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Graduate Texts in Physics
Chihiro Hamaguchi
Basic
Semiconductor
Physics
Third Edition
Graduate Texts in Physics
Series editors
Kurt H. Becker, Polytechnic School of Engineering, Brooklyn, USA
Jean-Marc Di Meglio, Université Paris Diderot, Paris, France
Sadri Hassani, Illinois State University, Normal, USA
Bill Munro, NTT Basic Research Laboratories, Kanagawa, Japan
Richard Needs, University of Cambridge, Cambridge, UK
William T. Rhodes, Georgia Institute of Technology, Boca Raton, USA
Susan Scott, Australian National University, Acton, Australia
H. Eugene Stanley, Boston University, Boston, USA
Martin Stutzmann, TU München, Garching, Germany
Andreas Wipf, Friedrich-Schiller-Universität Jena, Jena, Germany
Graduate Texts in Physics
Graduate Texts in Physics publishes core learning/teaching material for graduate-
and advanced-level undergraduate courses on topics of current and emerging fields
within physics, both pure and applied. These textbooks serve students at the MS- or
PhD-level and their instructors as comprehensive sources of principles, definitions,
derivations, experiments and applications (as relevant) for their mastery and
teaching, respectively. International in scope and relevance, the textbooks
correspond to course syllabi sufficiently to serve as required reading. Their didactic
style, comprehensiveness and coverage of fundamental material also make them
suitable as introductions or references for scientists entering, or requiring timely
knowledge of, a research field.
123
Chihiro Hamaguchi
Osaka University
Suita, Osaka
Japan
The first edition of Basic Semiconductor Physics was published in 2001 and the
second edition in 2010. After the publication of the first edition, many typo-
graphical errors have been pointed out and the corrected version was published in
2006. The publisher and my friends persuade me to revise the book adding new
chapters, keeping the subject at the appropriate level. When I started writing the first
edition, I decided not to include the physics of semiconductor devices such as p-n
junction diode, bipolar transistor, and metal oxide semiconductor field-effect tran-
sistor (MOSFET). This decision is kept in the new (third) edition.
Although many books on semiconductor physics and technology have been
published, the basic physics of semiconductor laser is not properly described. When
the readers of my book understand the characteristics of two-dimensional electron
gas and strain effect of semiconductors, they feel easy to understand double
heterostructure lasers and strained quantum well lasers, but it is easier if they study
some more detailed discussion on the laser action. Another subject is physics of
low-dimensional semiconductors. Basic Semiconductor Physics, second edition,
deals with two-dimensional electron gas and zero dimensional or quantum dot
structure. The physics of quantum dot includes very important physics of artificial
atoms and gives a good information of few electron systems. These subjects are
included in the second edition published in 2010. Some new topics are also
included in the second edition such as electron motion in an external field dis-
cussing the derivation of effective mass (Sect. 3.5), the physics of quantum dots
(Sect. 8.8), and new Chap. 9 devoted to the discussion on the physics of semi-
conductor laser, where Einstein coefficients A and B, spontaneous and stimulated
emission, luminescence, double heterostructure, and quantum well lasers are dis-
cussed. The strain effect of the quantum well laser is described in detail because it is
well known that the effect is very important to understand the modes (TE and TM
modes) of quantum well laser oscillations.
v
vi Preface to the Third Edition
his wife Wakiko for her patience during the work of this textbook and also his
parents Masaru and Saiye Hamaguchi for their support to his higher education. The
author expresses his gratitude to Professor Dr. Klaus von Klitzing for inviting him
to Max Planck Institute, Stuttgart, to finish the full band k p perturbation theory,
providing him a chance to discuss this subject with Professor Dr. Manuel Cardona.
Finally, we want to thank Dr. Claus E. Ascheron and the staff of the Springer
Verlag for their help and for the valuable suggestions for clarification of this book.
When the first edition of Basic Semiconductor Physics was published in 2001, there
were already many books, review papers, and scientific journals dealing with
various aspects of semiconductor physics. Since many of them were dealing with
special aspects of newly observed phenomena or with very fundamental physics, it
was very difficult to understand the advanced physics of semiconductors without
the detailed knowledge of semiconductor physics. For this purpose, the author
published the first edition for the readers who are involved with semiconductor
research and development. Basic Semiconductor Physics deals with details of
energy band structures, effective mass equation, and k p perturbation, and then
describes very important phenomena in semiconductors such as optical, transport,
magnetoresistance, and quantum phenomena. Some of my friends wrote to me that
the textbook is not only basic but advanced, and that the title of the book does not
reflect the contents. However, I am still convinced that the title is appropriate
because the advanced physics of semiconductor may be understood with the
knowledge of the fundamental physics. In addition, new and advanced phenomena
observed in semiconductors at an early time are becoming well known and thus
classified in basic physics.
After the publication of the first edition, many typographical errors have been
pointed out and the corrected version was published in 2006. The publisher and my
friends persuade me to revise the book adding new chapters, keeping the subject at
the appropriate level. When I started writing the first edition, I decided not to
include physics of semiconductor devices such as p-n junction diode, bipolar
transistor, and metal oxide semiconductor field-effect transistor (MOSFET). This is
because the large numbers of books dealing with the subjects are available and a big
or bulky volume is not accepted by readers. On the other hand, many researchers
are involved with optoelectronic devices such as LED (Light Emitting Diode) and
LD (Laser Diode) because memory devices such as DVD and blue ray disks are
becoming important for writing and reading memory devices. In such devices,
semiconductor laser diodes are used. In addition, the communication system based
on the optical fiber plays a very important role in network, where laser diode is the
key device. Although many books on semiconductor physics and technology have
ix
x Preface to the Second Edition
been published, the basic physics of semiconductor laser is not properly described.
When the readers of my book understand the characteristics of two-dimensional
electron gas and strain effect of semiconductors, they feel easy to understand double
heterostructure lasers and strained quantum well lasers, but it is easier if they study
some more detailed discussion on the laser action. Another subject is physics of
low-dimensional semiconductors. Basic Semiconductor Physics deals with
two-dimensional electron gas but zero-dimensional or quantum dot structure is not
included. The physics of quantum dot includes very important physics of artificial
atoms, and gives a good information of few electron systems.
In this revised version I included three main topics. The first one is Sect. 3.5,
where electron motion in an external field is discussed with the derivation of
effective mass. The most important relation for transport equation is the velocity
(group velocity) of an electron in a periodic crystal. In this section, the expectation
value of the velocity operator is evaluated and shown to be proportional to the
gradient of the electron energy with respect to the wave vector. Then the classical
motion of equation is proved to be valid for an electron in a crystal when we use the
effective mass. In Sect. 8.8 the physics of quantum dots is discussed in connection
with the charging energy (addition energy) required to add an extra electron in a
quantum dot. The treatment is very important to understand Coulomb interaction of
many electron system. In this section the exact diagonalization method based on
Slater determinants is discussed in detail. Chapter 9 is devoted to the discussion on
the physics of semiconductor laser, where Einstein coefficients A and B, sponta-
neous and stimulated emission, luminescence, double heterostructure, and quantum
well lasers are discussed. The strain effect of the quantum well laser is described in
detail because it is well known that the effect is very important to understand the
modes (TE and TM modes) of quantum well laser oscillations.
I would like to express my special thanks to Professor Nobuya Mori for helping
me to clarify the subject and providing me his calculated results used in Chap. 9,
and also to my colleagues at Sharp Corporation with whom I have had many
stimulated discussions on the basic physics of semiconductor lasers. It was very sad
that Professor Tatsuya Ezaki of Hiroshima University died very recently, who made
the detailed analysis of quantum dot physics for his Ph.D thesis (see Sect. 8.8).
Finally, I want to thank Dr. Claus E. Ascheron and the staff of the Springer
Verlag for their help and for the valuable suggestions for clarification of this book.
More than 50 years have passed since the invention of the transistor in December
1947. The study of semiconductors was initiated in the 1930s but we had to wait for
30 years (till the 1960s) to understand the physics of semiconductors. When the
transistor was invented, it was still unclear whether germanium had a direct gap or
indirect gap. The author started to study semiconductor physics in 1960 and the
physics was very difficult for a beginner to understand. The best textbook of
semiconductors at that time was “Electrons and Holes in Semiconductors” by
W. Shockley, but it required a detailed knowledge of solid state physics to
understand the detail of the book. In that period, junction transistors and Si bipolar
transistors were being produced on a commercial basis, and industrialization of
semiconductor technology was progressing very rapidly. Later, semiconductor
devices were integrated and applied to computers successfully, resulting in a
remarkable demand for semiconductor memories in addition to processors in the
late 1970–1980s. Now, we know that semiconductors play the most important role
in information technology as the key devices and we cannot talk about the age of
information technology without semiconductor devices.
On the other hand, the physical properties of semiconductors such as the elec-
trical and optical properties were investigated in detail in the 1950s, leading to the
understanding of the energy band structures. Cyclotron resonance experiments and
their detailed analysis first reported in 1955 were the most important contribution to
the understanding of the energy band structures of semiconductors. From this work,
it was revealed that the valence bands consist of degenerate heavy-hole and
light-hole bands. Another important contribution comes from energy band calcu-
lations. Energy band calculations based on the empirical pseudopotential method
and the k p perturbation method reported in 1966 enabled us to understand the
fundamental properties of semiconductors. In this period, high-field transport and
current instabilities due to the Gunn effect and the acoustoelectric effect attracted
great interest. In addition, modulation spectroscopy and light scattering were
developed and provided detailed information of the optical properties of semi-
conductors. These contributions enabled us to understand the physical properties of
bulk semiconductors almost completely.
xi
xii Preface to the First Edition
At the same time, late in the 1960s and early 1970s, Leo Esaki and his
co-workers developed a new crystal growth method, molecular beam epitaxy, and
initiated studies of semiconductor heterostructures such as quantum wells and
superlattices. This led to a new age of semiconductor research which demonstrated
phenomena predicted from quantum mechanics. This approach is completely dif-
ferent from the past research in that new crystals and new structures are being
created in the laboratory. This field is therefore called “band gap engineering”. It
should be noted here that such a research was not carried out up to fabricate devices
for real applications but to investigate new physics. The proposal of modulation
doping in the late 1970s and the invention of the high electron mobility transistor
(HEMT) in 1980 triggered a wide variety of research work related to this field.
Later, HEMTs have been widely used in such applications as the receivers for
satellite broadcasting. Although the commercial market for LSI memories based on
Si technologies is huge, metal semiconductor field-effect transistors (MESFETs)
based on GaAs have become key devices for mobile phones (cellular phones) in the
1990s and it is believed that their industrialization will play a very important role in
the twenty-first century.
Klaus von Klitzing et al. discovered the quantum Hall effect (later called the
integer quantum Hall effect) in the two-dimensional electron gas system of a
Si MOSFET in 1980, and this discovery changed semiconductor research dra-
matically. The discovery of the fractional quantum Hall effect followed the integer
quantum Hall effect and many papers on these subjects have been reported at
important international conferences. At the same time, attempts to fabricate
microstructures such as quantum wires and metal rings were carried out by using
semiconductor microfabrication technologies and led to the discovery of new
phenomena. These are the Aharonov–Bohm effect, ballistic transport, electron
interference, quasi-one-dimensional transport, quantum dots, and so on. The sam-
ples used for these studies have a size between the microscopic and macroscopic
regions, which is thus called the “mesoscopic region”. The research in cmesoscopic
structures is still progressing.
The above overview is based on the private view of the author and very
incomplete. Those who are interested in semiconductor physics and in device
applications of new phenomena require a deep understanding of semiconductor
physics. The situation is quite different for the author who had to grope his own
way in semiconductor physics in the 1960s, while the former are requested to begin
their own work after understanding the established semiconductor physics. There
have been published various textbooks in the field of semiconductors but only few
cover the field from the fundamentals to new phenomena. The author has published
several textbooks in Japanese but they do not cover such a wide range of semi-
conductor physics. In order to supplement the textbooks, he has used printed texts
for graduate students in the last 10 years, revising and including new parts.
This textbook is not intended to give an introduction to semiconductors. Such
introductions to semiconductors are given in courses on solid state physics and
semiconductor devices at many universities in the world. It is clear from the con-
tents of this textbook that electron statistics in semiconductors, pn junctions, pnp or
Preface to the First Edition xiii
npn bipolar transistors, MOSFETs, and so on are not dealt with. This textbook is
written for graduate students or researchers who have finished the introductory
courses. Readers can understand such device-oriented subjects easily after reading
this textbook. A large part of this book has been used in lectures several times for
the solid state physics and semiconductor physics courses for graduate students at
the Electronic Engineering Department of Osaka University and then revised. In
order to understand semiconductor physics, it is essential to learn energy band
structures. For this reason, various methods for energy band calculations and
cyclotron resonance are described in detail. As far as this book is concerned, many
of the subjects have been carried out as research projects in our laboratory.
Therefore, many figures used in the textbook are those reported by us in scientific
journals and from new data obtained recently by carrying out experiments so that
digital processing is possible. It should be noted that the author does not intend to
disregard the priorities of the outstanding papers written by many scientists.
Important data and their analysis are referred to in detail in the text, and readers who
are interested in the original papers are advised to read the references. This book
was planned from the beginning to be prepared by LATEX and the figures are
prepared in EPS files. Figures may be prepared by using a scanner but the quality is
not satisfactory compared to the figures drawn by software such as PowerPoint.
This is the main reason why we used our own data much more than those from
other groups. Numerical calculations such as energy band structures were carried
out in BASIC and FORTRAN. Theoretical curves were calculated using
Mathematica and equations of simple mathematical functions were drawn by using
SMA4 Windows. The final forms of the figures were then prepared using
PowerPoint and transformed into EPS files. However, some complicated figures
used in Chap. 8 were scanned and then edited using PowerPoint.
The author would like to remind readers that this book is not written for those
interested in the theoretical study of semiconductor physics. He believes that it is a
good guide for experimental physicists. Most of the subjects are understood within
the framework of the one-electron approximation and the book requires an
understanding of the Schrödinger equation and perturbation theory. All the equa-
tions are written using SI units throughout, so that readers can easily estimate the
values. In order to understand solid state physics, it is essential to use basic theory
such as the Dirac delta function, Dirac identity, Fourier transform, and so on. These
are explained in the appendices. In addition, a brief introduction to group theoretical
analysis of strain tensors, random phase approximations, boson operators, and the
density matrix is given in the appendices. With this background, the reader is
expected to understand all the equations derived in the text book.
The author is indebted to many graduate students for discussions and the use
of their theses. There is not enough space to list all the names of the students. He is
also very thankful to Prof. Dr. Nobuya Mori for his critical reading of the manu-
script and valuable comments. He thanks Dr. Masato Morifuji for his careful
reading of the text. Dr. Hideki Momose helped the author to prepare the LaTeX
format and Prof. Dr. Nobuya Mori revised it. Also, thanks are due to Mr. Hitoshi
Kubo, who took the Raman scattering data in digital format. He is also very
xiv Preface to the First Edition
thankful to Prof. Dr. Laurence Eaves and Prof. Dr. Klaus von Klitzing for their
encouragement from the early stage of the preparation of the manuscript. A large
part of the last chapter, Chap. 8, was prepared during his stay at the Technical
University of Vienna and he would like to thank Prof. Dr. Erich Gornik for pro-
viding this opportunity and for many discussions. Critical reading and comments
from Prof. L. Eaves, Prof. K. von Klitzing, Prof. G. Bauer and Prof. P. Vogl are
greatly appreciated. Most of the book was prepared at home and the author wants to
thank his wife Wakiko for her patience.
xv
xvi Contents
1.9 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
2 Cyclotron Resonance and Energy Band Structures . . . . .. . . . . . . . 65
2.1 Cyclotron Resonance . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . 65
2.2 Analysis of Valence Bands . . . . . . . . . . . . . . . . . . .. . . . . . . . 74
2.3 Spin–Orbit Interaction . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . 80
2.4 Non-parabolicity of the Conduction Band . . . . . . . . .. . . . . . . . 87
2.5 Electron Motion in a Magnetic Field and Landau Levels . . . . . . 90
2.5.1 Landau Levels . . . . . . . . . . . . . . . . . . . ...... . . . . . 90
2.5.2 Density of States and Inter Landau
Level Transition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
2.5.3 Landau Levels of a Non-parabolic Band . . . . . . . . . . . 98
2.5.4 Effective g Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
2.5.5 Landau Levels of the Valence Bands . . . . . . . . . . . . . . 104
2.5.6 Magneto–optical Absorption . . . . . . . . . . . . . . . . . . . . 110
2.6 Luttinger Hamiltonian . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
2.7 Luttinger Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
2.8 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
3 Wannier Function and Effective Mass Approximation . . . . . . . . . . 125
3.1 Wannier Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
3.2 Effective-Mass Approximation . . . . . . . . . . . . . . . . . . . . . . . . . 127
3.3 Shallow Impurity Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
3.4 Impurity Levels in Ge and Si . . . . . . . . . . . . . . . . . . . . . . . . . 135
3.4.1 Valley–Orbit Interaction . . . . . . . . . . . . . . . . . . . . . . . 138
3.4.2 Central Cell Correction . . . . . . . . . . . . . . . . . . . . . . . . 139
3.5 Electron Motion Under an External Field . . . . . . . . . . . . . . . . . 141
3.5.1 Group Velocity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
3.5.2 Electron Motion Under an External Force . . . . . . . . . . 145
3.5.3 Electron Motion and Effective Mass . . . . . . . . . . . . . . 148
3.6 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
4 Optical Properties 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
4.1 Reflection and Absorption . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
4.2 Direct Transition and Absorption Coefficient . . . . . . . . . . . . . . 158
4.3 Joint Density of States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
4.4 Indirect Transition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
4.5 Exciton . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
4.5.1 Direct Exciton . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
4.5.2 Indirect Exciton . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
4.6 Dielectric Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
4.6.1 E0 , E0 þ D0 Edge . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
Contents xvii
Abstract The physical properties of semiconductors can be understood with the help
of the energy band structures. This chapter is devoted to energy band calculations
and interpretation of the band structures. Bloch theorem is the starting point for
the energy band calculations. Bloch functions in periodic potentials is derived here
and a periodic function is shown to be expressed in terms of Fourier expansion by
means of reciprocal wave vectors. Brillouin zones are then introduced to understand
energy band structures of semiconductors. The basic results obtained here are used
throughout the text. Nearly free electron approximation is shown as the simplest
example to understand the energy band gap (forbidden gap) of semiconductors and
the overall features of the energy band structure. The energy band calculation is
carried out first by obtaining free-electron bands (empty lattice bands) which are
based on the assumption of vanishing magnitude of crystal potentials and of keeping
the crystal periodicity. Next we show that the energy band structures are calculated
with a good approximation by the local pseudopotential method with several Fourier
components of crystal potential. The nonlocal pseudopotential method, where the
nonlocal properties of core electrons are taken into account, is discussed with the
spin–orbit interaction. Also k · p perturbation method for energy band calculation
is described in detail. The method is extended to obtain the full band structures
of the elementary and compound semiconductors. Another method “tight binding
approximation” will be discussed in connection with the energy band calculation of
superlattices in Chap. 8.
It is well known that the physical properties of semiconductors are understood with
the help of energy band structures. The energy states or energy band structures
of electrons in crystals reflect the periodic potential of the crystals and they can be
calculated when we know the exact shape and the magnitude of the crystal potentials.
The shape and the magnitude of the potential are not determined directly from any
experimental methods, and thus we have to calculate or estimate the energy bands by
using the assumed potentials. Many different approaches to calculations of energy
bands have been reported, but in this textbook we will deal with several methods,
which are not so difficult to understand. We begin with the most simplified method
to calculate electronic states in a model crystal.
For simplicity we consider a one-dimensional crystal with a periodic potential as
shown in Fig. 1.1, and assume that each atom provides one free electron and that the
atom has a charge of +e, forming an ion.
The ion provides potential energy V (r ) = −e2 /4π0 r , where r is the distance
from the central position of the ion. Therefore, the one-dimensional crystal has a
potential energy consisting of the superposition of that of each atom, as shown in
Fig. 1.1. From the figure we find the potential energy of the walls is higher than the
inside potential and thus the electrons are confined between the walls. However, we
have to note that the above results are derived from a very simplified assumption
and the potential distribution is obtained without electrons. In a crystal there are
many electrons and thus electron–electron interactions play a very important role in
the potential energy distribution. Electron–electron interaction will be discussed in
the case of plasmon scattering in Chap. 2 and in calculating the electronic states in
quantum dots in Sect. 8. In the discussion of the energy band structure we will not
deal with the electron–electron interactions and consider a simplified case where we
calculate the electronic states for a single electron and then put many electrons in
the energy states by taking the Pauli exclusion principle into account.
The large conductivity in metals is understood to arise from the fact that many
free electrons exist in the conduction band. Therefore such electrons have an energy
higher than the potential maxima and lower than the confining wall potentials. In
the extreme case we can make an approximation that the electrons are confined in a
square potential well, as shown in Fig. 1.2, where we assume the potential is infinite
at x = 0 and x = L. In such a case the electron energy may be obtained by solving
the one-dimensional Schrödinger equation
2 d 2
− + V (x) Ψ (x) = EΨ (x) , (1.1)
2m dx 2
Energy
n=3
n=2
n=1
0 L
π
Ψ (x) = A sin(kn ) = A sin ·n ,
L
2 2 2 πn 2
E= k = · , (1.2)
2m n 2m L
π
kn = · n (n = 1, 2, 3, . . .)
L
Eigenfunctions and their energy level for n = 1, 2, 3, . . . are shown in Fig. 1.2. It
is very easy to extend this one-dimensional model to the three-dimensional model,
which will not be given here. We have to note that energy band structures are well
understood by introducing periodic boundary conditions and the Bloch theorem.
When we introduce a translational vector T , the crystal potential has the periodicity
V (r) = V (r + T ), and thus the squared wave function of the electron |Ψ (r)|2 has
the same periodicity. The amplitude of the wave function Ψ (r) has an ambiguity
of a phase factor exp(ik · r). The cyclic boundary condition in the case of a one-
dimensional crystal requires the condition that the wave function including the phase
factor is the same at x and at x + L, and thus Ψ (x) = Ψ (x + L), where L is the
length of the crystal. The results are summarized as follows [1]:
u k (r + T ) = u k (r) , (1.4)
4 1 Energy Band Structures of Semiconductors
2π
k= (n x a∗ + n y b∗ + n z c∗ ) , (1.5)
N
Periodic functions with the lattice vectors a, b, c are Fourier expanded with the
reciprocal lattice vectors,
u k (r) = A(G m ) exp(−iG m · r) , (1.13)
m
V (r) = V (G n ) exp(−iG n · r) , (1.14)
n
where A(G m ) and V (G n ) are Fourier coefficients. The coefficients are obtained by
the inverse Fourier transformation,
1
A(G i ) = exp(+iG i · r)u k (r)d3 r , (1.15)
Ω Ω
1
V (G j ) = exp(+iG j · r)V (r)d3 r , (1.16)
Ω Ω
1.2 Bloch Theorem 5
where Ω is the volume of the unit cell of the crystal. From the definition of the
reciprocal lattice vector (1.12), we can easily prove the following important relation
(see Appendix A.2),
1
exp [i (G m − G n ) · r] d3 r = δmn . (1.17)
Ω Ω
For simplicity we begin with the one-dimensional case. From (1.16) we obtain
a
1
V (G n ) = V (x) exp(iG n x)dx , (1.19)
a 0
which gives the following zeroth-order Fourier coefficient, V (0), when we put G n =
0 in the above equation
a
1
V (0) = V (x)dx . (1.20)
a 0
The coefficient V (0) gives the average of the potential energy. In the case of three-
dimensional crystals, the coefficient
1
V (0) = V (r)d3 r (1.21)
Ω Ω
also gives the average value of the potential energy V (r) in the unit cell Ω. In
the following we measure the energy from V (0) and thus we put V (0) = 0. The
electronic states of an electron in the periodic potential V (r) are given by solving
the Schrödinder equation,
2 2
− ∇ + V (r) Ψ (r) = E(k)Ψ (r) . (1.22)
2m
1
Ψ (r) = √ exp(ik · r) A(G n ) exp(−iG n · r) ,
Ω n
1
= √ A(G n ) exp [i (k − G n ) · r] , (1.23)
Ω n
√
where the factor 1/ Ω is introduced to normalize the wave function Ψ (r) in the
unit cell. Putting (1.14) and (1.23) into (1.22), the following result is obtained:
1 2
√ (k − G n )2 − E(k) + V (G m ) exp(−iG m · r)
Ω n 2m m
×A(G n ) exp [i(k − G n ) · r] = 0 . (1.24)
√
Multiplying (1/ Ω) exp[−i(k − G l ) · r] to the both sides of the above equation and
integrating in the unit cell with the help of (1.17), we find that the first and the second
terms are not 0 for n = l, and that the third term is not 0 for −(G m + G n ) = −G l
(or G l − G n = G m ). Therefore, the integral is not 0 only in the case of m = l − n,
and we obtain the following result:
2
(k − G l )2 − E(k) A(G l ) + V (G l − G n )A(G n ) = 0 . (1.25)
2m n
2 k 2
E(k) = , (1.26)
2m
1
Ψ (r) = √ A(0) exp(ik · r) . (1.27)
Ω
V (G l )A(0)
A(G l ) = . (1.29)
(2 /2m) k 2 − (k − G l )2
In the nearly free electron approximation, the electron wave function may be approx-
imated by (1.27). In other words, the terms A(G l ) are very small except G l = 0.
From the result given by (1.29), however, we find that the term A(G l ) is very large
when (k − G l )2 ≈ k 2 . The condition is shown by the following equation:
(k − G l )2 = k 2 , (1.30)
which gives rise to Bragg’s law (law of Bragg reflection) and determines the Brillouin
zones of crystals. When the electron wave vector ranges close to the value given by
(1.30), we keep the term A(G l ) in addition to the term A(0), and neglect the other
terms. Then we obtain the following relations from (1.25):
2
2
k − E(k) A(0) + V (−G l )A(G l ) = 0 , (1.31a)
2m
2
(k − G l )2 − E(k) A(G l ) + V (G l )A(0) = 0 . (1.31b)
2m
The solutions of the above equations are obtained under the condition that the coef-
ficients A(0) and A(G l ) are both not equal to 0 at the same time. The condition is
satisfied when the determinant of (1.31a) and (1.31b) is 0, which is given by
(2 /2m)k 2 − E(k) V (−G l )
= 0. (1.32)
V (G l ) (2 /2m)(k − G l )2 − E(k)
2 k 2
E(k) = ± |V (G l )| , (1.34)
2m
1 2 2πn 2
E(k) = k + k−
2
2 2m a
2 2
2πn 2 2
± k2 − k − + 4|V (G n )|2 . (1.35)
2m a
Therefore, E(k) ∼= 2 k 2 /2m is satisfied, except in the region close to the condition
k 2 = G 2n = (k − 2πn/a)2 or k = nπ/a. This result gives the choice of ± in (1.35).
Taking account of the sign of the square root, in the region k < (k − G n )2 we should
choose the minus sign and in the region k > (k − G n )2 we have to choose the
plus sign in (1.35). Therefore, in the region k ≈ nπ/a > 0, we find we obtain the
following relations:
nπ 2 k 2
k≤ : E(k) = − |V (G n )| , (1.36)
a 2m
nπ 2 k 2
k≥ : E(k) = + |V (G n )| . (1.37)
a 2m
Using the above relations and plotting E(k) as a function of k, we obtain the results
shown in Fig. 1.3a. Such a plot of energy in the whole region of the k vector shown
in Fig. 1.3a is called the “extended zone representation”. In such a one-dimensional
crystal model with N atoms, however, the electron system has N degrees of freedom
and thus the wave vector of the electron may take N values in the range −π/a <
k ≤ π/a, corresponding to the first Brillouin zone. When we take this fact into
account, the energy can be shown in the first Brillouin zone −π/a < k ≤ π/a. This
may be understood from the fact that the wave vectors k and k + G m are equivalent
because of the equivalence of the wave functions with these two wave vectors from
Fig. 1.3 Energy band structure of one-dimensional crystal obtained from the nearly free electron
approximation. a extended zone representation, b reduced zone representation, and c energy bands
in real space. Energy in units of (2 /2m)(π/a)2
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kell tünniök a nagyok javára, oly fölfogásból ered, amely egykor
szabatos volt, de a világ mostani gazdasági fejlődésére már nem
alkalmazható. A maguk függetlenségét megőrző kis államok
szövetsége ma lehetséges, míg annexiójukat csak nagyon költséges
katonai elnyomással lehetne fenntartani.
A tények megfigyelésén alapuló s fejlődő eszmék világításában
az idegen területek leigázása, a mostani háború főcélja, csakhamar
olyan műveletnek fog mutatkozni, amely romlást hoz a jelenben és
semmi hasznot a jövőben.
Az angol miniszterelnök mondta a parlamentben, hogy a népek
jövője attól a résztől függ, amelyet a háború tanulságaiból kivesznek.
A világ valóban a művelődésnek abba a korszakába lépett, amidőn a
délibábok époly vészthozók volnának, mint a legrombolóbb
betörések.
4. A termékenység szerepe.
2. Az akarat és erőfeszítés.
3. Az alkalmazkodás.
4. A nevelés.
5. Az erkölcs.
6. A szervezet és az illetékesség.
A szervezet egyszerűen a minden tudomány uralta alapelvek
alkalmazása: valamely jelenség szülő elemeinek
szétkülönböztetése, külön-külön tanulmányozása, s mindegyikük
befolyásának kutatása. Az ilyen módszer magában foglalja a
munkamegosztást, az illetékességet és a fegyelmet.
Nagy Sándortól Augusztusig s Napoleonig minden
magasabbrendű szellem nagy szervező volt. Egyikük sem ismerte
félre, hogy szervezni nemcsak annyit tesz, mint szabályokat alkotni,
hanem annyit is, hogy végre is kell hajtatni azokat. Ebben a
végrehajtásban rejlik a szervezés fő-fő nehézsége.
A szervezés lehetetlen, ha minden egyén és minden dolog nincs
a maga helyén. Ennek az elemi igazságnak alkalmazása, sajnos,
olyan éleslátást igényel, amely bizonyos népeknél elég ritka.
Bármely szervezet értéke a főnöktől függ, akit élére állítanak. A
kollektivitások alkalmasak a végrehajtásra, de képtelenek az
irányításra és még kevésbbé képesek az alkotásra.
Az együttes munka megszokása és fegyelme – a szociális
előrelátás intézményeire, a biztosításra, a munkaképtelenség és
aggkor esetére való gondoskodásra, s a technikai nevelésre
alkalmazva – végtelenül jó szolgálatot tettek a németeknek. Így pl. a
tanoncügy szervezése náluk megakadályozta a kézmű válságát,
amely annyira fenyegeti Franciaországot.
A szolgálati ágak egymás mellé rendelésének hiánya nyilván a
leghelyrehozhatatlanabb hibája a latinfajú népek közigazgatásának.
Egész sorozata a minisztereknek hiába próbálta ezt orvosolni. Ez a
baj annyira dühöngött, hogy Párisban ugyanannak az utcának a
kövezetét egy hónap alatt háromszor vagy négyszer bontották föl és
burkolták be, mivel a gáz, a vízvezeték és villamosság
üzemvezetőségei nem jutottak megegyezésre, hogy az egész
műveletet csak egyszer hajtsák végre a kellő sorrendben. A háború
alatt is láttuk, hogy Amerikába két különböző miniszteriumnak
kiküldött hatósági közegei versengtek egymással, hogy ugyanazt a
lóállományt vásárolják meg s a vevő természetesen, megegyezés
hiányában, végül négyszer oly magas árt fizetett.
Ha valamely közüzemben az ellenőrzést nagyon szaporítják, ez
annyira elaprózza a felelősséget, hogy végezetre az egészen
elsikkad. Akit túlsokan ellenőriznek, azt sohasem ellenőrzik jól.
Sok országban a nyilvános üzemek szervezetének csekély
értéke nemcsak az alkalmazottak közömbösségének és a
felelősségtől való félelmüknek tulajdonítható, hanem annak is, hogy
gyakran a protekció helyettesíti a rátermettség adta illetékességet.
Az amerikaiak nagyon a nyitjára jöttek a szervezés minden
csínjának-bínjának. Nagy mérnökük: Taylor megmutatta, hogy a
legtöbb gyári munkában – módszeresen kiküszöbölvén a
haszontalan erőfeszítéseket, – ugyanazt az eredményt sokkal
kevesebb fáradsággal lehet elérni. Most már sok német gyár is
ugyaneszerint az alapelv szerint van megszervezve.
A szükség hamarosan hatalmas tényezőjévé válik a
szervezésnek. Kétséges, hogy a németek nagyhírű rendszeressége
felsőbbrendű-e azzal a szellemmel szemben, amely lehetővé tette
az angoloknak, hogy két év alatt négymilliós sereget alakítsanak
összes tisztjeivel, municiójával, s azzal a szövevényes
anyagkészlettel, amelyet a modern háború megkövetel.
Gazdasági és kormányzati gyöngeségünk egyik oka azzal függ
össze, hogy nálunk az iparosokat a kormányok vagy nem vették
tekintetbe, vagy gyanús szemmel nézték. A háború szükségletei
azonban nélkülözhetetlenné tették közreműködésüket s megkellett
állapítani, hogy a nagyon is bonyolult problémák, hála az ő
munkájuknak, könnyen megoldódtak. És ha nem dolgoztak elég
gyorsan, ez onnan volt, hogy a hivatalok félelmetes illetéktelensége
állandóan akadályozta munkájukat.
Az amerikai élelmezési főbiztos programmszerű nyilatkozatát
nagyon üdvös volna kiragasztani bizonyos hivatalokban, amelyek
szervezete annyira hiányos volt a háború alatt: «Az élelmiszereknek
nincs szükségük diktaturára, hanem csak okos igazgatásra. Persze
én a magam részéről ezt az igazgatást nem drákói rendeletekben és
önkényes inkviziciókban látom, hanem az érdekelt három nagy
csoport: a termelők, elosztók és fogyasztók harmonikus
megegyezésében és értelmes összműködésében. Tanácsadóimat
kizárólag ebből a három csoportból fogom választani, nem pedig az
elméleti emberek és a bürokraták közül.» Mily óriás szakadék tátong
a mi kormányzóink és a nyilatkozatot tévő értelmi állapota közt!
Oroszország kisérleti úton győződhetett meg arról, hogy egy
nagy birodalomnak még csak közepes szervezését is mily hosszú
idő alatt lehet megalapozni, s hogy azt nem lehet máról-holnapra
rögtönözni. Mert ez a szervezet csak akkor értékes, ha már
megrögződött a lelkekben.
A szervezés túlsága nem mindig látszik üdvösnek a haladás
tekintetében. Khina aggályosan pontos szervezete minden
kezdeményezés megbénítására s a nyavalyás állapotnak olyan
fokára vezetett, hogy nem tud belőle fölépülni.
A szám megadhatja a tekintélyt, de nem az illetékességet, a
rátermettséget.
Az iparnak egyebek közt az biztosít nagy fölényt a közigazgatás
fölött, hogy a rátermettség ott nagyobb szerepre tesz szert, mint a
ranglétra s különösen a protekció.
A tekintély nélkül való illetékesség ép oly tehetetlen, mint az
illetékesség nélkül való tekintély.
A rátermettség hatástalan marad, ha rá nem termettség
parancsszavának kell engedelmeskednie.
8. A forradalmak és az anarchia.