process starts.
8.4 The energy gap and normal tunnelling
We know that superconductors have very radical d.c. properties. Is the same true at
optical frequencies? Experiments show that the optical properties of super-
conductors do not differ from those of normal materials. Hence we are forced to the
conclusion that somewhere between zero and light frequencies the conductivity is
restored to its normal value. What is the mechanism? Having come across band
*Improved versions have since reached upper critical fields in excess of 200 000 gauss.
t
>-
01
..
0;
c:
o~ __________________ ___ ~
o " T
8.7 The energy gap as a function of
temperature (0) (b)
8.8 (a) Energy diagram for two identical superconductors

separated by a thin insulator. (b) The density of
states as a function of energy
.••••••.••••••• .•.•••• 2.::1
8.9 The energy diagram of Fig. 8.8

when a voltage, 2!1/e is applied
theory, we could describe a mechanism that might be responsible, that is, the
existence of an energy gap.
Detailed microscopic theory does indeed prove the existence of a temperature
dependent energy gap. It is zero at T = Tc and reaches its maximum 2Ll(0) at T = a
(for variation of Ll with temperature see Fig. 8.7). A typical figure for Ll(O) is I meV
that is about 1,000 times smaller than for semiconductors. Otherwise we may
imagine the energy gap in the same way as for semiconductors. At T = a there are no
electrons above the gap but as T increases, more and more electrons get thermally
excited across the gap. These are the normal electrons *, behaving very much as their
counterparts in a normal metal. The flow of supercurrent is ensured by the Cooper
pairs which reside in the middle of the gap at the Fermi level.
When we insert a thin insulator between two identical superconductors we get an
energy diagram like that of Fig. 8.8. Note that in contrast to semiconductors the
number of available states is high just above and below the gap.
If now we apply a small voltage, V<2Ll/e, no current is produced because none of
the electrons face empty states into which they could tunnel. The current starts to
flow only at V = 2Ll/e when electrons from below the gap suddenly have access to
the empty states on the right as shown in Fig. 8.9. Hence the corresponding I-V
*Physicists like to call them quasiparticies.
I I
8.10 The current as a function of voltage for a junction
°
between two identical superconductors separated by a
thin insulator. (a) T = 0, (b) T>
CD CD CD
2ft. , .••.••.•..•..... _••..•••.•••••••••.• 2ft.2

f
(a) V = 0, (b) V = (A2 - A dIe,
8.11 Energy diagrams for two different superconductors separated by a thin insulator
characteristic takes the form of Fig.8.10(a). At finite temperature, T> 0, the

situation hardly changes. Owing to the presence of a few electrons above the gap
there is a small current even for V < 2!:1/e but that is all (Fig. 8.1 O(b)).
A more interesting case arises when the two superconductors have different gaps.
Since the Fermi level is in the middle of the gap (as for intrinsic semiconductors),
the energy diagram at thermal equilibrium is as shown in Fig. 8.11 (a). There are
some electrons above the gap in superconductor 1 but hardly any (because of the
larger gap) in superconductor 2. When a voltage is applied a current will flow and
will increase with voltage because more and more of the thermally excited electrons
in superconductor 1 can tunnel across the insulator into the available states of
superconductor 2. When the applied voltage reaches (!:1 2 -!:1 1 )/e (Fig. 8.II(b)), it
has become energetically possible for all thermally excited electrons to tunnel
across. If the voltage is increased further, the current decreases because the number
of electrons capable of tunnelling is unchanged but they now face a smaller number
of available states. When the applied voltage becomes greater than (!:1 1 +!:1 2 )/e
v
I I
I I
{t;-t;)/e i2t; Ie I
8.12 The current as a function of

voltage for a junction
between two different
superconductors separated
by a thin insulators. There is
a negative resistance region
for
(~2 ~~1)/e<V«~2 +~l)/e
(Fig. 8.11(c), the current increases rapidly, because electrons from below the gap
start to contribute.
Thus a tunnel junction comprised of two superconductors of different energy
g&PS exhibits a negative resistance in the region (~2 - ~1 )/e < V «~2 + ~1 )/e as
may be seen in Fig. 8.12. The characteristics bear some resemblance to that of the
semiconductor tunnel diode, and it can equally be used in amplifiers and oscillators.
Unfortunately their use is not economic at the moment because of the low
temperature requirements, but they might be employed in future systems when all
the components are superconductive (e.g. in computer memory).
8.5 Josephson tunnelling
The tunnelling we have described in the previous Section follows the same principles
we encountered when discussing semiconductors. There is, however, a tunnelling
phenomenon characteristic of superconductors" and of superconductors alone; it is
the so called superconducting or Josephson tunnelling (discovered theoretically by
Brian Josephson, who at the time was a graduate student at Cambridge), which takes
place when the insulator is very thin (less than 1.5 - 2 nm). It displays a large
number of interesting phenomena, of which we shall discuss only five. (i) For low
enough currents there can be a current across the insulator without any
accompanying voltage. The insulator turns into a superconductor, because the
I Josephson
junction
.... -----
I
~ 1------1 I
L ____ _
v == superconducting path
2Me
8.14 Two Josephson junctions in
8.13 The current as a parallel, connected by a
function of voltage superconducting path
for a junction which
may display both
normal and Josephson
tunnelling
Cooper pairs (not single electrons) tunnel across. (ii) For larger currents there can be
finite voltages across the insulator. The Cooper pairs descending f~om the higher
potential to the lower one may radiate their energy according to the relationship
hl= (2e) V 12 (8.1)
where V 12 is the d.c. voltage between the two superconductors and I is the
frequency of the emitted electromagnetic radiation. Thus we have a very simple
form of a d.c. tunable oscillator that could work from a fraction of a Hertz up to
infrared frequencies (~ 10 12 Hz). There are of COUfS'e much more efficient ways of
building oscillators at lower frequencies, and these could be of practical use in the
far infrared region where it is very difficult to obtain monochromatic radiation. (iii)
The I-V characteristics of a Josephson junction is shown in Fig. 8.13. First the
current increases at zero voltage. At a certain current, I J (called the maximum
Josephson current or maximum supercurrent), the junction is no longer capable of
sustaining zero voltage operation and suddenly switches over to the normal
tunnelling characteristics. When current is reduced the characteristic switches back
to zero voltage but at a reduced value of current; there is a hysteresis region. (iv) If
two identical Josephson junctions are connected parallel and have a superconducting
path between them (Fig. 8.14). the maximum Josephson current of the combination
is 1m ax = 2lj. The first effect of an applied magnetic field is to decrease the
maximum supercurrent. There is nothing unexpected in this. Magnetic fields do
quench superconductivity so they could be expected to have a deteriorating effect
on the maximum supercurrent. What is surprising, however, is that 1m ax is a periodic
function of the applied magnetic field,
7T<P
Imax = 2IJ cos- (8.2)
<Po
where ~ is the magnetic flux enclosed by the circuit and CPo is the so called flux
quantum
b
~o =- = 2 10- 7 gauss cm 2 = 2 10-15 Weber (8.3)
2e
It is interesting to note that at
1
~= 2 ~o, Imax = 0 (8.4)
but an increase in magnetic field is now helpful, the maximum supercurrent is rising
again.
It is even more interesting that a change in ~ equal to CPo will move the pattern
by a whole period. If we can detect where we are in the pattern to (say) one tenth of
the period, then the change in the magnetic flux can be measured with an accuracy
of ~o /1 O. Assuming that we use a circuit with an enclosed area of 1 cm 2 , the
accuracy of the magnetic field measurement can be 10- 8 gauss = 10- 1 2 Tesla. This is
not just wishful thinking: by various refinements of the method, magnetic fields
close to 10- 10 gauss have been measured.
Rewriting Eqn. (8.1) as
e f
= (8.5)
it is possible to determine the value of e/h by measuring the voltage applied and the
frequency of radiation. What use is this? Don't we already know the value of e/h
with sufficient accuracy? The answer is no. The above type of measurement has
resulted in greatly improved values not only for e/h but for many other fundamental
constants. The change in the value of h for example occurs in the fourth digit.
8.6 Switches and memory elements
The use of superconductors as switches follows from their ability to become normal
in the presence of a magnetic field. Even better, we can make a superconducting
wire resistive by using the magnetic field produced by a current flowing in another
superconducting wire. The switch shown in Fig. 8.l5(a) employs niobium as the
control coil so that the magnetic field that makes the tantalum wire normal, will still
leave the wire of the control coil superconducting.
In order to make the circuit a little more suphisticated, a memory element can be
1.-
, - - - - - - + 1 ' C'"
(a)
(b)
1..- ..L-
+
+
(c)
(d)
8.15 The principles of operation of a superconducting memory element
constructed as shown in Fig. 8.lS(b). The current generator feeds a current either
into branch A or into branch B. If the current flows in branch A through coil CA ,
the magnetic field created is large enough to make the wire inside become normal.
But the wire inside CA belongs to branch B; thus there is a finite resistance in branch
B, and a zero resistance in branch A. Hence the current will always flow in branch A,
provided that it started to flow there. If we wish to start the flow in either branch,
we can modify the circuit as shown in Fig. 8.lS(c). If we call the current flowing in
branch A 'one' and the current in branch B 'zero', then we can write in 'zero' when
the circuit displays 'one' (that is, the current flows in branch A). This may be done,
simply by applying a pulse to the coil Cw 1. The wire (which is part of branch A)
inside the coil becomes normal; the current decreases everywhere in branch A,
including coil CA. Consequently, the wire inside CA becomes superconducting, that
is, the resistance in branch B vanishes. Hence the current from the battery switches
to branch B; 'one' has been written in. Similarly by applying a pulse to Cw 0, 'zero'
can be written in.
The circuit is still not complete because besides writing in, we must be able to
read the state of the circuit. This can be achieved by inserting two more coils in the
lead connectors
tin gate
gloss
substrate
8.16 The switch of Fig. 8.1Sa in thin film form
circuit, as shown in Fig. 8.IS(d). A current in branch A (or in branch B) makes the
wire inside normal, which can be sensed in the reading circuit.
The speed with which this memory element works, depends on the time needed
to steer the current from one branch to the other. Since the normal to
superconducting phase transition is rather fast the limiting factor is generally the
time constant (L/R) of the circuit, which is of the order of 10 -s sec if wires and
coils are used. The inductance can be considerably reduced by using thin films (the
basic switching element is shown in Fig. 8.16), and this has the further advantage of
being suitable for mass production.
8.6.1 The tunnelling cryotron

An improvement in the speed of switching can be affected by replacing the
superconducting wire by a tunnel junction. Then, by application of a small magnetic
field, the junction will change from normal to Josephson tunnelling. Since only the
type of tunnelling will be changed (there is no phase transition) the switching can
occur well below I nanosecond.
It is difficult to make any predictions about the future of these memory elements.
They have a number of advantages over the currently used magnetic memory
elements (larger capacity, greater speed, and non-destructive reading) but economic
considerations (the cost of refrigeration and all the other difficulties of low
temperature operation) exclude their use for the moment.
8.7 Some other applications

8.7.1 Suspension systems and motors
The tendency to exclude magnetic fields may be used for suspension systems. The
basic principle is illustrated in Fig. 8.l7(a) where a superconducting disc is
'--_ _ _ _ _ _ _ _----'1 disc
••-====••• (0)
coil
(b)
8.17 (a) A superconducting disc

levitating over a
superconducting coil. (b)
Double coil frictionless
bearing
supported by a superconducting coil. The magnetic field produced by the coil is

expelled by the superconducting disc. The superconducting disc can only expel the
magnetic field if the disc stays above the coil. Thus the magnetic field acts as an
elastic cushion. A more practical version with two coils embedded in iron is shown
in Fig. 8.17(b).
As it is possible to impart high speed rotation to a suspended superconducting
body, and as all the conductors in the motor are free of resistance, it is quite obvious
that the ideal, hundred-percent efficient motor can be closely approximated.
Present research efforts in this direction are fairly modest. The best promise for
commercial exploitation is shown by a high performance homopolar machine
(Fig. 2.52, Vol. 1) which utilises the magnetic field of superconducting coils.
8.7.2 Radiation detectors
The operation of these devices is based on the heat provided by the incident
radiation. The superconductor is kept just above its critical temperature, where the
resistance is a rapidly varying function of temperature. The change in resistance is
then calibrated as a function of incident radiation.
8.7.3 Resonant cavities
In microwave cavity resonators the losses are caused by the ohmic resistance of the
material forming the cavity. Since the resistance of superconductors is m.uch reduced
(it is only the d.c. resistance that disappears, at a.c. the resistance is finite) they can
be usefully employed when a high Q is desired.
eleoGron
miorosoopes
M. J. WHELAN
9.1 Introduction
An electron microscope is an instrument which utilises the techniques of electron

optics discussed in Chapter 2, in order to produce a magnified image of a specimen
but using electrons to illuminate the specimen instead of light, as in a normal optical
microscope. A beam of electrons is scattered by the specimen, and the scattered
electrons are collected and used to form an image. Two types of instrument are
employed. The first is known as the conventional transmission electron microscope
(TEM) while the second is called a scanning electron microscope (SEM). They are
illustrated schematically in Figs. 9.1 (b) and 9.2 respectively. In the first type the
electron beam produced by an electron gun is used to illuminate the specimen via a
condenser lens, and a magnified real electron image of the specimen is produced by
several electron lenses. The image is cast on a fluorescent observation screen which is
viewed through a window in the wall of the evacuated electron optical column. A
photographic record of the image is made by moving the screen aside and allowing
the electrons to fall directly on a photographic plate below the screen. This method
is the electron analogue of the optical microscope as illustrated in Fig. 9.1 (a). Each
of the glass lenses of the optical microscope has its counterpart in the electron lenses
of the electron microscope. These are either electrostatic or electromagnetic lenses
(see Chapter 2), but nowadays the electromagnetic type is used almost exclusively
for instruments of high resolving power because of the smaller aberrations inherent
in this type.
Fig. 9.1 (b) shows a microscope with two magnifying lenses, namely objective and
projector lenses, but in modern instruments three of four magnifying lenses acting in
sequence may be used. The reason for this is that extremely high magnifications of
up to SOO,OOOx on the viewing screen are required when resolving the distances
between atoms in a solid, say about 2A (2 x 10 -10 m). The magnification produced
by a single lens is given by the ratio, image distance divided by object distance, as in
131
\II light source elect ron gun LvJ
condenser (ens --II -:.:-:

:-:.:-
~~ _ _ - spec imen - _ __
~~~~-- Obj ect i ve !ens
observahon /
screen
(Q I (bl
9.1 (a) and (b). Diagram illustrating the essential

elements of (a) an optical microscope and (b) a
transmission electron microscope. The glass lenses of
(a) are replaced by electromagnetic lenses in (b)
an optical microscope, and the overall magnification of the microscope is

determined by the product of the magnifications of each lens. With only two
magnifying lenses an excessively tall microscope column, several metres high is
needed to obtain high magnification. Since the operator needs to manipulate
apertures near the top of the column while also observing the image at the bottom
from a seated position, he obviously needs to have extremely long arms. To
ELECTRON MICROSCOPES 133
electron gun
c
F
-c,~n<l,.nse r lens I
-C IOn<ll~nser lens 2
A
9.3 Electron gun. A tungsten

filament F at high negative
potential is heated by an
9.2 Schematic diagram of the basic electric current to ~3000K.
elements of a scanning electron Electrons are emitted and
microscope are attracted to the earthed
anode at A and pass
through the hole in it,
into the electron micro-
scope column. Control
over the beam current is
obtained by biasing the
Wehnelt cylinder C negative
with respect of F
overcome this, up to four magnifying lenses are used giving a column length of less
than one metre. The additional magnifying lenses also give greater flexibility in the
ranges of magnification available. The strengths of the magnetic lenses may be varied
by varying the currents in their coils. In this way different combinations of lens
power are achieved without having to physically exchange lenses, and the
magnification can extend from a few hundred to several hundred thousand. In
addition to the magnifying lenses, there is also a condenser lens (or lenses). In
Fig. 9.1 (b) only one condenser lens is shown, but in order to produce a very small
illuminating spot on the specimen, to avoid charging up effects, it is customary
to use two condenser lenses. Thus the TEM may contain up to six magnetic lenses as
well as the electron gun, which contains electrostatic elements such as the Wenhelt
cylinder and the anode with a hole through which the accelerated electron beam
emerges. The electron gun is illustrated in Fig. 9.3. The heated tungsten filament F
emits electrons which are concentrated by the negatively biased Wenhelt cylinder C
to a crossover. The electrons are then accelerated by several tens of kilovolts applied
between F and the anode A. The function of the condenser lens system below A is
to image the gun crossover onto the specimen. This type of electron gun is normally
used for producing electron beams of energy up to about 200 keY. However, for
higher voltages a specially designed accelerator system with several accelerating
electrodes is required. Such a system is used in the 1 MeV electron microscope
illustrated in Fig. 9.11.
Further optical magnification of the image recorded on the photographic plate
enables magnifications of several million to be achieved. Since the conventional
electron microscope is a high resolution instrument it is almost exclusively used in
the transmission mode where the electrons are transmitted through a thin specimen
about 10- 8 to 10- 7 m thick. Thin specimens are required in order to minimise
aberrations in the image due to energy loss of the electrons in the specimen. This
aberration is referred to as chromatic aberration by analogy with optical
microscopy.
The conventional electron microscope is hardly ever used (as is customary with
the optical microscope) in the reflecting mode, where the electron beam is reflected
at a grazing angle from the surface of a solid specimen. Although this method has
been investigated in the past, the results have been poor and solid specimens are now
almost exclusively examined in the second type of instrument, the scanning electron
microscope.
In the SEM, a number of lenses are used to demagnify the image of a small
electron source. Fig. 9.2 shows how this is achieved. Three condenser lenses are
arranged in sequence to produce a demagnified image of the electron gun crossover
at the level of the specimen near the bottom of the column. A narrow electron beam
or probe, of minimum diameter about 50 to 100 A (at the specimen), is produced
and this beam is then scanned in a raster pattern across the surface of a solid
specimen by magnetic deflection coils located in the final condenser lens. An
electrical signal derived from the specimen-electron beam interaction is recorded,
and is used to modulate the brightness of the beam in a cathode ray tube which is
scanned synchronously with the specimen beam, thereby producing a picture as on a
television tube. The contrast signal can be produced in a number of ways. For
example the back scattered electrons, produced by the primary beam striking the
specimen surface, can be collected in a Faraday cup as sho'wn in Fig. 9.2. This
commonly used method is illustrated in Fig. 9.4. The back scattered electrons are
attracted into the Faraday cup by applying a positive potential of about 250V to the
cup. The electrons, once inside the cup, are then further accelerated to a scintillator
by a potential of about 10 kV. The light flashes produced by each electron on
~ _ _ photoelectrons
secondary - -_
to cathode
electrons -----l~Z:s;:::;d >---t- ray tube
from
specimen _ _ - -- brightness
control
.250 V tube
plast ic light
pipe
9.4 Diagram of Faraday cup - scintillator and photomultiplier system for amplifying the
contrast signal in a scanning electron microscope
impact with the scintillator, are transmitted through a light pipe into a photo-
multiplier system, the output' of which is then further amplified (electronically)
before being used to modulate the brightness of the beam in the cathode ray display
tube.
Another way is to record the beam current absorbed by the specimen by
measuring the current flowing to earth. Yet another method measures the X-rays
produced by the impact of the primary beam on the specimen. There are also other
ways to produce a contrast signal. Evidently the number of choices and the
possibility of using electronic signal processing techniques to enhance the contrast of
the image, makes the SEM a particularly versatile instrument. It has definite
advantages over the TEM firstly because of the variety of images that can be
obtained, and secondly because it can be used to examine solid specimens that have
considerable surface topography (see Fig. 9.16). On the other hand since, it is
difficult to produce a probe of diameter much less than about 50 A in a typical
commercial SEM, the resolution of this type of instrument is limited to distances of
about 100 A, particularly when the image is formed from a signal derived from back
scattered electrons. In contrast to this, the TEM is capable of very high resolution,
about I or 2 A, and is able to resolve the distance between atoms in a solid. It needs,
however, very thin specimens, and the image contrast cannot be enhanced
electronically as in the SEM.
9.2 Resolving power of the TEM
The resolving power is the ultimate quantity of interest in any microscope system.
It is determined by the resolution limit (jo which can be thought of as the smallest
distance between two point source objects which can be resolved as separate.
Because of imperfections, known as aberrations, in the microscope system, the

image produced is not exactly the same as the object. Very fine detail will be blurred
and unrecognisable and a measure of this fineness is the resolution limit.
Conventionally the resolving power of the system is said to be high when the
resolution limit is small, but the term 'resolving power' is used loosely in the
literature. One often finds reference to a 'resolving power of 2A' when what is really
meant is a 'resolution limit of 2A' (we are guilty of such laxity at the end of the last
section!).
Before considering what determines the resolution limit 8 0 , we note that this
quantity effectively determines the maximum useful instrumental magnification.
This is the magnification which will produce an image of height 0.1 mm of an object
of height 8 0 , The 0.1 mm is the minimum distance which the average eye can resolve
at the least distance of distinct vision, which is about 25 cm. If we were to record
the image on a fine grain photographic plate, we would be able to see detail on the
plate corresponding to features on the object of size 8 0 , If we increase the
magnification above this no more detail would be made visible, although it would be
less strain on the eye to examine. The maximum useful magnification is therefore
given by 0.1 mm -;- 8 0 , For example if 8 0 is 2500A, as in the high resolution optical
microscope, the maximum useful magnification is 400x. If 8 0 is lOA as in the last
generation of TEM's, the maximum useful magnification is 100 OOOx, while in
current high resolution TEM's 80 can be about 2A, giving a maximum useful
magnification of 500 OOOx. This explains why, twenty years ago, the best TEM's
had a top range of magnification of not much more than 100 OOOx, while nowadays
the top range is usually about 500 OOOx. Further optical magnification of the image
on the photographic plate is often useful but it does not reveal any more fine detail
of the object.
Their are several factors which determine 8 0 , the most important being: (a) Wave
nature of electrons or diffraction aberration. (b) Spherical aberration. (c) Astig-
matism. (d) Chromatic aberration. The last three aberrations arise from the
geometrical optics of the lens. In practice it is the aberrations of the lens closest to
the specimen (the objective lens) which are most important. We will now discuss
each aberration in turn.
9.2.1 Diffraction aberration

This is a fundamental limitation arising because the agency used to examine the
specimen has a wave character and is therefore diffracted at the aperture of the
objective lens. This applies in both light and electron microscopy. Light has a
wavelength of about 5000 A, while according to L. de Broglie, electrons with a
.--objective lens
p~~L- __ ~~ ____________________ ~~~~ __

I
-lens aperture
9.5 Illustrating the diffraction aberration of a lens. Radiation

from a point source is diffracted at the aperture of the lens
and forms a blurred image at I. The intensity at I is known
as the Airy distribution
momentum p have a wavelength A = hlp, where h is Planck's constant. For electrons

of energy 100 keV A = 0.037A, while 1 MeV electrons have a wavelength of
0.0087 A. Now suppose we neglect the geometrical aberrations (b) (c) and (d)
above, and let the objective lens be used to form an image of a point object P
situated in a region of refractive index n as in Fig. 9.5. If a pencil of radiation of
semi-angle ex enters the lens, the intensity in the image plane at I is the well known
Airy distribution which has a central maximum of radius (measured to the first
minimum and referred back to the object plane) of
0.61 A/n sin ex (9.1 )
This means that the image of a point source is always slightly blurred by the lens,
the blurring arising from diffraction at the lens aperture. The blurring becomes
worse as the lens aperture ex decreases and the wavelength increases. In optical
microscopy, glass lenses can be designed which are practically free from geometrical
aberrations and which have large angles ex. If the specimen is immersed in oil, n sin ex
will be about 1.3, so that the blurring corresponds to a disc of radius about Y2A.
According to Rayleigh two point sources can just be resolved if they are separated
by this distance. Thus in light microscopy the resolution limit is about YzA, i.e. about
2S00A. For electrons the geometrical aberrations limit ex to values less than 10 as we
shall see. We can therefore put sin ex ~ ex in Equation (9.1). Since n = 1, for magnetic
lenses the resolution limited by diffraction is
8d = 0.61 A/ex. (9.2)
This formula applies to the resolution of two incoherent point sources (Le. sources
emitting radiation with un correlated phases) but essentially the same formulae, with
slight variations in the constant 0.61, hold for the resolution limit of periodic
objects illuminated with coherent radiation.
object lens
Gauss image
plane
P'
9.6 Illustrating spherical aberration of a lens
9.2.2 Spherical aberration

The geometrical optics of an electron lens is never perfect. According to ideal
geometrical optics the rays in a pencil leaving an object point P should all converge
to the point pi in the Gauss image plane (Fig. 9.6). This should hold whatever the
angle a of the pencil. Now in practice, rays with small angle a will pass very close to
pi , converging on pi as a tends to zero. However, for larger values or-a, rays are
bent more by the lens and cross the axis closer to the lens. The result is that in the
Gauss image plane (the image plane for so-called 'paraxial' rays) there is a disc of
confusion of radius
(9.3)
Cs is known as the spherical aberration constant of the lens and is usually of the
order of the focal length of the lens, about 2 or 3 mm for a high resolution magnetic
objective lens. Spherical aberration of electron lenses is their most serious limitation.
Unlike the glass lenses of an optical microscope, no feasible method of
compensating for this aberration has been found. One just has to accept it. We note
from Equation (9.3) that Os varies as a 3 and increases with increasing a, while from
Equation (9.2) Od decreases like a-I as a increases. If the aberrations (9.2) and (9.3)
are combined by addition we obtain a resultant aberration
_ A 3
0- 0.61 - + Csa . (9.4)
a
We leave it as an example for the reader to show that the function (9.4) has a
minimum given by
(9.5)
at
A and B are constants of the order unity whose values vary slightly with the method
of combining the aberrations (9.2) and (9.3). It is customary to put A and B = 1,
and to take this as the definition of 0 0 and a o . If we do this with a lens of
object
lens
circle of least
confusion
9.7 Illustrating astigmatism of a lens
Cs = 3.3 mm with 100 keY electrons (X = 0.037 A) we obtain

(jo = 6.5 A
ao =6 x 10- 3 rad"'" 113°.
The resolution achieved in practice can differ considerably from this. For example a
resolution limit as low as 1 or 2 A can be demonstrated practically by revealing
arrays of atoms in a solid (see Fig. 9.l5). On the other hand worse resolution may
result if other aberrations, such as (c) and (d) dominate, or if the specimen mounting
is mechanically unstable so drift occurs while the image is recorded.
In order to achieve the optimum aperture angle a o , facilities are provided for
inserting an aperture into the bore of the objective lens. Such apertures are usually
made of platinum, molybdenum or gold and have aperture holes in the range 20 to
50 Ilm diameter
9.2.3 Astigmatism
This is a lens defect common in optical systems (e.g. the human eye) and also
occurring in electron optical systems. Fig. 9.7 illustrates this aberration, which arises
from some element of ellipticity in the lens. For a glass lens this means that the
surfaces are not exactly spherical, and for a magnetic lens that the lens field does not
have exact axial symmetry. The latter can be caused by inaccurate manufacture of
the pole-pieces of the lens or by inhomogeneities in the iron of the pole-pieces. In
Fig. 9.7 rays diverging from a point P in the vertical plane converge again at plh
(horizontal line focus), while rays diverging in the horizontal plane cross over at P'v
(vertical line focus). Between p' h and plv there is a circle of least confusion. Clearly
astigmatism can be minimised by careful manufacture, but the tolerances are very
stringent at high resolution. Therefore compensators known as stigmators are
designed to introduce an astigmatism equal and opposite to that of the lens. Such a
device can be adjusted during operation of the microscope to optimise resolution.
1------ ------==--"""""---1 [
9.8
9.2.4 Chromatic aberration

The focal length f of a 'thin' magnetic lens is given by the formula
I e r
f = 8mE J B2 dz (9.6)
where e and m are the electronic charge and mass, E is the energy of the electron
beam and B(z) is the magnetic induction field along the axis in the pole piece gap
(Fig. 9.9). Since B can be varied by varying the current I in the lens coil winding, the
focal length can be varied by varying both I and E. In most magnetic electron
microscopes focusing is achieved by varying I, although some cheaper instruments
use permanent magnet lenses and in this case focusing is achieved by varying E.
Note that, unlike the case of optical microscopy, focusing is not usually carried out
by moving the specimen.
From (9.6) we see that
fex E/(Nl)2 (9.7)
where NI is the 'ampere-turns' energising the lens. In order to avoid fluctuations in f
it is necessary to stabilise I and E. To estimate the stabilisation required, consider
Fig. 9.8 which shows the objective lens forming an image I of a point P. Let the
imaging pencil have semi-angles a and aiM in object and image space respectively,
where M = v/u is the magnification. Using the 'thin-lens' formula
I I I
-+-=-
U v f
since u is fixed, a fluctuation Llfinfwill cause a change Llvin image position, where
LlV/V2 = Llflf. Since for an objective lens u ~f, we obtain from this Llv = M2 Llf and
the radius of the disc of confusion at I is
a
Llrj = Ll v x Ai =MaLl!
The equivalent disc of confusion referred to the object has radius

Llro = a Llf
Now from (9.7) we see that fluctuations !::J and !:J.E will cause a fluctuation in f given
by
We therefore obtain
(9.8)
This result holds also for a 'thick lens' with f replaced by a constant Ce , known as
the chromatic aberration constant. Cc is usually of the same order as f
Let us now estimate the degree of stability required by putting t::.ro = Do. the
instrumental resolution limit previously discussed. Putting ll.ro = 6.5 A and a = 6 x
10-3 rad we obtain from (9.8), assumingf~ 3 mm.
[(2!::J/l)2 + (ll.E/E)2]Yz = 3 x 10-5
Thus it is clear that fluctuations in I and E must be reduced to about 1 part in 10 5 .
For higher resolution the conditions on stability are even more stringent, and some
modem high resolution instruments have high voltage and objective lens current
stability as good as 1 part in 10 6 • Such degrees of stability are achieved by using
electronic techniques.
Regardless of the stability of the current and voltage supplies, there are
mechanisms by which the incident electron beam itself can give up energy to the
specimen by processes known as inelastic scattering. For example, it is possible for
the incident electron to collide with one of the electrons of an atom of the specimen
apd raise it to a higher energy level, the energy change being supplied by a decrease
in the kinetic energy of the incident electron. There are many different ways of
transferring energy in inelastic collisions, each with different energy loss and this
results in an energy spread ll.E of the beam transmitted through the specimen. It is
as though the specimen itself changes the 'colour' of the electrons, if we use the
word 'colour' to denote loosely the wavelength or energy of the electron. As a
general statement it can be said that !:J.E increases with increasing specimen thickness
and with increasing atomic number of the specimen. The energy spread ll.E can be to
the order of tens of volts with thicker specimens, and the resulting chromatic
aberration can be the chief limitation on resolution. This explains why biologists
wishing to study organic material under the electron microscope, employ a
diamond-knife instrument, the microtome, to cut the very thin sections needed. A
rough rule of thumb applicable to biological sections is that the resolution limit due
to chromatic aberration is about ~ 0 of the specimen thickness. To achieve a
resolution of lOA would require specimens only 100 A thick, but there are
difficulties in cutting and supporting such specimens. With crystallin.e materials such
as metals the situation is somewhat better because of the regular arrangement of

atoms in the crystal lattice. This leads to 'channelling' of the electrons between the
spaces in the lattice and to a reduced energy loss. It is not unusual to examin,e metal
specimens 1000 A or more in thickness with a resolution limit approaching IDA or
less.
To minimise chromatic aberration, electron microscopes are being developed with
filter lenses so that only a narrow band of the energy loss spectrum is used to form
the image. Such instruments are the analogue of colour photography in the optical
microscope, and are proving useful in their several applications.
9.3 Resolving power of the SEM
The smallest electron probe attainable on the specimen, below the final condenser
lens in Fig. 9.2 is determined by the same factors as in the objective lens of a TEM.
In fact the final condenser lens of an SEM is like an objective lens of a TEM working
in reverse. The smallest probe radius is given by Equation 9.5. However, in the SEM
the final lens usually has a focal length of at least 20 mm. This is because the
specimen needs to be mounted some distance below the pole-piece of this lens in
order to accommodate the signal detection equipment as in Fig. 9.4. The value of Cs
increases rapidly with increasing focal length and as a result the probe size usually
has a minimum value of about 50 A diameter. In practice however, several factors
may prevent the resolution reaching this value. Firstly, if a back scattered electron
current is detected, the electrons contributing to this current will come from a larger
area than the incident probe cross-section because the electrons diffuse in the
specimen before emerging. Secondly, there is a problem with the signal/noise ratio.
The smaller the probe, the smaller the total current on the specimen and the smaller
the signal recorded. Ultimately it becomes lost in noise. The weakness of the signal
usually limits the probe size to values larger than that given by Equation 9.5, so for
solid specimens a resolution of 100 A is typical. To improve this situation there is
currently much effort to increase the efficiency of the electron gun which in turn
will increase the total current in the final probe.
It is also possible to use the scanning microscope in a transmission mode (STEM).
The beam is transmitted through a thin specimen and a signal recorded by a detector
placed below the specimen. Thus the final lens can be made stronger (shorter focal
length) with consequent improvement in the limiting probe size. Using electron guns
of improved efficiency, the signal/noise problem can be overcome, and a resolution
limit about equal to that of the TEM has been demonstrated with the STEM. Images
of single atoms have been obtained just as with the TEM.
-~}
--
cathode electron gun
- . anode
,..specimen
magnetic lens
high
voltage
~ J<:
iron shroud
I
variable
d.c.
~nefo1O/ current
SO-lOOkV supply
stability stabili\y
1 in 105 I in 10
-*-
image
lIuorescent screen "
9.9 Basic elements required to make an image
forming system with an electromagnetic lens
The STEM has one important advantage over the TEM, the image is not formed
by lenses subject to chromatic aberration. Electrons of any energy, transmitted
through the specimen can be detected and as a result the chromatic aberration
which chiefly limits the resolution of the TEM is not a limiting factor in the
STEM. It is also possible with the STEM to introduce energy discrimination in the
detection system and hence to construct filter systems somewhat more conveniently
than in the TEM. The field of STEM is one which is being actively investigated at the
present time.
9.4 Construction of the electron microscope
A simple one lens imaging system together with an electron gun is shown
schematically in Fig. 9.9. The magnetic lens itself is an iron shrouded coil with axial
symmetry about the vertical line. There is a gap in the shroud and the lines of force
in the gap form a magnetic field of axial symmetry. The region of the gap is known
as the pole-piece. This part of the lens shroud must be manufactured with extreme
accuracy if aberrations, such as astigmatism, are to be avoided. To achieve this the
pole-piece is often manufactured to high tolerance as a separate unit with suitable
spacers between the upper and lower poles. The unit is then plugged into a larger gap
in the shroud which need not be made to as high a tolerance as the pole-piece.
Fig. 9.9 also shows schematically the high voltage generator and d.c. current supply
9.10 100 kV transmission electron micro-

scope of 2A resolution limit. (Courtesy
of Japan Electron Optics Laboratory
of Tokyo)
energising the lens, both with the degree of stability estimated in Section 9.2. All
electron microscopes consist of a stack of such lenses with provision for evacuating the
space along the axis and for inserting small apertures at various points along the axis.
For an objective lens the specimen is usually placed in the bore of the pole-piece
close to the centre of the pole-piece gap, where the maximum magnetic field is
usually greater than a tesla (10 4 gauss).
Fig. 9.10 shows a high resolution TEM which operates with 100 kV electrons.
This instrument known as the JEM 100B is manufactured by the Japan Electron
Optics Laboratory Company of Tokyo and has a guaranteed resolution limit of 2 A.
The electron micrograph showing images of single gold atoms shown in Fig. 9.15 was
taken with this instrument. The operator, sits at the table and observes the image on
the fluorescent screen through the window at the bottom of the column. The
specimen is inserted at the level of the small window about half way up the column.
A device known as a specimen airlock is used for moving the specimen in and out of
the vacuum. Various knobs also protrude from the column. Most of these are
9.11 I MV transmission electron micro-

scope made by G.E.C. - A.E.I. (Courtesy
of G.E.C.- A.E.I . Scientific Apparatus
Division)
aperture drives for inserting and aligning small apertures on the axis of the
instrument. The vertical knobs near the top of the column are used for aligning the
electron gun with the axis of the instrument. Photographic plates are inserted in a
cassette through a plate airlock just below the table at the bottom of the column.
Electrical controls for focusing the lenses, adjusting the beam current, meters etc.
are on the inclined fascias. Not shown in the photograph are vacuum pumps and the
electrical supply console containing the high voltage generator and lens current
supplies.
Fig. 9.11 is a photograph of the 1 MV electron microscope known as the EM 7
manufactured by GEC-AEI Scientific Apparatus Division of Manchester. The
massive scale of the instrument is evident. The high voltage is generated by a
Cockroft-Walton voltage multiplier stack contained in the large tank at the rear
upper level. The high voltage passes through a connector to the other tank which
contains equipment such as the electron gun and the accelerator electrode system.
The microscope column is situated below the accelerator tank. The high voltage
equipment in the tanks is insulated by SF 6 gas under pressure. The whole

installation including the tanks is mounted on a large concrete base supported by
springs, which minimise vibration. Instruments have recently been developed by
French and Japanese organisations which operate at 3 MV, and even a 10 MV
instrument is projected.
Prices of commercial electron microscopes (TEM) range from about £30,000 for a
high resolution 100 kV instrument to about £250,000 for a 1 MV instrument. For
commercial models of the SEM somewhat lower beam voltages tend to be employed
(usually not more than 60 kV), but the increased sophistication of the electronic
circuits leads to prices of the same order as that of a 100 kV TEM.
9.5 Applications of the electron microscope
The field of application of the electron microscope is now a very wide one ranging
from the biological, through the chemical and physical, to applications in materials
science and engineering electronics. Therefore we must be content with a brief
survey; nevertheless this should illustrate the power and versatility of modern electron
microscopes.
The field of biology was the first to which the TEM was successfully applied. Thin
sections of tissue are usually prepared by cutting with a microtome (a sort of highly
refined bacon slicer). Since specimens of organic materials are mainly composed of
carbon, hydrogen and oxygen, atoms which produce little electron scatter, the
contrast variation in the image is often very low. These tissues are selectively stained
with solutions of compounds containing heavy atoms; usually tungsten, osmium or
uranium. The compounds selectively enter certain regions of the specimen, and since
heavy atoms give rise to increased electron scattering outside the aperture of the
objective lens, such regions appear dark on the image. Another biological field of
application of the electron microscope is in the study of viruses, agents responsible
for disease in human and plant organisms. Fig. 9.12 shows an electron micrograph of
an almost regular array of plant virus particles (brome mosaic virus). Each of the
viruses has an icosahedral shape and consists of an outer shell of protein
macromolecules some 350 A in diameter, with less dense central core. The viruses
have been stained with ammonium molybdate and the less dense core absorbs the
stain and hence appears darker on the image. The virus particles are supported on a
carbon film about 100 A thick which is prepared by evaporation of carbon in high
vacuum.
Fig. 9.13 is an example of how the electron microscope can be used in chemical
studies. Thin crystals of Mo0 3 are prepared by heating ammonium molybdate to red
9.12 Transmission electron micrograph of

brome mosaic virus. (Micrograph
taken by R. W. Horne.) Magnification
x 130000
hr.at in a crucible and allowing a drop of an aqueous solution of the sublimate to dry
on a thin carbon film supported by a copper grid. The crystals of Mo0 3 are needle
shaped as shown in Fig. 9.13. It is possible from the change in appearance of the
image during irradiation with an electron beam to deduce that phase transformations
occur in the solid state. Fig. 9.13 also illustrates another very important applica tion
of the TEM. It is possible to select a small portion of a crystal with the aid of an
aperture inserted in the image plane of the objective lens. This aperture is visible in
Fig. 9.13. By changing the strength of the second magnifying lens it is possible to
focus on the focal plane of the objective lens. In this plane the electron diffraction
pattern, of the area selected by the aperture, is formed. It is the same sort of
phenomenon as one sees when looking at a distant sodium street lamp through the
fabric of an umbrella. Here the light is diffracted by the regular arrangement of
threads in the fabric and one sees many images of the lamp regularly arranged. In
Fig. 9.13 the light waves are replaced by electron waves and the fabric by the regular
9.13 Transmission electron micrograph of a

crystal of molybdenum trioxide with
electron diffraction pattern from the
area of the aperture superposed.
Magnification x 30 000
arrangement of atoms in the crystal examined. The electron diffraction pattern from
the area selected in Fig. 9.13 is also shown, superposed on the same micrograph.
This technique is known as selected area electron diffraction. It is used to give
information about the crystallography of the specimen, which can greatly aid the
interpretation of details in the images of crystalline rna terials.
An important field of application of the TEM is in the study of defects in crystals,
particularly metals where the defects are known as dislocations. Dislocations are
flaw lines which cause the metal to deform plastically while still preserving its
regular crystal structure. The movement of dislocation lines causes the planes of
atoms to slide over one another in much the same way as a ruck in a carpet, if
moved, can cause a net sliding of the carpet over the floor. Fig. 9.14 is an electron
micrograph of dislocation lines in stainless steel produced by deforma tion by rolling.
The dislocation lines become tangled with one another and ultima tely cause the
9.14 Transmission electron micrograph showing dislocation lines in

stainless steel (74% Fe; 18% Cr, 8% Ni alloy). Magnification x 33000
9.15 High resolution transmission electron micrograph of a

thin gold foil showing gold atoms in projection. The
distance between the atoms is 21\ (2 x 10 -) U m).
(Micrograph taken by R. W. Horne and R. Markham.)
Magnification x 7 500 000
9.16 Scanning electron micrograph showing a red ant exploring

the connections to an integrated circuit (Courtesy of
Honeywell Inc.)
metal to harden. The properties of dislocations in materials have been extensively

studied with the electron microscope. It is the only method available for revealing
these flaws at such high resolution.
An example of the ultra-high resolution application of the TEM is shown in
Fig. 9.15. This electron micrograph was taken with the instrument illustrated in
Fig. 9.10, and shows single atoms of gold revealed in the image. The atoms in gold
are arranged on a face-centred cubic lattice and the picture of Fig. 9.15 is a view
down the cube axis showing the atoms in projection. The distance between the
adjacent images of the projected atoms is about 2 A and the regular arrangement of
the atoms in the image is clear. The specimen is a thin single crystal of gold formed
by evaporation of gold (in vacuum) onto a heated cleavage surface of a crystal of
common salt. This process is known as eptiaxial deposition, and the salt Substrate
can be dissolved away in water leaving only the thin single crystal gold film. Many
other applications of the TEM to imaging single atoms are now being studied in
various laboratories throughout the world.
As a final example, to illustrate the use of the SEM we have selected a scanning
electron micrograph of a red ant exploring the connections to an integrated circuit
(Fig. 9.16). Although the magnification is low, the micrograph illustrates the power
of this instrument to reveal topographical detail.
plosmos
J. E. ALLEN
10.1 Definition of a plasma, Debye distance and sheath phenomena
This chapter concerns plasmas and is clearly related to the chapter on ionized gases
in Volume I. A plasma is in fact an ionized gas, but one in which the electron and
ion densities are high. When the electron density is sufficiently high it must become
almost equal to the ion density otherwise enormous electrostatic fields would be
built up. Thus a plasma is defined as a neutral mixture of ions and electrons, or more
precisely a quasi-neutral assembly since a small imbalance may exist. A difference of
one part in a million is quite important, for example an ion density of 10 1 8 per
cubic metre in a cylinder of 50mm diameter would have an electrostatic field at its
surface given by
21rrEoE"'" 1rr2 ne x 10 -6 or E"'" 200 Vm- 1
on substituting r = 25 x 10 -3, Eo = 8.85 x 10 -12, n = 10 18 and e = 1.60 x 10 -19.

Radial electric fields of this order exist, for example, in low pressure mercury arcs.
The term plasma was introduced by Langmuir in 1928, the term derives from the
Greek 'to mould' and was presumably chosen because low pressure plasmas tend to
fill the vessel in which they are produced.
In terms of a formula, then, a plasma is defined as a mixture of positive and
negative charges with the restriction that
(10.1)
where n is the particle density and the subscripts refer to the ion and electron
respectively. In general plasmas are surrounded by a charge region or 'sheath' where
the above inequality does not hold.
In many situations, but not all, the voltage drop across a sheath is comparable
151
with the mean electron energy measured in volts*. We can estimate the thickness of
such a sheath by considering a uniform space charge density ne. Poisson's equation
takes the form
so that
nex 2
V=--
2Eo
if the electric field at the plasma boundary is ignored. Thus the thickness of the space
charge sheath is given by
X =j(EOkTe)
ne
. /2. 2 Xv
if V= kTe/e. The characteristic distance defined by the square root (omitting the
vi 2) is a most important one in Plasma Physics. It is known as the Debye length and is
usually denoted by AD' It first appeared in the theory of electrolytes due to Debye
and Huckel and is the natural unit of length in many space charge problems. In
practice the space charge density is not usually constant, but the space charge
thickness is still comparable with AD .
If a discharge column is to be a plasma it is clear that the radius of the tube must
considerably exceed AD , i.e.
R» ;1(-kT-Eo e)
ne 2
(10.2)
otherwise the 'sheath' would fill the discharge tube.

Another way of expressing the existence of quasi-neutrality is to state that the
energy stored in the electrostatic field must be small, i.e. small compared with the
thermal energy
(10.3)
but it must not be thought, however, that electric fields are unimportant. It can be
shown that a low pressure positive column has a potential difference between its axis
and its boundary which is approximately equal to the electron thermal energy in
*It can be shown that the 'floating potential' of a wall is given by

Vf "" (kTe/e) In (M/2rrm)'Iz
PLASMAS 153
electron volts, kTe/e (this result refers to the case where R »AD)' We can see that
if E ~ kTe/eR then V2€O £2 is small compared with nkTe .
In some situations there may be a double-sheath, for example at the cathode of a
gas discharge tube. Near the cathode the electron space charge predominates whereas
nearer the positive column there is a positive space charge. In the limiting case of
space charge limitation of current, as in vacuum tube, the electric field at the cathode
is reduced to zero. The electrons and ions gain similar energies falling through the
same potential drop so that we can write
(10.4 )
where we have ignored the initial velocities of both ions and electrons. The
momentum of the ions striking the cathode per second must equal the rate of
transfer momentum by the electrons at the plasma boundary. This is because the
electric field vanishes at these two planes: Thus we can write
.(10.5)
The ratio of the electron current to the ion current is given by
and use of equations (1004) and (10.5) shows that
Thus the electron current is connected with the ion current and cannot assume
arbitrarily high values.
10.2 Kinetic theory of plasmas in a magnetic field
The behaviour of a plasma depends on many parameters, pressure being one of the
most important. At low pressures the particles can cross the plasma without making
collisions, whereas at high pressures the mean free path is small. When collisions are
frequent we can employ mobility and diffusion coefficients as discussed in Chapter
4 of Volume I. A subject of great interest concerns the effects produced by a
magnetic field. The electric force on a charged particle is replaced by the Lorentz
force e(E + v x B). Thus the resulting current is not aJways in the same direction as
~-----~x
__ E
10.1 Diagram showing the

transverse and
longitudinal
components of drift
velocity in crossed
electric and magnetic
fields. The magnetic
field is directed into
the paper
the applied electric field. If E and B are at right angles, the current component in the
mutually perpendicular direction is known as the Hall current. The flow of the Hall
current depends upon the configuration and the associated circuit. Thus in most solid
state Hall effect experiments the current is not allowed to flow. If we assume that
the Hall current can flow, then the momentum balance equation* can be resolved in
the x and y directions, referring to Figure 10.1 :
e
Vx = -r[E - vyB]
m
and
e
Vy =- rVxB
m
where we consider only average forces and not the trajectories of individual particles.
Elimination of Vy gives
Vx = {[(e/m)r] /[ 1 + (wr)2]}E wherew = eB/m
and substituting back yields
Vy ={wr/[l + (wr)2])(e/m)rE.
It is seen that the drift in the direction of the applied electric field is reduced by a
factor 1 + (WT)2, which can be large at low pressures. Diffusion across a magnetic
field is reduced by a similar factor (but it should be noted that this 'classical'
behaviour is not always observed in practice). It is of interest to examine the
dissipation in the present example; it is given by the scalar product of j and E, i.e. by
W= {[(ne 2/m)r]/[1 + (wr)2J}E2
*See Volume 1, Chapter 4, p. 86.
PLASMAS 155
but the total current density nas a magnitude of

iT = {[(ne 2 /m)r] /yf[1 + (wr)2]) E
so that the dissipation can be expressed as W =it/a where the conductivity a is

given by a= ne 2 rim. Thus the dissipation, for a given current, does not depend on
the magnetic field.
At very low pressures we cannot use mobility and diffusion coefficients.
Sometimes, however, the mean free path is less than the length of the discharge
tube even though it is greater than the diameter. Hence mobility concepts are
employed in the axial direction only.
In general, if collisions are rare, the particles interact with each other via
macroscopic electric and magnetic fields. This is perhaps best illustrated by a study of
wave propagation which will be discussed in a later paragraph.
10.3 Coulomb scattering
Electrons make collisions not only with neutral atoms and molecules but with other
charged particles. In highly ionized gases these collision processess are the only ones
which take place (ignoring wave-particle interaction for the present). To fix our
ideas let us consider an electron orbiting an ion. The fundamental interaction is
simply an electrostatic one, described by Coulomb's law. As many electrons will be
in the neighbourhood of the ion, we are not really interested in binary collisions
although the results are often quoted in terms of a cross~section.
If we assume that the electrons are in thermal equilibrium and that the ions form
a uniform background of positive charge, the space charge density near our chosen
ion will be given by
which can be linearized to give

n oe 2
p=-V
KTe
The potential distribution is now described by Poisson's equation which takes the
following form in the spherically symmetrical case
~ ~(r2 dV)_ noe 2 V

r2 dr dr Eo KTe
The solution to this equation has the form

e
V = 4-- exp( -rIAD )
7rEor
where it can be readily verified that
i.e. the electric field is effectively screened off within the Debye distance.
Calculations can now be made of the momentum lost by electrons deflected in
the field. Either the above potential distribution can be employed or a pure
Coulomb distribution 'chopped off at r = AD' The results show that one can define
an effective cross-section, which is inversely proportional to the square of the
energy, to a first approximation. To a much smaller extent it depends on the
electron density and temperature. Approximately then
5.9 x 10-9 2
Qi = Te 2 m
In general the electron mean free path depends on collisions with neutral
particles and with ions. This is expressed by
A=----
naQa +niQi
where the subscripts a and i refer to the neutrals and the ions respectively. If we
consider low temperature plasmas, e.g. T = 5000 K then Q = 2.4 x 10 -16 m 2. This
is about 2 x 10 3 times the cross section of a neutral atom so the scattering produced by
ions and neutrals are comparable when ndna = ~ x 10 -4 . Thus, scattering by ions is
by no means restricted to very highly ionized gases.
We have already seen that the mobility * is given by
e
f1 = - T,
m
so that
e I
f1=-=-O
me (naQa + niQi)
and the conductivity is defined by Ohm's law so that
a = jlE where j = nef1E
*See Volume 1, Chapter 4, p. 86.
PLASMAS 157
B p
j
r r
j.B
(e)
(b)
(a)
10.2 To illustrate the self-magnetic 'pinch effect'. Diagrams (b) and (c) illustrate the radial
variation of the magnetic field and the pressure for the case of uniform current density
i.e.
ne 2
a=- .------
me (naQa + niQi)
When the momentum is lost in collisions with ions, i.e. when niQi ~ naQa, the
expression simplifies to
e2
a=--
meQi
for the case of a singly ionized gas where ne = ni.
Substitution of our expression for Qi gives:
a "'" e 2 Te 2 X( 10 9 )
me 5.9
or
a"'" 7.7x 1O-4Te3/2(ohmm)-1
The conductivity of copper is 6 x 10 7 (ohm m)-l so the temperature required to

reach the same conductivity in a plasma is calculated to be T = 1.8 x 107 K. This is
somewhat lower than the temperatures envisaged in thermonuclear reactors.
10.4 Macroscopic equations for a plasma (Magnetohydrodynamic treatment)

For some purposes a plasma can be considered as a conducting fluid. Thus the two
classical subjects of Fluid Mechanics and Electromagnetism become fused into one.
This is known as Magnetohydrodynamics or (sometimes) Hydromagnetics. We shall
confine the discussion here of this principle to one example, namely that of the
static self-magnetic 'pinch effect'. The current carrying conductor is illustrated in
Figure 10.2 which shows that there is a magnetic force resulting from the interaction
between the axial current and the azimuthal magnetic field. This force is directed
towards the axis. In a fluid conductor a pressure difference is set up between the
axis and the boundary of the fluid. Considering the equilibrium between the
magnetic force and the pressure gradient we can write
dp
-+jB=O
dr
if we assume the column to be perfectly cylindrical.
In the case in which the current is uniformly distributed across the cross-section
of the fluid conductor, the magnetic field strength at any radius depends on the
current flowing within that radius, i.e. the line integral of H around a line of force is
equal to the current enclosed so that
or
B Mor.
=-]
2
where j is the current density. The magnetic field strength is proportional to the
radius r whereas outside a conductor it is inversely proportional to r.
The equation describing the eqUilibrium can now be written
which can be integrated at once to give
p = MP
_0_ (ro 2 _ r2 )
4
if the pressure is zero at the edge of the column. If this is not the case then our
expression gives the increase in pressure above the ambient pressure. Thus a
parabolic variation of pressure is obtained, as shown in Fig 10.2.
If the fluid were contained by flat plates perpendicular to the axis the force on
such a plate would be given by
where Te and Ti are the electron and ion temperature respectively. The R.H.S. of
the equation can be written as NK(Te + T j ) where N is the number of electrons (or
ions) per unit length. The integral on the L.H.S. is readily evaluated to give MoP 187r
where I is the total current 7rr~j. Thus we obtain
PLASMAS 159
Another example of the same principle is the narrow current skin at the surface of
a conductor. In this case we can use the 'magnetic pressure' concept, since the
curvature of the lines of force can be neglected. The reader will recall that the
stresses associated with a magnetic field can be represented by a pressure B2/2JJ. in
all directions together with a tension of B2 / JJ. along the lines of force. In the present
case, then, the mechanical equilibrium is described by
The magnetic field strength is that just outside the conductor, namely
JJ.oI
B=-
27rr
and substitution of this expression in the preceding equation gives
which is the result obtained in the previous case. This equation is known as the
Bennett relation although Bennett obtained it for quite a different model of the
pinch. The result is in fact valid for any current distribution.
The first experiments on this effect were carried out in 1907 by Northrop, using
liquid mercury. In the case of a plasma the situation is rather different since the
plasma can detach itself from the walls of the surrounding vessel. This fact formed
the basis of one of the original schemes for a thermonuclear (or fusion) reactor,
where astronomical plasma temperatures are required. Unfortunately, the equilib-
rium is unstable, a point we shall discuss later.
No attempt will be made to discuss plasma confinement from a general point of
view, but we will consider another specific example, known as theta pinch. This is
illustrated in Fig 10.3. Induced currents flow in the azimuthal direction and interact
with the longitudinal magnetic field. The resulting magnetic force is a-gain directed
towards the axis. In the static (or quasi-static) case the magnetic force is balanced by
the pressure gradient, as before, i.e.
conduct ing
plasma
10.3 The theta pinch, i.e. the

confinement of a plasma by
the longitudinal field
produced by a single tum
coil
dp .
- dr + IeBz =0
using cylindrical polar co-ordinates*. The current density is related to the variation in
the magnetic field strength by the equation
dHz .
dr = -Ie
so that the equation of equilibrium can be written
dp B z dB z
- + - --=0
dr /10 dr
remembering that B z = /10 Hz. This equation can be immediately integrated to give
BZ2
P+- = constant.
2/10
If the pressure is zero outside the plasma we can write
( B~t \
p axis = 2/10 J -
(Bfitt \
2/10)'
It is possible to use the 'magnetic pressure' concept in this example as the 'tension' of
the lines of force does not enter the problem.
We have already mentioned that the ordinary magnetic pinch, which depends on
the interaction between an azimuthal field and a longitudinal current, is not stable.
Two kinds of instability are illustrated in Fig 10.4. In the literature these are usually
referred to as the 'kink' and the 'sausage' instability respectively. In each case a
perturbation leads to the strengthening of the magnetic field in some regions but a
*The general equation is -grad p + j x B = 0

PLASMAS 161
10.5 Diagram to illustrate

the emission of two
spectral lines. The
intensities depend on
10.4 Two of the hydromagnetic the populations of the
instabilities associated with excited states and on
the 'pinch effect'. They are the transition
referred to as the kink and probabilities
the sausage instability
respectively
weakening in others. The resultant magnetic forces then tend to increase the defor-
mation. Various magnetic field configurations have been studied in the search for a
stable system. At present (1973) toroidal systems are receiving considerable atten-
tion. It should be pointed out, however, that hydromagnetic instabilities are by no
means the only ones to exist in a plasma. Unstable plasma waves also occur which
cannot be described by a simple fluid model. These will be discussed briefly in
Section 10.6.
10.5 Radiation from a plasma

In general a plasma emits both line and continuous spectra, we shall consider first
the line spectra. Measurements of such spectra are often used to obtain information
about the 'temperature' existing in the plasma. Suppose measurements are made of
the intensities of two spectral lines corresponding to the transitions illustrated in
Fig 10.5. Then the intensities are given by
l(v rnn ) = NrnArnnhvrnn
and
l(vln) = NlAlnhvln
where the populations of the levels are given by Nl and Nrn ; A ln and Arnn are the
corresponding Einstein coefficients. The ratio of the intensities is given by
l(vrnn ) NrnArnnvrnn
=---=:,,---=c.....:.:::.::
l(vln) NlAlnvln
a quantity which can be obtained by measuring the relative intensity of the two
lines.
10.6 Diagram to illustrate

the condition of
thermal equilibrium.
Electron collisions
cause de-excitation
and excitation at the
same rate. This
balance is sometimes
approached in real
plasmas
If the discharge plasma is in 'thermal equilibrium' the populations of the excited

states will be given by the Boltzmann relation
-Nl = -gl exp( - [E1 - Em ] / kT)

Nm gm
where gl and gm are the statistical weights of the two levels. Thus
I(vln) = gl A ln v ln exp [_ (E 1 - Em) ]
I(v mn ) gmAmnvmn kT
Hence by measuring the relative intensities, the temperature can be determined if
the transition probabilities are known. The value so obtained is known as the
'excitation temperature'. In practice different pairs of lines are used and the results
obtained from the different lines are not always the same. This is because the state
of thermal equilibrium is not always attained. It is only approached if the excitation
of any level by electron impact
efast + A ~ A* + e slow
is largely balanced by the reverse process
e slow + A* ~ A + efast
wherein an excited atom (A *) is de-excited by electron impact, the electron (e)
gaining the excitation energy in the process (see also Fig. 10.6).
It is worth mentioning that a similar caution must be used in applying the Saha
equation. This is entirely analogous to the Boltzmann relation, but refers to free
rather than bound electrons: it takes the form
2gi ( 2rrmkTe) 3/2
neni _
- 2 exp(-eVdkTe)
no go h
where the suffixes e, i and 0 refer to the electron, ion and neutral atom respectively.
PLASMAS 163
This equation applies if the ionization and three-body recombination almost

balance, viz:-
In the literature, it is sometimes erroneously assumed that the 'temperatures' of the

different species must be closely equal. Our requirement is more stringent.
Returning to the case of non-thermal excitation, calculations are sometimes carried
out using the corona model (the name is associated with the solar corona, not the
high voltage corona discharge). It is then assumed that (a) the electron velocity
distribution function is Maxwellian, (b) ionization from the ground state by electron
impact is balanced by radiative recombination
A++e ~ A+hv
where the ionization energy (and the kinetic energy of the incoming electron) are
carried away by the photon, and (c) the excited states are populated by electron
impact and de-excited by spontaneous emission. It is clear that these conditions are
very far from those of thermal equilibrium. In general, conditions in the plasma
must be fairly well known before we can decide upon the appropriate theoretical
'model' to be employed in the calculations.
In addition to measuring the intensities of spectral lines we can measure the line
profiles, i.e. the distribution of intensity as a function of frequency. Line profiles
depend on (a) the natural width, associated with the iifetime of the excited state by
the uncertainty principle Mtlt ,.... h/2rr, (b) the Doppler width, associated with the
relative motion between the emitting atoms (or ions) and the observer, (c) the
Zeeman effect associated with the magnetic field, (d) the Stark effect resulting from
electric fields, in this case due to neighbouring electrons and ions and (e) pressure
broadening due to neighbouring neutral atoms and molecules.
If one effect predominates then it can be used as the basis of a diagnostic
technique. Thus the Stark effect can be used to give a measure of the ion density.
The Doppler effect can be used to measure the temperature of a particular
species - but it might measure macroscopic velocities instead.
The latter effect might cause errors in temperature measurements, but it can be
used in certain circumstances to measure macroscopic velocities (sometimes
associated with turbulence). Measurements of line profiles may refer to the excited
state of a neutral atom or of a positive ion. In the latter case the ion must not be
stripped of all its electrons, i.e. we cannot measure the temperature of ionized
hydrogen atoms (protons) or doubly ionized helium atoms (a-particles) in this way.
The radiation from a plasma is, however, not entirely composed of line spectra,
since continuous spectra are also observed. We have already mentioned radiative
ki netlc energy of
~
ele<:tron in eV
~
V, h
Xn
n
10.7 Diagram to illustrate the capture of a free

electron into an excited energy level. The
ionization potential of the level is denoted by
Xn
recombination in which a free electron is captured by a positive ion. In general the

electron will be captured into an excited state, the nth level say, and a photon is
emitted with an energy
1
hv = exn +-2 mv 2
where Xn is the ionization potential of the level (see Fig 10.7). The continuum
extends therefore from v = eXn/h to higher frequencies, the electrons within the
velocity range dv contributing to the continuum over a range
dv = mvdv/h.
The different continua (corresponding to different values of n) lie in different
spectral regions. In the case of hydrogen, the Lyman continuum, which is associated
with capture into the ground state, is situated in the far ultra-violet while the Balmer
continuum starts at 3647 A. Continua associated with capture into the higher states
n = 3, 4, 5,... commence at longer wavelengths. The Paschen continuum, for
example, is associated with capture into state n = 3 (where Xn = 1.5 eV) and starts at
8208A; it may contribute to radiation in the visible region.
There is another type of continuum known as 'bremsstrahlung' which means
braking-radiation. It is due to the interaction between an electron and an ion but the
electron is not captured in the process. Another term used for this phenomenon is
'free-free' transition whereas recombination continua are due to 'free-bound'
transitions. It can be described either in classical or in quantum mechanical terms.
According to classical electrodynamics an accelerated charge radiates energy and this
would apply to an electron moving in the field of a positive ion. From a
quantum-mechanical view we can say that there is a certain probability that the
electron will drop from one hyperbolic orbit to another. In the latter case a photon
carries away the energy difference associated with the two non-quantized orbits.
PLASMAS 165
It was shown by Ci1li6, on the basis of certain assumptions, that the energy
distribution is of the form
E(v) = Eo exp(-hv/KTe )
where Eo = Cn e n j Z2 IT',2, C being a constant. We expect to see the product nenj
because we are dealing with a binary process. It is seen that the charge of the ion
(Ze) is important as is the electron thermal velocity (proportional to T'/~). If we
consider one type of ion only then the quasi-neutrality of the plasma means that
ne = Znj. The energy radiated within a given frequency interval is inversely
proportional to ~ but the total energy is given by
P= J"''''Eo exp (- KTehv ) dv

o
= kTe Eo
h
Substitution of Cillie's value for C, together with ne = Znj; gives
P= 1.42 x 1O-28nj2Z3Te1l2 W/m 3 .
This radiation differs from that of black body because the conditions of
thermodynamic equilibrium are not approached. In the above calculation, it was
assumed that (a) the emitted photons escape from the plasma without absorption
and (b) stimulated transitions are negligible in number.
At very low frequencies these assumptions no longer hold and the radiation does
approach that of a black body. The factor Z3 in the above equation shows that the
radiation is much greater for highly charged nuclei. This is important in calculations
referring to the fusion reactor. It indicates that only the elements of low atomic
number may be suitable as 'fuel'. Even using deuterium, where Z = I, very high ion
temperatures (> 10 8 K) are required before the energy derived from the thermo-
nuclear reactions exceeds the power associated with the bremsstrahlung radiation.
10.6 Wave propagation in plasmas
The propagation of waves in plasmas is a subject of considerable interest; there are,

in fact, three distinct reasons for this. Firstly, from an academic viewpoint, the
study of waves and oscillations forms a large part of the subject of plasma physics
and provides a wealth of phenomena which have only recently received adequate
study. By this, we mean a good combination of experimental and theoretical work,
the former relating to well defined conditions and the latter referring to realistic
situations.
Secondly waves and oscillations can be a nuisance in controlled thermonuclear
potential
profile
t~
v
i l
I
1\
I "'-/ I
I I
I I
I t
eecron
densities
t
n~1
I
I
!.Iowelectrons
almost trapped I
I
o
I I
I I
~--
_x
fast electrons
10.8 The distribution of electron

density in a reference system
moving with a longitudinal
electrostatic oscillation
reactors and other potential applications. Waves are sometimes amplified from small
to large amplitudes and can have appreciable effects on macroscopic quantities such
as resistivity. The effective collision frequency of the electrons depends on
electron-wave interactions, and not just on the electron-atom and electron-ion
collisions of classical discharge physics.
Thirdly, since growing waves are encountered, we have the possibility of
employing these waves in amplifiers and oscillators operating at microwave and
other frequencies.
10.6.1 Electron oscillations

The simplest kind of oscillation is the longitudinal electrostatic oscillation which
has already been described in Chapter 3. It was shown there that the frequency is
given by
Wp j(E:~)
=
This quantity is known as the plasma frequency. Inserting the numerical values of e,
m and Eo we find that i p """ 9y'n, where n is the number of electrons per cubic
metre. This characteristic frequency is very important in plasma physics. This
calculation has its limitations, however, since it gives the phase velocity as
Vph = w/k, where k is the wave number 2rr/A, but the group velocity is given by
dw/dk, which is zero. Thus we would have great difficulty in detecting such
oscillations, since no energy would be propagated.
A more accurate result is obtained by introducing the temperature of the
electrons (Fig 10.8). In a reference system moving with the wave, the electrons are
PLASMAS 167
wave number, k
10.9 Dispersion curve for a transverse

electromagnetic wave.
Propagation is not possible in the
shaded region
moving at the wave velocity plus their thermal velocities. If the temperature is such
that
w
-~
k
j(SKTe)
--
rrm
i.e. if we only have 'fast electrons', it is not difficult to obtain the Bohm and Gross
formula,
w2 =w
P
2 + 3KTk2
m
The frequency is no longer constant and the group velocity dw/dk is now finite.
But what happens when we have some electrons travelling at the same speed as
the wave? This problem was dealt with by Landau in 1946, using the Vlasov
equation. This is the fundamental equation of kinetic theory, with collisions
omitted. The interaction between particles is due to macroscopic fields only in this
kind of calculation. Landau found that w must become complex, the sign of the
imaginary part indicating a decay of the wave. Only recently has this 'Landau
damping' been verified experimentally. Many authors have attempted, with varying
degrees of success, to explain the mechanism of Landau damping in physical terms.
It is actually due to 'phase mixing'.
10.6.2 Transverse electromagnetic waves

This case is very well known, because of its importance in radio propagation through
the ionosphere. The electrons move in the direction of the E vector, their velocity
lagging in phase by 90° due to their inertia. It is found that propagation is possible
only if w >w p . If w <w p , we have an evanescent mode analogous, in many ways,
to that found in a waveguide below cut-off (Fig 10.9). At the highest frequencies,
the electrons have very little effect on the propagation. We can see the Sun
(sometimes!).
The same characteristic frequency appears as in the previous case. However, the
waves are entirely different because the electromagnetic wave is transverse and has
no electrostatic field associated with it. In practice, we may well have both kinds of
wave together. Indeed, the coupling between different waves is a topic of great
interest.
10.6.3 Positive-ion oscillations

At low frequencies, the positive ions have time to move. Thus one might expect a
positive-ion plasma frequency given by
'"pi = j(;::)
where M is the mass of the ion. This result is indeed found, but only when the
wavelength is small compared with the Debye length; the latter represents the
distance over which strong electrostatic fields can exist. They are largely 'shielded
out' beyond this distance.
When the wavelength is much smaller than AD, the electrons form a uniform
background of negative charge. If A» AD, however, we obtain a very different
behaviour. An ion-acoustic wave is found with a phase velocity given by
Uph = j( ~,)
if we ignore the positive ion temperature T j • The electron temperature is often much
greater than T j in discharge plasmas.
This wave can be thought of as kind of sound wave in which the inertia is due to
the positive ions and the pressure is due to the electron gas. The plasma is
quasi-neutral in this case; i.e. the electron and ion-number densities are almost the
same, differing by perhaps one part in a million. The last equation corresponds to an
isothermal sound wave. Historically, this turned out to be incorrect for an ordinary
gas. It can be an excellent approximation for a low-density plasma, however, where
the thermal velocities of the electrons greatly exceed the phase velocity of the wave.
Electrons which are together in one wave trough at a certain instant are to be found
in many different places at the next instant. They do not remain neighbours, as do
the molecules of an ordinary collision dominated gas.
If a rather more sophisticated calculation is carried out, allowing for the thermal
of the positive ions, it is found that the waves are damped as in the case of the
electron oscillations.
PLASMAS 169
left-hand circularly
polarised wave
free-space
propagation
3
>. Wll-=::;;....~~------
c.J '" stop-band
C 0 Io.!:"'_'"_ _ _ _ _ _ __
1}
G> '"
~
o
:;
~~~--~~---~-
o
wove number, k
10.10 Dispersion characteristics of

waves in a cold plasma with
ion motion neglected.
Propagation is not possible
in the shaded regions;
we = eB/m, the electron
gyro-frequency
10.6.4. Magnetic-field effects

The presence of a magnetic field has a profound effect on wave propagation, except
for situations in which the electron motion is along the magnetic-field lines. If we
consider the propagation of transverse electromagnetic waves along a magnetic field,
it is clear that the charged particles will move in transverse planes under the action
of the Lorentz force
e(E + v x B).
One result of this is that the electric vector also rotates; i.e. we have a circularly
polarised wave* . Simple calculations based on Maxwell's equations and Newton's
equations show the changes produced by the magnetic field (Fig 10.10). The cut-off
frequency is changed, but the change depends on whether the electric vector rotates
in the same direction as a freely gyrating electron or in the opposite sense. The latter
case is the left-hand circularly polarised wave, and the former is the right-hand
circularly polarised wave. The mathematics is omitted here, but it is quite straight-
forward, and the sign of w indicates which wave is being considered.
*In general, we would have two circularly polarised waves with opposite directioRs of rotation of
the E vectors.
2
c.
3
31
10.11 The w/k diagram for space-charge

waves, consisting of plasma
oscillations carried along by
drifting electrons
A more important result is that a new passband appears at low frequencies. This is
known as the 'whistler mode' owing to its association with certain audio effects
observed with radio propagation in the ionosphere. The cut-off frequency occurs at
the electron cyclotron frequency.
We = eB/m
As expected, this resonance takes place when the electric vector rotates in the same
direction and with the same angular speed as a freely gyrating electron.
At very low frequencies, the positive ions have time to move once again. When the
frequency is much less than the ion cyclotron frequency w c , the phase velocity of
the wave becomes
B
v ----
ph -y(f.lop) ,
the well known Alfven speed. However this wave is not quite the same as that
discovered by Alfven, since a collision-free plasma is not quite the same thing as a
perfectly conducting fluid. One difference is that this wave is circularly polarised
and the Alfven wave is not. Another difference is that dispersion is present in the
plasma case, the phase velocity coinciding with the Alfven speed at very low fre-
quencies only.
Relative motion between groups of electrons leads to interesting results. The
subject of interacting beams is one which has received considerable attention in
recent years. If we consider first a single beam, it is clear that 'plasma oscillations' on
it will be Doppler-shifted, owing to its motion, so that the frequency will become
w = kv ±wp
where v is the velocity of the beam. Thus we have the two space-charge waves
discussed in Section 3.9. The group velocity is given by Vg = dw/dk and is equal to
the drift velocity of the beam in both cases (Fig 10.11).
PLASMAS 171
angular angular
frequency, w frequency. w
wave
number,k
(b)
10.12 (a) A typical dispersion curve for longitudinal waves travelling parallel to two streams that
flow in the same direction. (b) A typical dispersion curve for longitudinal waves travelling
parallel to two streams that flow in opposite directions
Let us now consider what happens when we have two beams. Interaction takes
place between the fast wave on the slow beam and the slow wave on the fast beam
i.e. interaction takes place when the phase velocities are nearly equal. In general, we
can have two streams moving in the same or opposite directions (Fig 10 .12). Well
away from the interaction, or 'coupling' region of the diagram we have four distinct
space-charge waves represented by straight lines similar to those of Fig. 10.11. In the
coupling region, however, it is seen that we do not always have four real values of w
for a given value of k, or vice versa. The problem of interpreting complex values of w
and k then arises.
This is slightly complicated, and the student is not aided by the fact that different
notations are in use. Some authors represent a travelling wave by the real or the
imaginary part of exp {i(kx - wt)} whereas others prefer to employ exp {i(wt - kx)}.
It turns out that when we have two beams travelling in the same direction we obtain
a wave which grows in space as it travels along; this is referred to as a convective
instability by workers in plasma physics. If, on the other hand, we have beams
travelling in opposite directions, a growth in time takes place. This is referred to as an
absolute or nonconvective instability.
The analogy with travelling-wave tubes and backward-wave oscillators may be
immediately seen. One type of microwave tube does, in fact, employ two electron
beams. In the plasma case the positive ions simply provide a neutralising background
of positive charge, whereas an axial magnetic field is used to prevent beam spreading
in pure electron beams.
10.6.5 Conclusion
This concludes our rather brief survey of the different types of plasma wave. Much
of the above, with a little modification, is applicable to solid-state plasmas. Indeed,
workers in the different fields have often proceeded in parallel without knowing the
close connection between their researches. Thus workers in plasma physics studied
'whistler modes', whereas their colleagues working in solid-state physics worked on
'helicon waves'. In fact, they were studying the same phenomenon.
Whistler modes in ionospheric researches are waves which propagate along the
magnetic lines of force and travel from one hemisphere to the other. Their
generation is due to electric thunderstorms. Since the waves are dispersive, their
'transit time' depends on the frequency - hence the whistle. Study of such waves
provided much information relating to the structure of the ionosphere (the variation
of electron density with height) before direct measurements were available.
It was mentioned above that the resistivity of a plasma depends on the oscillations
and waves which are present. In the author's own work with mercury arc discharges
(and in the analysis of other workers results) it was found that the ratio of the
electron drift velocity to the electron thermal velocity does not seem to vary much.
It is often about one quarter and always of the order of unity.
It is possible that this invariance is due to the excitation of ion waves*. There is
no doubt that these waves are produced by the electrons streaming through the ions;
our measurements show that they constitute much of the low frequency 'noise'. The
electron drift velocity may then 'lock in' to the electron thermal velocity, or a value
rather near it. The value of the latter is probably determined by the ionisation
balance equation discussed in the classical texts of discharge physics. The drift
velocity of the electrons, on the other hand, may be determined by interaction with
ion-acoustic waves rather than by binary collision processes.
*This is purely conjecture.

por~iOle
OOOelero~Or8
B. MINAKOVIC
11.1 Introduction
Considering the vast sums of money spent in various countries on the construction
of large particle accelerators, the general public knows surprisingly little about their
purpose and usefulness. Not only do they rank amongst the most expensive
machines in the world, but also amongst the largest. The linear accelerator at
Stanford, for instance, is 3 km long and it uses over 11 million watts of electricity,
which would be sufficient to support a few thousand domestic dwellings. The
apparently absurd thing about these gigantic machines is that they are used for
smashing the smallest things in the Universe - atoms! Someone's remark that this is
like using a sledge hammer to crack a tiny nut, is not a fair one because the forces
holding an atom together are considerably larger than generally realized. A great deal
has been discovered about nuclear structure through the use of accelerators, but
tliere are still many outstanding problems and before these can be solved, still larger
accelerators may be necessary.
Particle accelerators are, as the name suggests, machines for accelerating atomic
particles to very high speeds, close to the speed of light which is, as far as we know,
the highest speed any matter can attain. As will be shown later, only charged
particles can be accelerated and consequently the choice is limited to electrons,
protons and some types of ions. The output kinetic energies of accelerated particles
range from a few ke V* from small machines, to tens of Ge vt from the very largest.
*Thousand electron volts. An electron volt is a convenient unit for measuring the energy of
sub-atomic particles. It is defined as the energy gained by an electron in traversing a potential
difference of one volt. In terms of mechanical energy, one electron volt equals 1.6 x 10- 19 joules,
i.e. Energy'" e V, where e is the electronic charge, 1 x 10 -19 coulomb and V the potential
difference in volts, equals 1 volt. Expressing energy in terms of particle speed is impracticable
because of the increase of particle mass at relativistic speeds (see the next section).
tGiga-electronvolts, 10 9 eV.
173
8
la)
0 @Ib) Ic)
e
61
o
electrons
protons
neutrons
11.1 Examples of atomic

arrangements: (a) hydrogen,
(b) helium, (c) nitrogen
Machines below, say, lOMe V, in addition to their role in nuclear research, have
numerous industrial and medical application, usually as some type of high power
x-ray equipment. Fast electrons impinging on a metallic target, such as tungsten,
cause x-ray emission from the target. X-rays are used in non-destructive testing of
materials on account of their penetrating power; their wave-like properties find
application in diffraction studies of metals; their ionising ability is utilised in the
irradiation of plastic to improve its electrical characteristics and in the treatment of
cancer to destroy various malignant growths. The large machines, i.e. those in the
GeV range, are designed exclusively for nuclear research. The nuclear structure is
investigated by shooting accelerated particles (electrons or protons), onto a suitable
target, hoping that under impact some of the nuclei in the target will be broken up
into various nuclear constituents which, when identified, will provide another piece
of information to help complete the great jig-saw puzzle.
The techniques used in the identification of sub-atomic particles are very simple.
For instance, if the particle trajectory is deflected when it is passed through a
magnetic field one can infer that a particle is charged. The direction of deflection
indicates the charge polarity, and from the curvature of the trajectory one can
estimate the speed and mass of a particle. Electrically neutral particles are not
affected by a magnetic field so they are identified by the tracks they leave when they
pass through either a stack of photographic plates or a liquid in a bubble chamber.
As we now know, an atom consists of a central core, the nucleus and a number of
orbiting electrons. A nucleus can be further subdivided into neutrons which are
electrically neutral and protons, which contain a positive charge and match in
number the orbiting electrons, so normally an atom is electrically neutral. This is a
simplified description because the detailed structure of a nucleus is still largely
unknown. All 106 elements so far discovered are made from the above 'building
blocks'. Thus hydrogen consists of one electron and one proton; deuterium consists
of one electron, one proton and one neutron; helium consists of two electrons, two
protons and two neutrons, and so on. This systematic building up process is
beautifully illustrated on a chart known as the periodic table. A few typical atomic
arrangements are shown in Fig. 11.1.
Electrons, being negatively charged, are held in their orbits by the electrostatic
attraction of the positively charged protons in the nucleus. The energy of attraction,
PARTICLE ACCELERATORS 175
or the binding energy as this is called, is below 20 eV for an outermost electron in

the majority of atoms. Atoms closer to the nucleus are somewhat more tightly
bound, but the binding energies are still very small when compared, for instance,
with the binding energy of a proton inside a nucleus which may reach several MeV.
The reason ancient alchemists failed to transmute various metals into gold was solely
due to the high binding energies of their nuclei. They tried to achieve this conversion
by chemical reactions which, as every schoolboy knows, are entirely dependent on
the outermost electrons. Consequently the energies involved were far too small to
induce any change in the nucleus.
Although binding energies represent a vast source of stored energy, it is relatively
insignificant in comparison with amounts that could be produced by 'mass
annihllation'. According to Einstein's equivalence of mass and energy, when a
quantity of matter is somehow annihilated an amount of energy appears as radiation in
accordance with the famous formula, energy = mc 2 where m represents the mass
annihilated and c is the speed of light. Thus, nature has provided us with an
inexhaustible source of energy, nuclear energy, but we still have to learn how to
extract it!
The way to nuclear energy has been pointed by nature itself through the process
of radioactivity. It all started some seventy-seven years ago when the observant
frenchman Becquerel discovered that photographic plates in his desk became
mysteriously darkened. The cause was traced to the presence of uranium salts which
apparently emitted some sort of rays. The phenomenon was aptly named
radioactivity. During the following years Marie and Pierre Curie, also in France,
managed to isolate a highly radioactive element which they named radium The high
emission from this material made experimenting much easier. It was found that the
emitted rays were in fact a mixture of three types, each with distinctly different
characteristics, so they were labelled a, [3, and 'Y
Rutherford's work in England established that ex rays were actually a stream of
helium nuclei, whereas {j rays turned out to be very fast electrons. The "1 rays
identified later, are now known to be a type of x-ray. If was observed also, that all
radioactive substances were heavy elements which led to strong speculation that
radioactivity must be due to the spontaneous disintegration of atoms which are
structurally unstable because of their large size. Rutherford also measured the speed
of ex particles and found it to be unexpectedly high - around 10 7 ms -1. A
possible explanation was that ex particles were ejected by virtue of an electrostatic
repulsion from other positive charges in the nucleus. Using the simple relation that
the kinetic energy gained during an ejection equals the potential energy in repulsion,
i.e.
mv 2 e2 Z
--=---
2 41TEoR
.,(
/
/$ proton
/
/
o~o/--o
helium nitrogen oxygen
11.2 Schematic diagram of the

first nuclear reaction carried
out by man
Rutherford was able to estimate the nuclear radius R to be around 10 -14 m,

compared with 10 -10 m, the accepted figure for an atomic radius. In this formula m
represents the mass of an a particle, v is its ejected speed, Z the number of positive
charges e in the nucleus causing repulsion, Eo and 1T being the numerical constants.
Various other important deductions resulted from these experiments, but unfor-
tunately their discussion would take us too far from the main theme of particle
accelera tors.
The next thing Rutherford tried was the artificial transmutation of elements. His
reasoning must have been something as follows: if an a particle is ejected as the
result of an electrostatic repulsion from a certain number of positive charges, then
the same a particle, fired at a different nucleus which contains a smaller number of
repelling charges, should be able to get through the repulsive barrier, and possibly be
captured. After considering several possibilities nitrogen was chosen. Inserting Z = 7
in the last formula, i.e. the seven protons in the nitrogen nucleus, Rutherford
calculated that in a head-on collision an a particle would penetrate into a nitrogen
nucleus to a radius of 10 - 15 m. This seemed to be well within the nuclear radius and
in the subsequent experiment nitrogen was transmuted into oxygen. In the reaction
a nitrogen nucleus captured an a particle, ejecting a single proton as shown
schematically in Fig 11.2. The dream of the old alchemists had only been partially
realized, because the transmutation into gold had yet to come. It soon became
evident, however, that experiments with naturally available a particles were rather
limited and during the following years much thought and ingenuity was directed
into the construction of machines for the artificial acceleration of particles-
particle accelerators.
Before concluding this section, it should be mentioned for the sake of
completeness that in addition to a particles there is another type of naturally
produced, energetic particles - the cosmic rays. Cosmic rays continuously shower
onto our planet, most probably originating from nuclear reactions in stars. They
contain a variety of nuclear particles, for example, protons, electrons, neutrons,
neutrinos, mesons and so on. The less energetic particles in cosmic rays are absorbed
by our atmosphere but the more energetic ones reach the surface. Some of the
particles are so energetic that they have penetrated into mine shafts several hundred
accelerating
electrodes
L--_-- ; IIt-+- - - ' Vo '----------J

(a l (b l
11.3 Acceleration of charged particles: (a) electric field lines of force in a parallel plate
capacitor, (b) a practical device for accelerating electrons
metres below the Earth's surface. Cosmic rays have also been used in many nuclear
experiments but, in common with a particles, their incidence is a random process,
and due to their weak intensities experiments are rather tedious.
11.2 Fundamentals of acceleration of charged particles
Anyone who has seen a large particle accelerator almost certainly will have been
overawed by its enormous complexity and size. The lack of perceptible movement
together with the flashing lights tends to further increase one's admiration for the
superintelligent scientists who invented and constructed such a wonder! However,
this impression is very misleading because the principles underlying particle
acceleration are extremely simple. Incidently, the monotonous hum pervading the
accelerator hall is not caused by particles groaning under the strain of enormous
accelerating forces, but is due to vibrations from poorly balanced vacuum pumps
and slovenly assembled transformer cores.
Consider the force on a charged particle, sayan electron, situated in the space
between the plates of a parallel plate capacitor. The plates are connected to a
battery and assuming the polarity to be as shown in Fig. 11.3(a), the plate on the
left will be charged negatively and the one on the right positively. The electron,
being negative, will be repelled by the negative plate and attracted to the positive
and therefore will be forced to move to the right as indicated in Fig. 11.3(a).
There is another way of looking at this problem, namely by assuming that the
surface charges on the capacitor plates set up an electric field in the space between
them and the accelerating force arises through an interaction between this field and
the charges in it. This approch is more general because it can be applied also to
interaction with electric fields which do not arise from fixed charges, but are
produced by time-varying magnetic fields (see Section 11.5.2 on the betatron). No
matter how an electric field is produced it always has a 'direction of action'
conventionally defined as the direction in which it forces a positive charge. Of
course, a negative charge will be forced in the direction opposite from that of the
field.
The set up in Fig. 11.3(a) would not be much good as a practical accelerating device
because electrons travelling through the air would experience a series of collisions
with air molecules and in addition to being scattered in all directions, would in the
process lose all the energy they had gained. In Fig. 11.3(b) this is remedied by
enclosing the whole accelerating assembly in a glass vacuum envelope. Electrons
emitted from their source, in this case a heated element, are drawn off into the main
accelerating space by a small electric field produced by voltage Vg • Here, they are
accelerated to the full energy corresponding to the applied voltage Va and emerge
through the output hole at a constant speed.
It would be instructive to calculate the final electron speed. With reference to
Fig. 11.3(b), the force F on a charge e in an electric field of intensity E is given by
F=eE
The problem is easily solved by equating the kinetic energy gained by an electron
during its transit, to the work done by the electric field in accelerating it from one
electrode to the other. It may seem inconceivable that the electric field could have
done the work, but from where else could an electron have got its energy?
By definition, work done = force x distance over which the force acted, or
work done = eEL
=eV
where L is the distance between the plates and V equals EL, the potential difference
between the plates, i.e. the battery voltages. Equating the work done to the kinetic
energy gained, we have
mv 2
eV=-
2
whence the electron speed v is
v =V(2eV/m).
This formula indicates that the speed of an electron, or any other charged particle of
charge e and mass m, increases as the square root of the applied voltage. From this it
t'ARTICLE ACCELERATORS 179
may be concluded that all that is needed to produce very energetic particles is a
correspondingly high voltage!
As an example let us calculate the electron speed from the last equation, for a
voltage of 1 MV.
2 x 1.6 x 10- 19 x 10 6 )
V =)( = 5.9 X 10 8 ms- 1
9.1 x 10-31
where the electronic charge e is 1.6 x 10 -1 9 C* and the electron mass m is
9.1 x 10 -31 kg. According to the above calculation the particles would travel at
twice the speed of light which is, as we know, 3 x 10 8 ms -1. Surely something is
wrong here, as nothing can travel faster than the speed of light? Ah yes, we have
forgotten about relativity! When the speed of a particle becomes comparable to the
speed of light c, then according to relativity its kinetic energy is no longer mv2 /2 but
It can be shown that for small v/c ratios this reduces to usual form mv 2 /2.
Consequently for particle speeds comparable with the speed of light the expression
eV = mv 2 /2 no longer holds and must be re-written as:
e V = mc 2 [ { 1/)[ 1 _ (~) 2 } - 1] . (11.1)
Re-calculating the electron speed from this expression produced v = 2.82

X 10 8 ms -1 or 0.94 c. This is considerably lower than the previous figure, implying
that relativity makes acceleration more difficult.
According to relativity the mass of a particle or any other piece of rna tter, is not
fixed but increases with its speed. The increase is negligible at speeds which are small
compared with the speed of light, and since all everyday speeds fall into this category
we live with the impression that mass is really constant. As the speed is increased
and the ratio vic gets closer to unity, the increase in mass becomes significant, and
may even exceed (by several times) the 'rest mass' of a particle. In general the mass
at a speed v is given by
/v
i.e. the 'rest mass' m is increased by a factor 1 [1 - (vlc)2 ] . Using this expression it
can be shown that at vic = 0.94 i.e. at 1MV, electron mass is almost trebled.
The variation of electron speed (vic) with accelerating voltage V, as related by
*Coulomb
180 MO D ERN PHYSICA L ELECTRON ICS
vic vic =speed of a particle I speed of light

10r-------------------~----__,
08
0·6
0·4
0·2
voltage
11.4 Variation of electron speed (vic ratio)

vs. applied voltage
equation (11.1), is illustrated in Fig. 11.4. Evidently, in the case of an electron, most
of the input energy below approximately 1 MeV goes into increasing its speed,
whereas above this, the energy goes into increasing its mass. For heavy particles, like
protons, this change occurs at an energy approximately 2000 times higher. For this
reason it is preferable to measure particle energy rather than speed.
Is there a limit to the number of particles which may be accelerated at the same
time? Strictly speaking, yes. This is because the intensity of the accelerating field is
decreased when the charge density is high, the effect being known as beam loading.
At first sight one would expect only a reduction in output energy, but as the beam
loading may vary across the accelerating tube, there may be also a spread in the
output energy - something highly undesirable if accurate measurements are to be
made. In practice the beam currents are never sufficiently high to cause any
appreciable beam loading. In any case the generation of very high voltages is difficult
enough even at low currents and as a result, operating currents are kept as low as
possible, rarely exceeding I rnA. This figure may seem rather low, but if we
remember that 1 rnA could deliver something like 10 14 charged particles per second,
the number of accelerated particles is not so small after all.
Depending on the way in which particles gain their energy, all particle accelerators
may be divided into two groups: electrostatic accelerators and R.F. (radio
frequency) accelerators. In the first group the acceleration is achieved, as already
described, by subjecting particles to the action of a strong electric field. If the
potential difference across the field is V volts, then in traversing the field a particle
acquires a kinetic energy equal to e V electron volts, e being as before, particle
charge. Since the charge is usually fixed, very high energies can be attained at the
expense of a very high voltage.
r steel tank f illed w ith

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controls,
meters
I
I
I .
deflection ' , __ ______ _ partICle
megne output
11.5 Block diagram of a typical electrostatic

accelerator
The same accelerating method is also used in R.F. accelerators, but the need for
very high voltages is dispensed with by repeatedly recirculating particles through the
same electric field. On each transit, particle energy is progressively increased by a
small amount and therefore the final energy will depend only on the total number of
possible transits. The term R.F. comes from the fact that high frequency voltages
have to be used. The reasons for this will be explained in Section 11.4.
11.3 Electrostatic accelerators
The need for particle accelerators, created by new discoveries in atomic and nuclear
physics during the early thirties, arose at a time when electrical engineering had
already reached an advanced stage of development. Equipment for the generation of
moderately high voltages was readily available and the interaction between charged
particles and electric field, (the basic idea of particle acceleration) had been
understood for many years. Discharge tubes and other devices resembling that in
Fig. 11.3 were widely used in various experiments in physics. With this background
therefore it is not surprising that electrostatic accelerators appeared first. Only after
the first machines were built did it become apparent that it would be extremely
difficult to produce the necessary high voltages (of the order of several million
volts), and so began the search for other alternatives.
A block diagram of a typical electrostatic installation is presented in Fig. 11.5. In
fact this could be regarded as a more elaborate version of the simple device in Fig.
11.3(b). The particle beam produced by the ion source is injected into the
accelerating tube where it is accelerated to its final kinetic energy. On leaving the
tube the beam passes through a deflecting magnet which bends it in the required
glass envelope
electron beam
thIs flange is
positive with respect
to filament electrode
to vacuum
pump
(a)
high frequency focu sing electrode

co ",
gas
'V
20 -100 MHz
to vacuum
pump
(b)
11.6 Sources for charged particles (a) an electron gun,

(b) an ion source
direction. The high degree of vacuum which is essential to avoid beam scattering is
maintained by a vacuum pump. The output voltage from the generator is kept
constant by means of an electronic control circuit, in spite of the variations in the
output current. Corona and other electrical discharges, a normal occurrence at these
elevated voltages, are suppressed by enclosing all high voltage components in a steel
tank filled with an insulating gas.
11.3.1 Electron, proton and ion sources

A great deal of thought and effort has gone into developing suitable sources for
particle accelerators. Ideally, a source should produce a uniform and well collimated
stream of charged particles and as a rule this is more easily achieved with electron
than with ion sources. Electron sources (electron guns) have been discussed already
in detail in chapter 2, on Electron Optics, but for completeness the basic features of
a high voltage electron gun are produced in Fig. 11.6(a).
Ions are usually produced in a gas discharge by passing a suitable gas through a
strong electric field, which causes ionisation. Normally, one would expect a gas to be
electrically neutral, in which case an electric field would have no effect on it, but
fortunately there are some free electrons and ions (perhaps produced by ultraviolet
light) always present, and naturally they will be accelerated by the electric field. As
they collide with neutral atoms more free charges are created which are also
accelerated, causing more collisions and so forth. A strong electric field may be
produced in a glass tube in a number of ways, but a very convenient method is to
wrap a coil round the tube and pass through it a high frequency current, at around
lOOMHz, Fig. l1.6(b). The alternating magnetic field from the coil induces in the
tube a circular electric field in the same way as an alternating magnetic field in a
transformer core induces a voltage in the secondary winding. As in the case of
electrons, the ions are guided towards the output aperture by means of a convergent
electric field. The gas pressure in the discharge tube is relatively high, typically about
10- 2 Torr, and naturally a certain amount of gas leaks out with the ion beam
through the output aperture. To prevent this gas from reaching the accelerating
tube, where it would interfere with beam focusing, a small chamber is provided in
which the gas and the ion beam are separated by a process known as differential
pumping. The ion beam, travelling in a straight line, passes straight through the
chamber whereas the gas molecules, not having a preferential direction of motion,
drift around at random until they eventually stray into the pumping port and are
sucked out.
11.3.2 The accelerating tube

A good accelerating tube must satisfy two requirements: it must withstand the full
accelerating voltage without any external or internal electrical breakdowns and at
the same time keep the particle beam well collimated throughout the accelerating
process. A modern accelerating tube is usually about 25 cm in diameter and its
length, which may be several metres, depends on the voltage it has to withstand. The
tube stack is made up of a number of perforated aluminium electrodes supported on
insulating spacers, invariably made of pyrex Fig. 11.7. The whole assembly is
accurately aligned and carefully bonded together so that all joints are vacuum-tight
because the inside of the tube has to operate at a very high vacuum. The outside is
generally pressurised with an insulating gas to prevent the possibility of sparking
between the aluminium electrodes, or tracking along the insulators, Fig. 11.5.
One may be surprised to see so many electrodes in an accelerating tube when two
were sufficient to achieve acceleration in the device shown in Fig. 11.3(a). Well, it is
true that a tube with only two electrodes, one at each end, could probably
pyrex rings
resIstor - - accelerat ing

cha in electrodes
11.7 Accelerating tube for an electrostatic

accelerator: constructional detail
accelerate particles to the same energy as one with several electrodes. However the
mutual repulsion between particles would almost certainly cause the beam to reach
the other end badly spread out and so would fail to clear the output aperture. A
fraction of the beam could also land on the insulating spacer and thereby damage it.
By the introduction of intermediate electrodes these things are prevented. They
minimise beam spreading by their focusing action* and at the same time intercept
stray particles outside the beam and conduct them away through the resistor chain.
In this way the charging of insulators, and their bombardment by energetic particles
are completely eliminated. Charging of the inner insulating surfaces is especially
undesirable because it can disturb the symmetry of the electric field and thus cause
beam bending. In addition, surface charging and leakage currents along the insulators
may increase the effective voltage difference between adjacent electrodes to a
dangerous level, possibly resulting in a flash-over. The resistor chain is introduced to
provide protection against such eventualities, by leaking to the ground any such
currents and charges; it serves also as a voltage distributor, maintaining a uniform
voltage distribution along the accelerating tube, thereby ensuring that no insulating
spacer has to withstand a voltage higher than its rating.
11.3.3 Generation of high voltages

Even in the early days of electricity, high voltages presented an irresistible challenge
to electrical engineers. Hundreds of kilovolts were produced with simple machines
generating electricity by friction but unfortunately the output currents from these
machines were extremely small. Although improvements have been made since then,
the output currents even from the most modern high voltage generators are still
*See Chapter 2 on Electron Optics.
small. If we think about it logically this should not be suprising. Obviously the size
of a machine must depend on the amount of energy that it has to generate, so fixing
its dimensions to practical limits will also fix its output energy. In electrical terms
energy can be expressed as voltage times current, so that if the voltage is made very
high the current must become correspondingly small. However, this is not such a
disadvantage because we have had to learn how to manage on low output currents.
The main difficulty in the generation of very high voltages lies in insulation. At a
few million volts, electric fields can be so high that they are capable of disrupting
metal and insulator surfaces by tearing off electrons and even atoms. The debris is
subsequently accelerated by the field, causing more damage elsewhere, more debris
is produced and the whole thing may build up into an avalanche, resulting finally in
severe damage. This phenomenon known as multipactoring (multiple impacting) is a
common occurrence whenever high electric fields are involved, whether in a high
frequency radar oscillator or in an accelerator. A partial solution lies in reducing the
electric field as much as possible by increasing the spacing between all relevant
electrodes and by rounding off all sharp edges exposed to the electric field. When we
say 'rounding off' we do not mean just filing off a few corners; all curves have to be
very gentle, so the simplest way out is to cover everything with a large dome, as was
done with the bigh voltage terminal in Fig. 11.10.
Let us now deal with various methods for generating high voltages. A method
that an electrical engineer would immediately think of, uses a transformer - rectifier
circuit, Fig. 11.8(a). The low voltage mains input is stepped up in the secondary
winding according to the ratio of the number of turns in the two windings and then
converted into d.c. by rectification. Since the final voltage apparently depends only
on the turns ratio, in principle any voltage however high is possible. Although this is
perfectly correct it is not feasible because the clearance between a conventional
transformer core and the secondary winding is just not large enough to withstand
anything over 500 kV. Of course, a good engineer is never defeated and so he may
resort to redesigning the core (insulating core transformer) or, if he is in a hurry to
achieve a high voltage, simply cascade two or more transformers. A cascaded
arrangement of two transformers is illustrated in Fig. 11.8(b). Assuming an input
voltage Vi and a turns ratio n, the output voltage from the first transformer is n Vi
volts with respect to the ground, as one end of the secondary is earthed. With the
connections as shown, the whole second transformer is raised to the output voltage
of the first, and naturally, must be insulated from the ground by suitable supports.
Its output voltage also adds to the output voltage of the first transformer and the
total voltage with respect to the ground is therefore the sum of the two outputs.
However, this method is no longer used, mainly because of the high cost of
transformers, and the large amount of space required.
steel tank filled w ith high voltage ceramic

insulat ing oil bushing
laminaled
iron core accelerating
tube
mains
input
I
I
_--I
pr imary secondary
winding w inding
la l
,
r -------~
'
I
!
I :n 2n II;
h· h
v~~tage
r-------, output
I I
~ Vi I :n
nVj
Ib l
insulating laminated steel core

sections
secondary
o wind ing
o
o primary
w inding
o 11.8 Generation of high voltages by
o means of transformers
o magnet ic l ni es
of force (a) transformer-rectifier method
o
and connections to an
accelerating tube
high voltage (b) cascaded transformers
output
Ic I (c) insulating core transformer

r---------------,I
I
1
.,1
rnl
.91
M:
..,1111
~i---~~-l[
"'I
ell
~ 1
~ - - ;, r--Dt----'l-:-:---I--...l.!-41 j [
NI
.,
g'1
",I C1
~:
1L __ _
Yo
11.9 Schematic diagram of a

Cock croft - Walton three stage voltage
multiplier
The clearance between a high voltage secondary, and a traditional transformer

core is in general too small for high voltage operation. In the insulating core
transformer, Fig. 11.8(c), the yoke is cut into a number of short sections which are
insulated from each other, thereby progressively increasing its insulation towards the
high voltage end. In addition, the clearance at the high voltage end is increased by
removing a section of the core. The main disadvantage is that the core is now open-
circuited so creating a large, stray magnetic field around the transformer, which
not only seriously disturbs the beam focusing in the nearby accelerating tube, but
also produces a considerable amount of troublesome interference. On the whole it
may be said that transformers are inherently unsuitable for voltages over I MV.
A very elegant method of generating high voltage is that of voltage multiplication.
This is a more general form of the voltage doubling well known in ordinary
electronics. Cockroft and Walton developed this circuit from an old idea for voltage
doubling and in 1932, using their own accelerator, achieved fame by being the first
to produce a nuclear reaction with artificially accelerated protons. In their honour a
high voltage multiplier is often called a Cockroft-Walton generator.
A three stage voltage multiplier and the way in which it is connected to an
accelerating tube is illustrated in Fig. 11.9. The circuit contains only capacitors and
rectifiers; the latter, as we know, conduct a current only in one direction, as
indicated by the arrows. Basically the voltage multiplication depends on charging a
chain of capacitors in such a manner that the voltages add up in series. Rectifiers are
necessary to ensure that each capacitor is charged in the correct polarity and to
prevent subsequent discharging when the voltage polarity is reversed.
The operation of a voltage multiplier will be easily understood with the help of
Fig. 11.9. One end of the transformer secondary is earthed and the voltage Vat the
other end therefore oscillates with respect to the ground as V = Vo sin wt where Vo
is the peak voltage, w the angular frequency and t the time. At the instant when
point Yo becomes negative, or in other words, Xo is positive with respect to Yo,
rectifier Dl conducts the current to charge capacitor C1 , via loop (1), to the full
peak voltage Vo. When the mains polarity is reversed, during the next half cycle,
rectifier D 1 behaves as an open circuit, rendering the current loop (1) inoperative.
The voltage at point Y 1, however, is this time positive with respect to X 0, thus
rectifier D2 conducts the current to charge capacitor C2 , to a voltage 2 V o , namely
the voltage across capacitor C1 in series with the transformer voltage V. Strictly
speaking C2 does not attain the full voltage 2 Vo immediately, but after a number of
charging cycles. The reason is that by charging C2 , C1 is partially discharged and
only after its charge is replenished in the following half cycle, can C2 be further
charged.
The analysis of the next stage proceeds in exactly the same way, except that this
time voltages at points Xl and X 2 have to be considered. In this way the second
stage would be charged to a voltage 4Vo at X 2 and the third stage to a volt.age 6Vo
at X 3' The output voltage cannot be increased indefinitely simply by increasing the
number of stages. This is because the current which the generator has to deliver may
discharge the upper stages faster than they are charged and consequently they never
attain their full voltage. The maximum output voltage from a Cockroft-Walton
generator is about 3 MV.
The next type of high voltage generator to be discussed is the simplest and yet the
most powerful. In a sense it could be regarded as another version of the old 19th
century electrostatic machine which generated electricity by friction between a leather
pad and a rotating glass disc.
In common with the old machines the principle of operation is based on a form of
the well known capacitor formula
C= Q/V
In fact, the formula as it stands represents the definition of a capacitance, i.e. the
charge stored on a capacitor plate per unit of applied voltage. Of course, this
formula may also be expressed as Q = CV, or V = Q/C. The latter form is the one
which is required for our purpose. It tells us the magnitude of the voltage which will
be developed across capacitor plates when a quantity of charge + Q is deposited on
one plate and a quantity - Q on the other. * We see from this that the voltage across
the plates is directly proportional to the quantity of charge stored, namely the more
charge stored the higher the voltage across the plates. This seems to offer a very
simple way of generating high voltages providing we can deliver a sufficiently large
quantity of charge to the capacitor plates - but how can we do this? We cannot use
a battery or a dynamo because although either of these would charge the capacitor,
the flow or charge would stop as soon as the voltage across the capacitor reached
that of the dynamo or battery. Fortunately, our formula does not say anything
about how the capacitor is to be charged, so if the electrical method does not work,
why not try a mechanical one?
This problem received some attention as far back as 1890, resulting in proposals
like charging by charged water drops or by a rubber belt - a sort of conveyor belt
for charges. However, nothing much happened until the late 1920s when R. J. Van
de Graaff, a young researcher at Oxford, rediscovered the rubber belt idea and
designed a rather crude machine which some time later produced 1.5 MV.
A modern version of a Van de Graaff high voltage generator, including an
accelerating tube is shown in Fig. 11.10. A stream of charges is sprayed on to the
moving rubber belt from the tips of teeth in the lower comb and removed from the
belt by a similar comb at the top. From here charges are conducted to the inner
surface of a large cylindrical dome, called the high voltage terminal CH.V.). According
to the electrostatic theory, a charge cannot remain inside a hollow conductor, but
leaks to the outer surface and this is what happens here.
In case it is not very clear how the above set-up satisfies our capacitor formula, the
H.V. terminal is regarded as one capacitor electrode and the steel tank as the other.
If there were no steel tank, the ground and other surrounding objects, however
distant, would act as the second electrode.
The way charges are produced from a comb also needs some clarification. The
lower comb and its backing plate are connected to a high voltage source of about
10 - 30 kV, which sets up a strong electric field across the belt, especially at the tips
of the teeth. Ions or electrons, which are always present in the air or in a gas in small
quantities, are accelerated by this electric field and cause multiple collisions, which
liberate more free electrons and correspondingly the same number of positive ions.
With the polarity as shown, the electrons are collected by the comb, whereas the
positive ions, forced in the opposite direction, land on the belt. At the top end, the
positive charges arriving on the belt induce negative charges on the .surface of the
teeth and the resulting force of attraction between them lifts the positive charges off
the belt.
*In practice it is sufficient to charge only one plate. The charge on the other plate is then
produced by induction.
+ ••••• +++
high voltage terminat
belt ----t---F~
discharging
comb
"l--- --t-- accelerating tube
rubber
belt - ---t-- --I
~:JI::-:J---+-- resistor chain
t:
steel tank filled
w ith insulating gas
+
belt - - - + -____c:::
charging
camb
~==~ _ tovaccum
pump
10-30 kV
~ beam output
11.10 Diagram of a Van de Graaff accelerator
The maximum attainable voltage with a Van de Graaff generator does not depend
entirely on insulation. Naturally, high quality insulators are essential whenever high
voltage electrodes have to be supported - pressurising the whole high voltage
assembly with an insulating gas helps too - but there are also inherent factors which
determine the voltage upper limit. For instance, when the charge density on the high
voltage terminal reaches a critical value the charge tends to leak back onto the belt
and machine operation becomes rather unstable. Once this stage is reached the
machine simply will not produce any further increase in voltage. To avoid saturation
a certain amount of charge is leaked away to the ground through a resistor chain,
usually the resistor chain connected to the accelerating tube.
high voltage terminal
electron adding tube
11.11 Diagram of a tandem accelerator
Next a few words about the '9'oltage control. Let us look again at our fonnula
V = Q/C. Since C is constant, the output voltage V depends only on Q, the charge
stored on the H.V. terminal and any variations in Q, caused by random fluctuations
in the beam current, or other unpredictable leakages, will appear as a variation in the
output voltage. Consequently V will remain constant as long as Q is maintained
constant and that means that additional charges have to be injected into the H.V.
terminal to compensate for random losses. One way of doing this is to insert a
pointed electrode through the pressure tank wall near the H.V. tenninal and charges
then can be injected into the H.V. terminal, or even leaked away, simply by varying
its voltage with respect to the pressure tank. This is usually done electronically, by
means of a circuit which compares a fraction of the output voltage with a reference
voltage. Whenever there is a difference between the two, appropriate adjustments are
made until the difference is reduced to zero. In this way the output voltage from a
Van de Graaff generator can be maintained within close limits.
The maximum voltage obtained so far with a Van de Graaff generator is about
10 MV. The main disadvantage is its low output current, usually less than 1 rnA.
However, this is not such a serious drawback because when a higher current is
absolutely essential two or more belts can be used.
Before leaving this section, something should be said about tandem accelerators.
Strictly speaking, the term implies two or more accelerators in series; it can also
mean a single accelerator with two accelerating tubes. The interesting thing about this
type of accelerator is that it accelerates particles to twice the energy corresponding
to its operating voltage. In other words the output energy is not e V as one would
normally expect with a voltage V, but 2e V. However, this does not represent a
violation of the law of conservation of energy, but is just one of those cases where
the energy balance is not immediately apparent.
The main features of a tandem accelerator are illustrated in Fig. 11.11. The two
192 MO D ERN PH YSICA L ELECTRON ICS
accelerating tubes are aligned in series and separated by the H.V. terminal. The ion
stream from the ion source passes first through an electron adding tube, where, through
multiple collisions with hydrogen gas, a certain percentage of positive ions each pick
up two electrons, so effectively they become negative ions. These then proceed to the
H.V. terminal, gaining in the process an energy e V. Here the added electrons are
stripped off through collisions with a neutral gas and the ions revert to their
original positive polarity. Consequently the beam continues to be accelerated
through the second tube back to the ground potential, gaining once more an energy
e V. The total output energy is thus 2e V. In addition to doubling the output energy,
this type of accelerator has the advantage that both the ion source and the output
facilities are at the ground potential and hence control and servicing are greatly
simplified. The main disadvantage of this method is a very low beam current, usually
well below one rnA. The reason is that charge adding and stripping are very
inefficient processes, resulting in a very large loss of particles from the beam Only
ions which form a strong bond with electrons are suitable, otherwise electrons may
be pulled off in the course of acceleration and their ions lost.
Very often a tandem is linked with a single stage Van de Graaff accelerator,
thereby further increasing the output energy. An installation of this kind with a
total output of 22 MeV* is shown in Fig. 11.12.
We have now covered the essentials of electrostatic particle accelerators. The
output energies around 10 MeV from a single machine and double that from a
tandem may not be very impressive when compared with the circular machines
where the outputs reach into thousands of mega-electronvolts. On the other hand
electrostatic accelerators are relatively simple, compact, and possess a good energy
stability which would be difficult to match with other machines in this energy range.
In addition their beam output is continuous, which is not the case with the circular
machines, where the beam emerges in short bursts, or, as we say, the beam is pulsed.
Almost all applications of electrostatic accelerators are in the field of nuclear
physics: they may be used on their own or as injectorst or pre-injectors for large
circular machines.
*For single charged particles.

t Inj ector - a low energy accelerator preceding a large accelerator. This is necessary because the
control of the accelerating process in a large machine and its design is considerably simplified if the
particles are injected with a high initial speed.
I. U on
t Overhead TraveUInt Crane
:l. Vertical Et.clroatath: Oenerator
:to Inter.Meld (or ~nt ermt'dla le elec=trode)
4. T.rmlnal
~. Ion Sou ref'
6. Liner
1. Pre.aure Ve •• el Support
t. Stack ea.epla,e SuPpOrt
9. VertiC'al Dend i na MaCRel
10 , Io n Soun:t' lor ind~endent ooent lon o( tandem
II. V.ruum pump
12 . Horiz-ontal landem l<enltrator
IS . Horiz.on'.' bendlne: ma,net
14 . Mult ie hannt!1 SpectrOlraph
I" , Contt'Ol Conaole
16 . Rack. (01" ," .. perl mental electronic me •• urlne appa,.atu.
11 . Aher"nat l"'e ,.rlet ~.htons lor IncSttpendent operation 01 verUnl I_Derato r
18. I
19 . , Alternative 'al"le l ~.lttOM:
11
_ ---'--H-- It
- ---,,--- -
11.12 A complete Van de Graaff accelerator installation (Oxford University)
11.4 Particle acceleration with alternating electric fields
Even in the early stages of their development it was realised that the maximum
energies which electrostatic accelerators could achieve would soon become insuf-
ficient to meet the ever increasing needs of nuclear research. So naturally the search
began for alternative methods of accelerating particles to very high energies without
the necessity for correspondingly high voltages.
Consider what would happen if, instead of a constant voltage (d.c.), an alternating
voltage were connected to the electrodes. (Fig. 11.3a). Assuming the polarity as
indicated at the instant when the connection is made, an electron would be
accelerated just as it was with a constant voltage. During the next half cycle, with
electric field lines

drift-tube of force
resistor (voltage divider)

'--------V=l{,SIn wt _-----l
(a)
'-----~ V=l{, sin wt - - - - - - '
(b)
11.13 Two possible methods of

connecting drift-tubes to an
alternating high voltage source:
(a) no improvement in the
output energy, (b) the output
energy trebled
the polarity reversed, it would be decelerated, then again accelerated and so forth as
the voltage polarity continues to alternate. Ultimately, the unfortunate electron
would become very confused, having to go to and fro, and as a result would gain
hardly any kinetic energy. At first sight, this scheme may appear completely useless
as a method for accelerating particles, but actually this is not so. A continuous
acceleration is possible providing particles are screened from the influence of the
electric field during the decelerating periods, which is easily done by inserting into
the electric field a number of metal cylinders, or drift-tubes. With reference to
Fig. 11.13(a) let an electron enter the gap G 1 when the electric field is accelerating
and reach the drift tube Dl just as the polarity is about to reverse. Inside a drift tube
there is no electric field so the electron travels through it with a uniform speed and
providing the tube is of correct length, it will emerge into the next gap exactly at
the instant when the field is again accelerating and therefore will continue to be
accelerated. In this way a particle can cross the whole accelerating tube, travelling
through the gaps while the field is accelerating, and hiding in the drift-tubes when it
is decelerating. Obviously, as the particles gather speed, successive gaps and
drift-tubes must be made correspondingly longer. This method eliminates the
necessity for d.c. which is a definite advantage when transformers are to be used
because it does away with the need for rectifiers, but it does not represent an
improvement in terms of output energy since this is still equal to eV* However, the
output energy can be immensly increased by reconnecting the drift-tubes as
in Fig. 11.13(b). Unlike the previous case, the full voltage V is now applied across
each gap, so this time the energy gain per gap is e Vo * and the final energy, after
crossing n gaps must be, therefore, neVo - an n-fold improvement. In order to pick
up the maximum amount of energy, particles should enter a gap immediately the
electric field has become accelerating and leave it just as the field reverses, i.e., they
must cross a gap in exactly half a cycle. Clearly this condition can be satisfied by
only a small group of particles fortunate enough to arrive from the ion source at
exactly the right time. What happens to the others depends entirely on the phase of
their entry. In the worst case they are not accelerated at all and finish eventually on
one of the drift-tubes. To make this phasing business less stringent, and thus enable a
larger percentage of particles to be accelerated, gaps are made comparatively narrow.
On the whole this method offers enormous possibilities. For instance, with 1000
gaps and a modest 100 kV per gap, the output energy would be a fantastic
100 Me V - it looks too good to be true. Before we get too excited about our
prospects, let us estimate some of the quantities involved. Assume 100 kV per gap,
obtained from a transformer by stepping up our 50 Hz domestic mains. Starting
from zero, the electron speed after crossing the first gap would be, according to
Fig. 1104, 0.6lt of the speed of light or 183 000 kms -1. At this speed the
electron would travel a distance of 1830 km during the next half-cycle, which
incidentally lasts 0.01 sec. That means that the next gap plus its drift-tube would
have to be 1830 km. long. Obviously this is quite impracticable. Of course, the
difficulty could be resolved by increasing the operating frequency but to achieve a
manageable length the frequency would have to be at least about 10 9 Hz. In 1931,
*With an alternating voltage V = Vo sin wt across a gap, the kinetic energy gained by a particle is
no longerwV as for a constant voltage, but e VoF, where F is a factor determined by the phase of
voltage at the time of entry and exit. Only when a particle enters a very short gap at the voltage
maximum is its kinetic energy increased by e Vo.
tFor a peak voltage of 141 kV.
meta l pipe
11.14 Accelerating tube of a resonance

accelerator showing the drift-tubes
when this was first proposed, the highest available frequency was about 1 MHz and
this method could be used only for accelerating very heavy ions, which owing to
their large mass never attained very high speeds and hence did not require a
prohibitively long accelerating tube. Very little happened in this direction until after
the end of the second world war when powerful high frequency generators became
readily available, chiefly through the development of radar. Klystrons and
magnetrons as the new devices were named, could deliver megawatts of power in
short microsecond pulses at frequencies well above 1000 MHz. The interest in
drift-tube machines was soon revived and the first one, built at Stanford, operated at
200 MHz and produced an output energy of 32 MeV. The essential features of a
modern machine in this category are illustrated in Fig. 11.14. This type of
accelerator, where the particles are accelerated in a straight line, is called a linear
accelerator or a linac. An interesting aspect of the high frequency operation (R.F.)*
is that there is no need to make connections to the drift tubes because R.F. energy
can be injected into the accelerating tube in the form of an electromagnetic wave.
The wave travels down the tube inducing an alternating electric field in the gaps and
after reflection at the end it travels back towards the input reinforcing the
existing field by constructive interference. Although each reflection produces a
further reinforcement the electric field does not increase indefinitely because the
wave is continuously attenuated as it travels to and fro, and successive contributions
are progressively diminished. For a constructive interference to take place all
reflections must add in phase, i.e., the length of the accelerating tube must be such
that it can accomodate 'an integral number of half wavelengths at the operating
frequency'. This is directly analogous to an organ pipe which will resonate to a given
note only when its length is equal to an integral number of half-wavelengths,
*Radio frequency. General term for any high frequency, even microwaves. One time the highest
frequencies were those used in radio. Although this is no longer true, the term is still used.
corresponding to the frequency of that particular note. For this reason it is often
referred to as a resonance linac. In modern machines drift-tubes are actually in the
form of annular boxes which contain the solenoids necessary to provide additional
focusing of the beam.
Drift-tube or resonance accelerators are normally used for the acceleration of
heavy ions and protons. They could be used also for electrons but the operating
frequency would have to be very high, over 2000 MHz, otherwise the accelerating
tube would be impracticably long. Although these days 2000 MHz, or even higher,
should not present a special problem, the fabrication of an accelerating tube with a
large number of drift-tubes can be a costly business. Electrons are accelerated
therefore by an entirely different technique requiring neither drift-tubes nor gaps to
support the electric field.
11.4.1 Travelling wave linear accelerator

Let us see how one can eliminate drift-tubes and gaps and yet use an alternating
field. This time the accelerating process depends on continuous interaction between
the travelling electric field of an electromagnetic wave and particles travelling at the
same speed as the wave.
Before we go any further perhaps we should say something about the propagation
and properties of electromagnetic waves. An electromagnetic wave consists, as its
name implies, of an electric field wave and a magnetic field wave normal to each
other and inseparable from each other. Radio waves, light waves and microwaves are
some of the more common examples of electromagnetic waves. We know from light
and radio waves that electromagnetic waves can propagate through free space. They
can also propagate through metal pipes (waveguides) providing the frequency of the
wave exceeds a critical value dependent on the pipe diameter and the field pattern.
Although a wave can propagate through a pipe with a variety of field patterns, only
those which contain longitudinal electric lines of force are suitable for the
acceleration of particles. Such an electric field pattern is shown in Fig. 11.1S(a).
Here, the lines of force originate and terminate on the metal wall and the pattern as
a whole travels through the pipe with a speed normally greater than the speed of
light!* According to our sign convention the negative particle in Fig. 11.1S(a) will
be accelerated to the right, but only briefly, because the accelerating field will
almost immediately overtake it, thus the particle will be subjected to a quick
succession of accelerating and decelerating fields. Evidentally, this scheme is useless,
*This does not contravene the principle of relativity. Mode patterns in a waveguide are a result of
an interference between two waves, each travelling with the speed of light.
(01
(bl
5 ~ distonce
otong
wovegulde
\A , 3
2
I V \ - distonce
"- olong
woveguide
(d 1
11.15 Acceleration with a travelling electric field:

(a) electric field pattern in a circular waveguide,
(b) electric field pattern in an iris-loaded circular
waveguide, (c) variation of the longitudinal electric
field along the iris-loaded waveguide at the same
instant of time as shown in (b). Particles 1-5
represent a uniform beam synchronised with the
electric field. The magnitude of the electric field for
each particle is shown as a vertical projection onto the
axis, (d) the same electric field variation as in (c) a
little later: particles are bunched around the
phase-stable particle through the process of phase
focusing
unless the speed of the wave is somehow reduced to match that of the particle. This
can be done by 'loading' the waveguide with a series of metal irises, the spacing of
which governs the speed reduction - the closer the irises, the lower the speed,
Fig.l1.lS(b).
To produce a continuous interaction between a particle and a travelling electric
field it is not sufficient to match their speeds only initially because as the particle
speed is increased it will overtake the wave and finish in the decelerating field. On
the other hand, the wave speed cannot be synchronised with all particles, because
those travelling on the crest of the electric field will be increasing their speed at a
faster rate than those travelling in a somewhat weaker field and therefore no rna tter
what we do it looks as though a large number of particles are doomed to finish in
the decelerating electric field and be lost. Indeed this was the state of affairs in the
early forties, but not for very long because the principle of phase stability was
discovered, making possible better utilisation of a particle beam.
The electric field in a loaded waveguide or a slow wave structure to use the alter-
tive term, at a particular instant is sketched in Fig.ll.15(b). Assume that the axial
electric field is sinusoidal and that we start with a uniform stream of particles,
labelled from 1 to 5, all travelling with the same speed, Fig.ll.I5(c). Clearly
particle number 3, being in the strongest electric field at this particular instant, will
be accelerated most strongly whereas those on either side of it proportionately less.
To ensure continuous interaction the speed of the electric field has to match the
speed of at least one of the particles, but which one? According to the principle of
phase stability the correct particle is number 2 (or any other particle at the phase of
approximately 315°). The situation at the next instant is depicted in Fig. i 1.15(d).
The reference particle (2) is now travelling slightly faster but so too is the wave
because their speeds are synchronised and consequently its phase position in the
wave remains unchanged. The particle 1 ahead of the reference particle, having been
subjected to a weaker field, has slid back in phase whereas those behind it, subjected
to a stronger field, have moved forward. In this way particles are progressively
bunched around a phase-stable particle and the likelihood of their straying into a
decelerating electric field is completely eliminated. Another advantage is that all
particles in a bunch eventually travel at approximately the same speed and therefore
the spread in the output energy is relatively small. Nowadays the principle of phase
stability is commonly used in both linear and circular accelerators, and is sometimes
referred to as phase focusing.
A schematic diagram of a travelling wave accelerator is shown in Fig. 11.16. The
electron gun produces a well collimated electron beam which then proceeds into the
slow-wave structure to be accelerated. The speed of the beam is matched to the
speed of the electric field at the entrance by adjusting the voltage at the electron gun
to an appropriate level. As the speed of the beam is increased, the speed of the electric
field is increased too. This is achieved by progressively increasing the spacing
between the irises. This adjustment is necessary only in the first few metres, because
the electrons, being relatively light, soon approach the speed of light and
consequently the irises in the remainder of the slow-wave structure are uniformly
spaced. In addition to being accelerated the electron beam will be bunched, through
r
L
electron beam (uniform) beam
to vocuum to vacuum pump
IOOKY supply pump t I

focusing
solenoid
pulsed output
/d13~~.--.----.---.-J...-.-r-r-r-r--,---,--)
......
output
glass slow - wove structure
rectangular
waveguide
t==:....-_-phase shifters
highly stable master

trigger circuit oscillator 3000 MHz
11.16 Schematic diagram of a travelling wave electron linear accelerator
the process of phase focusing as already explained. As with the speed increase, the
bunching is produced in the first few metres of the slow-wave structure and for this
reason the non-uniform section is often referred to as the pre-buncher. Once close to
the speed of light, the beam speed cannot be increased much further, and so in the
uniform section, kinetic energy is gained by increasing electron mass. The highest
electron energy so far produced with a travelling wave linac is about 20 Ge V; the
length of the slow-wave structure in this case is 3 km.
The R.F . energy is obtained from a highly stable master oscillator, fed into the
slow-wave structure through a number of high power klystron amplifiers, each
capable of delivering megawatts under pulsed operation.
11.5 Circular accelerators
The early linear accelerator with multiple gaps was not the only proposal during the
period of the 1930s, there were other ideas too. Naturally, the thinking was directed
towards machines that could operate with the available low frequencies and possibly
result in more compact accelerating tubes. Anyway, why must there be so many
gaps, why not have only one gap and recirculate particles through it many times? Of
course the trajectory would have to be bent somehow, but as we know this can be
easily done by providing a strong magnet so that its lines of force cross the plane
which contains the trajectory. There would have to be also some provision to
control the rate at which the electric field alternates across the gap, because it is
essential that it is accelerating each time the particles come round. In this manner
R.F generator
ion source
magnetic lines
of force
vacuum
chamber
beam deflector
11.17 Illustrating the operation of a cyclotron
particles could travel round and round, each time increasing their energy by a small
amount, until they eventually reach the required energy. Although this may not
have been the exact reasoning, the reasoning along these lines resulted in the
development of machines which shifted the output energies from a few mega-
electronvolts to thousands of mega-electronvolts.
The circular machines which will now be described are the cyclotron, the betatron
and the synchrotron, the last one being particularly suitable for ultra-high energies.
11.5.1. The cyclotron

The cyclotron is a good example of a single gap machine with a recirculated beam. It
appeared around 1931, most probably as an attempt to overcome the necessity for
the high frequency generators needed to drive multi-gap linear accelerators.
It consists essentially of two semi-cylindrical hollow electrodes, known as dees
because of their resemblance to the letter D, Fig. 11.17. An alternating voltage of
the order of 20-100 kV connected between the dees sets up an electric field in the
gap seperating them. The ion source at the centre of the gap provides a stream of
positive ions which the electric field then accelerates towards a dee - whichever one
happens to be negative at the time. Under the influence of a vertical magnetic field
with appropriately oriented north and south poles, the ion stream is forced to travel
through the dee in a circular trajectory and after describing a semi-circle, re-enters
the gap, but this time in the opposite direction. As the polarity of the electric field
has since reversed, the ions are again accelerated through the gap and enter the
opposite dee with a slightly increased speed. This process repeats every half cycle,
the ions progressively increase their speed and travel in ever increasing circles,
describing a sort of spiral. One may wonder how the ions regularly manage to reach
the gap just when the electric field is accelerating. It can be shown that the
frequency at which the ions cross the gap - which has to pe equal to the frequency
of the voltage - is given by:

Be
f=-
2rrm
where B is the flux density of the magnetic field in webers, e is the total charge on
an ion in coulombs and m is the ion mass in kilograms. Since this expression is
independent of the speed or the voltage it means that each semicircular trajectory
takes the same time, which is not unreasonable if one remembers that as the
semicircles become larger, the ions travel faster.
It would be instructive to calculate from the above formula the frequencies
required to accelerate some typical ions:
f (protons) = 1.52 B
f(Ol particles) = 0.76 B
where frequency f will be in MHz if B is in Wb m- 2
The magnetic flux density B in these expressions depends in turn on the diameter
of a dee, being inversely proportional to it. With diameters between 1-2 metres,
typical operating frequencies range from 15 to 30 MHz.
The above calculation has not been carried out for electrons for a good reason, as
we shall see, These formulae are derived on the assumption that the mass of a
particle remains constant throughout an acceleration. For electrons this certainly is
not true even at 500 kV, hence a cyclotron is rather inefficient for accelerating
electrons and thus is never used. Protons and other heavy ions may reach useful
energies of 50 MeV or even higher, before a relativistic increase in their masses
becomes perceptible. When this happens particles arrive at the gap a little late which
is to be expected now they are slightly heavier. As a result, they miss their correct
phase and enter into a field weaker than they normally would. Consequently they
are more late on the next round and being unable to escape from this vicious circle
finally end up in the decelerating field. The effect of a relativistic increase in mass on
proper phasing of particles is illustrated schematically in Fig. 11.18 (a). This effect
can be offset, as shown in Fig. 11.18 (b), by slowly reducing the frequency of the
voltage, so that the electric field is delayed as much as the particles. Therefore, when
the particles arrive, the electric field in the gap again has the correct magnitude and
the particles once more receive the amount of acceleration they need to maintain their
phase position in the electric field. By considering the motion of various particles it
can be demonstrated that the electric field can be synchronised in this manner with
only one phase group of particles. The group normally selected is the one with the
phase of 315 0 and in this case, asin the case of travelling wave acceleration, particles
on either side of this group (phase-stable) are gradually bunched around it,
{oj
~T
C1> u
.;:g
u
o
~
C1>
Qjc
,
u
C1>
'0
(b)
C
'0'
- u
C1> U
~c
uC1>
~
t~
Qjc
,
u
C1>
'0
(c)
11.18 Diagrams illustrating the effect of a relativistic increase

in the mass on the proper phasing of particles in a
cyclotron: (a) phase relations of a non-relativistic (no
increase in the mass), and a relativistic particle (the mass
increased), (b) correct phasing is re-established by
decreasing the frequency of the electric field, (c) phase
focusing, illustrating how the particles are bunched
around the phase-stable particle
Fig. 11.18(c). The final outcome is that the output beam is no longer uniform but
bunched.
In practice the frequency reduction is conveniently produced by frequency
modulation, i.e. by varying the frequency of the voltage in a periodic manner with a
low frequency oscillator. Naturally, only alternative half cycles, during which the
_ mnr,n"t coil
ion source
11.19 Main design features of a cyclotron
frequency decreases, can be utilised. With this and other focusing adjustments
output energies up to 500-600 MeV have been produced.
The main features of a cyclotron are illustrated in Fig. 11.19.
11.5.2 Betatron
We have seen that resonance linacs could not be used for accelerating electrons
because of a lack of sufficiently high frequencies and that cyclotrons, which
appeared immediately afterwards, were equally unsuitable on account of the
relativistic increase in particle mass. The betatron was invented to fill this gap. The
name comes from {3 particles, which this new accelerator was intended to produce.
As you may remember, a {3 particle is just another name for a very fast and
energetic electron.
The basic idea behind betatron operation is completely different from anything
described so far. Of course, we still use an electric field, because this is the only
known way of exerting a force on a charged particle, but there are no electrodes, no
high voltages and no high frequencies.
The operation depends on the principle of induction, and a betatron can be
regarded as a sort of transformer in which the secondary winding has been replaced
with a circular beam of charged particles. The alternating magnetic field in the core,
produced by the flow of an alternating current in the primary winding, induces a
voltage in the secondary winding. If the secondary consists of only a single loop of
wire (one turn), the voltage V across its ends is given by the well-known formula,
Fig. 11.20(a)
d</>
V=--
dt
where </> represents the total magnetic flux linking the loop and d</>/dt is the rate at
which </> varies in time.
We know also that, by definition, V = EL where E is the electric field and L
represents the length of the path connecting the two points between which we
measure the voltage, the path being taken along the lines of force of the electric
field.
The electric field along the loop is obtained from this formula as E = VIL, or in
primary
w inding
magnetic flux
(a)
magnet coil
magnet ic
field lines annular
of torce vacuum
chamber
(b)
11.20 Betatron: (a) illustrating the operation of a

betatron, (b) main design features of a betatron
terms of loop radius r

E =- 1 • d¢ .
2rrr dt
If we remove the loop, the electric field is still there. How do we know? Well, if
we introduce an electron anywhere around the core it will be accelerated along a
circular path and soon fly off because of the centrifugal force. In a betatron this does
not happen because the core contains a gap and the magnetic field across it not only
produces the accelerating field but also serves to keep the electrons along a circular
trajectory. The electric field persists as long as the magnetic flux changes and the
electrons are accelerated round and round, continuously gaining energy. * Up to 300
Me V has been reached in this way.
The essential design features of a betatron are shown in Fig. 11.20Cb).
*If the voltage across a single loop is V the energy gained per circuit by a particle is eV. For n
circuits, the total energy gain is therfore ne V. This is equivalent to a voltage n V, implying that
every time we take our voltmeter leads round the core, the voltmeter reading should jump by V. In
mathematics this is known as the multivalued potential.
--...."V
R.F gap
Ion source
R.F cavity
laminated Iron
core ------..
annular
vacuum ~;::Z:::::~~-magnet coli
chamber
--------
-------
(b)
11.21 Synchrotron: (a) the principle of operation;

the shaded area indicates the region with the
magnetic field (lines of force act into the
paper), lb) design details illustrating the
construction of guiding electromagnets and
their arrangement
11.5.3 Synchrotrons
In the circular accelerators considered so far the most expensive item is the magnet.
As the output energy is increased the size of the magnet increases roughly in
proportion and at energies of several hundred mega-e1ectronvolts the cost becomes
prohibitive. Clearly some re-thinking including financial considerations was necessary
and as a result the synchroton was developed. It is the simplest, yet the most
powerful of all accelerators. Essentially it consists of one more accelerating gaps
through which particles are re-circulated many times, each time adding to their
energy by a small amount. This time the particles travel along a fixed trajectory and
consequently the magnetic field has to be provided only across a narrow annular area,
shown as shaded in Fig. 11.21 (a), resulting in a considerable saving in magnetic
material.
11.22 An artist's impression of the 'Nimrod' complex (Courtesy of the National Research
Council).
For its successful operation, however, two conditions must be satisfied. Firstly,
the frequency of the electric field has to be synchronised with the rate at which the
particles travel round so that the electric field across the gap is regularly
accelerating as the particles become faster and take a progressively shorter time
to travel round the circuit. In practical terms the frequency of the electric field has
to be increased. As in the case of a linear accelerator or a cyclotron exact
synchronisation is possible only for one phase group of particles and the others will be
bunched around it, providing the phase-stable group is on the decreasing side of the
cycle.
Secondly, the magnetic field has to be increased as the particle energy increases,
otherwise the particles will gradually move into larger and larger trajectories and end
up on the wall of the vacuum chamber. The relation between the trajectory radius R
and the magnetic flux density B is given by R = mulB. This means that R will
remain constant providing B is made to increase at the same rate as the particle
momentum, i.e. mass x speed. In order to maintain a stable trajectory throughout
the whole acceleration process the profile of the magnetic field must satisfy certain
conditions and accordingly there exist a variety of synchrotrons, in general,
all very large and expensive. Some idea of the scale involved may be obtained
from the table below, which illustrates the main parameters of Nimrod, the proton
synchrotron at the Rutherford Laboratories, England, (Fig. 11.22 and 23).
208 MOD ERN PH Y SIC ALE LEe T RON Ie S
11.23 Installing a glass fibre vacuum chamber in one of the eight magnet octants of 'Nimrod'
during early commissioning (Courtesy of the National Research Council).
Output energy - 7 Ge V
Beam diameter - 47 m. (155ft.)
Total weight of magnets - 7 000 tons
Peak current in magnet coil - 10 000 A
Number of vacuum pumps (for inner chamber) - 40
R.F. frequency at injection energy - 1.4 MHz
R.F. frequency at peak energy - 8.2 MHz
Weight of R.F. cavity (gap) - 20 tons
Total distance travelled by a particle - 170 000 km. (100 000 miles approx.)
Number of revolutions - 10 6
Circular accelerators, unlike linacs, suffer from one drawback, namely the loss of
energy from particles by radiation. Whenever an energetic, charged particle travels
along a curved trajectory, usually circular, it continuously loses a fraction of its
kinetic energy by emitting a wide spectrum of electromagnetic waves (generally
light) according to the formula

energy loss in eV per electron, per rev. = 8.85 x 10-8 W4 /R
where W represents particle energy in MeV and R the trajectory radius in metres.
From this it follows that a large radius is necessary in order to reduce radiation and
thus achieve greater efficiency.
11.6 Radiation danger
Finally, a few words about the dangers associated with the operation and use of high
energy accelerators.
When an energetic particle impinges on the target or, in the course of acceleration,
hits one of the electrodes, or collides with an atom of the residual gas in the
accelerating vacuum chamber, highly dangerous 'ionising radiation' is produced. This
term covers a variety of rays and particles, x-rays, 'Y-rays, ex particles, etc., each
capable of causing damage in human and other biological tissues by disrupting cells
through a number of ionisation processes, and prolonged exposure, even at low
intensities, is usually fatal. For this reason all working areas along an accelerator
have to be screened by massive concrete blocks, typically 3 m across, to absorb the
stray radiation. In addition, radiation monitors are installed at key points and all
personnel at risk are provided with film badges which record the total radiation dose
over a period. These are checked regularly and if the permissible dose is exceeded the
intlividual concerned may be put under observation or even transferred to a lower
risk area.
index
Aberration Collector (transistor), 69

chromatic, 140, 143 Conduction band, 49
diffraction, 136-137 Conductivity, 59
spherical, 138-139 Cooper pair, 119, 122
Acceptor level, 55 Cosmic ray, 176
Amplification factor, 7 Coulomb scattering, 155-157
Anode, 4 Critical field, 116
Astigmatism, 139 Critical temperature, 115
Avalanche diode, 80 Crystal growth, 95
Cyclotron, 201-204
Backward diode, 79-80
Debye length, 152
Backward wave tube, 31-32
Detector,
Band theory, 47-51
infrared, 85
Base, 69
light, 83
BCS theory, 119
radiation, 129
Beam loading, 180
Diffraction aberration, 136-137
Betatron, 204-205
Diffusion, 58, 98
Braking-radiation, 164
Diffusion reactance, 70
Breakdown, 80
Diode,
Brillouin diagram, 39-40
avalanche, 80-82
Brillouin field, 16, 20
backward, 79-80
Bubble chamber, 174
Gunn, 87-91,111
photo-, 83-84
Cathode, 1-3, 11, 17-20, 153 tunnel,77-79
Chromatic aberration, 140, 143 vacuum, 4-6
Circular accelerators, 200-209 varactor, 82-83
Coherence, 106 Zener, 80-81
Collector (tube), 28 Donor level, 54
211
212 INDEX
Effective mass, 50 Linear accelerator, 173, 197-200

Electrostatic accelerator, 181-193
Electrostatic lens, 12, 13 Magnetic lens, 14
Electron Magnetohydrodynamics, 157-161
emission, 1-4 Magnetron, 32-33
gun, 17-20, 133, 182 Memory elements, 126-128
miscroscope, 12, 17, 131-150 Microelectronic circuit, 97-101
optics, 11-20 Mobility, 59, 156
Emitter, 69 MOST, 85, 99
Energy gap, Mutual conductance, 7
semiconductor, 49
superconductor, 121-124 Negative resistance, 8
Epitaxial growth, 96-97, 150 Normal tunnelling, 120, 121-124, 125
Faraday cup, 134 Parametric amplifier, 82

Fermi-Dirac distribution, 44, 59-60 Pentode, 8, 9
Fermi energy, 42-47 Phase velocity, 36
Field-effect transistor, 85-86 Photo
Field emission, 18 conduction, 83
Forward bias, 65 emission, 45
engraving, 98
Group velocity, 38 resist, 98
Gunn diode, 87-91 Photon, 45
Pierce gun, 19
Helicon wave, ] 72 Planar technique, 97
Hole, 49-50 Plasma, 151-172
Holography, 113 p-n junction, 62-68
Potential barrier, 4,5,77,81
Infrared detector, 85
Injection, 66-68 Radiation detector, 129
Ion implantation, 98, 99 Radioactivity, 175
Recombination, 50, 163
Josephson tunnelling, 120, 124-126 Rectification, 6,65-66
Junction, Reflex klystron, 27-28
capacitance, 68 Resolving power, 135-] 43
metal-metal, 46-47 Resonant cavity, 24, 129
metal-semiconductor, 73-77 Reverse bias, 65
p-n, 62-68 Richardson equation, 2, 4
Klystron, 12, 15,25-29 Secondary emission, 8

Semiconductor,
Laser, 103-114 devices, 61-91
Light detector, 84 extrinsic, 53, 54-57
INDEX 213
intrinsic, 53 Travelling wave tube, 12, 15, 18,29-31

laser, 111 Triode, 6-8
Slope resistance, 7, 9 Tunnel diode, 77-79, 124
Space charge, 4, 6, 11,33-35 Tunnelling, 77-79, 120, 121-126
Spherical aberration, 138-139 Tunnelling cryotron, 128
Spontaneous transition, 104 Type I superconductor, 119
Stimulated emission, ] 03 Type II superconductor, 119
Superconductor,
energy gap, 12] -] 24 Valence band, 49
hard,121 Van de Graaff generator, 189-193
Type I, 119 Varactor diode, 82-83
Type II, 119 Velocity modulation, 23-25
Suppressor grid, 8 Vortex, 120, 121
Surface state, 75
Switches, 126-128 Wave packet, 36-39
Synchrotron, 206-209 Whistler modes, 172
Work function, 2, 44
Tandem accelerator, 191-192
Tetrode, 8 X-ray, 135, 174
Thermionic emission, 45
Transistor, 68-73 Zener diode, 80
Transit-time effects, 22 Zone refining, 95-96

(A Review of The Principles of Electrical & Electronic Engineering 3) L. Solymar (Auth.) - Modern Physical Electronics-Springer Netherlands (1975)

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(A Review of The Principles of Electrical & Electronic Engineering 3) L. Solymar (Auth.) - Modern Physical Electronics-Springer Netherlands (1975)

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modern Ph~8iOOI

CHAPMAN AND HALL

ISBN 978-0-412-11680-3 ISBN 978-94-011-6507-5 (eBook)

Distributed in the U.S.A.

It should be noted that Chapters 4, 5 and 8 by L. Solymar and Chapter 6 by

Series Preface page v

1.2 Electron emission

1.1 Sketch of a typical

away. This reluctance of a material to emit electrons is indicated by the work

500 1000 1500 2000 2500

1.2 Saturated (temperature limited) current density as

1.3 Maxwellian distribution of electron

'" '" '"

1.3 The diode

distance ___ 1.6 Expanded view of the I a - Va

1.7 Triode amplifier circuits with resistive and transformer-

1.8 Input-output arrangements of a general

1.4 The triode

1.9 Ia - Va and I a - V g characteristics of a triode.

Change in anode voltage that produces a small change in anode current

A typical value of gm for a good triode is 10 mAy-I. Thus roughly speaking, if

1.10 The tetrode circuit,

1.5 Tetrodes, pentodes and higher greek odes

inpu~t_~===t suppressor grid

1.12 Connections to a pentode

1.14 The triode-hexode

2.2 Simple lenses

An electron travelling in an electric field moves through regions of different

2.2 Lens formed by hole in anode

pol e ---i t----

2.3 (a) General arrangement of a magnetic lens. (b) Expanded sketch

B = { (y2 iy[ 1Tr2€o (:f/ 2

Os Os Os_~~tC. O~~t 10)

2.3 Cathodes and Electron gun design

10 ) ............. ... ....... .

2.7 Principle of the Pierce gun. An

3.1 High frequency effects

3.1.1 Scattered inductances and capacitances

3.1 (a) The input circuit of a triode

3.1.2 Transit-time effects

3.2 Electron beam traver- (0)

3.2 Velocity modulation

coox ial line

3.6 Schematic drawing of a two-cavity klystron

3.3 The klystron

input intermediate outp!.t

3.7 Three-cavity klystron amplifier

3.3.1 Frequency multipliers

3.8 A reflex klystron oscillator

3.3.2 Two-cavity oscillator

3.3.3 Reflex klystrons

3.9 Output characteristics of a typical reflex klystron

3.3.4 Separate collector

-~J~~v. ... Input

3.10 (a) Three-cavity klystron whose cavities are coupled

3.4 Travelling wave tubes

One disadvantage of klystron amplifiers not mentioned so far is their narrow

3.5 Backward wave tubes

3.6 The magnetron

3.13 Schematic drawing of a magnetron oscillator

3.7 Space charge waves

(a) excess charge

3.14 Density oscillation of

Os Os Os_tC. Ot 10)