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Yuri M. Galperin
FYS 448
Department of Physics, P.O. Box 1048 Blindern, 0316 Oslo, Room 427A Phone: +47 22 85 64 95, Email: iouri.galperinefys.uio.no
Contents
I Basic concepts
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3 3 8 10 18 21 21 23 38 43 44 45 45 46 47 50 52 52 53 54 54 55 57 57 63 65 67
1 Geometry of Lattices ... 1.1 Periodicity: Crystal Structures . . . . . . 1.2 The Reciprocal Lattice . . . . . . . . . . 1.3 XRay Diﬀraction in Periodic Structures 1.4 Problems . . . . . . . . . . . . . . . . . .
2 Lattice Vibrations: Phonons 2.1 Interactions Between Atoms . . . . . . . . 2.2 Lattice Vibrations . . . . . . . . . . . . . . 2.3 Quantum Mechanics of Atomic Vibrations 2.4 Phonon Dispersion Measurement . . . . . 2.5 Problems . . . . . . . . . . . . . . . . . . .
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3 Electrons in a Lattice. 3.1 Electron in a Periodic Field . . . . . . . . . . . . . . . . . 3.1.1 Electron in a Periodic Potential . . . . . . . . . . . 3.2 Tight Binding Approximation . . . . . . . . . . . . . . . . 3.3 The Model of Near Free Electrons . . . . . . . . . . . . . . 3.4 Main Properties of Bloch Electrons . . . . . . . . . . . . . 3.4.1 Eﬀective Mass . . . . . . . . . . . . . . . . . . . . . 3.4.2 Wannier Theorem → Eﬀective Mass Approach . . . 3.5 Electron Velocity . . . . . . . . . . . . . . . . . . . . . . . 3.5.1 Electric current in a Bloch State. Concept of Holes. 3.6 Classiﬁcation of Materials . . . . . . . . . . . . . . . . . . 3.7 Dynamics of Bloch Electrons . . . . . . . . . . . . . . . . . 3.7.1 Classical Mechanics . . . . . . . . . . . . . . . . . . 3.7.2 Quantum Mechanics of Bloch Electron . . . . . . . 3.8 Second Quantization of Bosons and Electrons . . . . . . . 3.9 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
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ii
CONTENTS
II
Normal metals and semiconductors
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71 71 75 80 81 91 93 97 97 101 106 109 112 114 125 130 140 142 145 148 150 152 155 155 158 165 168 169 171 171 173 174 175 180
4 Statistics and Thermodynamics ... 4.1 Speciﬁc Heat of Crystal Lattice . . . 4.2 Statistics of Electrons in Solids . . . 4.3 Speciﬁc Heat of the Electron System 4.4 Magnetic Properties of Electron Gas. 4.5 Problems . . . . . . . . . . . . . . . . 5 Summary of basic concepts
6 Classical dc Transport ... 6.1 The Boltzmann Equation for Electrons . . . . . 6.2 Conductivity and Thermoelectric Phenomena. . 6.3 Energy Transport . . . . . . . . . . . . . . . . . 6.4 Neutral and Ionized Impurities . . . . . . . . . . 6.5 ElectronElectron Scattering . . . . . . . . . . . 6.6 Scattering by Lattice Vibrations . . . . . . . . . 6.7 ElectronPhonon Interaction in Semiconductors 6.8 Galvano and Thermomagnetic .. . . . . . . . . 6.9 Shubnikovde Haas eﬀect . . . . . . . . . . . . . 6.10 Response to “slow” perturbations . . . . . . . . 6.11 “Hot” electrons . . . . . . . . . . . . . . . . . . 6.12 Impact ionization . . . . . . . . . . . . . . . . . 6.13 Few Words About Phonon Kinetics. . . . . . . . 6.14 Problems . . . . . . . . . . . . . . . . . . . . . . 7 Electrodynamics of Metals 7.1 Skin Eﬀect. . . . . . . . . . . 7.2 Cyclotron Resonance . . . . . 7.3 Time and Spatial Dispersion . 7.4 ... Waves in a Magnetic Field 7.5 Problems . . . . . . . . . . . .
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8 Acoustical Properties... 8.1 Landau Attenuation. . . . . . . . . . . 8.2 Geometric Oscillations . . . . . . . . . 8.3 Giant Quantum Oscillations. . . . . . . 8.4 Acoustical properties of semicondictors 8.5 Problems . . . . . . . . . . . . . . . . .
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CONTENTS 9 Optical Properties of Semiconductors 9.1 Preliminary discussion . . . . . . . . . . . . 9.2 PhotonMaterial Interaction . . . . . . . . . 9.3 Microscopic singleelectron theory . . . . . . 9.4 Selection rules . . . . . . . . . . . . . . . . . 9.5 Intraband Transitions . . . . . . . . . . . . . 9.6 Problems . . . . . . . . . . . . . . . . . . . . 9.7 Excitons . . . . . . . . . . . . . . . . . . . . 9.7.1 Excitonic states in semiconductors . 9.7.2 Excitonic eﬀects in optical properties 9.7.3 Excitonic states in quantum wells . .
iii 181 181 182 189 191 198 202 202 203 205 206 211 211 215 219 225 232
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10 Doped semiconductors 10.1 Impurity states . . . . . . . . . . . . . . . . . . 10.2 Localization of electronic states . . . . . . . . . 10.3 Impurity band for lightly doped semiconductors. 10.4 AC conductance due to localized states . . . . . 10.5 Interband light absorption . . . . . . . . . . . .
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III
Basics of quantum transport
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239 239 240 250 251 255 255 260 265 266
11 Preliminary Concepts 11.1 TwoDimensional Electron Gas . . . . . . . 11.2 Basic Properties . . . . . . . . . . . . . . . . 11.3 Degenerate and nondegenerate electron gas 11.4 Relevant length scales . . . . . . . . . . . . 12 Ballistic Transport 12.1 Landauer formula . . . . . . . . . . . . 12.2 Application of Landauer formula . . . 12.3 Additional aspects of ballistic transport 12.4 e − e interaction in ballistic systems . .
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13 Tunneling and Coulomb blockage 273 13.1 Tunneling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 13.2 Coulomb blockade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 14 Quantum Hall Eﬀect 14.1 Ordinary Hall eﬀect . . . . . . . . . . . . . . . 14.2 Integer Quantum Hall eﬀect  General Picture 14.3 Edge Channels and Adiabatic Transport . . . 14.4 Fractional Quantum Hall Eﬀect . . . . . . . . 285 285 285 289 294
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iv
CONTENTS
IV
Superconductivity
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15 Fundamental Properties 309 15.1 General properties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 16 Properties of Type I .. 16.1 Thermodynamics in a Magnetic Field. 16.2 Penetration Depth . . . . . . . . . . . 16.3 ...Arbitrary Shape . . . . . . . . . . . . 16.4 The Nature of the Surface Energy. . . . 16.5 Problems . . . . . . . . . . . . . . . . . 313 313 314 318 328 329 331 331 335 343 347 352 353 353 355 357 360 362 364 369 376 377 377 382 388 391 391 395 397 402 405 407
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17 Magnetic Properties Type II 17.1 Magnetization Curve for a Long Cylinder 17.2 Microscopic Structure of the Mixed State 17.3 Magnetization curves. . . . . . . . . . . . 17.4 NonEquilibrium Properties. Pinning. . . 17.5 Problems . . . . . . . . . . . . . . . . . . 18 Microscopic Theory 18.1 PhononMediated Attraction . . . . . . 18.2 Cooper Pairs . . . . . . . . . . . . . . 18.3 Energy Spectrum . . . . . . . . . . . . 18.4 Temperature Dependence ... . . . . . . 18.5 Thermodynamics of a Superconductor 18.6 Electromagnetic Response ... . . . . . . 18.7 Kinetics of Superconductors . . . . . . 18.8 Problems . . . . . . . . . . . . . . . . .
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19 GinzburgLandau Theory 19.1 GinzburgLandau Equations . . . . . . . . . . . . . . . . . . . . . . . . . . 19.2 Applications of the GL Theory . . . . . . . . . . . . . . . . . . . . . . . . 19.3 NS Boundary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Tunnel Junction. Josephson Eﬀect. 20.1 OneParticle Tunnel Current . . . . . 20.2 Josephson Eﬀect . . . . . . . . . . . 20.3 Josephson Eﬀect in a Magnetic Field 20.4 NonStationary Josephson Eﬀect . . 20.5 Wave in Josephson Junctions . . . . 20.6 Problems . . . . . . . . . . . . . . . .
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CONTENTS 21 Mesoscopic Superconductivity 21.1 Introduction . . . . . . . . . . . . . 21.2 Bogoliubovde Gennes equation . . 21.3 NS interface . . . . . . . . . . . . 21.4 Andreev levels and Josephson eﬀect 21.5 Superconducting nanoparticles . . .
v 409 409 410 412 421 425
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V
Appendices
431
433
22 Solutions of the Problems
A Band structure of semiconductors 451 A.1 Symmetry of the band edge states . . . . . . . . . . . . . . . . . . . . . . . 456 A.2 Modiﬁcations in heterostructures. . . . . . . . . . . . . . . . . . . . . . . . 457 A.3 Impurity states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458 B Useful Relations 465 B.1 Trigonometry Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465 B.2 Application of the Poisson summation formula . . . . . . . . . . . . . . . . 465 C Vector and Matrix Relations 467
vi
CONTENTS
Part I Basic concepts
1
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as well as possibilities to observe crystal structures. Such a lattice of building blocks is called the Bravais lattice. 1. 5]. As a result. a2 . • The volume cell enclosed by the primitive vectors is called the primitive unit cell. from the books [1. More detailed information can be obtained. e. any lattice point R could be obtained from another point R as R = R + m1 a1 + m2 a2 + m3 a3 (1. 4. and a3 that leave all the properties of the crystal unchanged after the shift as a whole by any of those vectors. are reviewed. All the lattice can be obtained by repetition of a building block called basis. We emphasize basic principles of the crystal structure description. • The volume of the primitive cell is V0 V0 = (a1 [a2 a3 ]) 3 (1. We assume that there are 3 noncoplanar vectors a1 . a2 as the shortest period not parallel to a1 .1) where mi are integers. • Vectors ai chosen in such a way are called primitive.2) .g.1 Periodicity: Crystal Structures Most of solid materials possess crystalline structure that means spatial periodicity or translation symmetry. Note that • There is no unique way to choose ai .Chapter 1 Geometry of Lattices and XRay Diﬀraction In this Chapter the general static properties of crystals. The crystal structure could be understood by the combination of the propertied of the building block (basis) and of the Bravais lattice. a3 as the shortest period not coplanar to a1 and a2 .. We choose a1 as shortest period of the lattice.
Reﬂection. followed by reﬂection in the plane normal to the rotation axis. ﬁxed point is selected as origin (lack of inversion symmetry may lead to piezoelectricity). σ: Reﬂection across a plane. Sn : Rotation Cn . The natural way to describe a crystal structure is a set of point group operations which involve operations applied around a point of the lattice. 1. V0 = a. I: Transformation r → −r.1) Consequently. Examples Now we discuss few examples of the lattices. OneDimensional Lattices . We shall see that symmetry provide important restrictions upon vibration and electron properties (in particular.1: On the determination of rotation symmetry Inversion. We have only 1 translation vector a1  = a. Cn : Rotation by an angle 2π/n about the speciﬁed axis.. There are restrictions for n. cos φ = i/2 where i is integer.Chains Figure 1. spectrum degeneracy).4 CHAPTER 1. if a is the lattice constant. 1. Figure 1. the quantity b = a + 2a cos φ (see Fig.2: One dimensional lattices 1D chains are shown in Fig. GEOMETRY OF LATTICES .2. . Improper Rotation. Usually are discussed: Rotation. Indeed..
a is a primitive lattice with one atom in a primitive cell.1.1.3: The ﬁve classes of 2D lattices (from the book [4]). PERIODICITY: CRYSTAL STRUCTURES 5 White and black circles are the atoms of diﬀerent kind. TwoDimensional Lattices The are 5 basic classes of 2D lattices (see Fig. . 1.3) Figure 1. b and c are composite lattice with two atoms in a cell.
The part c of the Fig. GEOMETRY OF LATTICES . 1. The types of lattices diﬀer by the relations between the lengths ai and the angles αi ..6 ThreeDimensional Lattices CHAPTER 1.4: Types of 3D lattices We will concentrate on cubic lattices which are very important for many materials. Several primitive cells is shown in Fig. . Some primitive lattices are shown in Fig.4. end c show cubic lattices. 1. Figure 1. c is facecentered lattice (1/8 × 8 + 1/2 × 6 = 4 atoms). b is the body centered cubic lattice (1/8 × 8 + 1 = 2 atoms).5 shows hexagonal cell.. There are 14 types of lattices in 3 dimensions. a is the simple cubic lattice (1 atom per primitive cell). Cubic and Hexagonal Lattices. 1. b.5. a.
e. procedure to choose the cell which reﬂects the symmetry of the lattice.1. g. 1.. Fig. There is a very convenient Figure 1.5: Primitive lattices We shall see that discrimination between simple and complex lattices is important. PERIODICITY: CRYSTAL STRUCTURES 7 Figure 1. Draw lines connecting a given lattice point to all neighboring points. the procedure of choose of the elementary cell is not unique and sometimes an arbitrary cell does not reﬂect the symmetry of the lattice (see. Draw bisecting lines (or planes) to the previous lines. in analysis of lattice vibrations. The procedure is as follows: 1. say. and 1.6.7 where speciﬁc choices for cubic lattices are shown).1. The WignerSeitz cell As we have mentioned. 2. .6: Primitive vectors for bcc (left panel) and (right panel) lattices.
Namely. 1. GEOMETRY OF LATTICES .7: More symmetric choice of lattice vectors for bcc lattice.2 The Reciprocal Lattice The crystal periodicity leads to many important consequences.3) .. (1. Figure 1. We shall come back to this procedure later analyzing electron band structure.8: To the determination of WignerSeitz cell. The procedure is outlined in Fig.8 CHAPTER 1. Figure 1. 1.. all the properties. say electrostatic potential V . are periodic V (r) = V (r + an ). For complex lattices such a procedure should be done for one of simple sublattices. an ≡ n1 a1 + n2 a2 + n2 a3 .8.
k . First we write lattice vectors for bcc as a a1 = (y + z − x) .4) that bg ≡ b = g1 b1 + g2 b2 + g3 b3 2π[a2 a3 ] 2π[a3 a1 ] .7) We see that eiban should be equal to 1. ba2 = 2πg2 .11) Vectors bk are called the basic vectors of the reciprocal lattice. where b3 = 2π[a1 a2 ] .12) .3) we get V (r + an ) = b Vb eibr eiban .9) (1. ba3 = 2πg3 (1.k3 exp 2πi s ks ξs as .10) (1. 2 a a1 = (x + y − z) 2 (1. 2 a a2 = (z + x − y) . b2 = . b3 ]) = (2π)3 /V0 . the axes being directed along ai . THE RECIPROCAL LATTICE 9 It implies the Fourier transform. (1. Simple cubic lattice (sc) has simple cubic reciprocal lattice with the vectors’ lengths bi = 2π/ai . If we denote coordinates as ξs having periods as we get ∞ V (r) = k1 .8) where gi are integers. Consequently.4) Then we can return to Cartesian coordinates by the transform ξi = k αik xk (1.k2 . the elementary cell volume being (b1 [b2 . Now we demonstrate the general procedure using as examples body centered (bcc) and face centered (fcc) cubic lattices.k3 =−∞ Vk1 . one can construct reciprocal lattice using those vectors. (1.k2 .1.6) From the condition of periodicity (1.2. V0 (1. V0 V0 It is easy to show that scalar products b1 = ai bk = 2πδi. Usually the oblique coordinate system is introduced.5) Finally we get V (r) = b Vb eibr . (1. that could be met at ba1 = 2πg1 . It could be shown (see Problem 1. Reciprocal Lattices for Cubic Lattices.
a 2π = (x + y) a (1. where unit vectors x.9: The WignerSeitz cell for the bcc (left panel) and for the fcc (right panel) lattices. 1. The volume of the cell is V0 = a3 /2. z are introduced (see Fig. 1.14) . So we can get the WignerSeitz cell for bcc reciprocal lattice (later we shall see that this cell bounds the 1st Brillouin zone for vibration and electron spectrum).1. GEOMETRY OF LATTICES .9. a 2π = (z + x) .7). Figure 1.10) we get b1 = b2 b1 2π (y + z) . The corresponding WignerSeitz cell is shown in the right panel of Fig.6 that they form a facecentered cubic lattice. Making use of the deﬁnition (1.. y.10 CHAPTER 1. It is shown in Fig. In a very similar way one can show that bcc lattice is the reciprocal to the fcc one.9 (left panel) . 1.3 XRay Diﬀraction in Periodic Structures The Laue Condition Consider a plane wave described as F(r) = F0 exp(ikr − ωt) (1.13) One can see from right panel of Fig.. 1.
the phase needs more exact treatment: kρ + kr = kρ + kR − kρ cos(ρ.n.p are equal the only phase factors are important.18) with integer n.n. Unfortunately. The condition (1.p ∆k = 2πn (1.16) Now we can replace kρ cos(ρ. we replace r by R in the denominator of Eq. (1. (1. ∆k = k − k . XRAY DIFFRACTION IN PERIODIC STRUCTURES 11 which acts upon a periodic structure. assume R ρ and consequently r ≈ R. Note that the Laue condition (1. R) by k ρ where k is the scattered vector in the direction of R. Finally.15) Fsc (r) = f F(ρ) r r where r = R − ρ cos(ρ. we Figure 1.1. and strong diﬀraction takes place at ρm. . R).18) is just the same as the famous Bragg condition of strong light scattering by periodic gratings. So.n.15).17) If all the scattering factors fm.p F0 exp(−iρm.n.n. 1.10: Geometry of scattering by a periodic atomic structure.3.p ∆k (1. the phase equal to kR − ρ∆k.p fm. R being the detector’s position (see Fig. Each atom placed at the point ρ produces a scattered spherical wave eikρ ei(kr−ωt) eikr = f F0 (1. scattering is strong if the transferred momentum proportional to the reciprocal lattice factor.18) is just the same as the deﬁnition of the reciprocal vectors. ei(kR−ωt) R Now we can sum the contributions of all the atoms Fsc (R) = m. R).10) Then.
We get N −1 sin2 (N a∆k/2)  exp(ina∆k)2 ∝ . the width being the characteristics of the amount of disorder. Let us also introduce ∆Rij = ∆Ri − ∆Rj .23) sin2 (a∆k/2) n=0 This function has maxima at a∆k = 2mπ equal to N 2 (l‘Hopital’s rule) the width being ∆k a = 2. Using (1.76/N (see Problem 1. Role of Disorder The scattering intensity is proportional to the amplitude squared.. (1.20) and neglecting the terms ∝ N we get Isc (G0 + ∆G) = Isc (G0 ) i.19) or Isc ∝  i 1+ i j=i (1. Another source of disorder is a ﬁnite size of the sample (important for small semiconductor samples). while the second includes correlation. Let us discuss the role of a weak disorder where Ri = R0 + ∆Ri i where ∆Ri is small timeindependent variation. If G(Ri − Rj ) ≡ GRij = 2πn (1.. GEOMETRY OF LATTICES .22) So we see that there is a ﬁnite width of the scattering pattern which is called rocking curve.21) the second term is N (N − 1) ≈ N 2 .12 CHAPTER 1. For G = ∆k where G is the reciprocal lattice vector we get Isc ∝  i eiGRi  ·  i e−iGRi  eiG(Ri −Rj )  . (1.j exp [iG .6). If the arrangement is random all the phases cancel and the second term cancels. To get an impression let us consider a chain of N atoms separated by a distance a. In this case Isc ∝ N and it is angular independent.20) The ﬁrst term is equal to the total number of sites N . (1.j exp i G0 ∆Rij + ∆GR0 + ∆G∆Rij ij 0 ∆R ] ij i. In the vicinity of the diﬀraction maximum we can also write G = G0 + ∆G. and Isc ∝ N 2 . .
11).p + ρj )∆k m.1.3. we come to the rule • The Xray pattern can be obtained by the product of the result for lattice sites times the structure factor. To discuss this case we introduce • The coordinate ρmnp of the initial point of unit cell (see Fig. Now we can extract the sum over the cell for ∆k = G which is called the structure factor: SG = j fj exp −iρj G . So. (1.11: Scattering from a crystal with more than one atom per basis. Coming back to our derivation (1.17) Fsc (R) = F0 ei(kR−ωt) R fj exp −i(ρm.24) where fj is in general diﬀerent for diﬀerent atoms in the cell. 1. .n.n.p j (1.25) The ﬁrst sum is just the same as the result for the oneatom lattice. Figure 1. XRAY DIFFRACTION IN PERIODIC STRUCTURES 13 Scattering factor fmnp Now we come to the situation with complex lattices where there are more than 1 atoms per basis. • The coordinate ρj for the position of jth atom in the unit cell.
5) b1 = b2 b3 the general reciprocal vector being G = n 1 b1 + n 2 b2 + n 3 b3 .12: The twoatomic structure of interpenetrating fcc lattices... it is called the zincblend structure (GaAs. If atoms are identical. Consequently. [ The Diamond and ZincBlend Lattices]Example: The Diamond and ZincBlend Lattices To make a simple example we discuss the lattices with a twoatom basis (see Fig. so we have 2 interpenetrating fcc lattices shifted by a distance (a/4)(111) along the body diagonal.14 CHAPTER 1. the structure is called the diamond structure (elementary semiconductors: Si. 4 We also have introduced the reciprocal vectors (see Problem 1. 2π (−x + y + z) . AlAs.26) . SG = f 1 + exp iπ (n1 + n2 + n3 ) 2 . 1. Ge. a 2π = (−z + x + y) . a (1. It the atoms are diﬀerent. The coordinates of two basis atoms are (000) and (a/4)(111). For the diamond structure ρ1 = 0 a ρ2 = (x + y + z) . and C). a 2π = (−y + z + x) . Figure 1.12) which are important for semiconductor crystals. and CdS). GEOMETRY OF LATTICES .
Namely. n1 + n2 + n3 = 4k . Most of them are based on the simple geometrical Ewald construction (see Fig. 1. 1. We draw the reciprocal lattice Figure 1.28) We see that one can extract a lot of information on the structure from Xray scattering. The scattered vector k is determined as in Fig. the intensity being proportional to SG . k = 2π/λX starting at the RL point. XRAY DIFFRACTION IN PERIODIC STRUCTURES It is equal to 2f .27) f1 + f2 . n1 + n2 + n3 = 4k . for Xrays they are due to Coulomb charge density and are proportional to the Fourier components of local charge densities.13) for the vectors satisfying the Laue condition. Experimental Methods Her we review few most important experimental methods to study scattering. SG = (f1 ± if2 ) . n1 + n2 + n3 = (2k + 1) . n1 + n2 + n3 = 2(2k + 1) .3.13: The Ewald construction. SG = (1 ± i)f . f1 − f2 . . n1 + n2 + n3 = (2k + 1) . (1. Using the tip as a center we draw a sphere.27) So. n1 + n2 + n3 = 2(2k + 1) . 0. In the zincblend structure the atomic factors fi are diﬀerent and we should come to more understanding what do they mean. The prescription is as follows. 15 (1. the diamond lattice has some spots missing in comparison with the fcc lattice. (RL) and then an incident vector k.1.13. In this case one has instead of (1.
which can rotate with a high precision. In the Ewald picture it means the rotating of reciprocal basis vectors. . So. GN . So one can determine the structure of an unknown crystal. .14: The powder method.. 1. Double Crystal Diﬀraction This is a very powerful method which uses one very highquality crystal to produce a beam acting upon the specimen (see Fig.16 The Laue Method CHAPTER 1. The Rotating Crystal Method The crystal is placed in a holder. sin φN N = G1 : G2 . This method is mainly used to determine the orientation of a single crystal with a known structure. 1. The Xray source is ﬁxed and monochromatic. The sample is ﬁxed and the pattern is recorded on a ﬁlm strip (see Fig. Figure 1. ∆k = 2k sin(φ/2) = G. So one can determine the ratios sin φ1 2 : sin φ2 2 . The Powder or DebyeScherrer Method This method is very useful for powders or microcrystallites. Those ratios could be calculated for a given structure. As long as the Xray wave vector is not too small one can ﬁnd the intersection with the Ewald sphere at some angles. a broad Xray spectrum (from λ0 to λ1 is used). it is possible to ﬁnd diﬀraction peaks according to the Ewald picture. . ..15). GEOMETRY OF LATTICES . Both the positions of the crystal and the detector are ﬁxed. At some angle the Bragg conditions are met and the diﬀraction takes place.14) According to the Laue condition. .
study epitaxial layer which are grown on the substrate. In the experiments.15: The doublecrystal diﬀractometer. while the third is 1 (∆k u)2 = (∆k)2 u2 3 (the factor 1/3 comes from geometric average). This method allows. 2 (∆k)2 u2 6 . in particular.1. XRAY DIFFRACTION IN PERIODIC STRUCTURES 17 Figure 1. the narrow diﬀraction peaks are observed. When the Bragg angles for two crystals are the same. the position of an atom is determined as ρ(t) = ρ0 + u(t) where u(t) is the timedependent displacement due to vibrations. . . Nevertheless there is exact theorem exp(iϕ) = exp − (ϕ)2 /2 for any Gaussian ﬂuctuations with ϕ = 0. Temperature Dependent Eﬀects Now we discuss the role of thermal vibration of the atoms. . So. We have used the expression 1 − x = exp(−x) which in general is not true. we get an extra phase shift ∆k u(t) of the scattered wave. exp(−∆k u) = 1 − i ∆k u − The second item is equal to zero. In fact. Finally. Since u(t) is small. the average over vibrations is observed (the typical vibration frequency is 101 2 s−1 ).3. with some amount of cheating 1 we get exp(−∆k u) ≈ exp − 1 1 (∆k u)2 + .
E = 3 ω/4.32) E = mω 2 u2 /2 = 3kB T /2. Isc = I0 e−G 2 u2 /3 (1. 2mω In this case G2 Isc = I0R exp − (1. 1.31) 2mω where I0R is the intensity for a rigid classical lattice. 6 are available. mω 2 (1. 2. For T = O. We have mentioned that primitive vectors are not unique.997.. Show that this equality is suﬃcient.. ω = 2π · 1014 s−1 .2 3kB T u2 = mω 2 where ω is the lattice vibrations frequency (1013 –1014 s−1 ). . Thus. G = 109 cm−1 . Derive the expressions (1. Show that only n = 1. even at zero temperature there are zeropoint vibrations with3 3 u2 = .3. and we get CHAPTER 1.4 Problems 1.4. It means that vibrations do not destroy the diﬀraction pattern which can be studied even at high enough temperatures. ˆ the suﬃcient condition for the matrix β is det(βik ) = ±1. 1. From the pure classical considerations. 1.29) where I0 is the intensity from the perfect lattice with points ρ0 . New vectors can be deﬁned as ai = k βik ak . Isc = I0 exp − kB T G2 . in particular.18 Again ∆k = G.2.1.10) for reciprocal lattice vectors. Show that (a1 [a2 a3 ]) = (a3 [ a1 a2 ]) = (a2 [a3 a1 ]). GEOMETRY OF LATTICES . neutron diﬀraction. 3. At the present time. many powerful diﬀraction methods are used. For lowdimensional structures the method of reﬂection high energy electron diﬀraction (RHEED) is extensively used. 1.30) According to quantum mechanics. m = 10−22 g the exponential factor is 0. 2 3 (1.
PROBLEMS 19 1.1. Find the reciprocal lattice vectors for fcc lattice.5.4. Find the width of the scattering peak at the half intensity due to ﬁnite size of the chain with N . 1.6.
.20 CHAPTER 1. GEOMETRY OF LATTICES .. .
the heavy atoms being considered as ﬁxed. Consequently. Although usually the bonding mechanisms are mixed. 2. e. There are several reasons for atom attraction. the total energy appears dependent on the atomic conﬁguration as on external parameters. in [1. They can be due both to Coulomb repulsive forces between the ions with the same sign of the charge and to repulsive forces caused by interpenetrating of electron shells at low distances.Chapter 2 Lattice Vibrations: Phonons In this Chapter we consider the dynamic properties of crystal lattice. at intermediate distances the repulsive potential is usually expressed as ∆V (R) = A/R12 . and we discuss only main physical principles. that penetration leads to the increase of kinetic energy due to Pauli principle – the kinetic energy of Fermi gas increases with its density. 2]. All the procedure looks very complicated.1 Interactions Between Atoms in Solids The reasons to form a crystal from free atoms are manifold. One can ﬁnd detailed theory in many books. Let us start with the discussion of the nature of repulsive forces.g.1) . Indeed. 4 types of bonds are speciﬁed: 21 (2. namely lattice vibrations and their consequences. The quantum mechanical treatment leads to the law V ∝ exp(−R/a) for the repulsive forces at large distances. the main principle being • Keep the charges of the same sign apart • Keep electrons close to ions • Keep electron kinetic energy low by quantum mechanical spreading of electrons To analyze the interaction forces one should develop a full quantum mechanical treatment of the electron motion in the atom (ion) ﬁelds. .
e∗ is the eﬀective charge. So the total energy is e2 U = L zλe−R/ρ − α ∗ R where z is the number of nearest neighbors while α= i.j ± pij is the socalled Madelung constant. This bonding appears at small distances of the order of atomic length 10−8 cm. For a linear chain α=2 1− 1 1 + − ··· 2 3 == 2 ln(1 + x)x=1 = 2 ln 2. and ii) because they are . it is just the same as bonding in the H2 molecule where the atoms share the two electron with antiparallel spins. LATTICE VIBRATIONS: PHONONS Ionic (or electrostatic) bonding. The physical reason is near complete transfer of the electron from the anion to the cation.638 (zincblend crystals). To make very rough estimates we can express the interaction energy as Vij = λe−R/ρ − e2 ± R∗ ij e2 ∗ R for nearest neighbors. 1. The physical reason is the polarization of electron shells of the atoms and resulting dipoledipole interaction which behaves as ∆V (R) = −B/R6 . Covalent (or homopolar) bonding. For most of semiconductor compounds the bonding is mixed – it is partly ionic and partly covalent.2) with Rij = Rpij where pij represent distances for the lattice sites. (2. It is important for the alkali crystals NaCl. Because the ions at the ﬁrst coordination group have opposite sign in comparison with the central one the resulting Coulomb interaction is an attraction. Typical values of α for 3D lattices are: 1. KI. CsCl. One can consider the interaction as the Coulomb one for point charges at the lattice sites.748 (NaCl). At large distances universal attraction forces appear . Van der Waal’s (or dispersive) bonding. The nature of this bonding is pure quantum mechanical.van der Waal’s ones. etc. otherwise (2. The table of the ionicity numbers (eﬀective charge) is given below Covalent bonding depends both on atomic orbital and on the distance – it exponentially decreases with the distance.3) The two names are due i) to the fact that these forces has the same nature as the forces in real gases which determine their diﬀerence with the ideal ones. consequently they are directed.22 CHAPTER 2. The covalent bonding is dependent on the electron orbitals.
Xe. bcc.0 0.18 0.46 0.2 Lattice Vibrations For small displacement on an atom from its equilibrium position one can expand the potential energy near its minimal value (see Fig. determined by the same parameters as light dispersion. as we will see later.42 0.1.32 0. 2.70 0. 2. molecular crystals). Metals usually form closed packed fcc.4) the equilibrium point where dV /dR = 0 being R0 = 1. the general form of the binding energy is like shown in Fig. This bonding is typical for inert gas crystals (Ar. The bonding energy is determined by a balance between the negative energy of Coulomb interaction of electrons and positive ions (this energy is proportional to e2 /a) and positive kinetic energy of electron Fermi gas (which is.36 23 Table 2.1: Ionicity numbers for semiconductor crystals. Cr. In such crystals the interaction potential is described by the LennardJones formula V (R) = 4 σ R 12 − σ R 6 (2. irrespective to the nature of the bonding.31 0. or hcp structures where electrons are shared by all the atoms.1) V (R) = V (R) + 1 + 6 d3 V dR3 dV dR (R − R0 ) + R0 1 2 d2 V dR2 (R − R0 )2 + + R0 (R − R0 )3 + · · · R0 (2. ∝ n2/3 ∝ 1/a2 ).2.2. Metallic bonding.0 0.62 0. 2. The most important thing for us is that.09σ.5) . LATTICE VIBRATIONS Crystal Si SiC Ge ZnSe ZnS CdSe InP InAs InSb GaAs GaSb Ionicity 0.63 0.
24 CHAPTER 2. 2.2: Vibrations of a linear oneatomic chain (displacements). F =− (2. LATTICE VIBRATIONS: PHONONS Figure 2. If we expand the energy near the equilibrium point and denote d2 V dR2 ≡ C > 0.6) OneAtomic Linear Chain Dispersion relation We start with the simplest case of oneatomic linear chain with nearest neighbor interaction (see Fig.2) If one expands the energy near the equilibrium point for the nth atom and Figure 2.1: General form of binding energy. . R0 d3 V dR3 ≡ −2γ > 0 R0 we get the following expression for the restoring force for a given displacement x ≡ R − R0 dV = −Cx + γx2 dx The force under the limit F = −Cx is called quasi elastic.
The usual way to overcome the problem is to take into account that actual . Another important feature is that if we replace the wave number q as 2πg q→q =q+ . ωm = 2 2 m The expression (2.8) It is just a plane wave but for the discrete coordinate na. (2. 2. (2. Note that there is the maximal frequency ωm that corresponds to the minimal wave length Figure 2.7) To solve this inﬁnite set of equations let us take into account that the equation does not change if we shift the system as a whole by the quantity a times an integer. It diﬀers from the dispersion relation for an homogeneous string.3.9) is called the dispersion law.1) C qa . the solution (2.2.3: Vibrations of a linear oneatomic chain (spectrum).6) he comes to the Newton equation m¨n + C(2un − un−1 − un+1 ) = 0.8) does not change (because exp(2πi × integer) = 1). u 25 (2. We can fulﬁll this condition automatically by searching the solution as un = Aei(qan−ωt) . a where g is an integer.9) ω = ωm  sin .10) a a to represent the dispersion law in the whole qspace. The maximal frequency is a typical feature of discrete systems vibrations. LATTICE VIBRATIONS use quasi elastic approximation (2. Now we should recall that any crystal is ﬁnite and the translation symmetry we have used fails. Immediately we get (see Problem 2. it is impossible to discriminate between q and q and it is natural to choose the region π π − ≤q≤ (2. λmin = 2π/qmax = 2a. Consequently.2. ω = sq. This law is shown in Fig.
for a linear chain. One easily obtains (see Problem 2.11) into the solution (2. π/a). the wave number q takes L discrete values in the interval (−π/a. q= 2π g . Violation of this assumption leads to the speciﬁc interface modes. (2. substituting the condition (2.4. It is plotted in Fig. So. with diﬀerent q in the frequency interval ω. a L − L L <g< 2 2 (2.2) dz 2L 1 = . (2.12) (it is convenient to consider L as a large even number). Note that for small structures of modern electronics this assumption need revision. ω + dω. Note that this interval is just the same as the WignerSeitz cell of the onedimensional reciprocal lattice.8) we get exp(±iqaL) = 1.11) This condition make a sort of ring of a very big radius that physically does not diﬀer from the long chain. z. Indeed. we get that the wave number q should be discrete. 1 . qaL = 2πg with an integer g. LATTICE VIBRATIONS: PHONONS number L of sites is large and to introduce Bornvon Karmann cyclic boundary conditions un±L = nn .1 Immediately. Density of States Because of the discrete character of the vibration states one can calculate the number of states. We shall see Figure 2. Consequently. that DOS is strongly dependent on the dimensionality of the structure.13) 2 − ω2 dω π ωm This function is called the density of states (DOS). 2.26 CHAPTER 2.4: Density of states for a linear oneatomic chain.
LATTICE VIBRATIONS Phase and Group Velocity 27 Now we discuss the properties of long wave vibrations. ¨ (2. ¨ m2 vn = −C1 (vn − un ) − C2 (vn − un−1 ) . Diatomic Chain. e. where C (2.5: Linear diatomic chain. At small q we get from Eq. Let us consider the chain shown in Fig.16) At the boundaries of the interval we get sp = (2/π)s while sg = 0 (boundary modes cannot transfer energy). i. q aq/2 dω = = s cos(aq/2) .2.17) . 2.15) m is the sound velocity in a homogeneous elastic medium. If we assume the Figure 2.14) (2. We use this case to discuss vibrations of compound lattices.2. the sound velocity becomes qdependent. there is the dispersion of the waves. Acoustic and Optical branches. We have s=a sp = sg ω sin(aq/2) =s . One can discriminate between the phase (sp ) and group (sg ) velocities. (2.2 we come to the following equations of motion: m1 un = −C1 (un − vn ) − C2 (un − vn−1 ) . The ﬁrst is responsible for the propagation of the equal phase planes while the last one describes the energy transfer. elastic constants to be C1. dq (2. In a general case.5 One can see that the elementary cell contains 2 atoms.9) ω = sq .
We get 2 ω1. We see a very important diﬀerence with the case of monoatomic chain: there are 2 branches ω1. vn = Av ei(qan−ωt) . The frequencies ω1. (2.6: Optical and acoustic vibration branches. To formulate these equations it is convenient to express these equations in a matrix form introducing the vector A ≡ Au Av and the socalled dynamic matrix ˆ D= C1 +C2 m1 iaq 2 − C1 +C2 e m − C1 +C21e m −iaq C1 +C2 m1 (2.20) (2. m1 m2 γ 2 = 16 C1 C2 (C1 + C2 )2 . 1 ˆ This is just the equation which determines the eigenfrequencies.2 = 2 ω0 1 2 (2. 2. LATTICE VIBRATIONS: PHONONS It is natural to use once more the translation symmetry condition and search the solution as un = Au ei(qan−ωt) .2 for a given value of q.21) 1 − γ 2 sin2 aq 2 m1 m2 (m1 + m2 )2 (2.6 The lower branch Figure 2. is called the acoustic branch while the upper one is called the optical branch. 0 This is homogeneous equation.28 CHAPTER 2. The branches are shown in Fig. To understand . it has a solution only if det (ω 2 ˆ − D) = 0 . (2.2 are real because γ ≤ 1.17) we get the set of equations for the constants Ai .19) The equation for A has the form (see matrix notations in Appendix B) ˆ ω 2 A − DA = ˆ .22) where ω2 = (C1 + C2 )(m1 + m2 ) .18) After substitution to Eqs.
25) next to synchronously.20) we get Pac.23) ωopt (0) = ω0 . Fig. the dispersion equation (2.7: Degenerate case.2. Contrary. like in the optical mode. ωac (π/a) = ω √0 2 ω √0 2 1− 1+ 1 − γ2 . From Figure 2. Consequently.opt (2. What happens in the degenerate case when C1 = C2 . the mode is optical active. 2. We get ωac (0) = 0 . LATTICE VIBRATIONS 29 the physical reason for these names let us consider the limits of zero and maximal q. 2 vn ac.24) At very long waves (q → 0) we get (Problem 2.2. we see that in the acoustic mode all the atoms move an acoustic wave in homogeneous medium.opt Av (C1 + C2 ) − m1 ωac. In an ionic crystal such a dipole moment. (2.7 Now we can discuss the structure of vibrations in both modes. m1 = m2 ? This situation is illustrated in Fig. Vibration modes of 3D lattices Now we are prepared to describe the general case of 3D lattice.3) Pac = 1 . 1 − γ2 . 2. Popt = − m2 m1 (2.opt = Au C1 + C2 e−iqa un = = . Assume an elementary cell with s diﬀerent atoms having masses mk .8. ωopt (π/a) = So. the gravity vibration produce alternating The situation is illustrated in So. we have the inequality chain ωopt (0) = ω0 > ωopt (π/a) > ωac (π/a) > ωac (0) = 0 . We also introduce the main region of the crystal . in center remains unperturbed.
(2.27) (Greek letters mean Cartesian projections).27) because the energy should not change if one shifts the crystal as a whole. etc.26) Here Rk determines the atom’s position within the cell. The coeﬃcients are dependent only on the diﬀerences n − n . we introduce displacements uk . (2.30 CHAPTER 2. nn kk Φαβγ kk k nn n = 0. Φαβ kk nn = Φαβ kk n−n . the volume being V = L3 V0 while the number of sites N = L3 . Similarly.29) 3.28) 2.30) . The coeﬃcient do not change if one changes the order of columns in their arguments Φαβ kk nn = Φαβ kk nn . So. Φαβ nk kk nn = 0. The displacementinduced change of the potential energy Φ of the crystal is a n function of all the displacements with a minimum at uk = 0. There are important relations between the coeﬃcients Φ in Eq. n − n . The position of each atom is Rk = an + Rk . LATTICE VIBRATIONS: PHONONS Figure 2. (2. The sums of the coeﬃcients over all the subscripts vanish. we can expand it as n Φ= 1 2 Φαβ all kk nn u k α uk β + n n 1 6 Φαβγ all kk k nn n uk α uk β uk n n n γ (2. (2. 1. n (2. as a body restricted by the rims Lai .8: Transverse optical and acoustic waves.
its eigenvalues are real (see Appendix B). ˆ The general way is as follows. Finally. the matrix D is Hermitian. ˜n mk α (2. we search the solution as (it is more convenient to use symmetric form) 1 uk α = √ Ak (q)ei(qan −ωt) . Let us discuss general properties of this equation.33) that coincides with the deﬁnition of the ﬁrst Brillouin zone (or the WignerSeitz cell). LATTICE VIBRATIONS Now we can formulate the Newton equations m k uk α = ¨n nkβ 31 Φαβ kk nn uk β n (2. .31) As in 1D case. One can show form its deﬁnition that in general case ˆ ˆ D(−q) = D(q) That means important properties of solutions: ωj (−q) = ωj (q) . e. Just as in 1D case. (2. One should determine 3s eigenvalues of the matrix D for a given q to get the values of ωj (q). we come to the equation (2.20) to ﬁnd corresponding complex amplitudes Ak (q) which are proportional to the eigenvectors jα ˆ of the dynamic matrix D. (2. One can show that they are also positive using the request of the potential energy to be minimal in the equilibrium.2.5) that kk kk Dαβ = Dβα ∗ . the dispersion equation has the form (2.37) These properties are in fact the consequences of the time reversibility of the mechanical problem we discuss. The wave vector q is deﬁned with the accuracy of an arbitrary reciprocal vector G. Now we come exactly to the same procedure as was described in the previous α subsection. we can consider it in a restricted region −π < qai < π (2. Ak (−q) = Ak (q) jα jα ∗ ∗ . In fact. Consequently.36) .34) This matrix equation is in fact the same is the set of 3s equations for 3s complex unknowns Ak . (2.2. (2. One can show (see Problem 2.32) Here we introduce wave vector q.21).35) ˆ i. the qspace is the same as the reciprocal lattice one.20) with kk Dαβ (q) = √ n 1 Φαβ mk mk kk nn eiq(an −an ) (2. These values have to be substituted into Eq.
In the end of this subsection. . If we put the real displacement √ Ak / mk to be kindependent and use the property (2. It is ˆ clear.30) we readily get ωj (0) = 0 for all jβ the 3 components α = 1. one can construct a set of isofrequency curves ωj (q) =const which are periodic in qspace the period being the reciprocal lattice vector G. Continual Approximation for Lattice Vibrations To elucidate the diﬀerence between acoustic and optical vibrations we discuss here the long wave limit in continual approximation. To describe their behavior we should write down the dynamic equation for real displacements for q = 0 as 1 Ak (0) kk α = Φαβ Ak (0) (2.30) Φαβ nk kk nn =0 we get m k uk α = 0 .39) i. A typical vibration spectrum is shown in Fig.32 CHAPTER 2. The symmetry of those curves are determined by the lattice symmetry. the center of gravity for optical modes remains constant. 2.38) ω 2 (0)mk √ √ β nn mk mk k βn and then sum over k (over the atoms in the primitive cell). there are 3 acoustic branches and 3s3 optical ones. n k (2.9: Typical vibration spectrum in 3D case.9 Figure 2. we analyze the long wave properties of 3D lattice. that at q = 0 the component of Dmatrix are real. 3. e. So. Using the property (2. LATTICE VIBRATIONS: PHONONS Finally. 2.
It is known that ϑ = div u(r. t) 1 is the relative volume change while ϕ = 2 curl u is the rotation angle. 2 ≡ div grad . Denoting the corresponding displacements as u± and the force constant as κ we get the following equations of motion d2 u+ = −κ(u+ − u− ) + e∗ Ee . (2. div curl k(r) = 0 . We have ω = qs = s qx + qy + qz for each branch. we see that the compression ϑ wave is longitudinal while the ϕ rotation wave is transversal. Taking into account that curl grad ψ(r) = 0.42) 2 2Υ + Λ . We get ϑ = A sin(ωt) sin(qx x) sin(qy y) sin(qz z) for each mode with π 2 2 2 qi = ni L .t 2 ϑ.2. (2.46) . We can also calculate the number of the vibrations if we restrict ourselves with a cube with the rim L and put zero boundary conditions. These wave are the analogs of 3 acoustic modes in a crystal.41) (2.43) 4πR2 dR V = 2 8 2π 1 2 + 3 s3 st l ω 2 dω . one can write equations of motion as ρ ∂2u = (Υ + Λ)grad divu + Υ ∂t2 2 33 u (2.44) 2 So. ϕ. dt2 d2 u− M− 2 = −κ(u− − u+ ) − e∗ Ee dt M+ (2. ρ (2. (2. ϕ: ∂2ϑ = s2 l ∂t2 ∂2ϕ = s2 t ∂t2 where sl = If u = A exp(iqr − iωt) we get ϑ = div u = iqu .40) where ρ is the mass density while Υ. Λ are elastic constants. we can obtain the equations for the quantities ϑ. ρ st = Υ . LATTICE VIBRATIONS Acoustic vibrations According to the theory of elasticity.2. R + dR where R = i ni is g(ω) dω = l. Consequently. the number 2 of vibrations in the region R. 1 ϕ = [qu] .45) Optical vibrations Consider a ionic crystal with 2 ions in a primitive cell with eﬀective charges ±e∗ .
48) The coeﬃcients γik can be expressed through dielectric parameters of the crystal (see derivation below) 2 γ11 = ω0 .50) Mr 9Mr While 0(∞) are. (2. Combining Eqs. (E + 4πP) = 0 . by the contribution of the polarization. E.51) we get E=− ω0 ∞ 4π( 0 − ∞ )wl . In this way.34 CHAPTER 2. 4π (2.51) This is the ﬁnal set of equation we should analyze. It the absence of free charges div D = 0 → div E = −4πdiv P . static and highfrequency dielectric constants. Using (2.49) κ 4πN0 e∗2 ( ∞ + 2) − . let us introduce reduced mass 1 1 1 = + Mr M+ M− and relative displacement s = u+ − u− . 2 dt 4π 0− ∞ ∞−1 w+ E. P = ω0 4π 4π (2. dt2 (2. we come to the set of equations 2 ω0 = Here d2 w 0− ∞ 2 = −ω0 w + ω0 E. γ12 = ω0 0 − 4π ∞ . P. LATTICE VIBRATIONS: PHONONS where Ee is the eﬀective electric ﬁeld acting from the external sources and from other ions.47) Now one should express the eﬀective ﬁeld Ee through s to make all the set of equations complete. Finally. The eﬀective ﬁeld diﬀers from average ﬁeld. γ22 = ∞ −1 . (2. we get the following set of equations for the normalized √ displacement w = N0 Mr s ¨ w + γ11 w − γ12 E = 0 γ12 w + γ22 E − P = 0 . .46) we obtain Mr d2 s = −κs + e∗ Ee . To do it we split the displacement w into the potential wl (curl wl = 0) and solenoidal wt (div wt = 0) parts. (2. Then. respectively.
LATTICE VIBRATIONS 35 Substituting this relation into the equations (2.2. We get P= −1 E. (2. 2. The diﬀerence between the frequencies of polar and nonpolar modes depends on the crystal ionicity and allows one to estimate the latter. We see that the two types of optical vibrations diﬀer because of the longrange electric forces which are produced only by longitudinal modes.56) Actually. Combining (2.10 taken from the book [4].55) This function is dependent on the vibration frequency ω.54) and introduce the dielectric function according to the electrostatic equation for the displacement vector D = E + 4πP = E .52) Consequently.56) we get α= −1 . we come to the picture of longitudinal and transversal optical modes with ωl = ωt 0 ∞ (2. dt2 d2 wl 2 0 = −ω0 wl . Derivation of the constants γik In a cubic crystal. they are called polar.54).53) (the LyddaneSaxTeller relation).c. (2. (2. where polarizability is a scalar.57) Then we can substitute it once more in Eq. 4π (2. 2 dt ∞ (2. is frequency dependent and at high frequencies ions cannot react on the a. electric ﬁeld.51) and separating potential and solenoidal parts we get d2 wt 2 = −ω0 wt .2. Let us denote this limit as ∞ and put for this limit s = 0 in Eq. (4πN0 /3)( ∞ + 2) ∞ (2. we have P = N0 e∗ s + αE 1 − (4N0 π/3)α (2.54) and get P = N0 e∗ ( ∞ + 2) 3 s+ ∞ −1 E. Consequently.58) . 4π (2. The ion motion in the transversal and longitudinal modes is shown in Fig.54) for s = 0 with (2.
36 CHAPTER 2. P = Mr 3 4π (2. (2. so ﬁnally we come to the set of equations 2 ω0 = d2 w N0 ∗ ∞ + 2 2 = −ω0 w + e E. 2 dt Mr 3 N0 ∗ ∞ + 2 ∞−1 e w+ E.61) . Making use of this equation we get Mr where d2 s e∗ ( ∞ + 2) 2 = −Mr ω0 s + E dt2 4π (2. LATTICE VIBRATIONS: PHONONS Figure 2.60) Mr 9Mr √ Usually the normalized displacement w = N0 Mr s is introduced.10: Optical modes of vibration of a ion crystal.59) κ 4πN0 e∗2 ( ∞ + 2) − .
0. .59): 0 0 37 from the request of van − ∞ = N0 ∗2 4π( ∞ + 2)2 e . = 0. (2.2.62) Thus we arrive to the set of equations to be analyzed.67) 2 We use the socalled Gaussian system of units.64) 4π 4π We are interested in the transversal modes. We have2 [ [ × B] = × E] = = = = = ∂E ∂P + 4π ∂t ∂t 1 ∂B − . to get eigenfrequencies one should request ω/c 4πω/c −q 0 q 0 −ω/c 0 2 γ12 0 0 ω − γ11 γ22 −1 0 γ12 det = 0. To take this interaction into account one should add the Maxwell equations to the complete set of equations for the vibrations. (2. (2. ( · B) · (E + 4πP) ¨ w + γ11 w − γ12 E P Here B is magnetic induction. 2 Mr 9ω0 (2. q z. (2. = 0. LATTICE VIBRATIONS It is reasonable to introduce the static dielectric constant ishing of the righthand side of Eq. (2.2. c ∂t 0. γ22 = . 1 c .63) − ∞ ∞−1 .66) Consequently. = 0. B y. (2. 0. Optical Vibration–Light Interaction It is clear that optical vibrations in ionic compounds should interact with electromagnetic waves. γ12 w + γ22 E . so we search solutions proportional to exp(iqr − iωt) with E P w x. γ12 = ω0 0 The equations for the complex amplitudes are (Check!) iω 4πiω E − iqB + P c c iω iqE − B c γ12 E + (ω 2 − γ11 )w γ22 E − P + γ12 w = 0.65) 2 γ11 = ω0 .
The broken lines – spectra without interaction. kk 2 Dαβ (q)ejk β (q) = ωj (q)ejkα (q) . 2. According to the deﬁnition of eigenvectors.3 Quantum Mechanics of Atomic Vibrations Normal CoOrdinates for Lattice Vibrations Now we formulate the dynamic equations in a universal form to prepare them to quantum mechanical description. kβ . One can easily understand that longitudinal model do not couple to the light. (2. ˆ Let us introduce the eigenvectors ejk (q) of the dynamical matrix D which correspond 2 to the eigenvalues ωj (q). It is important that there is no possibility for the light Figure 2. LATTICE VIBRATIONS: PHONONS After the substitution of all the values of γik we get ω4 ∞ 2 2 − ω 2 (ωt + c2 q 2 ) + ωt c2 q 2 = 0 .68) This equation is quadratic in ω 2 the roots being ω1.2 = 1 2 ∞ 2 (ωt 0 + c2 q 2 ) ± 1 (ω 2 42 t 0 0 2 + c2 q 2 )2 − ωt q 2 c2 ∞ . The coupled TOvibrationphoton modes are often called the polaritons. 2. with the frequencies between ωt and ωl to penetrate the crystal. (2.11.69) This spectrum is shown in Fig.38 CHAPTER 2. it is completely reﬂected.11: Coupled TOphoton modes.
It is convenient to come to the socalled real normal coordinates to apply all the laws of mechanics.77) .71) The general displacements may diﬀer from eigenvectors only by normalization. t)2 + ωj (q) aj (q. ˙ qj 1 2 2 ωj (q) aj (q. ˙n 2 nkα (2. After some calculations (see Problem 2. t)2 . One can prove that a(−q) = a∗ (q) (otherwise we cannot obtain real displacements). the eigenvectors are orthogonal and normalized. Usually. ˙ qj (2.72) The amplitudes aj (q. ejkα (q) = e∗ (−q) . Let us introduce real coordinates ˙ Qj (q) and real canonic momentum Pj (q) ≡ Qj (q) with the help of the transform aj (q) = 1 Qj (q) + Q∗ (−q) + j 2 i ˙ ˙j + Qj (q) − Q∗ (−q) . qj (2.7) we get Φ= the total energy being E= 1 2 2 aj (q.70) j jk αk j Also. Now we calculate the kinetic energy of vibrations: T = 1 mk (uk α )2 . t)eiqan . QUANTUM MECHANICS OF ATOMIC VIBRATIONS 39 According to the properties of Hermitian matrices. The quantities aj (q. (2. qj (2.73) It is easy to show (see Problem 2. t) are called the normal coordinates (or normal modes). jkα (2. it is done with the help of the socalled Pierls transform.76) We see that the total energy is the sum of the energies of independent oscillators. The total number of the amplitudes is 3sN (3s values for the mode’s number j and N for the discrete q number). Consequently. ejkα e∗ kα = δjj ejkα e∗ β = δkk δαβ . t)2 . 2ωj (q) (2.3. it is convenient to expand the displacements in terms of the eigenvectors as uk α (t) = √ n 1 N mk ejkα (q)aj (q.75) (2.6 ) that it is equal to T = 1 2 aj (q.74) Now we come to the potential energy. t) are called the complex normal coordinates. t)2 .2.
j qj (2.84) It is a sum of the Schr¨dinger equations for independent oscillators with the mass equal o to 1. 2 2 (2. LATTICE VIBRATIONS: PHONONS We observe that the condition aj (q) = a∗ (−q) is automatically met.79) Now we can use the general principles of mechanics and introduce canonic momenta as Pj (q) = ∂E ˙ = Qj (q) . (2.83) − ∂2 1 2 − ωj (q)Q2 (q) j 2 2 ∂Qj (q) 2 2 . ˙ ∂ Qj (2.80) Finally. 2 ∂Q2 2 2 (2.81) As a result. i ∂Qj (q) (2. we can write down the classical Hamilton function of the system as H(Q. Making use of the j equality ωj (−q = ωj (q) one can easily show that the coordinates Qj obey the equation 2 ¨ Qj (±q) = −ωj (q)Qj (±q) .78) After very simple calculations (see Problem 2. P ) = E = qj Pj2 (q) Q2 (q) j 2 + ωj (q) . let us start with oneoscillator equation for the wave function ψ − ∂2ψ 1 2 2 + ω Q ψ = εψ .40 CHAPTER 2. Q) = qj ∂ .82) Quantization of Atomic Vibrations: Phonons The quantum mechanical prescription to obtain the Hamiltonian from the classical Hamilton function is to replace classical momenta by the operators: ˙ ˆ Qj (q) = Pj (q) → Pj (q) = Consequently we come to the Schr¨dinger equation o ˆ ˆ H(P . So. It is known that in such a case the total wave function is the product of the oneoscillator functions. (2. (2.85) . coordinate Qj (q) and eigenfrequency ωj (q). At the end of this section we express the displacement in terms of the canonic variables (later we will need this expression) uk α = √ n 1 N mk Re ejαk (q) Qj (q) + qj i Pj (q) eiqan ωj (q) .8) we get E= 1 2 2 ˙j Q2 (q) + ωj (q)Q2 (q) . we have expressed the classical Hamiltonian as the one for the set of independent oscillators.
(2. QUANTUM MECHANICS OF ATOMIC VIBRATIONS Its solution is ψ = ψN (Q) = 1 ω 1/4 2 √ e−ωQ /2 HN π 2N N ! ε = εN = ω(N + 1/2) . (2.90) . They are introduced as b = b† = One can show directly that √ bψN = N ψN −1 .2.89) (2. ˆ N QN √ √N . To describe quasiparticles it is convenient to introduce operators which act directly upon the occupation numbers Njq . if N = N − 1 . ω √ = i × N +1 2 0. HN (ξ) is the Hermit polynom which is dependent on the dimensionless coordinate ξ = Q ω/ .88) ˆ N P N The equations introduced above describe the quantum mechanical approach to the lattice vibrations. According to the table of integrals. otherwise . ω 1/2 41 Q . Because it is impossible to discriminate between the modes with given jq the numbers Njq completely describe the system. 1/2 1/2 ˆ P. ω 2 ω 2 1/2 ˆ Q+i ˆ Q−i 1 2 ω 1 2 ω 1/2 ˆ P. In the following we employ this system to introduce a very general and widely used concept of secondary quantization. √ † b ψN = N + 1ψN +1 . √ − N. otherwise . if N = N − 1 . Second Quantization In the Qrepresentation. if N = N + 1 .86) Here N is the oscillator’s quantum number.87) ˆ In the following we will need the matrix elements of the operators Q and P deﬁned as ∞ ˆ αAβ ≡ −∞ ∗ ˆ dQψα (Q)Aψβ (Q) . = × N +1 2ω 0. if N = N + 1 . (2. (2.3. the total wave function is the symmetrized product of the oscillator wave functions with quantum numbers Njq .
N +1 . N b† N = N + 1δN . j j j 2 j. The higher approximation lead to an interaction between the introduced quasiparticles.94) Applying the product b† b to the wave function ψN we get b† bψN = N ψN . we have obtained the eﬀective Hamiltonian as sum of the independent oscillator Hamiltonians under the harmonic approximation where only quadratic in displacement terms are kept.84).92) (2. the normal vibrations behave as particles with the energy ωj (q) and quasimomentum q. the operators are called creation and annihilation operators. b† ] = 1 (2.42 CHAPTER 2. To be more precise.3 The quasiparticles obeying the commutation relations (2. Consequently. Now we can insert the operators b. b† (q)] = δjj δ qq . they are described by the BoseEinstein statistics. the operator b† (q)bj (q) has eiqnevalues Nj. In particular. (2.91) This relation could be generalized for the case of diﬀerent modes because the modes with diﬀerent jq are independent under harmonic approximation.89) we get bb† − b† b = [b.93) So we come to the picture of independent particles. it is useful to remember matrix elements of the creation and annihilation operators: √ √ N bN = N δN . Inserting in these commutation relations the deﬁnitions (2.q . Let us consider the properties of the creation and annihilation operators in more details.93) are called bosons. P ] = i .q (2. The quasiparticles are called phonons.N −1 . According to quantum mechanics ˆ ˆ ˆ QP − P Q ≡ [Q. the corresponding operators commute and we get [bj (q). It will be shown that the conservation laws for the quasiparticle interaction 3 We will see the reasons later. Consequently.95) Consequently.q ωj (q) bj (q)b† (q) + b† (q)bj (q) = ωj (q) b† (q)bj (q) + 1/2 . . The part quasi is very important for some reasons which we will discuss in detail later. j (2. b† into the Hamiltonian (2. (2. j Finally.96) As will be demonstrated in the following. LATTICE VIBRATIONS: PHONONS We see that the operator b† increases the occupation number by one while the operator b decreases this number also by one. they are called quasiparticles. After very simple algebra (Check!) we get H= j.
Mn = 1. Using deﬁnitions of the operators bq and b† and Eq.67 · 10−24 g are incident upon the crystal. neutron with the energy E = p2 /2Mn . It is convenient to introduce operators for lattice vibrations. j. = p − q + G. (2.97) 2N mk qj 2. = p + q + G.100) . q(Nj q − Nj q ) + G .82) we obtain q uk α (t) = ˆn ejαk (q) bq eiqan −iωjq t + b† e−iqan +iωjq t . Zero Phonon Scattering If no phonon are emitted or absorbed we have the same conditions as for Xray scattering.98) The processes involving ﬁnite G are called the Umklapp ones.q p −p = − (2. Neutron Scattering In this method. namely i qi is conserved with the accuracy of the arbitrary reciprocal lattice vector G. the Laue condition p − p = G.4 Phonon Dispersion Measurement Techniques Here be describe very brieﬂy the main experimental techniques to investigate phonon spectra.2. √ q ωjq (2. = E + ωj (q) .99) (2.q ωj (q)(Nj q − Nj q ) . (2. One Phonon Scattering We get: • Absorption: E p • Emission: E p = E − ωj (q) . The phonon dispersion is mapped exploiting the momentumenergy conservation law E −E = j.4. PHONON DISPERSION MEASUREMENT 43 diﬀer from the ones for free particles.
2.90). Light Scattering Usually the photons with k ∼ 105 cm−1 are used that corresponds to the photon energy ≈ 1 eV. Prove the expression (2.75) for the potential energy. Derive the expression (2.101) The equations allow one to analyze the phonon spectra. Prove the expression (2. p−p .25). 2. Derive Eq.1. 2.4.9). + corresponds to a phonon absorption (the socalled antiStokes process) while − correspond to an emission (Stokes process).6. It is clear that ωj (q) ω. The corresponding phonon frequency is determined as ∆ω. 2.9. 2. Prove the equation (2.102) where η is the refractive index.5. Prove the relation (2. 2.74). LATTICE VIBRATIONS: PHONONS Making use of the periodicity of the phonon spectra ωj (q) we have • Absorption: p2 p2 = + ωj 2Mn 2Mn • Emission p2 p2 = − ωj 2Mn 2Mn p+p . Prove the relation of the Section 4. Once more one should apply the conservation laws.2. . (2. q=2 c 2 where θ is the scattering angle.7.13).79). Introducing photon wave vector k we get ω ηk = ω ± ωj (q) . The interaction with acoustic phonons is called Brillouin scattering while the interaction with optical modes is called the Raman one.35).8.3. 2. Prove the expression (2. Because this wave vector is much less than the size of the Brillouin zone only central phonons contribute. Problems Derive the dispersion relation (2. k ≈ k  and ωη θ sin .44 CHAPTER 2.5 2. (2. = ηk ± q + G (2. 2. 2. Consequently.
• We will see that the behavior of interacting electrons is very similar to the one of noninteracting particles (i. 45 . • The atomic mass M is much greater than the electron one m. So let us take advantage of this fact and study the general properties of the electron motion. g. So. gas) in an external selfconsistent ﬁeld produced by the lattice ions and other electrons. Extra information can be found in many books. It is very diﬃcult to calculate this ﬁeld but it is clear that it has the same symmetry as the lattice. e. In this way we come to the SE for the manyelectron wave function. 2 − 2 2m i + V (r. for the beginning. it is natural to neglect the atomic kinetic energy. [1.Chapter 3 Electrons in a Lattice. R) . E(R) .1) i where atomic coordinates are considered as external parameters ψ(r. considering atoms as ﬁxed. In this chapter the properties of electron gas will be considered. 3. Electron in a Periodic Field To understand electron properties one should in general case solve the Schr¨dinger equation o (SE) for the whole system of electrons and atoms including their interaction. 2]. Band Structure. There are several very important simpliﬁcations.1 General Discussion. R) ψ = Eψ (3. e.
Because of periodicity. As in the situation with lattice vibrations. The Bloch function (3. The expression (3. (3. a and a .9) is a periodic function.2) The one electron SE − 2 2 ψ(r) + V (r)ψ(r) = εψ(r) (3.5) where ϕ is some real function of the lattice vector.1. Now we can apply the translation symmetry and make consequential displacements.7) (3. the diﬀerence being the presence of the modulation u. (3. we apply cyclic boundary conditions.46 CHAPTER 3. ELECTRONS IN A LATTICE. we can consider only one cell in the reciprocal lattice space. We get C(a)C(a ) = C(a + a ) that means the ϕfunction should be linear ϕ(a) = pa/ .4) According to the normalization condition C2 = 1 one can write C = eiϕ(a) (3. so the vector p is a discrete variable: 2π ni .1 Electron in a Periodic Potential Let us forget about the nature of the potential and take into account only the periodicity condition V (r + a) = V (r) .8) is very similar to the plane wave. The vector p is called quasimomentum because it is deﬁned with the accuracy G. 3. Finally. (3. C = constant . Consequently.8) . if the level ε is nondegenerate we get ψ(r + a) = Cψ(r) . the general form of the electron wave function in a lattice is ψ(r) = eipr/ u(r) where u(r + a) = u(r) (3. (3.6) It is clear that vector p is deﬁned with the accuracy of G where G is the reciprocal lattice vector.8) is known as the Bloch theorem.10) pi = Li (3.3) 2m should also have the solution ψ(r + a) corresponding to the same energy.
this overlap can be considered as perturbation and we start with the potential V (x) = the SE equation being − d2 ψ + 2m dx2 2 U (x − na) .13) . In the following we will specify the region of the reciprocal space in the same way as for lattice vibrations. Let us start with the 1D case and assume that the overlap of the electron shells is very small. Brillouin zones (BZ). the total number of states for a quantum number l is 2N .12) U (x − na)ψ(x) = εψ(x) . The functions εl (p) are periodic in the reciprocal space. after the shift a these functions acquire diﬀerent factors. It means that if ψlp (r. Consequently.2. At the same time. Hence. −t) is also the eigenfunction.2 Tight Binding Approximation To get some simple example we consider the socalled tightbindingapproximation. i (3. (3. the projection to a given axis being ±1/2 that doubles the number of states. TIGHT BINDING APPROXIMATION the number of states being ∆ni = i 47 V (2π )3 ∆pi . namely.11) It means that the density of states is V/(2π )3 . e±ipa/ respectively.3. so they have maximal and minimal values and form bands. It means εl (p) = εl (−p) . 3. Let us consider some other general properties of wave functions. Here we have taken into account that an electron has spin 1/2. n (3. Thus. If one writes down the complex conjugate to the Schr¨dinger equation and then replaces t → −t he gets the o same equation with the Hamiltonian H∗ . t) = exp [−iεl (p)t/ ] ψlp (r) ∗ is an eigenfunction of H the function ψlp (r. But it is known that Hamiltonian is a Hermitian operator and H = H∗ . the energy levels are speciﬁed as εl (p) where p acquires N values where N is the number of primitive cells in the sample. These band can overlap or some energy gaps can exist. We will very often replace the sums over discrete states by the integrals V i →V 2 d3 p ≡V (2π )3 (dp) . If the lattice symmetry is high enough the extrema of the functions εl (p) are either in the center or at the borders of BZ.
(3. The product hn (x) eikan wn (x) at is small because it contains only the items U (x − ma) wn (x) for m = n. ψp (x) = eipx/ up (x) with the eigenvalues ε(p).48 Let the exact wave functions be CHAPTER 3.16) Here we have introduced the electron wave vector k ≡ p/ . As a result we get w(0) = ψ0 (x) where ψ0 (x) is the wave function of a free atom. Consequently ε(0) (p) = ε0 . It is important that the Wannier function wn is large only near the nth ion position (without Bloch modulation it will be δfunction δ(x−na)). One can check (Problem 3. p (3. Moreover.1) that the inverse transform is 1 ψp (x) = √ N eipna/ wn (x) . because of periodicity wn (x) = w0 (x − na) . . and we can neglect it as a zeroth approximation. ELECTRONS IN A LATTICE.14) where N is the total number of atoms in the chain while p belongs to the 1st BZ.2).15) The Wannier functions are orthogonal and normalized (Problem 3. We get − n d2 + U (x − na) eikan wn (x) + 2m dx2 2 hn (x)eikan wn (x) = n = ε(k) n eikan wn (x) .15) into the exact SE and make the auxiliary transform 2 d2 H= − + U (x − na) + hn (x) 2m dx2 n where hn (x) ≡ V (x) − U (x − na) between the exact potential V (x) and the nearest atomic one. We construct the socalled Wannier functions as 1 wn (x) = √ N e−ipna/ ψp (x) . n (3. Now we can substitute the function (3.
17) This is nonuniform linear equation for wn . so h(−n) = h(n).17) has a solution only if the r.23) . ±1. As a result. ±1) . (3.3. I(−n) = I(n). is orthogonal to the solution of the corresponding uniform (0) equation with the same boundary conditions.2. (3. Since the Hamiltonian is Hermitian.3) ε − ε0 = h(0) + 2[h(1) − h(0)I(1)] cos(ka) .18) ε(p) − ε0 = n ikan n I(n)e where h(n) = I(n) = ∗ dx ψ0 (x)hn (x)ψ0 (x − na) .20) The 3D case is more complicated if there are more than 1 atom in a primitive cell. we get (Problem 3.22) where W = [h(1) − h(0)I(1)] is the characteristics of bandwidth. (3. (3.19) The atomic wave function can be chosen as real. First. Eq. In a similar case of fcc lattice one gets (Check!) ε(k) − ε0 = h(0) + 4W [cos(kx a/2) cos(ky a/2) + cos(ky a/2) cos(kz a/2) + + cos(kz a/2) cos(kx a/2)] . atomic levels for higher momenta are degenerate.h. In this case we come to a similar expression ε(p) − ε0 = h(n)eika . atoms’ positions are connected by the symmetry transforms which diﬀer from a simple translation. we get h(n)eikan (3.21) In a bcc lattice taking into account nearest neighbors we get a = (a/2)(±1. TIGHT BINDING APPROXIMATION In the next approximation we put w = w(0) + w(1) and ﬁnd − n 49 d2 2m dx2 2 (1) + U (x − na) − ε0 ] eikan wn (x) = = − n (0) hn (x)eikan wn (x) + (ε(p) − ε0 ) n (1) (0) eikan wn (x) . (3. (3. and ε(k) − ε0 = h(0) + 8W cos(kx a/2) cos(ky a/2) cos(kz a/2) . ∗ dx ψ0 (x)ψ0 (x − na) . This solution is wn . Finally. We discuss here the simplest case with 1 atom per a primitive cell and for sstates of the atoms having spherical symmetry. Second.s. I(n)eka (3. both functions rapidly decrease with increasing n (small overlap!).
27) where V (k. 3.26) Vn e2πinx/a (3. 3.50 In a sc lattice one gets (Problem 3. L the energy being ε(0) (k) = We can expand the periodic potential as V (x) = n 2 2 k = p/ .24) The physical meaning of the results is the spreading of atomic levels into narrow bands (Fig. (3. (3. . The starting approximation is a plane wave (we have in mind periodic boundary conditions) 1 √ eikx . (3.4) CHAPTER 3.1: Spreading of atomic levels into bands The tight binding approximation is useful when the overlap is small (transition and rare earth metals). ε(k) − ε0 = h(0) + 2W [cos(kx a) + cos(ky a) + cos(kz a)] . ELECTRONS IN A LATTICE. k ) = 1 L dx V (x)e−i(k−k )x = Vn δ k − k − 2πn a .25) k /2m .3 The Model of Near Free Electrons Now we come to the opposite limiting case where electrons are almost free. We start from 1D model for a very weak periodic potential.2) E Ec Nfold Eb Nfold Ea Nfold Solid Atomic separation Figure 3. Another application is to produce starting empirical formulas having proper symmetry.
the energy has a drop 2Vn  near the points k = ±πn/a. at k → πn/a the quantity k → −πn/a and denominator tends to zero. This situation is illustrated in Fig. So we come from the left panel to the right one. 2 correspond to the states 1. At the same time. We have once more the picture of bands with gaps in between.3.28) ε(0) (k) − ε(0) (k − 2πn/a) n=0 The perturbation theory is valid if ε(2) ε(1) that cannot be met at small denominators. the perturbation theory being destroyed at ε(0) (k) = ε(0) (k − G) . 3. (3. the gaps being small in comparison with the widths of the allowed bands. We chose the wave function as their superposition. Assume that the functions ψi where i = 1. one has to use the perturbation theory for degenerate states. Substituting this function into SE we get A1 (ε1 − ε)ψ1 + V (A1 ψ1 + A2 ψ2 ) + A2 (ε2 − ε)ψ2 = 0 . which has solutions (ε1 − ε2 )2 ε1 + ε2 ± + Vn 2 . (3. In the 3D case the periodicity of the potential is taken into account by the expansion ε= V (r) = G VG eiGr where G is the reciprocal lattice vector. . ∗ Vn A1 + (ε2 − ε + V0 )A2 = 0 .2 Because the energy spectrum is periodic in kspace.3. Consequently.30) 2 4 The sign is chosen from the request that far from the “dangerous” point ε should be close to ε0 . THE MODEL OF NEAR FREE ELECTRONS 51 The ﬁrst perturbation correction ε(1) = V0 is not important (shift of energy) while the second one is Vn 2 ε(2) (k) = (3. 2. Integrating over x we get (ε1 − ε + V0 )A1 + Vn A2 = 0 . So let us recall the famous problem of quantum mechanics. ∗ ∗ Then we multiply the equation ﬁrst by ψ1 and second by ψ2 .29) As a result. we get a quadratic equation for ε (we include the constant V0 into this quantity): ε2 − (ε1 + ε2 )ε + ε1 ε2 − Vn 2 = 0 . it is convenient to make use of the periodicity of ε in kspace and to subtract from each value of k the reciprocal lattice vector in order to come within BZ. As a result. ψ = A1 ψ1 + A2 ψ2 .
31) It is just the equation for the plane boundary of the BZ.2: Energy spectrum in a weak periodic potential. k= 2 2 2 kx + ky + kz . (3. Near the minimum expanding (3.52 CHAPTER 3. Substituting ε(0) = 2 2 k /2m we get kG = G/2 . To make it as simple as possible we start with the case of a simple cubic crystal in the tight binding limit. So the spectrum is just the same as the one of a particle with the eﬀective mass m∗ (b) n = ∂2ε ∂p2 x −1 2 = b 2W a2 (3.4. E E 2 1 0 1 2 Quasimomentum (in units h/a) 1 0 1 Quasimomentum (in units h/a) Figure 3. From the expression (3.1 Main Properties of Bloch Electrons Eﬀective Mass Let us discuss general properties on electrons in periodic potential. ELECTRONS IN A LATTICE.4 3. 3.33) . Thus the structure of BZ is extremely important for understanding of electron properties.24) for small product ki a 1 we get ε = ε b + W k 2 a2 .24) we see that there is a minimum b in the BZ center k = 0.32) where εb is the energy of the minimum. (3.
(3.2 Wannier Theorem → Eﬀective Mass Approach Now we come to a very important concept of solid state physics which allows one to treat electrons in a periodic ﬁeld like ordinary particles . p n In the general case one can expand the energy as in lth band near an extremum as 1 εl (k) = 2 ∂ 2 ε(k) ∂kα ∂kβ (kα − kα0 )(kβ − kβ0 ) 0 (3. Substituting ki = π/a − ki and expanding (3.37) 0 This 2ndorder tensor can be transformed to its principal axes. which shifts the coordinate by a (Problem 3.3.38) where a are lattice vectors (Check!). in a simple cubic crystal the hole mass.35) that is negative.4. So.36) α.4. How does the operator exp (a ) act upon the Bloch function? One can immediately show that it is just the operator. Now we can analyze the BZ boundary a with ki ≈ π/a.39) . near the band top is the same as the electron mass near its bottom. So we can expand εl (k) = a ca eika (3.to the socalled eﬀective mass approach.5): exp(a )ψl (r) = ψl (r + a) .40) (3. Then we come to the very important formula: εl (−i ) ψl (r) = εl (k) ψl (r) . We know that the energy in a given band is periodic in the kspace that is the same as the reciprocal lattice space. Very often such a quasiparticle is called a hole (see later) and we deﬁne its mass as the electron mass with opposite sign. MAIN PROPERTIES OF BLOCH ELECTRONS 53 (the subscript n indicates that the material is of ntype. (3. 3. we get the expression for the eﬀective mass m∗ (a) = − n 2 2W a2 (3.β and introduce the inverse eﬀective mass tensor (m−1 )αβ = ∂ 2 ε(k) ∂kα ∂kβ (3.34) In a similar way. electronlike).24) in powers of ki a 1 we get ε = εa − W a 2 k 2 . m∗ = m∗ .
Suppose that the electron has the charge −e (we suppose e to be positive). v= ∂ε 1 ∂ε = ∂p ∂k (3.1 Electric current in a Bloch State. v(−k) = −v(k) and one can easily show that v(k) = 0 (3. This relation is called the Wannier theorem. The electric current is jγ = −evγ . ELECTRONS IN A LATTICE. If we return to the situation where quadratic expansion is possible we come to the problem of a particle with (anisotropic) eﬀective mass which can strongly diﬀer from the free electron mass m0 .42) We know that ε(−k) = ε(k). For a free electron one would obtain v = 1 i k p =− γ γ = . Concept of Holes.6). It is important to note that the prescription has essentially singleband character. It is valid only if the spectrum is nondegenerate in the point k.41) (see Problem 3. So we come to the following prescription. m0 m0 m0 It is natural that for a quantum particle the average velocity is just the group velocity of the wave package representing quantum particle.42) by 2 (number of spin projections). Consequently. In and external ﬁeld we get the Newton equation ∂v m∗ = F.43) . we can replace k → −i in the SE (which can also contain external ﬁelds) and analyze the electron’s quantum dynamics. ∂t 3. it needs a very serious generalization if the bands are degenerate (or the gaps are narrow and interband transitions are possible). 3. (3. It is important in many situations in semiconductor crystals and we will come back to this point in the corresponding Section.43) where summation is performed inside the BZ. Taking into account relation (3. As far as we know the spectrum εl (k).54 CHAPTER 3. We see that if the spectrum is determined by quadratic expansion we get the usual expression for a particle with the mass m∗ .5 Electron Velocity Let us calculate quantum mechanical average electron velocity v in a Bloch state γ ≡ lk. To get the total current one should multiply the equation (3.5.
s νp (k. If the band is only ﬁlled partly. It remains valid also in an external electric ﬁeld (if the ﬁeld is small enough and electrons are not transferred to higher bands). One atom per cell and 2 electrons per atom. To get a more deep analogy let us calculate the energy current due to the ﬂux of electrons and holes. s)[−ε(k) + eϕ]v(k) So we see that holes can be considered as particles with the energy −ε(k). 3. Consequently. So we can express the current of a partly full band as the current of holes with the charge +e > 0. s) = 1 − νn (k. mp = −mn > 0 where subscript n characterizes an electron variable. the total current is determined by the diﬀerence of ﬁlled states with k and −k. s)v(k) = e k. CLASSIFICATION OF MATERIALS 55 one can prove that the total current of completely ﬁlled band vanishes. The usual way to treat the quasiparticles near the top of the band where the expansion (3.s [1 − νp (k. Characterizing the energy current in a state k as v[ε(k) − eϕ] where ϕ is the electric potential we get w = k.s [ε(k) − eϕ]v(k) + k. s) which characterizes the probability of empty states. It is a very important statement. s)v(k) (the current of a completely ﬁlled band is zero!). There is one atom per cell. at T = 0 the band is halffull. s) which is equal to 1 if the state with the quasimomentum k and spin s is occupied and 0 otherwise.s νn (k. The current can be expressed as j = −e k. there is a band gap and the next band is empty.3. 2.6 Band Filling and Classiﬁcation of Materials We have discussed the picture of allowed bands and forbidden gaps. s)][ε(k) − eϕ]v(k) = (3.44) = k.34) is valid is to deﬁne the hole energy as εp (k) = εa − εn (k) . One can discuss the following variants. 1.s νp (k. Now we are prepared to discuss the actual presence of electrons in these bands. In such a way we come to the description of the particles with the charge e and eﬀective mass mp . One can also introduce the occupation number of holes as νp (k. To formulate the current we introduce the occupation factor νn (k.6. .s νn (k. s)[ε(k) − eϕ]v(k) = k. The band is full.
There are two atoms per cell and each atom contributes 1 electron. At ﬁnite temperatures some electrons are excited from the lower valence band to the upper. Such materials are often call semimetals if eﬀective number of carriers is small. A typical example of semimetals is Bi. 3. 3. their conductivity exponentially decreases at low temperatures. if the levels are near the top of the valence band they take electrons from the band producing holes (they are called accepters). The cases 2 and 3 correspond to insulators.3 Energy Insulator Metal Semiconductor Semiconductor Figure 3. .4). The semiconductors are deﬁned as insulators with small forbidden gaps. conduction one. This is shown in Fig. So there are holes in the valence band and the electrons in the conduction one. In the case 1 the material has high conductivity at very low temperatures. All this scheme is valid if the bands do not overlap. 3. ELECTRONS IN A LATTICE. We will come back to this classiﬁcation later to describe special features of diﬀerent materials. it is a metal. Contrary. The impurity level are usually situated in the forbidden gap. The modern way to produce materials for electronics is to “dope” semiconductor material with impurity atoms which introduce carriers in a controllable way. Such semiconductor is called intrinsic.3: Electron occupation of bands (schematically). If the impurity level are situated near the bottom of conduction band the atom are ionized at low enough temperatures and provide extra electrons to the band (such impurities are called donors). If the bans overlap the conduction is usually metallic (see Fig.56 CHAPTER 3. The same as in the previous case.
3.7. DYNAMICS OF BLOCH ELECTRONS
E
57
2nd band
1st band
k
Figure 3.4: The case of band overlap.
3.7
Dynamics of Bloch Electrons
Now we discuss dynamic properties of Bloch electrons both classical and quantum.
3.7.1
Classical Mechanics
As we have seen, under the one band approximation the Bloch electron can be described as a particle with the classical Hamilton function H(p, r) = ε(p) + U(r), p = k.
Here U(r) is the total potential energy due to external ﬁelds. To take account of magnetic ﬁeld one should replace the momentum p by the kinematic one1 e p → P = p + A(r) c where A is the vectorpotential of the magnetic ﬁeld which is connected with the magnetic ﬁeld H by the relation H =curl A. Consequently, we have e H(p, r) = ε p+ A(r) + U(r), c where U(r) = U (r) − eϕ(r) ,
1
p= k
Remember that we denote the electron charge as −e.
58
CHAPTER 3. ELECTRONS IN A LATTICE.
U is the potential energy due to nonelectric ﬁelds (like deformation), while ϕ is the electrostatic potential. To analyze the dynamics one should use classical Hamilton equations r=v= ˙ ∂H , ∂p p=− ˙ ∂H . ∂r
The ﬁrst equation reduces to the one we have discussed earlier, v= ∂ε ∂p
while the second one needs more care because the vectorpotential is rdependent. We get pi = − ˙ The ﬁrst item is − e c ∂ e ∂U(r) ε p+ A(r) − . ∂xi c ∂xi ∂ε ∂Ak e =− ∂pk ∂xi c vk
k
k
∂Ak . ∂xi
We will consider for simplicity the case of a homogeneous magnetic ﬁeld. It is convenient to choose the socalled Landau gauge 0 A = Hx , H =Hˆ. z (3.45) 0 e ∂Ay e e − vy = − vy Hz = − [v × H]x . c ∂x c c As a result, we come to the very usual formula 1 p = (−e) E+ [v × H] − ˙ c U (r), E = − ϕ(r). (3.46) In this case we have
which is just the Newton law for the particle with the charge −e. In the absence of external the electric ﬁeld and the potential U , as one can easily show, energy is conserved. Indeed dε ∂ε ∂p e = = − (v [v × H]) = 0. dt ∂p ∂t c So we have 2 integrals of motion, ε = const, pz = const.
Thus we come to a geometric picture: one should take the surface ε(p) = const and intersect this surface by the plane pz = const. The resulting line is just the electron orbit in pspace.
3.7. DYNAMICS OF BLOCH ELECTRONS
59
It is clear that the result is strongly dependent on the shape of the surface ε(p) = const. In semiconductors usually only the electrons near band extrema are important and all the orbits are closed lines. The situation is much more rich in metals where the number of conduction electrons is large and (because of the Pauli principle) at small temperatures they occupy the states below the certain energy which is called the Fermi level F . The electrons near the surface ε(p) =
F
(the Fermi surface, FS) are most important for all the properties of metals. If the Fermi surface is conﬁned within one BZ it is called closed. In general, FS can touch the boundaries of the BZ. In this case it is called open. The examples of closed and open FS in 2D case are shown in Fig. 3.5 while some FS in 3D case are shown in Fig. 3.6 and Fig. 3.7.
Figure 3.5: Closed and open FS in twodimensional case (examples). The closed orbits can be both electron and holelike. Electron orbits are the ones with the velocity v = p ε(p) is directed “outside” the orbit, the hole ones have to velocity directed “inside”. It easy to show that it is just the same deﬁnition as we have used previously (see later). If the magnetic ﬁeld is tilted with respect to the symmetry axes both closed and open orbits can exist (see Fig. 3.8). To study the motion in momentum space one can introduce the element dp ≡ (dpx )2 + (dpy )2 .
Taking squares of Eq. (3.46) for px and py and adding them we get dp e = Hv⊥ , dt c or dt = c dp . eH v⊥
60
CHAPTER 3. ELECTRONS IN A LATTICE.
Figure 3.6: (a) 1st BZ for a fcc crystal (Al). (b) 2nd BZ for a fcc crystal. (c) The free electron sphere for a trivalent fcc Bravais lattice. It completely encloses the 1st zone, passing trough and beyond the 2nd zone into the third and (at the corners) ever slightly into the fourth. (d) Portion of the free electron surface in the second zone when translated into the 1st zone. The convex surface encloses holes. (e) portion of the free electron sphere in the 3d zone when translated into the 1st zone. The surface encloses electrons. If the orbit is closed we immediately get the expression for the period through the integral along the orbit c dp T = . eH v⊥ This period can be easily expressed in terms of the orbit’s area S S(pz ) = dpx dpy
pz =const
.
To do this integral we can take 2 contours corresponding to ε and ε + dε, the width in pspace in the normal direction being dε ∂ε/∂p⊥ −1 = dε/v⊥ . Thus S= dε dp . v⊥ (3.47)
3.7. DYNAMICS OF BLOCH ELECTRONS
61
H
A B A
Electrons y Holes H Electrons x Holes x
Electrons
y
A
B
Figure 3.7: Possible FS for a cubic metal. Lower panel: Left part  electron orbits, right part  hole ones.
62
CHAPTER 3. ELECTRONS IN A LATTICE.
Figure 3.8: Electron orbits for tilted magnetic ﬁeld. Finally, we get the following formula for the cyclotron frequency ωc = eH 1 ∂S , where mc (ε, pz ) = cmc 2π ∂ε
pz
is the cyclotron eﬀective mass. For a free electron ε = (p2 + p2 )/2m0 , and z ⊥ S(pz ) = πp2 = 2πm0 ε − πp2 , and mc = m0 . ⊥ z Thus, the cyclotron mass appears constant. The same holds for all the quasiparticles with isotropic and quadratic spectrum ε(p). Returning to real space, one can rewrite the equation of motion as e dp = − [dr × H] . c We see that the projection of the motion in the real space on the plane normal to H can be obtained by the substitution x→ cH py , e y→ cH px . e
Also remains the motion along zaxis with the velocity vz = ∂ε/∂z. Now we discuss one very useful trick to calculate the properties of electrons in a magnetic ﬁeld. Namely, let us introduce the time of the motion along the orbit as t1 = c eH dp v⊥
3.7. DYNAMICS OF BLOCH ELECTRONS
63
One should keep in mind that it is not the real time but some function of the point in the pspace. We get 2 eH 2 dpx dpy dpz = dpz dε dt1 3 (2π ) (2π )3 c Here we have used the relation (3.47). This trick will be extensively used later. Cyclotron resonance. Now we discuss one of the ways to measure the characteristics of electron spectra. Let us assume that the electron with eﬀective mass m moves in a weak a.c. electric ﬁeld E = E0 exp(−iωt), and in a constant magnetic ﬁeld H ˆ. We get z E0 x ˆ
−iωmvx = −eEx − e vy H, c −iωmvy = e vx H. c To solve this set it is convenient to introduce the complex velocity v ≡ vx + ivy and get i(ω − ωc )v = eEx . We see that at ω → ωc the amplitude of velocity increases. It means that electron absorbs the energy from the electric ﬁeld. To get more adequate theory of the cyclotron resonance one needs to take into account relaxation (we will come back to this problem later). The cyclotron resonance is a very useful tool to determine the cyclotron eﬀective mass.
3.7.2
Quantum Mechanics of Bloch Electron
An electron with isotropic quadratic spectrum We start our considerations with the simplest case of where the periodic potential can be taken into account by the eﬀective mass approximation (we will denote is as m). We also use the Landau gauge (3.45). To get the SE2 one can replace p in the classical Hamilton function with the operator p = −i ˆ − ∂2ψ + 2m ∂x2
2
∂ ieHx + ∂y c
2
ψ+
∂2ψ = εψ. ∂z 2
(3.48)
It is convenient to search the solution as ψ(r) =ϕ(x)ei(ky y+kz z) .
2
We ignore for a while the electron spin.
64
CHAPTER 3. ELECTRONS IN A LATTICE.
Substituting this expression into (3.48) we get the equation for ϕ(x) (Check!) − ∂2ϕ 1 2 + mωc (x − x0 )2 ϕ = ε1 ϕ 2m ∂x2 2
2
where ωc is the cyclotron frequency, x0 = −a2 ky , H aH = c , eH ε1 = ε −
2 2 kz
2m
.
The quantity aH is often called the magnetic length or Landau length. Finally we came to the SE for a harmonic oscillator and we can write down both the energies and wave functions: ε1 = εN ≡ ωc (N + 1/2), (3.49) the socalled Landau levels, 1 1 ϕ(x) = √ exp − aH 2 x − x0 aH
2
HN
x − x0 aH
(3.50)
where HN is the Hermite polynomial. We see that the electron states in a magnetic ﬁeld could be speciﬁed by the set of quantum numbers α = N, ky , kz , the energy levels εα = εN +
2 2 kz
2m
(3.51)
being dependent only on N, kz . One can ask: why the coordinates x and y are not equivalent? The reason is that the wave functions (3.50) correspond to the energy independent of ky . Consequently, any function of the type C(ky )ψN,ky ,kz
ky
corresponds to the same energy and one can chose convenient linear combinations to get correct asymptotic behavior. General case. The spectrum (3.51) has a very simple form for the case of any isotropic quadratic spectrum. Nevertheless it is possible to obtain important results even in the case of very complicated FS if we are interested in the Landau levels for large quantum numbers N. In this case one can expect that one can use the BohrSommerfeld quantization procedure. Indeed, in the presence of magnetic ﬁeld, as we have seen the kinematic momentum operator is P = −i e + A. c
3.8. SECOND QUANTIZATION OF BOSONS AND ELECTRONS Consequently, Px = −i ∂/∂x, the commutator being [Px , Py ] = iπ One can see that the coordinate Y =− is canonically conjugated to Py , [Py , Y ] = i . Now we can directly apply the quantization rule Py dY = c eH Py dPx = cS = 2π [N + γ(N )] . eH eH . c Py = −i ∂/∂y + (e/c)Hx,
65
c Px eH
Here γ(N ) is a slow function of N, 0 < γ < 1. It is easy to show that the distance between the levels is just ωc . Indeed, neglecting γ(N ) − γ(N − 1) we get c ∂S(ε) ∆ε = 2π . eH ∂ε
3.8
Second Quantization of Bosons and Electrons
Now we brieﬂy discuss the way to describe manyelectron states by the occupation numbers. Such a procedure was introduced for phonons which are Bose particles and we ﬁrst generalize that procedure. In general case, the total wave function of bosons is symmetric in replacement of the particles. Thus it can be expressed as a symmetric product of individual wave functions ΦN1 N2 ... = N1 !N2 ! . . . N!
1/2
ϕp1 (ξ1 )ϕp2 (ξ2 ) . . . ϕpN (ξN ) ,
P
(3.52)
where pi label the states, ϕpi are while the sum is calculated over all the permutations of {pi }. The coeﬃcient is introduced to make the to total function normalized: Φ2
i
dξi = 1 .
The main idea is to consider ΦN1 N2 ... as a function of the occupation numbers Ni . Assume that we have an arbitrary oneparticle symmetric operator F (1) =
a (1) fa
(3.53)
. The symbol (−1)P shows that odd and even permutations enter the expression (3. i k (3. k (3. .52) 1 ΦN1 N2 . .60) with opposite signs (we take the sign ‘+’ for the term with p1 < p2 < . .62) .58) where ik flm = ϕ∗ (ξ1 )ϕ∗ (ξ2 )f (2) (ξ1 . p2 . ELECTRONS IN A LATTICE. = √ N! (−1)P ϕp1 (ξ1 )ϕp2 (ξ2 ) . . it changes the state of only one particle.56) One can easily prove this relation comparing both diagonal and oﬀdiagonal matrix elements of the operators. .. ξ2 )ϕl (ξ1 )ϕm (ξ2 ) dξ1 dξ2 .53) can be expressed in terms of the creationannihilation operators as F (1) = ik fik b† bk i (1) (3. In this case we get instead of (3.54) i Ni Ni Ni It is just annihilation and creation operators introduced earlier.55) where fik = (1) ϕ∗ (ξ1 )f (1) (ξ1 )ϕk (ξ) dξ1 . So the occupation numbers could be 0 or 1. But oﬀdiagonal elements are F (1) 1i 0k 0i 1k = ±fik (1) (3. .61) just as for the Bose particles. In is clear that acting upon ΦN1 N2 . (b† )Ni −1 = (bi )Ni −1 = Ni (3.66 (1) CHAPTER 3.57) where fab acts upon the functions of the variables ξa and ξb can be expressed as F (2) = iklm ik flm b† b† bl bm i k (3. The operator (3. A 2particle symmetric operator F (2) = a. .b (2) fab (2) (3. Note that the expression (3..59) Now we turn to the Fermi statistics to describe electrons.. According to the Pauli principle. where fa acts only upon the functions of ξa . pN are diﬀerent.60) can be expressed as the determinant of the matrix with the elements Mik = (N !)−1/2 ϕpi (ξk ) which is often called the Slater determinant.60) where all the numbers p1 . the total wave function should be antisymmetric over all the variables.. The diagonal matrix elements of the operator F (1) are ¯ F (1) = i fii Ni (1) (3. ϕpN (ξN ) P (3. So it is reasonable to introduce the operators with matrix elements ∗ (bi )Ni −1 = Ni . < pN ).
for Fermi particles it is convenient to introduce the annihilation and creation operators as (ai )0 = (a† )1 = (−1) 1 i 0 i−1 l=1 Nl .16). 3. Prove the identity (3.3. (3. PROBLEMS 67 where the sign is determined by the parity of the total number of particles in the states between the i and k ones.58). a† i k = 0.9.65) One can express all the operators for Fermi particles exactly in the same way as the Bose ones.Nk = fik (1) √ Ni Nk .Nk −1 Ni −1. Prove the formula (3.3. i k a† . Derive expression (3.39).9 3. ak } = The product of Fermi operators are a† ai = N i . 3.24).55). Prove the orthogonality of the Wannier functions. 3. .1. 3. (3. Eqs.3 Consequently. Derive expression (3. 3. Problems Derive Eq.5.4.41). i ai a† = 1 − Ni . 3.6. (3. (3.63) We immediately get (Check!) the commutation rules for the Fermi operators: ai . 3 Note that for Bose particles similar matrix elements are F (1) Ni .15). i (3. (3.64) {ai . a† k ≡ ai a† + a† ak = δik .2.
68 CHAPTER 3. . ELECTRONS IN A LATTICE.
Part II Normal metals and semiconductors 69 .
.
As a result. We have seen that normal vibrations can be described as quasiparticles with the energy εN = ω(N + 1/2). 4. (4.Chapter 4 Statistics and Thermodynamics of Phonons and Electrons In this Chapter we discuss thermodynamics of crystal lattice.96 kal/K · mole. namely it decreases with the temperature decrease. As a result. the average kinetic energy per degree of freedom is the total energy being ε = εpot + εkin = 2εkin . where R is the Rydberg constant while N0 is the Avogadro one. 71 . Let us calculate the average electron energy from the point of view of quantum mechanics.1) This relation is violated at low temperatures as far as the temperature becomes less than the socalled Debye temperature (which is for most of solids is within the interval 100400 K). To understand this behavior one should apply quantum mechanics. the speciﬁc heat is cV = 3R = 5. 2 From the classical statistical physics.1 Speciﬁc Heat of Crystal Lattice 1 εk = kB T. the total energy is E = 3N0 · εkin = 3RT.
2) N =0 We get ε = −d ln Z/dβ. As a result. e. (4. 1 − e− ω/kB T −1 (4. −εN /kB T N e εN e−εN /kB T . from the request of minimum of free energy.. The number of phonons is not conserved: they can be created or annihilated in course of interactions.3) where N (ω) is the Planck function. In general the Bose distribution has the form 1 exp ε−ζ kB T −1 where ζ is chemical potential which is equal to the derivative of the free energy: ∂F ∂N = ζ. i.1) Z= Making use of this formula we get ε= ω + ω N (ω). STATISTICS AND THERMODYNAMICS .72 CHAPTER 4. T. Such a picture allows one to consider the phonons as elementary excitations over the zeropoint vibration energy E0 = (1/2) ωj (q). The Planck function determines the equilibrium number of phonons with a given frequency. e− ω/2kB T . The probability to ﬁnd the oscillator in the state N is wN = The average energy is ε= N e−εN /kB T .V Usually the chemical potential is determined by the conservation of the particles’ number. where we have omitted the indices q and j which characterize a given oscillator. −εN /kB T N e To demonstrate the way to calculate the average energy we introduce the partition function as Z= e−εN /kB T . The ﬁrst item is energyindependent while the second one is just the average energy of bosons with zero chemical potential. Form the deﬁnition (see Problem 4. Therefore their should be determined from the condition of equilibrium. for phonons ζ = 0. 2 N (ω) = 1 e ω/kB T β = 1/kB T.. jq .
It is convenient to express this sum through the DOS according to the general deﬁnition g(ω) = j.1. (4. s0 = 105 cm/s. Consequently. Usually.3) over all the frequencies and vibration branches.4) We get E= 0 ∞ g(ω) ωN (ω) dω. ωD 3N = 0 g(ω) dω. kB .4). SPECIFIC HEAT OF CRYSTAL LATTICE 73 To get the total energy one should sum (4. Introducing the average sound velocity s0 as 1 1 = 3 s0 3 1 2 + 3 3 sl st we get the following contribution of acoustic modes Eac = 3V 2π 3 s3 0 ωD dω 0 ω3 e ω/kB T −1 where the socalled Debye frequency is determined from the condition of the total number of modes to be equal to 3N for all acoustic branches. From this equation ωD = s0 6π 2 V0 1/3 . The typical value of this temperature can be obtained from the rough estimate a = 10−8 cm.4. The orderofmagnitude estimate for the maximal wave vector qD is π/a. qD = ωD s0 where V0 is the cell volume. So according to the socalled Debye model all the values of q are conﬁned in a sphere with the radius qD .q δ [ω − ωj (q)] .2. In the ﬁrst approximation let us assume that the frequencies of the optical branches are qindependent and equal to ωj0 . the Debye temperature is introduced as ωD s0 Θ= = kB kB 6π 2 V0 1/3 . Θ = 100 K. We get ωD = 1013 s−1 . It is conventional also to introduce the temperatures corresponding to optical branches as Θj = ωj0 . the summation is just the multiplication by the Planck function N (ωj0 ). For acoustic modes we use the Debye model (see Section 2.
At the same time. At low temperatures we immediately see that optical modes give exponentially small contributions and we can discard them. (4.5) x3 dx . In real life. is temperature dependent. consequently. we get the following expression for the internal energy E = E0 + N kB T 3D where the Debye function D(z) is D(z) = 3 z3 z 0 Θ T 3s + j=4 Θj /T Θj /T − e 1 (4. STATISTICS AND THERMODYNAMICS . T Θ) we get z 1 in Eq. Taking into account that ∞ 0 x3 dx π4 = ex − 1 15 we get π 2 V(kB T )4 10 3 s3 0 that leads to the following expression for the speciﬁc heat E = E0 + 12π 4 kB cV = 5 T Θ 3 . consequently.1) for the speciﬁc heat.74 CHAPTER 4. Θ. The item under the sum sign in Eq (4. DOS behavior is much more complicated because of the real band structure eﬀects. The Debye model is very good for low temperatures where only long wave acoustic modes are excited. we get the classical expression E = E0 + 3sN kB T that leads to the classical expression (4. 4. ex − 1 (4.1 One can see that really the border between the classical and quantum region corresponds to T ≤ Θ/3 rather that to T ≤ Θ. people still ﬁt the results on speciﬁc heat by Debye approximation but assume that the Debye temperature. We see that D(0) = 1. These energies are of the order of 102 − 103 K. T Θj (and.6) At high temperatures.6) by inﬁnity. we can replace the upper limit of the integral in (4.2 (upper panel).2 (lower panel) . 4. 4. the dash curve showing Debye approximation. Usually... The physical reason is strong frequency dependence of phonon DOS. We have cac =3 3kB N T Θ 3 0 Θ/T x4 dx .6) and then expand the integrand in powers of x. The dependence Θ(T ) is shown in Fig. ex − 1 This function is shown in Fig. Finally. The acoustic contribution to the speciﬁc heat can be expressed through the derivative of the Debye function. The experimental DOS for NaCl is shown in Fig.5) are equal to 1. and we get for the sum 3s − 3.
11) .1: Temperature dependence of acoustic contribution to the speciﬁc heat. STATISTICS OF ELECTRONS IN SOLIDS 75 Figure 4.8) The summation here should be done also over spin indices. It is also convenient to introduce the density of electron states with the formula similar to Eq.2) √ 2 m3/2 √ g(ε) = 2 3 ε .10) For the quadratic spectrum with the eﬀective mass m we have (see Problem 4. +1 (4. The chemical potential ζ is determined by the normalization condition N= k 1 exp εk −ζ kB T .2. the average number of electrons in this state being f0 (εk ) = exp 1 εk −ζ kB T .4.9) where we have taken into account spin degeneracy.4) g(ε) = 2 k δ (ε − εk ) (4.7) is called the FermiDirac function. We get ∞ n= 0 g(ε)f0 (ε) dε.2 Statistics of Electrons in Solids Now we turn to the electron system in thermodynamic equilibrium. π (4. the electron state for a given energy band is characterized by the quantum number k.7) The function (4. 4. (4. +1 (4. As we have seen.8) deﬁnes the dependence of the chemical potential ζ on the electron density n = N/V. (4. The equation (4.
Figure 4.10) and introducing the dimensionless chemical potential ζ ∗ = ζ/kB T we get the following equation for ζ ∗ √ 2 (mkB T )3/2 n= 2 F1/2 (ζ ∗ ) 3 π where F1/2 (z) is a particular case of the Fermi integrals ∞ Fn (z) = 0 xn dx .. 0. The large density of conduction electrons means that ζ ∗ 1. That leads to the following approximate presentation for the Fermi function f0 (ε) = Θ(ζ − ε) where Θ(x) = 1. if x > 0.76 CHAPTER 4. if x < 0 . ex−z + 1 Degenerated Electron Gas Now we discuss the important limiting cases. Inserting this formula to the normalization condition (4..2: DOS and eﬀective Debye temperature for NaCl . The ﬁrst one is the case for good metals or highly doped semiconductors in which the density of conduction electrons is large. STATISTICS AND THERMODYNAMICS .
It means that ζ < 0. m ≈ 10−27 g. So the dependence n vs.12) can be not too strong (usually 57 is enough).3) 2 π 2 kBT . F and at room temperature kB T ≈ 102 .10) more carefully. 4. exp(−ζ ∗ ) 1. NonDegenerate Electron Gas Now we discuss the situation when the electron density in the conduction band is not very high and the electrons are nondegenerate. One obtains (see Problem 4. (2πmkB T )3/2 (4.12) So we see that the gas is degenerate at big enough electron density and small eﬀective mass. T remains unknown. (4. Note that the criterion has the exponential character and inequality (4. Fig. This quantity is often called the Fermi level because it is just the border between the full and empty states. To do it let us request that the second item in the brackets to be small. The most important feature is that in . STATISTICS OF ELECTRONS IN SOLIDS is the Heaviside unit step function.3 (the origin of energies is the bottom of the conduction band). To get temperature dependent corrections one should calculate the integral in Eq. In this case the Fermi distribution tends to the MaxwellBoltzmann distribution f0 (ε) ≈ eζ e−ε/kB T where µ∗ = ln eζ ∗ ∗ 4π 3 3 n . We will also use this word and denote it as F . In a typical metal n ≈ 1022 cm−3 .2. These formulas are not very interesting in typical semiconductors because electrons are taken from impurities which can be partly ionized. ζ = F 1− 12 F Now we can check when our approximation is really good. The degeneracy for room temperature is intermediate at n ≈ 1019 cm−3 .4. We get F 2 kB T = (3π 2 n)2/3 2mkB T 1.13) We see that the chemical potential of non degenerate electron gas is strongly temperature dependent. (4. To get insight into the problem let us consider the band scheme of a typical semiconductor with one donor level εD and one accepter one εA . (2πmkB T )3/2 4π 3 3 n = . In this approximation we easily get ζ0 = 2 2 kF 2 77 2m = 2m (3π 2 n)2/3 .
In the following we analyze few most important cases. while in the valence band ε = −εG − ε where εG is the width of the forbidden gap while ε = 2 k 2 /2mp . νn. STATISTICS AND THERMODYNAMICS . This equation is strongly simpliﬁed if both electrons and holes obey the Boltzmann statistics. at the donor level ε = −εD . 4π 3 3 Even now we have a rather complicated situation which depends on the relation between the energies and the temperature. According to our prescription for energies..14) where we have introduced (2πmn.3: Band scheme of a typical semiconductor.b.p = . Denoting A = exp(ζ ∗ ) 1 and assuming that exp(ζ ∗ + εG /kB T ) 1 we get νn A + nA 1 A exp − kεAT B = νp A−1 e +1 −k εG BT + nD A exp + kεDT B +1 (4. The occupation factor for holes is f0 (ε) = 1 − f0 (ε) = e 1 ζ−ε kB T . To get the position of the chemical potential now we should apply the neutrality condition numberofelectrons = numberofholes which reads gn (ε)f0 (ε) dε + c.p kB T )3/2 .78 CHAPTER 4. the electron energy in the conduction band is ε = 2 k 2 /2mn . at the accepter level ε = −εA . +1 It is natural to call the function f (ε) as the Fermi function of holes.b. ζ → ζ . such situation we have both electrons (in the conduction band) and holes (in the valence band). Figure 4. A 1 e −εA −ζ +1 kB T = v. gp (ε )f0 (ε ) dε + D 1 e εD +ζ +1 kB T .. If the also introduce the hole chemical potential. ζ = −εG − ζ we come to exactly the same form for the hole Fermi function as for electrons with the replacement ε → ε .
14) εD εD .14) we have A = εG mp exp − . (4. In this case we get from Eq. The result is clear enough: at high temperature all the donors are ionized while at low temperatures electrons “freezeout” into the donor states. At very low temperatures the ﬁrst term is the most important one. it scales as (mn mp )3/4 T 3/2 . Extrinsic semiconductor Let us assume that only donors are present and εG (4. nT = √ νn νp .2. mn 2kB T εG 3 mp ζ = − + kB T ln .15) We see that the chemical potential in an intrinsic semiconductor is close to the middle of the forbidden gap. 2 4 mn 3/4 (4. The situation in accepter semiconductor is just the mirror one. A At high temperatures we get A= nD . STATISTICS OF ELECTRONS IN SOLIDS 79 Intrinsic semiconductor It is the simplest case where there is no both donors and accepters.4. νn nn ≈ nD . νn We see that the chemical potential is near the middle of the distance between the donor level and the bottom of the conduction band. .44 · 1019 cm−3 . the concentration in the conduction band being ε √ nD − kεDT − D nn ≈ e B = νn nD e 2kB T . The concentration nT for the room temperature and the free electron mass is 2. and A= ε nD − 2k DT e B . From the Eq. νn A Ae kB T + 1 = nD . Concentrations of the electrons and holes are the same ni = nT exp − εG 2kB T .
3 we can write the integral in the universal form I= 0 χ(ε)f (ε) dε = 0 ε ϕ(ε) − ∂f0 dε dε (4. Just as in the case of phonons. and 2 5π 2 kB T 5/2 ζ 5/2 = F 1 − . we get cV = 5/2 F 5π 2 1+ 12 kB T F 2 .. √ .3 Speciﬁc Heat of the Electron System ∞ Now we calculate the speciﬁc heat of the electron subsystem. the chemical potential ζ is also temperaturedependent. their number being g( F )kB T while the contribution of each one to the speciﬁc heat being kB . 24 F Making use of this equation. It is interesting to compare electron and phonon contributions to speciﬁc heat. 4. we get the ﬁnal result (2m)3/2 E= 5π 2 3 Finally.16). According to the same problem. 5π 2 3 Then exactly as in the Problem 4. For the Boltzmann statistics one can substitute the Boltzmann distribution function into Eq.only the electrons in the narrow layer kB T could be excited. (2m)3/2 5/2 ε . But it is not the case at low temperatures where the phonon contribution goes like T 3 while the electron one is ∝ T .. The result is (see Problem 4. The physical meaning of Eq.18) F kB T. (4.17) with ϕ(ε) = 0 χ(x) dx. we have E= 0 ∞ εg(ε)f0 (ε) dε . In our case. it goes to zero at T → 0 (the Nernst theorem).16) Making use of the Problem 4. 2 m3/2 √ 2 (4.18) is very simple . STATISTICS AND THERMODYNAMICS .80 CHAPTER 4.3 we obtain ϕ(ε) = 5π 2 (2m)3/2 5/2 E= ζ 1− 5π 2 3 8 kB T F 2 .4) cV = (3/2)nkB .(4. ∞ (4. At room temperature and F ≈ 1 eV we get that the electron contribution is only few percents in comparison with the phonon one. 3 3 We see that cV ∝ T .
3kB T Note that we have reproduced the Curie law χ ∝ 1/T . the main quantity is the free energy. dM dH H=0 is called magnetic susceptibility.4. For a volume dV one can introduce magnetization dM = M(H) dV. T χ=− ∂2F ∂H 2 . Now we will discuss the basic magnetic properties of electron gas. χ= . In a magnetic ﬁeld H a sample acquires the magnetic moment M. dA = −M dH.4 Magnetic Properties of Electron Gas. which is pure classical. the average magnetic moment in this model is lA H 1 l = lA L . T . the change of the internal energy is χ= dE = dQ + dA where dQ = T dS is the transferred heat (S is the entropy) while dA is the work with the system. Finally dE = T dS − M dH. and S=− ∂F ∂T . It is a dimensionless quantity. for the free energy F = E − T S we get dF = −S dT − M dH.H=0 So. M = n l = χH.19) kB T x is the Langevin function (see Problem 4. Magnetic susceptibility of a molecular system. Basic thermodynamic relations. MAGNETIC PROPERTIES OF ELECTRON GAS.4). According to the thermodynamics. Now suppose that the gas consists of the molecules with magnetic momenta lA (we reproduce the Langevin theory of a paramagnet gas). At low ﬁelds or at high temperatures one can expand this function as L(x) ≈ x/3 and get 2 lA n . Consequently. Classical theory. As it is known. 81 4. H The derivative M =− ∂F ∂H . L(x) = coth(x) − (4.4. We start from the recalling of the main thermodynamic relations for magnetics.
STATISTICS AND THERMODYNAMICS . while s = ±1/2 is the spin quantum number. Now we are prepared to discuss the magnetic susceptibility of a gas of near free electrons. Let us just mention that the result is that there is a quantum number j for a total mechanical momentum which is equal to j(j + 1). As a result. −j. . To get the total momentum.. one should sum the orbital and spin momenta in a vector form.927 · 10−20 erg/Oe 2mc is the Bohr magneton. A free electron also posses the spin momentum sz = ± /2 and magnetic momentum µB ( note that the ratio Mz /Lz for a free electron is twice greater than for the orbital motion). and µef f = µB gL j(j + 1). To take into account quantum eﬀects one should recall that for an electron in the atomic stationary state the orbital momentum projection is Lz = l where l is the magnetic quantum number. CHAPTER 4. As a result. The energy in magnetic ﬁeld is determined as −µj H cos ϑm = −µB HgL m The average magnetic moment could be calculated just as in the Problem 4. j = s = 1/2 and gL = 2.. According to the quantum mechanics. j −1.4 with the only diﬀerence that we have discrete sums instead of integrals ∂ µ = µB gL ln ∂α where α = µB gL H/kB T. 2j(j + 1) Here gL is the socalled Lande factor. there are 2j + 1 discrete orientations with the angles ϑm determined by the condition cos ϑm = m/j where magnetic quantum number m takes the values j. l is the orbital quantum number (the total orbital moment being l(l + 1)). In this case the orbital moment l = 0. We do not come here deeply into quantum mechanics of a spin. . the magnetic moment is not parallel to the mechanical one. the magnetic momentum being µj = µB gL j. −j +1. (4. the magnetic momentum being Mz = µB l where e µB = = 0. Consequently one could . .20) 1. the angles between the magnetic moment and the magnetic ﬁeld can take only discrete values.82 Quantum theory. . In weak ﬁeld α χ= µ2 f n ef . 3kB T j eαm m=−j (4.21) Paramagnetism of Free Electrons (Pauli Paramagnetism). gL = 1 + j(j + 1) + s(s + 1) − l(l + 1) .
21).22) We see very important features: at low temperatures the main part of magnetic susceptibility is temperatureindependent.21). (4.in fact the susceptibility is small.4. Paramagnet Resonance (Electron Spin Resonance) We take the opportunity to discuss here a very important tool of the modern solid state physics to investigate the properties of both the conduction electrons and the electrons . 83 expect quite big magnetic susceptibility according to Eq.22) with the Langevin one (4. (4. e. ∂ζ i.20) taking into account the Pauli principle. This quantity is often called the thermodynamic density of states. This very important problem was solved by Pauli in 1927 and it was just the beginning of quantum theory of metals. (4. ∂ζ Now the magnetic susceptibility can be calculated for any limiting case. MAGNETIC PROPERTIES OF ELECTRON GAS. For the Boltzmann gas we return to the formula (4.5) χ= µ2 g( F ) B π2 1− 12 kB T F 2 . To make such a calculation let us recall that the electron energy in a magnetic ﬁeld depends on the momentum orientation ε± = ε Consequently M = M+ − M− = µB 2 [f0 (ε+ ) − f0 (ε− )] g(ε) dε. To get the ﬁnal formula one should take into account that − ∂f0 (ε) ∂ε g(ε) dε = ∂n . the temperaturedependent part for a strongly degenerate gas (see Problem 4. Comparing the free electron susceptibility (4. (the factor 1/2 is due to the fact that we have introduced the DOS g(ε) including spin factor 2).4. The key idea is that the electrons have Fermi statistics and one should calculate the average in Eq. For example. the derivative of electron concentration with respect to the chemical potential.21) we see that for electrons the role of characteristic energy plays the Fermi energy F . For small magnetic ﬁelds we can expand the square brackets and get χ = µ2 B − ∂f0 (ε) ∂ε g(ε) dε. µB H. So we get χ = µ2 B ∂n . This statement strongly contradicts with the experiment .
the electron level splits into doublet corresponding to s = ±1. The very similar picture hold for atomic nuclei in a crystal. As we have seen. So one could introduce instead of the Lande factor the socalled spectroscopic factor gs which eﬀectively describes the level’s splitting.24) M0 z. So one can study resonant absorption of electromagnetic ﬁeld in the sample obeying the condition ω = gs µB H . it can be anisotropic and also depend on the magnetic ﬁeld direction. γ = . In general case gs = 2. (4. Under the external magnetic ﬁeld the levels split. in general case the splittingcan be much more complicated. one can determine the behavior of gfactor which is a very instructive quantity. Here we show a very simple theory of EPR (Bloch. Consequently. It is important that in any case the selection rule for a dipole magnetic transitions ∆m = ±1. (4. Phenomenological theory of EPR. in an atomic electron the level’s splitting in the magnetic ﬁeld is proportional to the Lande factor gL .23) .. In simplest case. The position and width of the resonant peaks allows one to make many conclusions on the symmetry of the local ﬁeld in a crystal. dt To get explicit results let us assume that H = H0 + H1 exp(−iωt). interaction with neighboring magnetic atoms and with the lattice vibrations. H0 z. In a solid state electron there is also spinorbital interaction. the corresponding approach is called the nuclear magnetic resonance (NMR). we have the following equation of motion dL = [M × H] dt (just the sum of equations for diﬀerent particles). We get instead of Eq..23) −iωMx = γM1y H0 −iωMy = γ(Mz H1x − Mx H0 ) ≈ γ(M0z H1x − Mx H0 ) −iωM1z = −γM1y H1x ≈ 0 (4. STATISTICS AND THERMODYNAMICS . 1946). etc. 2mc So we get the close vector equation for M dM = γ [M × H] .84 CHAPTER 4. The solution can be expressed in the form M = M0 + M1 exp(−iωt). If M is the magnetization vector and L is the mechanical momentum of a volume unit. H1 x. This factor is often called simply gfactor. as well as the interaction with the lattice. belonging to impurity centers. According to very general concepts of quantum mechanics egs M =γL.
Gas of atoms. MAGNETIC PROPERTIES OF ELECTRON GAS. Now we are going to show that there is also diamagnetic contribution to the magnetic response which is usually masked by more strong paramagnetism. 2mc l = mωL i=1 2 (x2 + yi ) i we come to the following expression for diamagnetic susceptibility nµ e2 n χd = = H 4mc2 Z 2 (x2 + yi ). Let us start from an isolated atom with Z electrons which is place in a magnetic ﬁeld H z. If we compare this result with i i=1 2 the Langevin paramagnetic response µB n/kB T we get χd k0 T ≈Z 2 . Consequently. where we keep only linear in the ﬁeld H1 terms. if we introduce the mechanical momentum l we come to a universal relation µ= Taking into account that Z e l. We see that at ω → ω0 χx → ∞ (note that the relaxation is neglected). Diamagnetism of Atoms and Electrons (Landau Diamagnetism). Solving this equation we get χx = where χ0 = χ0 Mx = Hx 1 − (ω/ω0 )2 M0z . According to the Larmor theorem the inﬂuence of magnetic ﬁeld is the rotation around zaxis with the Larmor frequency ωL = eH/2mc .4. i i=1 2 The order of magnitude estimate for Z (x2 + yi ) is Za2 . The corresponding magnetic moment is −µH. . Hz 85 ω0 = γH0 . χp e /a Usually this ration is 10−2 at room temperature.4.
Ay = xH. The classical Hamilton function is H= 1 e p+ A 2m c 2 + U(r) (4. . One can shift the integration variables p in Eq. where the Larmor frequency ωL was introduced earlier..26) mc is the cyclotron frequency. namely assuming mv⊥ /2 = kB T . the radius being rc = where mcv⊥ v⊥ = eH ωc (4. STATISTICS AND THERMODYNAMICS . For H z we have A y. One can imagine that such a description holds for electrons.27) where U(r) is the potential energy (remember that we denote the electron charge as −e).86 CHAPTER 4. Let us introduce the vectorpotential A(r) of the magnetic ﬁeld as H =curlA .28) where N is the total number of particles. The corresponding magnetic moment is ωc = µ= 2 mv⊥ /2 erc v⊥ = . Note that ωc = 2ωL . (4. a free electron’s orbit moves along a circle in the plane normal to H. Free electrons.28) by (e/c)A(r). So we will be more careful and show that according to classical physics one should get zero susceptibility for free electrons. F = −kB T ln Z . The free energy is. we get χ=n kB T . It is interesting that the wrong result is due to the assumption that all the electrons have circular orbits. the shift being pindependent.. as usual. because it is chargeindependent. Classical theory. The partition function is Z= H (dp) (dr) exp − kB T V N (4. We come to the conclusion that the partition function is ﬁeldindependent and χ = 0. 2c H 2 Making use of the classical statistics. It appears that surface orbits which are not circles contribute to the surface current.25) eH (4. H2 It is clear that we have got a wrong equation. Indeed.
the electron states in a magnetic ﬁeld could be speciﬁed by the set of quantum numbers α = N. Quantum mechanics changes the situation completely.29) being dependent only on N. kz . To get DOS one should to diﬀerentiate this equation with respect to ε. 2π 2πa2 0 2πa2 H H (4. So. ky . we assume that the solution exists only in the region 0 < x0  < Lx . As was shown. kz . gs (ε) = = 2 a2 dε (2π) H N ε − ωc (N + 1/2) To take the spin into account one should add the spin splitting ±µB gs H . we apply cyclic boundary conditions along y and z axes and get 2π 2π ky = n y . 87 Electron gas. Finally. the degeneracy factor is Ly max Ly max Ly Lx ky = x = . H Now it is easy to calculate density of states treating the kz variable as for the usual 1D motion √ 2kz Lz 2 2mLz = ε − ωc (N + 1/2) 2π 2π for each state with a given N.4. To understand the result let us apply a uniform magnetic ﬁeld and assume that we have taken into account the periodic potential by the eﬀective mass approximation. the result is √ dZ(ε) 2m 1 . the energy levels εα = εN + 2 2 kz 2m = ωc (N + 1/2) + 2 2 kz 2m (4. The total number of sates is Z(ε) = 2Zs (ε). We will come back to this property later. MAGNETIC PROPERTIES OF ELECTRON GAS. As usual. To obtain thermodynamic functions one should calculate the density of states in a magnetic ﬁeld. First we should count the number of the values ky corresponding to the energy εα (the socalled degeneracy factor). kz = nz . Quantum theory.4. Ly Lz At the same time.30) This is very important relation which shows that one can imagine Landau states as cells with the area a2 . the total number of states for a given spin is √ 2 2m Zs (ε) = ZsN (ε) = ε − ωc (N + 1/2) (2π)2 a2 N H N where one has to sum over all the values of N with nonnegative ε− ωc (N +1/2).
They form the socalled Landau fan. 4.4. The behavior of the density of states could be interpreted qualitatively in the following way. The Fermi level is also shown. We take it into account automatically using g(ε) = 2gs (ε). We get HN ≈ mc c e F 1 . the slopes of the ”fan” also increase and at a given treshold value HN for which εN (HN ) = F.29). 4. for the ﬁeld HN −1 determined from the equation εN −1 (HN −1 ) = F the (N −1) becomes empty. Then. If we ignore the spin splitting we can assume spin degeneracy and multiply all the formulas by the factor 2. STATISTICS AND THERMODYNAMICS . As the ﬁeld increases the electrons are transferred from the N th Landau level to the other ones.5.. We see that if magnetic ﬁeld is small many levels are ﬁlled. To illustrate the oscillations the functions 1 ˜ x−N − Z(x) = 2 N as well as the diﬀerence between its classical limit (2/3)x3/2 are plotted in Fig. to the energy levels (4. The Landay levels as functions of magnetic ﬁeld for a given value of pz are shown in Fig. As the ﬁeld increases. so∆ N 1 H ≈ e mc c . .4: Landau levels as functions of H. At low Figure 4.. magnetic ﬁelds its dependence on magnetic ﬁeld is very weak.88 CHAPTER 4. Let us start with some value of magnetic ﬁeld and follow the upper ﬁlled level N . F We see that electron numbers at given levels oscillate with magnetic ﬁeld and one can expect the oscillating behavior of all the thermodynamic functions.
Quantitative theory of magnetic susceptibility.4.4. Using the known formula for the entropy of the Fermi gas we get the following expression for the free energy ∞ ζ−ε ∞ F = nζ − kB T ε0 ln 1 + e kB T g(ε) dε = nζ − ε0 f0 (ε)Z(ε) dε . Here ε0 = ωc /2 and we have integrated by parts. MAGNETIC PROPERTIES OF ELECTRON GAS. Now we are prepared to calculate the magnetic susceptibility.31) where ε Φ(ε) = N εN ZN (ε) dε . . Making the second integration by part we get ∞ F = nζ − ε0 − ∂f0 ∂ε Φ(ε) dε (4. 89 Figure 4.5: Number of ﬁlled states as a function of the energy.
and we get √ ∂2F 1 2 m0 =− χ=− ∂H 2 3 π2 m 2 m3/2 µ2 B 3 F . STATISTICS AND THERMODYNAMICS . kB T ≤ ωc the oscillations of the free energy and of the susceptibility are pronounced. One can derive the auxiliary formula (see Appendix B) K(x) = 3 − 8π2 ∞ l=1 N (x 1 − n − 1/2)3/2 = 2 x5/2 − 16 x1/2 − 5 √ √ 4lx + cos(2πlx)C 4lx sin(2πlx)S . A= (2m)3/2 ( ωc )5/2 .90 CHAPTER 4.32) . At the same time. (4. at kB T ωc the oscillations are smeared. It is the socalled de Haasvan Alphen oscillations which were ﬁrst observed in Bi (1930). The second item is ﬁeldindependent.. 4. A typical shape of these oscillations is shown in Fig. The behavior of the function Φ(ε) depends on the number of level which are present in the summation over N. It is very important eﬀect to determine the characteristics of the Fermi surface of metals. One can easily show that the ratio of this diamagnetic susceptibility to the Pauli paramagnetic one is 1 m0 2 . and F =n 2 −A 5 5/2 F F ωc 1 − 16 1/2 F ωc ..31) is Φ(ε) = AK At strong degeneracy − ∂f0 ∂ε ≈ δ(ε − F) ε ωc . 3 m This ratio can be large in semiconductors. 3π 2 3 and we see that the free energy oscillates in magnetic ﬁeld. the period of the lth item being ωc /l. As a result the function Φ in (4. In the opposite limiting case. In a nondegenerate gas we have the Boltzmann distribution instead of the Fermi one and we get (Check!) A ωc ζ ∗ F = nζ − e kB T N =0 ∞ ε 1 −N − ωc 2 3/2 e−ε/kB T .6.
4. Diﬀerentiating with respect to magnetic ﬁeld we get χ=− 1 m0 3 m 2 µB n . Calculate temperaturedependent corrections to the chemical potential of a Fermi gas.3. At low magnetic ﬁelds we can expand the expression in square brackets as 1−z 2 /6.33) for magnetic susceptibility of Boltzmann gas.1. Derive expression (4. 4.5 Problems 4. 4. Calculate speciﬁc heat for the Boltzmann gas.11).6) √ 3 π F = nζ − A 4 kB T ωc 5/2 eζ ∗ 2zez 1 − e−2z (4.5. . The only magnetic ﬁeld dependence is due to the last factor. 4.22) for magnetic susceptibility. 4. Prove the expression (4.6. kB T So we come to the conclusion that the relation between the diamagnetic and paramagnetic parts holds also for non degenerate gas.5.6: De Haasvan Alphen oscillations.4.2.4. Derive the formula (4. Calculate the partition function for a harmonic oscillator. Then we easily get (Problem 4. PROBLEMS 91 Figure 4.33) where z = ωc /2kB T. 4.
.92 CHAPTER 4.. STATISTICS AND THERMODYNAMICS ..
This interaction together with the scattering by defects lead to the dumping of quasiparticles. The lattice anharmonicity leads to the interaction between quasiparticles. It means that a quasiparticle is not exact eigenvalue of the total Hamiltonian of the system and the quasi93 . because of translation symmetry. the imperfections of the crystal lattice (defects. interface states. impurities) lead to violation of the translation symmetry and. Remember. as a result. if the degree of disorder is large. in particular. The properties of the lattice waves allowed us to introduce the central concept of solid state physics . It was shown that under harmonic approximation one can introduce normal coordinates of lattice displacements which are independent. introductory part of the course and try to understand their range of applicability. Consequently. by the number s of atoms in a primitive cell. the only (but very important) diﬀerence being that (as we will see later) in all the interaction processes quasimomenta q are conserved with the accuracy of G. It is clear that the exact periodicity is not the case in real life because i) all the samples are ﬁnite. As a result. to scattering of the waves. Namely. and ii) many important systems are inhomogeneous. The ﬁrst concept was translation symmetry of crystalline materials.Chapter 5 Summary of basic concepts In this very short chapter we discuss main concepts of the ﬁrst. one can chose a basic volume in the reciprocal lattice space (the Brillouin zone. the lattice vibrations can be described as a set of quasiparticles (phonons) with quasimomentum q and energy ωj (q). Consequently. They can be treated as the Bose particles with zero chemical potential. all the picture developed above needs important corrections. The properties of the dispersion law ω(q) are determined by the crystal structure. these displacements propagate as plane waves which are characterized by the wave vector q and frequency ω(q). 2. Moreover. This concept allowed us to classify the structure of crystals and to formulate the basic theory of lattice vibrations. this approach do not take into account surface states. some localized modes can appear which are completely beyond the scope of Part 1. BZ). 1. the period being the reciprocal lattice vector G which can be constructed from the basis bi as G = i ni bi where ni are integers. that all the formulation is base on the harmonic approximation.the concept of quasiparticles. There are 3 acoustic branches and 3s − 3 optical ones. The dispersion law ω(q) is periodic in qspace. In particular. In fact.
In some situations this interaction appears strong enough to form bound states polarons. the concept of Bloch electrons can be developed. As in the case of phonons. we come to next to independent quasiparticles with the quasimomentum( k = p/ conﬁned in the BZ. Another criterion is that the typical spatial scale of motion. the quasiparticles have ﬁnite mean free path that is the characteristic distance of the wave function dumping due to all the interactions. Indeed. It is clear that in such a situation the concept of independent weakly interacting phonons fails. Suppose that we are interested in the formation of a bound state Bloch electron+impurity with Coulomb potential. The length is very important property for all the transport phenomena. SUMMARY OF BASIC CONCEPTS momentum q is not exact quantum number. 3. In most situation this condition holds because the anharmonicity is rather weak (we will estimate it later). electrons have several energy bands. phonons can interact with electrons. εj (p). Nevertheless. In particular. the Bloch state is formed at the distances much greater than a.The translation symmetry inﬂuences strongly upon the electron system. It is the typical problem of . we will discuss some of them later). dependent of the problem under consideration. r) =εj p+ A(r) + U (r)−eϕ(r) c as the Hamiltonian to describe the motion of a Bloch electron in external ﬁelds. should be greater than the lattice constant a.it is implicitly assumed that interband transitions do not take place due to external ﬁelds.94 CHAPTER 5. in fact. Again. One can see that one cannot use the simpliﬁed eﬀective mass approach for the case of degenerate bands in semiconductors (one should bear in mind that there are some special methods to treat this case. Indeed. In particular this approach fails if the frequency ω of external ﬁeld is close to the εi (p)−εj (p) for a given p. As we have seen. Its range of applicability is limited mainly by oneband approximation . One can understand that the concept of quasiparticles can be valid only if qph 1 ph . and external ﬁelds should not interfere with the formation of the electron state. Physically. The most important for applications feature is that one can treat the function e H(p. L. This is very important statement because it allows one to analyze the electron motion in external ﬁelds. Another formulation of this inequality is that the wave length 2π/q should be much less than the mean free path . The main advantage is that the periodic potential created by the lattice and other electrons in the ﬁrst approximation leads only to the renormalization of the electron spectrum from p2 /2m0 to more complicated function ε(p) which is periodic in pspace ε(p + G) =ε(p). there are some important situations where phonons could not be considered as independent quasiparticles. quantum system should have enough space to form a stationary state. The latter criterion is.
The properties of superconductors will be discussed in a special Part. m m In this case the criterion for oneband approximation is aB a. A. Note that elastic scattering does not contribute to the phase destruction. and we get a. p+∆p. One example is the formation of the polaron (electron+phonon) states. The energy diﬀerence ∆ε which can be resolved cannot be greater than /τϕ . For a typical metal p ≈ /a. Now. . another one is the formation of a superconductor states. i) the total system is electrically neutral. the uncertainty ∆r should be. there are important physical situations where the interaction play crucial role and change the ground state of the system. and ii) electrons eﬀectively screen electric ﬁelds. For the socalled deep levels. Form the ﬁrst glance. we have described the electron states as stationary solutions ψ = eikr uk (r) of the SE. Coulomb interaction appears mostly included in the selfconsistent potential and the remaining eﬀects can be not important for many actual problems.53 . As a result. and we have kB T τϕ . The upper limit for ∆p is p. The previous part of the course has outlined the physics of independent quasiparticles which are very often called the elementary excitations. So. at least.95 semiconductor physics. Nevertheless. as well as for some interface states this approach is not valid. According to the uncertainty principle. The electron states as the phonon ones can be destroyed by the impurity scattering. electron should interact with each other via very strong Coulomb forces and it is impossible for them to be near independent. we come to the criterion p . To describe the transport it is useful to form a package of the electrons with the quasimomenta p. less than the mean free path . This criterion can be mat only in materials with small eﬀective mass and large dielectric constant . There is another important criterion which is connected with the lifetime τϕ with the respect of the phase destruction of the wave function. We will come back to the electronelectron interaction in the following parts. Substituting the Hamiltonian p2 /2m + eϕ = p2 /2m − e2 / r with ˆ ˆ the eﬀective mass m to the SE we get the eﬀective Bohr radius 2 aB = me2 = a0 B m0 m0 ˚ = 0. ∆p∆r ≈ . if we want to localize the quasiparticle. In the most cases ∆ε ≈ kB T . as well as by electronphonon and electronelectron interaction. At the same time. Up to now.
SUMMARY OF BASIC CONCEPTS .96 CHAPTER 5.
p ). p )f (p) [1 − f (p )] → “out” term.Chapter 6 Classical dc Transport in Electron and Phonon Systems In this chapter we discuss transport properties of bulk normal conductors and insulators. f0 . Otherwise it becomes time dependent. the change of the distribution induced by the collisions is decrease: − p W (p. One can write the l. as ∂f ∂f ∂r ∂f ∂p + + . r) which is the average occupation number for the state p at the point r. In the absense of external ﬁelds and interactions this function is equal to the equilibrium one. It can be speciﬁed if one knows the collision probability W (p. 6.s. and one can write df = I(f ) dt where I(f ) ≡ (∂f /∂t)coll is called the collision integral.h. Indeed. ∂p The collision integral describes transitions between the states with diﬀerent p due to collisions.1 The Boltzmann Equation for Electrons General Form The description of quasiparticles as wave packages allows one to introduce the nonequilibrium distribution function f (p. 97 . ∂t ∂r ∂t ∂p ∂t Using the Newton equation we can write the previous formula as ∂f ∂f 1 +v − e E+ [v × H] ∂t ∂r c ∂f .
ε = ε(p ). CLASSICAL DC TRANSPORT . ∂p (6. For any elastic scattering W (p . So I(f ) = p {W (p . (6. It is clear that if the system is in equilibrium the collision integral should vanish.4) where Vpp is the matrix elements of the impurity potential V (r) = i v(r − Ri ) (6.5) . (6. the impurity scattering. W (p . p) = W (p. p)f (p ) [1 − f (p)] − W (p.. Impurity scattering Under the Born approximation.98 increase: p CHAPTER 6.1) Finally. p) exp ε kB T = W (p. Making use of the relation ε−ζ 1 − f0 (ε) = f0 (ε) exp kB T we get the general property W (p .2) Let us investigate general properties of the collision integral. The factors [1 − f (p)] takes account of the Pauli principle. p ) and we get I(f ) = p W (p. namely. we get the Boltzmann equation for electrons ∂f ∂f 1 +v − e E + [v × H] ∂t ∂r c ∂f = I(f ) . p ) exp ε kB T where ε = ε(p). This mechanism is important at low temperatures and in rather dirty materials. I(f0 ) ≡ 0. the scattering probability for impurities is W (p. p)f (p ) [1 − f (p)] → “in” term.. Now we will discuss one important collision mechanism to show the main properties of the transport. The ﬁrst term describes the scattering processes in which the electron leaves the state p while the second one describes the processes where an electron comes to the state p from other states p . p ) = 2π Vpp 2 δ [ε(p) − ε(p )] (6.3) We see that the Pauli principle is not important for elastic collisions because it is met automatically. p )f (p) [1 − f (p )]} . p ) [f (p ) − f (p)] .
6. So we can average over their positions and the only terms important are the ones with i = k (the other oscillate strongly. The last sum can be strongly simpliﬁed because the positions of the impurities are random the distance between them is much greater than interatomic spacing a. Now we change the variables from p to the energy ε and the surface S deﬁned as ε(p ) = ε . Finally. Now we can calculate the scattering probability (6. V k≡ p .4). So we have shifted the origin of the frame of reference for each cell by an appropriate lattice vector.k where Nimp is the number of impurities.k ei(k−k )(Ri −Rk ) where we replaced the summation over the discrete quasimomenta by the integration →V p (dp ) ≡ 2V (2π )3 d3 p . As a result. We get 2π 1 V2 V(dp ) vp p 2 δ [ε(p) − ε(p )] i.6) where we introduced the impurity concentration as ni = Nimp /V. THE BOLTZMANN EQUATION FOR ELECTRONS 99 which is the sum of the potentials v of the individual impurities between the Bloch states 1 √ eikr uk (r). Here we have assumed all the impurity atoms be of the same kind and their positions in the primitive cells are equivalent. their contribution being very small). Substituting (6. ei(k−k )(Ri −Rk ) = Nimp i.5) into the expression for matrix elements we get Vpp = V −1 i v(r − ri ) ei(k−k )r u∗ (r)uk (r) d3 r k ei(k−k )Ri i = V −1 = V −1 i v(r)u∗ (r)uk (r) ei(k−k )r d3 r k ei(k−k )Ri vp p . We get 2 2 2 dε d3 p = dS dp⊥ = dS = dε (dsε ) 3 3 3 (2π ) (2π ) (2π ) ∂ε /∂p  .1. we get the following collision integral I(f ) = 2π ni (dp ) vp p 2 δ [ε(p) − ε(p )] f (p ) − f (p) (6.
vp.. f ) − cos(p. (6. In this case I(f ) = f (ε) dΩ W (θ) cos(p . CLASSICAL DC TRANSPORT . f ) 4π n ≡ p/p (6. Now let us rewrite the equation p · f = pz fz + p⊥ · f⊥ . (dsε ) ≡ 2 dS . so that f = f0 + f1 . To get explicit results we assume that the spectrum ε(p) is isotropic. Because I(f0 ) = 0 we have I(f ) = I(f1 ). Let us assume that the deviation from equilibrium is small.p depends only on the angle between p and p . The result has a simple form I(f ) = 2π ni Sε (dsε ) vp p 2 f (p ) − f (p) . (6.100 where we have denoted CHAPTER 6.. θ ≡ p. while (Check!) ni v(θ)2 W (θ) = π g(ε) . Consequently p = p .7) The Transport Relaxation Time Now we demonstrate a very useful representation of the collision integral that makes the solution of the Boltzmann equation rather simple. the surface S is a sphere and the integration is in fact performed over the solid angle. (2π )3 v Note that the densoty of states is given by the expression g(ε) = Sε (dsε ) where the integral is calculated over the surface of constant energy ε(p). f1  f0 . p is the angle between p and p . Chose the polar axis z along the vector p. is the unit vector directed along p. It is convenient to write the function f1 as f1 = −n · f (ε).8) where Ω is the solid angle in the p space.9) Then we can transform the integral as follows. Using the above mentioned notations we can than apply the δfunction to integrate over the ε .
• Elastic scattering.f⊥ is the angle between the projections of p and f to the plane normal to p. 101 (6.13) −e E · ∂p τtr Because the ﬁeld is weak we can assume that f = f0 + f1 . • The form (6. In many situations the Boltzmann equation is represented in the form ∂f ∂f 1 +v − e E + [v × H] ∂t ∂r c ∂f = ∂p (6. f1  f0 .11) The quantity τtr is called the transport relaxation time. f ) = cos(p .10) vanishes after integration over ϕp . The second term in (6. as cos(p. let us assume that a weak stationary electric ﬁeld E is applied to the sample. p) cos ϕp⊥ . p) cos(f . All these assumptions are important and in some cases they can be wrong.8). p) sin(f . Note that the angle p. ⊥ ⊥ Finally we get f1 f − f0 I(f ) = − = − τtr τtr where 1 1 = τtr 2 π W (θ) (1 − cos θ) sin θ dθ .2. f1 ∝ E . 0 (6. p) + sin(p . Nevertheless the form (6. The Boltzmann equation has the form ∂f f − f0 =− . (6.12) allows one to get good orderofmagnitude estimates and we will extensively use it. DC Electric Conductivity Let us apply the outlined approach to calculate the conductivity of a conductor. Namely. 6.2 Conductivity and Thermoelectric Phenomena. One should remember that we have made several important simpliﬁcations: • Isotropic spectrum.8) for the nonequilibrium distribution function.10) Here ϕp⊥ . CONDUCTIVITY AND THERMOELECTRIC PHENOMENA.f .f⊥ . p = θ.12) Here we have shown that this form is exact for elastic impurity scattering if the nonequilibrium function can be expressed as (6.6.
8) that justiﬁes our approach. consider a gas of electrons with the mean free time τ and mean free path = vτ . Immediately we get f1 = e(E · v) τtr (∂f0 /∂ε) .. Finally for the isotropic spectrum we get Ohm’s law j = σE with σ = e2 where dε − ∂f0 ∂ε g(ε)D(ε) (6.15) In the case of an isotropic spectrum the average (6. As a result. Here we have taken into account that the electrons have arrived at the point with coordinate x from the point with the coordinate x − cos θ in a ballistic way. In this case the ﬂux of the electrons through 1 cm2 of the surface normal to x is equal D(ε) = iD (x) = ne (x − cos θ) v cos θ dΩ 4π where θ is the angle between v and x while is the electron mean free path. We see that it has just the form of (6.s. we can average over the surface of a constant energy as M (p)(dp) = where M (p) ε dε Sε M (p) (dsε ) = dε g(ε) M (p) ε ≡ Sε M (p) (dsε ) g(ε) . CLASSICAL DC TRANSPORT . = vτtr . and get e(E · v) (−∂f0 /∂ε). and we can replace f → f0 in the l. Indeed. ne be nonuniform along the xaxis. we get D = v/3 = v 2 τtr /3. Now we calculate the current as ∂f0 j = −e (dp) vf1 = e2 (dp) τtr v(E · v) − (6.102 CHAPTER 6. Let the density of electrons.16) 1 2 v τtr ε 3 is the partial diﬀusivity for the electrons with the given energy. noncompensated current is iD = − ∂ne v ∂x 2 1 cos2 θ d(cos θ) = − −1 v ∂ne . Again.15) is just the average over the angles. 3 ∂x According to the deﬁnition of the diﬀusivity (diﬀusion coeﬃcient). (6.h. ..14) ∂ε (the function f0 is even in p and does not contribute to the current).
CONDUCTIVITY AND THERMOELECTRIC PHENOMENA. dε ε3/2 A(ε) (∂f0 /∂ε) .16) if the ˆ diﬀusivity tensor Dik = vi I −1 vk ε is known. dε ε3/2 (∂f0 /∂ε) 1 τtr τtr 1 − iωτtr .17) The ﬁrst expression is known as the Einstein relation. the energy dependence of the factor D(ε) becomes important. The typical scale for the momentum relaxation time is about 10−12 –10−14 s. In general anisotropic case the Ohms law has the form j = σ E.2. represents ac loss in the sample. while imaginary part is the contribution to dielectric function. Consequently.6. If the degeneracy is not so strong. The conductivity tensor σ can be calculated with the help of the relation (6. ˆ or ji = k σik Ek . . In the case of Fermi statistics where (−∂f0 /∂ε) = δ(ε − (Problem 6. This is just the case for semiconductors. m F) 103 we get the Drude formula (6. Here the formal ”inverse collision operator” is introduced which shows that one should in fact solve the Boltzmann equation.2) ne2 τtr σ0 = e2 D( F )g( F ) = . frequency dependence is important at microwave frequencies. AC Conductivity Solving the Boltzmann equation for the perturbation ∝ exp(−iωt) we obtain σ(ω) = σ0 Here angular brackets mean A = The real part of this expression. Re σ(ω) = σ0 1 τtr τtr 2 1 + ω 2 τtr . We will come back to this problem after the analysis of important scattering mechanisms which determine the dependence τtr (ε).
Thus in the l. ph ) one can assume that at any point the distribution is close to equilibrium one.13) of the Boltzmann equation in the case of electric ﬁeld we observe that an additional eﬀective δE = (ζ/e) electric ﬁeld appears. is large in comparison with the scale at which temperature is formed (that is usually the phonon mean free path. T1 ≡ T (r1 ) . we can plug it into the equation v· to get ε−ζ ∂f0 (v · T ) . we get r f0 = − ∂f0 ∂ε ζ(r)+ ε−ζ T T (r) . CLASSICAL DC TRANSPORT . since it depends on the temparature.104 CHAPTER 6. of the Boltzmann equation we get (v · ζ) + ε−ζ (v · T T) − ∂f0 ∂ε . (6.18) kB T Here we take into account that the chemical potential ζ is also coordinatedependent. In the following we will assume that the static electric ﬁeld includes this correction.s. Comparing this expression with the corresponding l.20) r f0 (r) = ε−ζ (v · T T) − ∂f0 ∂ε =− f − f0 τtr .h.h. Thermoelectric Phenomena Now we demonstrate another kind of problems which appear if a temperature gradient s created in the sample. r) = exp +1 (6. The result can be expressed as jT = −η T with f1 = τtr η=− e T dε g(ε)D(ε)(ε − ζ) − ∂f0 ∂ε . (6. the total ﬁeld being E∗ = ζ −ϕ e = − ϕ∗ . In this case the temperature is a slow function of coordinates and can be expressed as T (r) = T1 + (r − r1 ) T .19) T ∂ε Now we substitute this expression into Eq. If the characteristic scale of the spatial variation of the temperature. As for the second one.14) and calculate the current. (6. of Eq.. This quantity rather the pure electric potential ϕ describes the transport. (6. T / T .s. Consequently.. −1 ε − ζ(r) f0 (ε. Thus the ﬁrst item leads to the extra contribution to the Ohmic current and ﬁnally j = σE∗ . The quantity ϕ∗ = ϕ − ζ/e is called the electrochemical potential.
because (−∂f0 /∂ε) is a sharp function we can expand the integrand as g(ε)D(ε) = g( F )D( F ) + (ε − ζ) d g(ε)D(ε) dε . Indeed. we have seen that in our simplest case the current can be written as j =σE∗ − η T.20). In the remaining intergral. there is almost exact compensation of the contributions. . 9 B This is the well known CutlerMott formula. 105 This expression diﬀers strongly from the corresponding expression for the conductivity by the factor (ε − ζ) under the integral. ∞. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA. We are left with the integral η= The results is 2 ekB T (gD)F 4 ∞ −∞ γ 2 dγ cosh2 γ/2 π2 2 ek T (gD)F . η= • The thermoelectric coeﬃcient is proportional to the ﬁrst power of the charge. so (−∂f0 /∂ε) = δ(ε − F ). ε= F Note that F ≡ ζ(T = 0). Thermoelectric eﬀects have important applications. At ﬁnite temperatures. Consequently. Indeed. and extend the limits of integration over γ to −∞. (6. but they have diﬀerent charges. assume that the temperature is zero. some electrons are excited above the Fermi level forming quasielectron excitations and leaving quasihole ones below the Fermi level. To calculate the second contribution we extract the constant factor (gD)F ≡ (d g(ε)D(ε) /dε F out of the integral.6. • In the case of nondegenerate materials the thermoelectric coeﬃcient is much more sensitive to the dependence of D( F ) on the energy than the conductivity because in contains the derivative. it feels the type of the carriers and provides the way to determine it from the experiment. we introduce a new variable. We see that η = 0. There are some important comments in connection with this formula.2. Both quasiparticles are dragged by the temperature gradient in the same direction. • If there are several kinds of carriers the behavior of thermoelectric coeﬃcient becomes rich and very instructive to understand what happens. the remainder has the order of kB T / F . The contribution of the ﬁrst item vanishes after substitution to Eq. Consequently. Indeed. γ ≡ kB T (ε−ζ).
e. There are 2 conventional ways to express the charge and energy currents. If the circuit is open j = 0 and we obtain the thermoelectric ﬁeld E∗ = α T. to measure absolute thermoe. 6. It should contain 2 branches fabricated from diﬀerent materials.1: The scheme of thermocouple. i.1. j and w. To measure this voltage one should prepare the thermocouple.m.. The voltage T 2 a T0 b E a T 1 T0 V Figure 6.f. (6. α= η . the voltage across the sample is 2 T2 V = 1 α(dr · T) = T1 α(T ) dT.m. w − ϕ∗ j = γE∗ − β T ..106 CHAPTER 6.3 Energy Transport Now we discuss the energy transport in an electron system in the presence of electric ﬁeld and temperature gradient. First we should deﬁne the energy ﬂux. Indeed. We see that it is a relative eﬀect. or Seebeck coeﬃcient. σ The quantity α is called the diﬀerential thermoe.f. one branch is made of a superconductor. 6. measured between the leads is T2 VT = T1 [αa (T ) − αb (T )] dT. CLASSICAL DC TRANSPORT . The ﬁrst one is to express both currents through the ﬁeld E∗ and T . In this way j = σE∗ − η T . system depicted in Fig.21) . respectively.
both the divergence of the energy ﬂux. Assume that some generalized forces Xi are applied to the system. say diﬀerential thermoe. In this case we get E∗ = ρj + α T . ˆ Consequently. It is clear that (6. κ is called thermal conductivity. The Onsager relations follow from the fact that the entropy production must be positive. They induce currents ρ= Ji = k Qik Xk where the quantities Qik are called the kinetic coeﬃcients.6. ENERGY TRANSPORT 107 The quantity w − ϕ∗ j has a physical meaning of the heat ﬂux since we subtact the “convectional” energy ﬂux ϕ∗ j = (ζ − ϕ) v from the total energy ﬂux. This is very important property for applications. T In the presence of a magnetic ﬁeld they should be generalized. α.1 Qik = Qki . has been already discussed.22) η γ 1 . Π = .3. one has the way to cool.m. ˙ S=− 1 div w dV + T jE∗ dV. The nature of the Peltier coeﬃcient can be visualized if one induces a current through the boundary between two materials at a given temperature. the tensor Q must be symmetric. More usual way is to express the electric ﬁeld and the energy ﬂux through the current j and T. and the Joule heating jE∗ contribute to the entropy production. κ = β + Πη. If Π1 = Π2 the ﬂuxes are diﬀerent and it means that some energy is taken from the contact or it is given to the contact.f. The physical nature of the diﬀerential thermoe. see below. Due to fundamental Onsager relations all the thermoelectric coeﬃcients can be expressed through only one. They are deﬁned so that the entropy production can be expressed as ˙ S=− i Ji Xi . w − ϕ∗ j = Πj − κ T . To apply the Onsager relations we have to specify forces and currents. or to heat special regions. σ σ σ The quantity ρ is called resistivity. Consequently. − div w.m. In our case. .f. α = . while Π is called the Peltier coeﬃcient. So.
(6.. This law is derived under assumptions of isotropic spectrum and elastic scattering.f. One can estimate the coeﬃcient β from the kinetic equation in a similar way as we have done to the thermoe. (6. i. instead of Eq. In the case of strong degeneracy we get κ= It is interesting to calculate the ratio 2 κ π 2 kB = . by the energy dependence of the transport relaxation time. The second contribution to the thermal conductivity is always small in the degenerate gas (Problem 6.h. One can show that only the last one is necessary. T We see that the generalized forces are − E∗ . Tσ 3e2 π2 2 k T g( F )D( F ). transport are determined by the energy dependence of the quantity D(ε). κ is determined both by electrons and phonons.20) we get κ≈β= 1 T dε g(ε)D(ε)(ε − ζ)2 − ∂f0 ∂ε . T ) ∝ T a εr → D(ε.19) for the distribution function and take into account that the energy ﬂux transferred by one electron is (ε − ζ)v. So we see that all the characteristics of the d.. Combining the above eqialities we get κ = β − T ηα. 9 B This relation is called the WiedemannFranz law while its r. If the relaxation time is described by a power law τtr (ε. Thus the kinetic coeﬃcients for our problem are −σT. Applying the Onsager relations we obtain γ = ηT .5). Using a similar approach for the Eqs. As a result.c.e. Consequently.s. T − 1 T .108 CHAPTER 6. −βT 2 . −ηT 2 . T ) ∝ T a εr+1 . Here we are interested only in the electron contribution which is usually the main one in typical metals if the temperature is not too low. −γT. In fact. We use the formula (6. we get Π = αT . is called the Lorenz number.22).m. CLASSICAL DC TRANSPORT . Integrating the ﬁrst term by parts we get ˙ S= w 1 T dV + jE∗ dV. to analyze the thermal conductivity of a metal it is enough to calculate β.
Consequently. The main goal is to learn how to make those estimates. T ) = D0 (T )(ε/kB T )r+1 . kB T Γ(3/2) Here Γ(x) is the Γfunction. For the Boltzmann gas with the distribution f0 ∝ exp(−ε/kB T ) substituting D(ε. ∂ζ (6. ζ − eϕ. the Poisson equation has the form 2 ∂ne . The simplest idea one can use is that the atom is neutral and behaves as a hard sphere. (6. The boundary where −ene is the excess electric charge while condition for this equation is ϕ= Ze r at r → 0. In the next section we will discuss the scattering processes in more detail and then we come back to the case of semiconductors to discuss the temperature dependencies of the kinetic coeﬃcients. The very important concept is that the electrons in the vicinity of the impurity atom rearrange to screen the potential.23) ϕ− ϕ =0 2 rs −1/2 (6. the atom is ionized and has an electric charge.24) where rs = 4πe2 ∂ne ∂ζ .25) . Now we should remember that in the presence of electric potential the chemical potential ζ is changed to the electrochemical one.16) σ ∝ T a for the degenerate gas. g(ε) = g(T )(ε/kB T )1/2 we obtain e2 D(T )ne σ= kB T ∞ r+3/2 −x x e dx 0 ∞ 1/2 −x x e dx 0 = e2 D(T )ne Γ(r + 5/2) ∝ T a+r . To study scattering it is convenient to determine the scattering cross section. one should calculate the electric potential which acts upon the electrons from the Poisson equation 2 ϕ = −4πene is the dielectric constant. In the following we will not perform very cumbersome calculations to solve the Boltzmann equation. Consequently. ne = ne (ζ − eϕ) − ne (ζ) ≈ −eϕ Finally. Rather we will outline the main physics and obtain important estimates. 6. NEUTRAL AND IONIZED IMPURITIES 109 we get from Eq.4 Scattering by Neutral and Ionized Impurities.4. Nevertheless. in many important situations it is not the case. (6.6.
ne (r) = −e K(r − r ) ϕ(r ) dV . • We have assumed that the electron response in local.. In general. The function K cannot be derived from classical considerations because the typical spatial scale of the potential variation appears of the order of the de Broglie wave length /p. The ratio e2 / vF has a clear physical meaning . These oscillations are important for speciﬁc eﬀects −1 but if we are interested in the distances much greater than kF the oscillations are smeared and we return to the picture of the spheres of atomic scale. We will come back to this problem later in connection with the quantum transport. There two important things to be mentioned. e. 3/2 Now let us estimate the screening length. (6.it is just the ratio of the typical potential energy e2 /¯ to the typical kinetic energy p2 /2m. (6. 3 (π ) (2kF r)3 (2kF r)4 We see that the response oscillates in space that is a consequence of the Fermi degeneracy (Friedel oscillations)..24) has the form (Problem 6. The function K(r) reads (in the isotropic case) K(r) = −g( F ) p3 cos(2kF r) sin(2kF r) F − . Indeed. rT F . the electron density ne (r) feels the potential at the same point. CLASSICAL DC TRANSPORT . it is not the case because the resulting electrical potential ϕ varies sharply in space.26) r so the quantity rs is called the screening length. For a typical metal we get 1 rT F ∼ e2 p3 m F 3 p2 F 1/2 = pF e2 vF 1/2 . So one can use the ThomasFermi approximation to get estimates.23) fails. i. r ∼ /pF and r ¯ F e2 /¯ r e2 ∼ .6) Ze −r/rs e . . ϕ= F This is the socalled ThomasFermi length. and the selfconsistent approach (6. F So ∂ne 3 ne = ∂ζ 2 F and −1/2 6πe2 ne rs = ≡ rT F . Consequently. The solution of the Eq. p2 /m vF F This ratio is or the order 1 because the metal is “glued” by the conduction electrons.110 CHAPTER 6. In fact. in a typical metal. we get ne ∝ p3 ∝ F . we get that the screening length in a typical metal is of the order of the interatomic distance a and one comes back to the model of hard spheres. In a degenerate gas.
If the electrons are nondegenerate one should plug into the general expression (6. In typical metals it is the case but in some semiconductors with small electron density one needs some generalizations (not enough electrons to screen). We will come back to the problem discussing hopping transport in semiconductors. while calculating the matrix element v(θ) for scattering against charged inpurities one can forget about the periodic potential and . We get σ∼ ne e2 τ ne e2 ne e2 ∼ ∼ . a. e2 ∼ vF . 4πe2 / r ¯ so the estimate diﬀers from the ThomasFermi length by the presence kB T instead of the Fermi energy F . One can get rD = r ¯ kB T .4.23) we have assumed linear response to the external potential. m pF ni pF Q Here we have taken into account that = 1 ni Q where Q is the eﬀective cross section. Now we can make a very rough estimate of the conductivity of a typical metal. As a result r s ≡ rD = 4πe2 ne kB T −1/2 ζ −ε kB T . Consequently. the quantity rD is called the DebyeHukkel length. Making use of the estimates Q ∼ ( /pF )2 . To analyze the situation with the Boltzmann gas one should be more careful because the energy dependence of the relaxation time is important. ni /ne ∼ ci where ci is the atomic impurity concentration (the numbers of electrons and atoms are the same) we get σ ∼ 1016 /ci s−1 . In this case both a typical de Broglie wave length ∼ /p and the screening length rs appear much greater than a typical interatomic distance.6. NEUTRAL AND IONIZED IMPURITIES 111 • In the expression (6.25) the Boltzmann distribution function f0 (ε) = exp to get ∂ne /∂ζ = ne /kB T.
W (θ) = 4πni v e2 / 2ε(1 − cos θ) + 2 2 /2mr 2 s . 1+η η= 2 4m2 v 2 rs 2 = 2 8mεrs 2 . The function Φ(η) slowly depends on the energy.. As a result. p1 + p2 = p1 + p2 .. Suppose that particle 1 is excited outside the Fermi sea. just calculate the matrix element of the potential (6.2: Scattering processes for electronelectron interaction. (6.27) After substitution of the cross section in the deﬁnition of the transport relaxation time (6.2: Particle 1 interacts with particle 2 inside the Fermi shpere. 6.28) 2πe4 ni Φ(η) πe4 ni Φ(η) where Φ(η) = ln(1 + η) − η . and as usual. so τtr ∝ ε3/2 . . 1 2’ p’ 1 1’ pF 2 p 2 p p’ 1 2 p + p = p’ + p’ 1 2 1 2 Figure 6.11) we get √ 2 2 3 mv 2m 2 ε3/2 τtr = = (6.112 CHAPTER 6. and both subsequently make transitions tostates 1’ and 2’ outside the Fermi sphere (Pauli principle!). We observe if the screening is neglected rs → ∞ than the the transport relaxation time τtr → 0.5 ElectronElectron Scattering Now we estimate the electronelectron scattering.7). and the transport relaxation rate diverges (longrange potential!). (Problem 6. we start from the case of Fermi gas. According to the momentum conservation law. 6.. the ﬁrstorder decay is as follows from Fig.26) between the plane wave states. CLASSICAL DC TRANSPORT .
So W ∝ (ε − F )2 . But at the same time. Let p1 be close to pF . F (6. To get the scattering probability for particle 1 one should integrate over the intermediate momenta p2 and p1 . or p2 > 2pF − p1 . p1 > pF . ε− can be treated as free partiicles provided (ε − ≈ ε− F F F )τ 1. p1. we come to the following chain of inequalities 0 > p 2 − pF > p F − p1 . the rest is to integrate over p2 = p2  and p1 = p1 . We came to an important conclusion: the quasiparticles near the Fermi level. Finally. Now we should remember that ε − F = vF (p − pF ). they are shown together for convenience. 113 The momentum conservation law is shown graphically in the right panel of Fig. the upper limit for p2 is pF . p2 < p F . ELECTRONELECTRON SCATTERING and. So let us assume cosines of these angles to be the same and from the relation between the projections write down p1 ≈ p1 + p2 − p2 . Now let us recall that p2 > pF . As a result. The energy conservation law actually determines the angle between p1 and p2 for given absolute values of these vectors. as we have seen. . The simplest way to estimate τ is to use the dimensionality approach. One should keep in mind that the planes (p1 . Consequently. 2 α1 2 dp2 dp1 = −α1 dα2 0 dα1 = where we have introduced αi = pi − pF . Consequently. p2 > pF . p2 ) and (p1 . the average potential and kinetic energies are of the order of F . Thus p1 + p2 − pF > pF . p1 . But from the Pauli principle. p1 < p1 + p2 − pF . W ∝ δ(ε1 + ε2 − ε1 − ε2 ) (dp2 ) (dp1 ) since p2 is ﬁxed by the momentum conservation.5. Consequently. It means that all the momenta are close to pF and the angles with the resultant vector p1 + p2 are almost the same. 6.29) F. the only quantity which is proportional to (ε − F )2 and has the time dimensionality is τ∼ F (ε − 2 F) .6. p2 ) are not the same. Indeed.2. 0 α1 +α2 0 < p1 − pF < (p1 − pF ) + (p2 − pF ).
t) = q uq eiq·r−iωq t + u∗ e−iq·r+iωq t . limited by the electronelectron scattering σ∼ ne e2 F ∼ 1016 m(kB T )2 2 F kB T s−1 . Consequently. we the following estimate for the Fourier component of the interaction potential Uq ∼ ie2 a2 na ωq uq . One should also know that disorder drastically increases the electronelectron interaction. in its turn.30) . 6. is of the order of na eu where na is the atomic density which is of the order of the electron one while u is the displacement vector. the deformed lattice creates a polarization P. As a result the estimate of Q(r − r ) is Q(r − r ) ≈ a2 δ(r − r ). We will discuss this problem later. CLASSICAL DC TRANSPORT . s (6. q then qth Fourier component of the quantity div P(r) has the estimate ina e(q · u) ≈ i(ωq /s)na eu.6 Scattering by Lattice Vibrations Now we come to a very important point .. the polarization charge being div P. Note that electronelectron interaction is the typically inelastic one. In the absence of screening. This is why the electronelectron interaction can be treated in the leading approximation in a selfconsistent approximation which results in a renormalization of the particle mass. Q(r − r ) ∝ r − r −1 but in a typical metal the screening makes it local.to the electron phonon interaction which leads to many important consequences including superconductivity. Here we consider the case of acoustic phonons when q = ωq /s and s is sound velocity. Substituting (6. m0 → m∗ . First.. one can write down the interaction energy as −e Q(r − r ) div P(r ) dV .114 CHAPTER 6. The typical value for the quasiparticle energy is kB T F . If u(r. Finally. Electronelectron interaction is usually unimportant for the Boltzmann gas (not too many electrons!).29) in the Drude formula we easily get the estimate of the conductivity. and in a relatively weak damping with the rate τ −1 . Interaction Hamiltonian (Estimates for Metals) There are several mechanisms of electronphonon interaction. The polarization.
N b† N = √ N bN = N + 1 δN .33) ∗ Cq a† ak b† δ(k − k + q − G) .32) is very illustrative to show the important transitions. k (6. having the wave vector q and belonging to the branch j. b† are deﬁned by the properties q √ √ bN = N N − 1 b† N = N + 1 N + 1 .N −1 .j . . q Here Cj (q) absorbs proportionality coeﬃcients between the perturbation potential and normal coordinates. Nq.6. From the properties of Bloch functions and lattice vibrations one can prove (Check!) that k eiqr k = δ(k − k q − G) ≡ ∆k .32) Here h.j . b† ]− = 1 . The interaction Hamiltonian in terms of electron creation and annihilation operators can be written as Hint = kk k U (r)k a† ak = k kk a† ak k jq ∗ Cj (q) k eiqr k bq + Cj (q) k e−iqr k b† . k → k = k − q + G phonon : created with the momentum q.c. According to this approach. SCATTERING BY LATTICE VIBRATIONS 115 In the following we use the second quantization scheme. q k . We can specify the following processes • Phonon emission: electron : scattered.c. phonon system is characterized by number of phonons. The form (6. so the state is speciﬁed as Vq. = N N .k+q bq + Cj (q)∆k .31) G where G are the reciprocal lattice vectors. The socalled phonon annihilation (or creation) operators bq . The creation and annihilation operators for diﬀerent modes commute.k = Cq Nq + 1 k e−iqr k operator form : G (6. Finally e can express the interaction Hamiltonian as Hint = jqkk ∗ a† ak Cj (q)∆k .k+q a† ak bq + h.k+q (6.k−q b† q k = jqkk Cj (q)∆k . + ∗ matrix element : Mk. √ b† b N N δN . It is easy to check the following important properties of the creation and annihilation operators.N +1 .6. stands for Hermitian conjugate. the commutation rules being bb† − b† b ≡ [b.
q Here N is the number of atoms in the sample. CLASSICAL DC TRANSPORT . (6. that is the case for the most interesting situations (see later). M is the atomic mass. b and b† . This procedure leads to the following estimate for C(q) e2 a2 na ω Cq ∼ i √ NM s ω ∼i na ω e2 a2 na e2 1 √ ∼ i n a a3 Vna M s as M ω ∼i Vna F Here na = N/V. f stand for the initial and ﬁnal state.k = Cq Nq k eiqr k operator form : G (6.34) is 2π − Wk+q. for the absorption one. The probability of the absorption process (6.36) emission absorption . For simplicity we assume here that G = 0. e2 /a ∼ √ vF m. electron : scattered. ω pF .116 • Phonon absorption CHAPTER 6. (6. 2π Wf i = Mf i 2 δ(εf − εi ) where the subscripts i. k → k = k + q + G phonon : absorbed with the momentum q. For a simple lattice the coeﬃcients uq acquire the following operator form: ˆ uq → 2ωq N M eq bq . ˆq u∗ → 2ωq N M eq b† .34) Cq a† ak bq δ(k − k − q − G) k To estimate the quantities Cq one has to substitute to Eq.k = Cjq 2 (Nq + 1)δ [ε(k − q)−ε(k)+ ωj (q)] .33) we get 2π + Wk−q. eq is the unit vector parallel to uq . i. respectively.. to express the lattice displacemnt in terms of phonon annihilation and creation operators.k = Cjq 2 Nq δ [ε(k + q)−ε(k)− ωj (q)] . respectively. − matrix element : Mk. The total probability for the k → k − q transitions for a given phonon brach is then: Wk−q←k = (2π/ ) Cq 2 × (Nq + 1)δ [ε(k − q)−ε(k)+ ωq ] + N−q δ [ε(k − q) − ε(k) − ωq )] . (6.35) Vmna √ ∼ p2 /2m. e.. We have taken into account only one acoustic mode. For the case (6.30) the expression for uq . s M ∼ F Transition Probability Now we can construct the transition probabilities from the Fermi golden rule. we have taken into account that na a3 ∼ 1.
(6. one should ﬁrst replace k → k + q and then q → −q. SCATTERING BY LATTICE VIBRATIONS 117 To get the probability of the reverse transition. Rough Estimate. Finally we come to the following collision integral I= where + Fk. (6. At high temperature.6.38) (6.35) for the coeﬃcient Cq we get 1 1 ωD kB T mpF kB T ∼ p2 ∼ . ω ≈ ωD . (6. One has the estimate ωD ∼ sπ/a ∼ spF . We see that all the items in the collision integral have the same order. Relaxation Time for Phonon Scattering. and we can use the classical limit for the Planck function Nq ≈ kB T kB T ≈ ωq ωD 1. the most probable are the processes with highfrequency phonons. Wk←k−q . F 3 τtr mna ωD . The transtion rate to the state k is given by multiplication of Eq. We get Wk←k−q = (2π/ ) Cq 2 × (N−q + 1)δ [ε(k − q)−ε(k) − ωq ] + Nq δ [ε(k − q) − ε(k) + ωq )] .39) Now we start from rough estimates and then derive the relaxation rate more carefully.k−q = fk (1 − fk−q )N−qj − fk−q (1 − fk )(N−qj + 1).k−q δ(εk−q −εk − ωjq ) + Fk.37) emission absorption To construct the transition rate from the state k one has to multiply Eq. F Using the estimate (6. 1. − Fk.37) by the factor fk−q (1 − fk ) with subsequent similar summation. kB T ωD . To get a rough estimate we ﬁrst understand that the maximal phonon frequency is ωD that corresponds to qD ∼ π/a ∼ kF .36) by the factor fk (1 − fk−q ) and then sum over the phonon brancehs j and wave vectors q.6. So there are two limiting cases which diﬀer by the relation between ωD and kB T. 2π jq + − Cj (q)2 Fk.k−q δ(εk−q −εk + ωjq ) (6. The integral over the q is of the order 3 qD mpF ∼ 3 .k−q = fk (1 − fk−q )(Nqj + 1) − fk−q (1 − fk )Nqj .
. The integral over q splits into the integral over the length of the wave vector and over the angles. m 2m pq 2p q We see that both the items under the δfunction are small (the second one is of the order ms/pF ∼ s/vF 1). the WiedemannFranz law is not valid any more. . CLASSICAL DC TRANSPORT . Finally. Thus the δfunction gives 1 after the integration over the angles because is requests  cos ϑ 1.. and κ k2 ∼ B Tσ e2 kB T ωD 2 . We see that for smallangle scattering the transport time is much longer than the escape time. At low temperatures where the thermal phonons with ω ∼ kB T are most important. For the energy ﬂux.the change of the excitation energy (with respect to the Fermi level) is of the order of the excitation energy itself. 1 kB T ∼ τtr kB T ωD 4 4 and the conductivity acquires an extra factor ( ωD /kB T )4 : σ ∼ 10 16 F kB T ωD kB T s−1 . while the change of momentum is relatively small. It is interesting that in the expression for the thermal conductivity one can study the relaxation of the energy ﬂux. So these collisions are strongly inelastic . As a result. we get the following estimate 1 p2 ω m 3 1 p2 ω ms ω 1 F F ∼ q ∼ τ mna pF q mna pF ω s 3 1 p 2 kB T ms (kB T )3 kB T F ∼ ∼ 3p k T 3 s3 m(pF / ) F B kB T ωD 2 . The δfunction in the conservation laws can be written as δ (p− q)2 p2 − ± ωq = δ 2m 2m 2 2 pq q m q ms − ± ωq = δ cos ϑ − ± . their wave vector being qT ∼ kB T / s . To get the estimate one should multiply this quantity by the characteristic value of 1 − cos θ ≈ θ2 /2 ∼ ( q/pF )2 ∼ (kB T / ωD )2 .118 The estimate for conductivity is σ= CHAPTER 6. As a result. every collision is eﬀective and the proper estimate for the relaxation rate is the escape time τ. ne e2 τ p2 F F ∼ F ∼ 1016 s−1 . m m kB T kB T kB T ωD 2. This is the good estimate for the escape relaxation time. We see that qT kF .
k)+ sin(k.f taking into account that the angle (f . Finally. after neglecting of the term proportional to s/v we get qmax 1 (2π)2 V m q π = − q 2 dq C(q)2 2 sin ϑ cos θ dϑ τtr (2π)3 qmin kq k 0 × [Nq δ (q/2k + cos θ) − (Nq + 1)δ (q/2k − cos θ)] qmax V m = C(q)2 (2Nq + 1) q 3 dq .f . 6. In our notations 1 − cos (k. k).40) Optional section .(see Fig.3).f independent. To prove it let us (as we have done earlier) search the solution as f1 = −nf (ε) = −f cos(f .6. k). k − q) = (q · k)/qk = cos ϑ . k) can be extracted from the integral over q and we have proved that I(f1 ) ∝ f1 . q) cos(f . k) cos ϕq. q) dϕ = 2π cos ϑ cos(f . n ≡ k/k and chose the polar axis z along the vector k. or cos(f .e. First. We get cos(f .6. it is convenient to use the relation fq =fz qz +f ⊥ q⊥ . 2 Now we outline the procedure of more rigorous derivation of the relaxation rate which includes the summation over q → q V (2π)3 qmax π 2π q 2 dq qmin 0 sin ϑ dϑ 0 dϕ where qmin and qmax are determined by the conservation laws. SCATTERING BY LATTICE VIBRATIONS 119 Derivation of the Relaxation Time. that I(f1 ) ∝ f1 . k) cos ϕq. i. k). 8π 2 2 k 3 qmin 2 (6. one should prove the relaxation time approximation. k)+ sin ϑ sin(f . q) = cos(k. As in the case of impurity scattering. q) sin(f . Now we can integrate this equation over ϕq.f = cos ϑ cos(f . The term cos(f . ϑ ≡ (q. k) is ϕq.
one should linearize the collision integral (6. ωmax = max(ωD . Indeed.38).1 K. as is was shown. The main steps of the derivation are given below. and then linearize with respect to ϕi . Remember that for the Boltzmann gas the typical √ value of k is mkB T . In typical metals. We have qmin = 0 while qmax = min(qD . fk−q = f2 + ϕ2 . at ωmax ≤ kB T. First we denote fk = f1 + ϕ1 .. We transform the collision integral as follows. and at low temperatures we meet the case ωmax ≤ kB T.3: The arrangement of angles. The result is determined by its limits determined by the conservation law and by the phonon spectrum.11) for the relaxation time. 2ks) .120 CHAPTER 6.k−q = → = = fk (1 − fk−q )N−q − fk−q (1 − fk )(N−q + 1) [ϕ1 (1 − f2 ) − ϕ2 f1 ] N − [ϕ2 (1 − f1 ) − ϕ1 f2 ] (N + 1) ϕ1 [N (1 − f2 ) + f2 (N + 1)] − ϕ2 [N f1 + (N + 1)(1 − f1 )] ϕ1 (N + f2 ) − ϕ2 (N + 1 − f1 ) . CLASSICAL DC TRANSPORT . kB T ms2 → 0. Actually. sk ≈ kB T ms2 . At high temperature.. The last case is important for semiconductors with low values of k. k ϕ β θ f q α Figure 6. where fi. Nq ≈ kB T / s and we get 1 1 ∝ 3 τtr k qD q kB T 3 T q4 q dq ∝ 3D sq k 4 qD for qD < 2k ∝T (2k)4 for qD > 2k ε−3/2 ε1/2 That is consistent with the rough estimates given above. We get + Fk. k ∼ kF ∼ qD . This case is much more tricky because the collisions are inelastic and we cannot use the expression (6. 2k).k are equilibrium functions.
− kB T Fk. kB T Fragments in the square brackets are N + 1 − f1 = N + f2 = eν 1 f1 − x = N f1 ex+ν + eν − eν + 1 = N . Finally. the relaxation time approximation is not exact in this case and one should solve the Boltzmann equation numerically. Unfortunately.k−q = a1 f2 (1 − f2 ) (N + 1 − f1 ) − a2 f1 (1 − f1 ) (N + f2 ) → absorptiom Combining with the expression for the emission and absorption we get (a1 − a2 ) [f2 (1 − f2 ) (N + 1 − f1 ) + f1 (1 − f1 ) (N + f2 )] . SCATTERING BY LATTICE VIBRATIONS for the phonon emission and − Fk.6. ν = ω/kB T . f ↔ 1 − f . Finally. As a result. The result can be obtained from that above by the replacement N ↔ N + 1. As a result.6. a1 f1 (1 − f1 ) (N + 1 − f2 ) − a2 f2 (1 − f2 ) (N + f1 ) and then replace 1 ↔ 2 in the δfunctions to take into account the conservation law. kB T We see that only thermal phonons are important since the integrand of the collision operator decreases exponentially at ν 1. . ν −1 e e +1 f2 1 1 f2 + x+ν = N f2 ex+ν + 1 + eν − 1 = (N + 1) −1 e +1 f1 where x = (ε − ζ)/kB T . Then we search solution in a form ϕ(k) =a(k) − = where a(k) weakly depends on the energy. we get in the brackets eν N f1 (1 − f2 ) + (N + 1)f2 (1 − f1 ) = 2N f1 (1 − f2 ) and the integrand in the collision integral becomes proportional to 2N f1 (1 − f2 ) (a1 − a2 ). we have + kB T Fk.k−q = → = = 121 fk (1 − fk−q )(Nq + 1) − fk−q (1 − fk )Nq (ϕ1 (1 − f2 ) − ϕ2 f1 ) (N + 1) − (ϕ2 (1 − f1 ) − ϕ1 f2 ) N ϕ1 ((N + 1)(1 − f2 ) + f2 N ) − ϕ2 ((N + 1)f1 + N (1 − f1 )) ϕ1 (N + 1 − f2 ) − ϕ2 (N + f1 ) ∂f0 ∂ε a(k) f0 (1 − f0 ) kB T for the absorption. but strongly depends on the direction of k. we have proved the estimates made above.k−q = a1 f1 (1 − f1 )(N + f2 ) − a2 f2 (1 − f2 )(N + 1 − f1 ) → emission To get a similar formula for absorption one should make a similar substitution.
we have no relaxation and a ﬁnite current in the absence of 3 Optional section . UmklappProcesses3 It was a sort of cheating in our previous calculations of the electronelectron scattering. kB T (6. suppose that we have only electrons which do not know anything about the lattice.122 CHAPTER 6. Consequently. kB T If we assume that a ∝ pi we get that the last bracket vanishes because of the momentum conservations...41).41) and one should integrate over the remaining 2 variables. To analyze the situation more carefully we write down the collision integral I(f ) = − Wp11p22 fp1 fp2 (1 − fp )(1 − fp ) − fp fp (1 − fp1 )(1 − fp2 ) 1 2 1 2 p p × δ(ε1 + ε2 − ε1 − ε2 ) (dp2 ) (dp1 ) . Indeed. The terms proportional to a(p1 ) ≡ a1 are − a1 f1 (1 − f1 ) f2 (1 − f1 )(1 − f2 ) + f1 f2 (1 − f2 ) kB T where all the functions are the equilibrium Fermi ones. Because the process is inelastic we search the nonequilibrium function f1 as f1 (p) = a(p) − ∂f0 ∂ε = a(p) f0 (1 − f0 ) . How can the total momentum of the whole electron system relax? To understand this important problem one should remember that there are processes where the quasimomentum is not conserved but there is a momentum transfer G. Using the detailed balance equation f1 f2 (1 − f1 )(1 − f2 ) − f1 f2 (1 − f1 )(1 − f2 ) = 0 we transform the previous equation as (Check!) − a1 f1 f2 (1 − f1 )(1 − f2 ) .42) We have 4 terms proportional to a. CLASSICAL DC TRANSPORT . Here we assume that the momentum p2 is determined by the conservation law p1 + p2 = p1 + p2 + G (6. 1 f1 f2 (1 − f1 )(1 − f2 )(a1 + a2 − a1 − a2 ) . kB T The same transformation can be done with all other terms and we get the following combinations in the collision integral (6.
The same is true for the metals with nearspherical FS because the volume of the FS is equal to 1/2 of the BZ volume (half full band). say. any ﬁeld. kB T . SCATTERING BY LATTICE VIBRATIONS 123 Figure 6. 6.4: The Fermi surfaces of alkali metals and semimetals. The situation is more complicated for electronphonon collisions. scattering of phonons by defects or phononphonon interaction including Umklapp processes. Thus to get a ﬁnite resistance one should request max(p1 + p2 − p1 − p2 ) = Gmin or 4 max pF (n) > Gmin . one should construct the Boltzmann equation for phonons ∂Nq ∂ω(q) ∂Nq + = Iph (Nq ). It means that we assume some eﬀective mechanism to create equilibrium in the phonon gas.4). We have seen that if p1 is close to the Fermi surface all other momenta are also close to the Fermi surface. In semimetals like Bi the FS contains quasielectron and quasihole valleys and electronelectron interaction is important for intervalley transitions (see Fig. Consequently. To get a ﬁnite answer one should take into account the processes with ﬁnite G.42) and for phonon in the form N1 (q) =b(q) − ∂N0 ∂( ω) = b(q) N0 (1 + N0 ). ∂t ∂q ∂r The collision integral with electrons has the form Iph−e = W [f1 (1 − f2 )(Nq + 1) − (1 − f1 )f2 Nq ] δ(ε1 − ε2 − ωq ) (dp1 ) Again. We have assumed the phonons to be equilibrium.6. This relation is deﬁnitely met if the FS reaches the boundary of the BZ. we can search the solution for electrons as (6.6. If the metal is very pure and the temperature is low the only scattering mechanism for phonons is their scattering by the electrons. all the vectors being in the BZ. It means that the radius of the FS is greater that 1/2 of the reciprocal lattice vector. the socalled Pierls Umklapp processes.
Consequently.. and δp/pF ∼ kB T / ωD . At high temperatures it is not a problem to ﬁnd such processes. Umklapp processes mean hops between diﬀerent branches. As a result. Indeed. b ∝ qi we get zero. we need the Umklapp processes to get ﬁnite electric and thermal conductivity. let us come to the picture of extended BZs periodic in the reciprocal space.. their number being proportional to exp(−T0 /T ) where T0 ∼ ωD /kB . we come to a crossover between the power and exponential temperature dependencies. . we have a persistent motion of electrons accompanied by a ”phonon wind”. That changes all the kinetics because thermal phonons cannot take the electron momentum. and one can neglect the phonon quasimomenta in the conservation law p1 −p2 − q = G . Again. But at low temperatures the momenta of thermal phonons are small. As a result. δp ≈ kB T /s. otherwise impurity scattering is the most important at low temperatures.124 As a result. it means the sum of electron and phonon quasimomenta conserve. W f10 (1 − f20 )(Nq0 + 1)(a1 − a2 − b) (dp1 ) . If the FS is open the electron momenta relaxation is just a diﬀusion along this surface and we have shown that 1 τe ∼ ωD ωD kB T 5 . The reason is that the scattering events take place sequentially. CLASSICAL DC TRANSPORT . Again. we need highfrequency phonons with q ∼ qD . As a result. Remember that all this physics is relevant only to very clean metals. number of phonons part of time The last factor is just the part of time which electron spends near the region to which it can hop. The total relaxation time is a sum τ = τe + τ u of the diﬀusion time over the closes surface and the time τu . if a ∝ pi . we get I≈ CHAPTER 6. The resulting situation appears very tricky. If the FS is closed. we get 3 kB T0 kB T 1 ∼ ωD e−T0 /T · τu ωD ωD . So we come to the criterion 2 max pF (n) > Gmin that cannon be met if the FS does not touch the BZ boundary. Physically. To get an insight. the longest being most important. Note that here we add partial times rather than rates.
The temperature dependence of the resistivity of semiconductors is more tricky because the electron concentration is temperature dependent. For long waves one can describe the crystal a an elastic continuum. A typical picture of the change of the forbidden gap width under the inﬂuence of an acoustic vibration is shown in Fig. We have assumed recently that only one scattering mechanism is important. ELECTRONPHONON INTERACTION IN SEMICONDUCTORS 125 Temperature Dependence of Resistivity in Metals Now we review the temperature dependence of the conductivity of metals. The strain changes the distances between atoms and. . and κ = const . If we assume the mechanisms to be independent the resistivities ρ are approximately additive because one should sum the scattering rates. at low temperatures ρ = c + aT 2 + bT 5 ee eph (except alkali metals) while at high temperatures phonon scattering is the most important and ρ = AT. as a result. that at very low temperatures quantum contribution to resistivity becomes important.7 ElectronPhonon Interaction in Semiconductors Acoustic Phonons Deformational interaction Usually. according to the results of Boltzmann equation. In real life there is a mixture of the mechanisms. The corresponding dependences of the thermal conductivity are κ −1 = dT −1 + f T + gT 2 . (6.5). the deformation being characterized by the strain tensor u → uik = ˆ 1 2 ∂ui ∂uk + ∂xk ∂xi . of the bottom of the conduction band as Ec (ˆ) = Ec (0) + u ik Λik uik . Consequently. the interplay being temperature dependent.7.6. It is also important to know. This contribution cannot be analyzed with the help of the Boltzmann equation and we will also discuss it later. say. the interaction with acoustic phonons in semiconductors is expressed in terms of the socalled deformation potential. So. We will come back to this problem later. Note that the strain leads to a diﬀerent inﬂuence than an electric ﬁeld which shifts both bands in the same direction. 6. the electron energies change. one can expand the position.
30) Uq ∼ Λiquq . we come to the interaction energy of the form (6.5: The variation of the forbidden gap. ˆ where β is called the piezoelectric tensor. C V A a0 Figure 6. The only diﬀerence is the replacement of the estimate e2 a2 na by the deformation potential Λ. Piezoelectric interaction. ∂xi ∂xk . One can show that in a cubic crystal oﬀdiagonal components of the deformation potential ˆ tensor Λ vanish. Cds. CLASSICAL DC TRANSPORT .126 CHAPTER 6. Moreover.43) The deformation potential can be calculated for a real band structure and measured experimentally.kl ul = 0 . The corresponding electric potential is determined from the Poisson equation − ik ik ∂2ϕ + 4π ∂xi ∂xk ikl ∂ ∂ βi. ZnSe. u Consequently. As a result. Λii = Λ and we get Ec (ˆ) = Ec (0) + Λ div u.kl ukl . because all the axis are equivalent. Piezoelectric materials (ZnS.. the interaction constant C(q) can be expressed as C(q)2 = Λ2 q 2 ∝ q.) are ionic crystals without inversion symmetry. etc.. The selection rules for electronphonon transitions are determined by the symmetry. 2N M ωq (6. The strain uik induces in such crystals the electric polarization with the components Pi = kl βi.
45) . as usual.2. 2. Then.8) P= where N0 Mr ωl2 (u+ − u− ) 4π ∗ 1 ∗ (6. Much more interesting is the interaction in polar crystals where. creates the polarization (Problem 6. ELECTRONPHONON INTERACTION IN SEMICONDUCTORS If we assume ϕ = ϕq eiqr .44) = 1 ∞ − 1 0 .7. Optical Phonons In nonpolar materials one can also characterize the interaction as He−ph = Λ0 u where u is the relative displacement of the atoms in the basis. as we have seen. In these materials the displacement s = u+ − u− .kl qi qk uql . G(q) = − 4πe ikl βi. It means that at low temperatures piezoelectric interaction is more important than the deformational one. We take into account only longitudinal vibrations which eﬀectively interact with the electrons. Since piezoelectric interaction is mediated by electric ﬁelds their screening by charge −1 cariers at q rs can be important.6.kl ni nk ejl (q) ik ik ni nk Comparing this expression with the expression (6. see Sec. optical phonons produce electric ﬁelds. ∗ Then. ik ik qi qk Specifying the polarization vector ej (q) and the unit vector of the propagation direction n = q/q we get −eϕq = Gu0 . 4πN0 Mr ωl2 2 ϕ = 4π div P = div (u+ − u− ). page 33 for notations. ik We see that the corresponding scattering factors C(q)2 behave as q/q 2 ∝ 1/q. we get ϕq = 4π ikl 127 u = uq eiqr βi.43) we see that for a given q one should replace Λik ni ek → G(q)/q. we expand the displacements in terms of the normal coordinates uk (r) = √ j 1 N Mk ejk (q)bj (q.t)eiqr qj (6.
CLASSICAL DC TRANSPORT . M1 ej1 + As a result. qmax = 2k. Sometimes it is expressed as M2 = 4πα ( ωl )3/2 √ . 1. Now we can analyze the conservation laws εk±q = εk ± ωl which can be rewritten as q ± 2m The roots of this equation are q1 = −k cos ϑ ± 2 k 2 cos2 ϑ + k0 . and take into account that at long waves the center of gravity does not move. τtr = 2 e2 mkB T 2.46) Using the second quantization procedure (page 41) we arrive at the famous Fr¨lich Hamilo tonian 1 Mj † He−ph = √ ap− q ap (bqj + b† ) (6. M1 + M2 ej2 = − M2 ij . 2 ωl The dimensionless constant α is called the polaron constant. e2 + e2 = 1. M1 + M2 M2 ej2 = 0. and we return to the same expression as for acoustic phonons. . At high temperatures. 2m α= e2 ∗ m . q2 = −k cos ϑ ± 2 k 2 cos2 ϑ − k0 2 where 2 k0 /2m = ωl . (6. 2 2 2 kq cos ϑ 2m ωl = 0 . The case of low temperatures.47) qj V q. ej1 = M1 ij . ωl kB T .j q with Mj2 = 2πe2 ωl. (6.40) we get √ 2 ∗ 2 √ ε3/2 ∝ T −1 ε3/2 . If k k0 we get for both absorption and emission the old conditions qmin = 0.j / ∗ .. kB T ωl the scattering is elastic.. j1 j2 Finally we substitute these expressions to Eqs.45) for u± and get (Problem 6.9) φ = −i 4πωl2 ∗ q 1 (bq eiqr − b∗ e−iqr ) q q (6. Using Eq.128 CHAPTER 6.
k ) exp(− ωl /kB T ) 2k ≈ (4/3)k 3 /k0 Expanding this expression in powers of k/k0 we get/k0 √ 2 ∗ 2 2 ωl √ τtr = exp 2 m ω 2 e kB T l . Let us consider the interaction of an electron with optical phonons. The corresponding δfunction is δ q + 2m 2 2 2 2 2 kq cos ϑ k0 − 2m 2m = m δ 2 kq 2 q 2 − k0 + cos ϑ 2kq while the relaxation time can be obtained as 1 m 1 = τtr 8π 2 2 k 3 qmax w(q) Nq qmin 2 q 2 − k0 2 q dq q ≈ (e2 mωl / 2 ∗ 3 2 k 2 + k0 − k0 ln 2 k 2 + k0 + k 2 k 2 + k0 − k . ELECTRONPHONON INTERACTION IN SEMICONDUCTORS is more tricky. Indeed. note that the ratio of the emission and absorption probabilities is (Nq + 1)/Nq ≈ exp ( ωl /kB T ) 1. which can emit optical phonons. Optional section . As a result. The polaron. So if the electron absorbs an optical phonon it should immediately emit another one. the change of energy appears small while the change of the quasimomentum is large. and qmin = 2 k 2 + k0 − k 129 (ϑ = 0). 4 We take the opportunity to demonstrate the role of interaction when it cannot be considered as weak. It is clear. Note that it is not the case of the socalled hot electrons with high energies. Nevertheless.7. This scattering is very weak. In this case only absorption processes can take place.6. One can get the result taking into account only the absorption processes. qmax = 2 k 2 + k0 + k (ϑ = π). some simpliﬁcation does exist. that the scattering is strongly inelastic and in general one cannot use the relaxation time approximation. According to quantum mechanics. the change of the ground state energy due to interaction is (0) En − En = nHint n + m=n 4  mHint n 2 En − E0 (0) (0) .
increase of the eﬀective mass.39 0.65 All these considerations are good only when α Material InSb InP CdTe CdS Consequently. As usual we introduce polar coordinates with the axis along k (dq) → (2π)−2 q 2 dq sin ϑ dϑ. The qualitative conclusions are that interaction with phonons leads to the shift of the energy levels (the relative shift is α at α 1) and to its ”dressing” . Nq = 1. Consider the interaction with a polarized crystal.080 0. 1 − α/6 1. One can treat the distortion as an eﬀective decrease of the mean free path . The integral can be calculated easily. We have α 0. k = k − q. 6. k 2 h2 k 2 h2 (k − q)2 − − ωl 2m 2m ∗ = 2πe2 ωl (dq) q2 h2 k 2 h2 (k − q)2 − − ωl 2m 2m −1 .. and the result is 2 2 2 2 2 2 k k k − α ωl + ≡ −α ωl + εk = 2m 12m 2mpol where α has been introduced in the previous section as the polaron constant while mpol = m ≈ m(1 + α/6). the interaction for the two last materials is strong and one cannot use the perturbation theory in the simplest way. is less than the mean free path at which all the kinetic coeﬃcients are formed. The diagonal matrix element is zero because it contains the same number of phonons. As a result.. CLASSICAL DC TRANSPORT . Its inﬂuence is strong if the characteristic radius of cyclotron orbit. k − q−eΦ0.130 CHAPTER 6. kq = kq cos ϑ and expand the integrand in powers of k.015 0.and Thermomagnetic Phenomena The Physical Reason The external magnetic ﬁeld distort electron trajectories. To estimate the inﬂuence of a weak magnetic ﬁeld on . rc = v⊥ /ωc . We have Nq = 0. At T = 0 only emission of phonons is possible. we get εk − εk (0) = q  1.8 Galvano.
one can expect creation of oﬀdiagonal components of the conductivity tensor with σxy  ∼ σ0 (ωc τ ) . ∂ε (6. Calculations. the resistance one can compare the path between two scattering centers along the circle rc φ (see Fig. Indeed. 131 y φ x Figure 6.. . r) 1 − e E + [v × H] c p f+ f − f0 = 0. Conductivity Tensor. under the inﬂuence of magnetic ﬁeld an electron moves in the [E × H] direction by the distance ∼ rc (1 − cos φ) ≈ (1/2)rc φ2 ∼ ( /rc ) ∼ (ωc τ ) . As a result.6) with the distance 2rc sin φ/2. To get the results in strong magnetic ﬁelds is more tricky and we will do it later. τtr . GALVANO. Another eﬀect that one can expect is the creation of a current perpendicular to the electric and magnetic ﬁeld direction.8.6.48) G ∝ E . 6. The diﬀerence is ∼ rc φ3 . Simpliﬁed version for isotropic case In a magnetic ﬁeld the Boltzmann equation reads (v We look for a solution as f = f0 + (v · G) . We have e ∂ 1 − [v × H] + c ∂p τtr (v · G) = e ∂f0 (E · v) .AND THERMOMAGNETIC ..6: A trajectory fragment. If we put rc φ ∼ we get ∆ρ/ρ ∼ ( /rc )2 ∼ (ωc τ )2 .
As we’ll check. c As a result. The conductivity tensor is easily calculated from the expression ji = −e 2d3 p vi (2π )3 vk Gk . ∂ε 1 + µ2 H 2 /c2 (6. Since ∂ε/∂p = v we have ∂(v · G) G dG = +v v· ∂p m dε Since [v × H] · v v · we get µ ∂f0 ([v × H] · G) + (v · G) = eτtr (v · E) c ∂ε where µ(ε) = (6. We have µ ∂f0 α − γ H 2 = eτtr c ∂ε µ γ (HE) + β = 0 .52) .. (v · H) and (v · [H × E]).51) The quantity µH/c is nothing else than the product ωc τtr We see that in the presence of magnetic ﬁeld there is a current along the direction of [E × H].49) and using the equality ([v × H] · H) = 0 we get µ µ α ([v × H] · E) + γ (H · E)(v · H) − H 2 (v · E) c c +α(v · E) + β(v · H) + γ(v · [H × E])} = eτtr (v · E) ∂f0 . ∂ε Then we can collect the coeﬃcients at (v · E)..49) in the form G = αE + βH + γ[H × E] .8) G = eτtr ∂f0 E + (µ/c)2 (HE) · H + (µ/c)[E × H] . c µ α + γ = 0. (6. =0 eτtr (ε) (6.132 CHAPTER 6.50) m is the partial electron mobility. for a given ε the vector G is independent of the direction of p and depends only on the energy ε = p2 /2m. k .49) dG dε . Substitution this form to (6. (Problem 6. CLASSICAL DC TRANSPORT . It is natural to look for a solution of the equation (6.
∂t dt c dpz = −eEz . Since ∂ε dp e =v· = −v · [v × H] + eE = −e(v · E) . dt and in a weak (comparing to vH/c) electric ﬁeld ∂t1 /∂t = 1 we arrive at the Boltzmann equation ∂f ∂f ∂f − eEz − e(v · E) = Icol (f ) . Note that denominaator of this expression is nothing else then thermodynamic density of states. it is convenient to introduce two diﬀerent variables instead of px and py – the energy ε and the “trajectory time” deﬁned as t1 = c eH dl . of the Boltzmann equation can be written as ∂f ∂t1 ∂f ∂pz ∂f ∂ε + + ∂t1 ∂t ∂pz ∂t ∂ε ∂t where we consider the quantities t1 .1. (−∂f0 /∂ε) (dp) ne2 m ne2 m τtr 2 2 1 + ωc τtr 2 ωc τtr 2 2 1 + ωc τtr 133 . For an isotopic spectrum.7. .8. ε as independent variables.. . General case 5 In the presence of a magnetic ﬁeld. dpx dpy = dε dl/v⊥ or dpx dpy dpz = eH c dt1 dε dpz . we get σzz = σ0 . see Sec. 3. GALVANO.h.s. (6. gT ≡ ∂ne /∂ζ (6. but rather a function of p deﬁned by the equation of motion ˙ p = −(e/c)[v × H]. In the presence of external ﬁelds the l.53) where ne is the electron density while ζ is the chemical potential.55) ∂t ∂pz ∂ε 5 Optional section .6.54) This is not a real time. σxx = σyy = while σxy = −σyx = Here the average A is understood as A ≡ A(p)(−∂f0 /∂ε) (dp) .AND THERMOMAGNETIC . pz . v⊥ (6. According to our previous treatment.
If the orbits are closed one should apply the periodic conditions a(t1 ) = a(t1 + T ) In this case one has to put c = −∞ (Problem 6. pz . ωc = − eH .11). ∂t1 (6. To make estimates we use the relaxation time approximation to get a ∂a + = −e (v(t1 ) · E) . k are x.57) a(t1 ) = c −e (v(t2 ) · E) e−(t1 −t2 )/τ dt2 . CLASSICAL DC TRANSPORT . The electric current is ji = −e 2e3 H =− (2π )3 c vi f (dp) = − dε ∂f0 − ∂ε 2e2 H (2π )3 c pF dε T − ∂f0 ∂ε t1 dpz dt1 vi a(ε. vx = v⊥ cos ωc t1.. and we get in the linear approximation ∂a − I(a) = −e(v · E) . f = f0 + a − ∂f0 ∂ε . We need to analyze the solution of this equation in diﬀerent cases. The function f0 depends only on the energy.56) We should solve this equation with proper boundary conditions. ∂t1 τ The general solution is t1 (6.134 As usual. ycomponents. In the case of closed orbits it is just the periodicity while for open orbits the function should be ﬁnite. mc = 0 dt1 cos ωc t1 − sin ωc t1 t1 −∞ dt2 e−(t1 −t2 )/τ (Ex cos ωc t2 − Ey sin ωc t1 ) . We see that the conductivity is a tensor with the components σik = − 2e3 H (2π )3 c dε − ∂f0 ∂ε pF T t1 dpz −pF 0 dt1 vi (t1 ) −∞ dt2 k vk (t2 )e−(t1 −t2 )/τ . Now we assume that E ⊥ H and i. If the spectrum is isotropic. Now we can extract v⊥ and analyze Ix Iy T vy = −v⊥ sin ωc t1. we search the solution as CHAPTER 6.. t) = dt2 −∞ k dpz −pF 0 dt1 vi (t1 ) vk (t2 )e−(t1 −t2 )/τ Ek .
8.AND THERMOMAGNETIC . We have used the integrals T 0 cos2 ωc t dt = 0 sin2 ωc t dt = T cos ωc t sin ωc t dt = 0.6. For degenerate electrons the integral over the energy locates the internal integral to the Fermi surface. Weak Magnetic Field In weak magnetic ﬁelds. 0 T T 2 . . (6.7). In general jx = σxx Ex + σxy Ey . 3 m2 The ﬁnal result is σ⊥ = ˆ ne e2 1 −2 + ω 2 m τ c τ −1 ωc −ωc τ −1 . jy = σyx Ex + σyy Ey . we come to the integral Ix Iy = 0 dt1 cos ωc t1 − sin ωc t1 × × Ex (τ −1 cos ωc t1 + ωc sin ωc t1 ) − Ey (τ −1 sin ωc t1 − ωc cos ωc t1 ) .58) . (6. Finally we get jx jy =− 2e3 H T (2π )3 c 2 dε − ∂f0 ∂ε 1 2 τ −2 + ωc τ −1 Ex + ωc Ey −ωc Ex + τ −1 Ey 2 dpz v⊥ .. GALVANO. 2 + ωc T Finally. when ωc τ we get σ⊥ = σ0 ˆ 1 ωc τ −ωc τ 1 . It is convenient to employ an auxiliary integral t1 135 dt2 et2 /τ eiωc t2 = et1 /τ eiωc t1 −∞ τ −1 − iωc = 2 τ −2 + ωc = et1 /τ τ −2 1 (τ −1 cos ωc t1 + ωc sin ωc t1 ) + i(τ −1 sin ωc t1 − ωc cos ωc t1 ) . the last integral being pF 2 v⊥ dpz = −pF 1 m2 pF (p2 − p2 ) dpz = F z −pF 4 p2 F . 1 The typical conﬁguration to measure oﬀdiagonal components of the conductivity tensor is shown in Fig.
E x σxy Ex σxx (6. σxx +  + j. CLASSICAL DC TRANSPORT . Usually.. 2 + σxy 2 2 σxx + σxy Ex .. Ey = − σxy = −σyx .136 CHAPTER 6.60) We came to the conclusion that the Hall coeﬃcient depends only on the electron density. If the circuit in ydirection is open we have jy = 0. a ﬁeld Ey = − appears. As a result. it is taken into account by introduction the Hall factor in Eq. In nondegenerate semiconductors the Hall coeﬃcient becomes dependent on the scattering mechanisms. directions.60). σxy j. The resistivity component ρxx = 1/σ0 in a weak ﬁeld because σxy  σxx . 2 Hjx (σxx + σxy )H As we see. (6. Thus.7: Arrangement to measure oﬀdiagonal conductivity components. H + Ey Figure 6. Hσo ne ec (6.59) 2 σxx The creation of a transverse ﬁeld directed along [E × H] is called the Hall eﬀect. It is not the case in real materials because we have canceled the factor τ which in real life depends on the energy. at weak magnetic ﬁeld R=− ωc τ 1 = . etc. the current density being j = jx = ρxx Ex = We have taken into account that σxx = σyy . . The Hall coeﬃcient is deﬁned as Ey σxy R= =− 2 .
AND THERMOMAGNETIC . . We write the function a as a= k ak .56) ∂a0 /∂t1 = 0 . First. [I(ak−1 ) − e (v(t2 )E)] dt2 + Ck . ak ∼ γ k and substitute the Boltzmann equation (6. 0 ak = Then we average all the equations over the time taking into account that ∂a/∂t1 = 0. ∂a2 /∂t1 − I(a1 ) = 0 . we introduce a speciﬁc perturbation theory to solve the Boltzmann equation in strong magnetic ﬁelds. Closed Orbits In this case vx = vy = 0..6. The results obtained above can be used to get estimates also in the case of high magnetic ﬁelds. 137 High Magnetic Field. Consequently.8.61) dt2 0 dpx dpy Ey − Ex dt2 dt2 t1 −e 0 dt2 vz (t2 )Ez + const(v) . I(ak=0 ) = 0. . But we will make more rigorous calculations because many results can be obtained for an arbitrary energy spectrum. we are interested in a1 and we can substitute dpx e = − vy H. . . i. −I(a0 ) = −e(vE). . expansion in power of γ = (ωc τ )−1 . GALVANO. These equations determine the constant items Ci . . ∂a1 /∂t1 − I(a0 ) = −e(vE) . The solutions are: a0 = C0 . As a result. dt c (6. . dt c As a result. t1 a1 = 0 t1 [I(C0 ) − e (v(t2 )E)] dt2 + C1 . . . c a1 = H t1 dpy e = vx H. and C0 depends only on vz Ez .e. . Now we proceed with calculation of the conductivity tensor.
Actually. it is the most common way to determine the carriers’ density. It is very important that the result is independent on scattering mechanisms and the shape of the surfaces ε = const. Note that the components of the conductivity tensor should meet the Onsager principle which in the presence of the magnetic ﬁeld reads as σik (H) =σki (−H) (the reason is that the Onsager principle is derived by use the symmetry with respect to time reversion. Another conclusion is that there is no linear in γ contributions to the diagonal components of the conductivity tensor.. H dt1 The result is σxy = 2ec (2π )3 H T dpz 0 dt1 px dpy 2ec = dt1 (2π )3 H dpz px dpy . jx for the Fermi gas. ρik = γ −1 byx bzx bzy bzz The case of compensated materials with ne = nh (like Bi) needs a special treatment.. Now it is very simple to calculate σxy . The physical reason is that the Lorenz force has diﬀerent signs for electrons and holes and the Hall eﬀect feels the sign of charge carriers. volume The result can be expressed through the densities of electronlike and holelike excitations: ec σxy = − H (ne − nh ). Finally. We have jx 2He2 = (2π )3 c 2e = (2π )3 T dpz 0 T 2e vx (t1 )a1 dt1 = (2π )3 dt1 (px (t1 ) − px (0)) Ey T dpz 0 a(t1 ) dpy dt1 dt1 dpz 0 c dpy + vanishing items . . say. we come to the following structure of the conductivity tensor 2 γ axx γaxy γaxz σik = γayx γ 2 ayy γayz γazx γazy azz while the resistivity tensor ρ = (ˆ )−1 is ˆ σ bxx γ −1 bxy bxz byy byz . Under such a transform magnetic ﬁeld changes its sign). Let us calculate.138 CHAPTER 6. CLASSICAL DC TRANSPORT .
To understand what happens let us consider the case shown in Fig. and the component σyy is not small.H z py Figure 6. Taking the average of the equations of motion (6. As we have seen these currents are produced by the . the quantity a0 contains a component ∝ Ey . 2 γ axx γaxy γaxz σik = γayx ayy ayz . having a sharp crossover at θ → 0. Open Orbits The case of open orbits is more tricky.. We observe that the trajectory in pz direction is inﬁnite while in py direction it is ﬁnite. 6.AND THERMOMAGNETIC . As a result. 6.6.8. It is clear that the temperature gradient also produces electric currents.61) we get vy = − c px (T1 ) − px (0) lim = 0.8: The case of open orbits. and a magnetic ﬁeld leads to oﬀdiagonal transport. 6. eH T1 →∞ T1 vx = 0.8.9. . The schematic angular dependencies of the Hall coeﬃcient and transverse resistivity are shown in Fig. GALVANO.. 139 p x p’ x p’ z p . As a result. . γazx azy azz One can see from Fig.8 that the conductivity tensor strongly depends on the tilt angle of the magnetic ﬁeld. Thermomagnetic Eﬀects.
4. we have 36 kinetic coeﬃcients which obey 15 Onsager relations. 6. see Sec.9: Crossover from closed to open orbits. Although quantum transport is out of the scope of the present part of the course we will discuss the main picture.62) describe many eﬀects.140 CHAPTER 6. wy = 0. . The expressions (6.62) According to the Onsager principle.. In this case we get ∂T B = Hjx ∂y κ (the Ettingshausen eﬀect). (6. In high magnetic ﬁelds all the coeﬃcients become ﬁelddependent. κik (H) =κki (−H). jy = 0. but jx = 0. For example.9 Shubnikovde Haas eﬀect Oscillations similar to the de Haasvan Alphen eﬀect. suppose that x T = 0. All these eﬀects have important applications. ρ xx R θ Figure 6. CLASSICAL DC TRANSPORT . B = N T. in an isotropic material in a weak magnetic ﬁeld one can write j = ρE + R [H × j] + α T + N [H × T ] . Πik (H) =T αki (−H). Consequently.4. As a result. θ ”eﬀective force” (ε − ζ) T /T .. For example. exist also for kinetic coeﬃcients. Another eﬀect is creation of a ﬁeld Ey by the gradient ∂T /∂x (the Nernst eﬀect) Ey = N H(∂T /∂x). w − jζ = Πj + B [H × j] − κ T + L [H × T ] . It is clear that 21 independent components lead to a very complicated picture and usually people study simplest cases. all the kinetic coeﬃcients become tensors. According to the Onsager principle ρik (H) =ρki (−H).
Assume that the electron in the state ν is is situated at the point xE . Let us outline main principles of these eﬀects.7. 0 0 Then we expand the expression up to the linear in E term and get σxx = e2 ν. Quantum oscillations of kinetic coeﬃcients are widely used for investigation of the properties of metals and semiconductors.6. We have have seen that DOS oscillated because of the energy quantization.9. while the state ν has xE > 0. δε = −a2 eEky − ν H 2m 2 H for the energy and xE = x0 + δx0 . Consequently. SHUBNIKOVDE HAAS EFFECT 141 Kinetic coeﬃcients depend both on the density of states and on the scattering probability. To take the electric ﬁeld into account one should analyze the SE in crossed electric and magnetic ﬁeld (H z. Now we introduce the following concept.magnetic coeﬃcients. in its term. The electric current is 0 jx = −e ν. The equation for ϕ has the form d2 ϕ 1 − + 2 2m dx 2m 2 eH c 2 x + 2 eH ky + eE x + mc 2 2 2 (ky + kz) 2m − ε ϕ = 0. The quantum oscillations of conductivity is called the Shubnikovde Haas eﬀect.ν E E f0 (εE ) 1 − f0 (εE ) Wνν − f0 (εE ) 1 − f0 (εE ) Wν ν . and it appears that the last contribution is the most important. 3.ν − ∂f0 (εν ) ∂εv (x0 − x0 )2 Wνν . ωc for the oscillator center x0 (see Sec. The result can be expressed just in the same way as for the case E = 0 with the additional terms 2 2 2 kz mc2 E εE = εN + + δε. is also dependent on the density of states. ν ν ν ν The prime over the sum means that the state ν has xE < 0. Similar oscillations are also present for thermo.2). 0 δx0 = − eEa2 H . The scattering probability. E x) ∂2ψ 1 + − 2 2m ∂x 2m 2 ∂ e + Hx i ∂y c 2 ψ− ∂2ψ + (eEx − ε)ψ = 0. 2 . 2m ∂z 2 2 We can also search the solution as ϕ(x) exp(iky y + ikz z). it also oscillates in magnetic ﬁeld. as well on the scattering matrix element.
Indeed. The key point of the following consideration is that the relaxation rates for the odd and even in p components can be very much diﬀerent. 2 One can see that the result is strongly dependent on the scattering mechanism and oscillates in the case of the Fermi statistics. Consider electron gas in a weak ac electric ﬁeld E(r. ∂t ∂r ∂p (6. Indeed. y). elastic processes do not aﬀect any function dependent only on the energy. and the average distribution function F ( ) = f (p) ≡ (dp) f + (p) δ( p − ) (dp) δ( p − ) is not eﬀected by elastic scattering. we leave in the equation for f − only elastic processes in the collision operator. ∂t ∂r ∂p τtr (6.. f ± (−p) = ±f ± (p) . ν to the 2D diﬀusion coeﬃcient in the plane (x. t). 6.64) . As a result. f (p) = f + (p) + f − (p) .63) Such a procedure is not correct for f + because the main part of f + depends only on the electron energy. thus we come to the old formula σ = e2 dε g(ε) D(ε) − ∂f0 ∂ε where both g(ε) and D(ε) should be calculated with the help of quantum mechanics: g(ε) = ν δ(ε − εν ). D(ε) = 1 g(ε) δ(ε − εν ) ν. the quantity (x0 − x0 )2 Wνν 2 is just the contribution of the states ν. Assuming that inelastic processes are weak. Let us separate odd and even in p parts of the electron distribution function. CLASSICAL DC TRANSPORT .142 CHAPTER 6.. This formula has an explicit physical meaning.ν (x0 − x0 )2 Wνν .10 Response to “slow” perturbations In this section we will discuss electron response to lowfrequency perturbation which vary slowly in space. ∂f − ∂f + ∂f + f − +v + eE + = 0. Thus one has to write ∂f + ∂f − ∂f − +v + eE + I{f + } = 0 .
Here n(r.6. (6.10.64 is F1 /τin where τin is the inelastic relaxation time.and position dependent electron density. 6.s. ωτin .64 and average over the constant energy surface. One can show that the diﬀerence between f + (p) and F ( p ) can be neglected if − eEτtr p.63). q Very low frequancies.66 is most important and one has to vanish this term. In this way (in the isotropic case) we get ∂n ∂2n ∂Ex ∂n0 − D 2 = eD − . (6.66) Because usually in semiconductors at low temperatures τin these quantities can be large even at ωτtr . Thus the solution of Eq. (6.h.66) depends on the dimensionless quantities ωτin . q 2 Dτin . t) = n(r. of Eq 6. t)f0 ( ) . Now let us assume ωτtr and solve Eq. q 1 143 ∂f + ∂f + − eτtr E . t) ∝ f0 ( ) = A(r. 6. In this case the third term in l. r. That can be done assuming that F1 ( . ∂t ∂xi ∂xk ∂xi ∂ Here we have introduced F1 = F ( ) − f0 ( ) and Dik = vi τtr vk . (6. t) is the time. τtr 1. Multiplying this equation by the density of states g( ) and integrating over the energies we get A(r. (6.67) ∂t ∂x ∂x ∂ζ . 1.65) f (p) = −τtr v ∂r ∂p then substitute into Eq. RESPONSE TO “SLOW” PERTURBATIONS where the collision operator includes inelastic processes. The typical estimate for the third term in Eq. t)/n0 . ¯ Neglecting this diﬀerence we arrive at the following equation for F ( ). q 2 Dτin 1. ∂F1 ∂ 2 F1 ∂Ek ∂f0 − Dik ( ) + I{F1 } = eDik ( ) .
∂t we have a usual expression for the current density’ jx = σEx − eD We conclude that at ωτin 1. (6. due to Einstein relation σ = e2 D ∂n0 ∂ζ ∂n + div j = 0 . ∂x Here n..s. We get 0q 2 D = −i 0 qφ + De . (6. CLASSICAL DC TRANSPORT . φ + iqDe = 4πen . 6. q 2 τtr τin 1 one can employ very simple diﬀusion description of the response. respectively.70) (6. and φ are Fourier components of the concentration and the potential. Then all the quantities are ∝ exp(iqx − iωt). Moving all the terms into l. the charge conservation law being (−iω + q 2 D)n + e−1 q 2 σφ = 0 .67 ∂n 1 ∂ + ∂t e ∂x −eD ∂n ∂n + e2 D Ex ∂x ∂ζ = 0.. In the end of this section let us obtain a simpliﬁed expression for dielectric function at low frequencies. and one obtains j = −iq(eDn + σφ) .69) ∂n . . we get instead of Eq.68) This is nothing else than the charge conservation law e Indeed.c.h. d g( ) f0 ( )Dik ( ) . To relate the potential φ to the external ﬁeld one has to employ Poisson equation iqD = 4πen . Let us assume that one applies an external ﬁeld with the electrical induction De exp(iqx − iωt) + h.144 Here ζ is the chemical potential while Dik = 1 n0 CHAPTER 6.
(6.s.65) for the spatially uniform case we get eE ∂f − + I{f + − f0 } = 0 . −iω + q 2 D 2 145 q2σ 1 φ e q 2 D − iω Here τm ≡ 0 /4πσ is the well known Maxwell relaxation time. has a meaning of the power transferred from the ﬁeld to the electrons with a given energy .72) The ﬁrst item in l.11. Using (6. (6. (6. ω) = 0 −iω + q 2 D As ω → 0 q2 + κ2 (q.71) (q. For this case let us calculate the second approximation in the electric ﬁeld. eE ∂f − ∂p + I{f + − f0 } e = 0. ∂p Now we can average this equation over the constant energy surface.11 “Hot” electrons Now let us come back to the static case and discuss the diﬀerence between the function F ( ) and the equilibrium function f0 ( ). “HOT” ELECTRONS Now we can substitute n from Eq.70) as n=− to get −iω + q 2 D + 1/τm q φ0 = −iqDe . Having in mind that E = −iqφ and E = De / (q. 6. Substituting f − from (6.65) and neglecting the diﬀerence between f + and its average over the constant energy surface we get −e2 Ei Ek 1 ∂ ∂F ( ) g( ) Dik ( ) + I{F ( )} g( ) ∂ ∂ e = 0. . 0) = 0 q2 where 4πσ 4πe2 ∂n0 κ2 = = ∂ζ 0D 0 is the square of inverse static screening length.6. The second term is the relaxation rate for the isotropic part of the nonequilibrium distribution function.h. ω) we get −iω + q 2 D + 1/τm .
I{F ( )} = − Here 1 ∂ kT g( ) g( ) ∂ τ 1 + kT ∂ ∂ p F( ).73) 1 1 = (dp) (dp ) δ( − τ() g( ) has a meaning of the energy relaxation rate.146 CHAPTER 6. CLASSICAL DC TRANSPORT . g( ) Let us replace p → p and take a symmetric combination of the expressions. − kT 2 p (6.75) 2τ x dx dx where π 3/2 4 ρ √ τ = √ . We have 1 I{F ( )} e = (dp) (dp ) δ( − p ) [Wpp F ( p ) − Wp p F ( p )] . Wp p = Wpp exp p − p kT Expanding also the distribution function we get ﬁnally Wp p = Wpp 1 + p .. We get 1 I{F ( )} = (dp) (dp ) [δ( − p ) − δ( − p )] 2g( ) × [Wpp F ( p ) − Wp p F ( p )] 1 ∂ ≈ (dp) (dp ) ( p − p ) δ( − p ) 2g( ) ∂ × [Wpp F ( p ) − Wp p F ( p )] .74) Energy relaxation rate for electronphonon scattering To give an example let us discuss the energy relaxation rate for electronphonon collisions. (6. p )Wpp (6. 4 2Λm5/2 kT The typical ratio 2 τ kT kT √ = = 1. √ π 1 d 2 d √ I{F ( )} = − x 1+ F (x) . . Let us calculate the relaxation rate of the power transferred from the ﬁeld to the electrons with a given energy. τtr ms2 s mkT Thus. Substituting the transition probability for the case of deformationalpotential scattering one can rewrite the collision operator through a dimensionless variable x = /kT .. Then let us take into account that − p kT and expand it up to the ﬁrst order in the energy diﬀerence. scattering by acoustic phonons is a quasielastic process.
n0 kT that is as the ratio of the energy absorbed during the relaxation time to the average energy. σ = e2 n0 D/kT .10 If τee τ one can think that the distribution function is ∝ exp(− /kTe ) and substitute F (x) ∝ exp − T x Te . The general solution of Eq. Te . To take it into account one has to add the proper collision operator. Assuming τtr ( ) = τtr (kT ) · xs we get dF d 1 d √ hxs+3/2 + x2 1 + F dx dx x dx Here 2 e2 Ei Ek Dik (kT )τ h≡ √ (kT )2 π = 0. 6. In many cases electronelectron scattering is very much important. We have dF hxs+1/2 + x2 + x2 F = constant = 0 . at large x the function F must vanish as well as its derivative.72).76) is the socalled heating parameter. However.6. (6. we can express h as σE 2 τ . (6. Electronelectron collisions do not remove the energy form the electronic system. they redistribute electrons between diﬀerent energy levels leading to establishment of the Maxwell distribution with some eﬀective temperature. It has a transparent physical meaning.11. Having in mind Einstein relation for nondegenerate electron gas.77) dx Indeed. dξ 2 ξ + hξ 3/2+s A h∼ the constant A being determined from the normalization condition n = kT g(kT ) dx √ x F (x) . (6. We arrive at the qualitative picture of heating shown in Fig. “HOT” ELECTRONS Nonequilibrium distribution function 147 Now we can substitute the expression for collision operator into Eq.77) is x ξ2 F (x) = exp − . (6.
(6. (6. to the socalled “overshoot”). and then solve the equation for the ratio T /Te . It leads to important limitations in electron mobility. At large ﬁelds (E ≥ 105 V/cm) this assumption breaks down. (6. We get x2 − (hxs+3/2 + x2 ) T T exp − x Te Te = 0. Electron heating is important in many devices. In Fig.e.2 K. From electric filed ¢ £ ¢ £ ¢ £ ¢ £ ¤ ¥ ¤ ¥ ¤ ¥ Figure 6.12 Impact ionization We have assumed earlier that the charge carrier remains in the same band.78) To determine Te one can use the energy balance.78) by the dimensionless “energy” x.79) Γ(4) For example. i. and the breakdown occurs at the ﬁelds of few V/cm. (6. multiply Eq.. g. Indeed. One ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ To the lattice ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ (3/2)kT ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¢ £ ¢ £ ¢ £ ¢ £ In the electron gas ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¡ ¤ ¥ ¡ ¢ £ ¢ £ ¢ £ (3/2)kTe ¢ £ ¢ £ ¢ £ ¢ £ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¢ £ ¡ ¡ ¡ ¡ ¡ ¡ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¤ ¥ ¡ ¡ ¡ ¡ ¡ ¡ . the ionization energy of shallow impurities in Ge is about 10−2 eV. Introducing new variable as.11. as well a to a speciﬁc time response (e. CLASSICAL DC TRANSPORT .77). A typical process of bandtoband impact ionization is shown in Fig. integrate over x. 6.254. The most common is impact ionization of shallow impurities where the critical ﬁeld is very low. 6.12 I − V curves of nGe are shown in the temperature range 4.. at s = 1/2 Te /T = 1 + h . 6.148 CHAPTER 6.10: Schematic representation of the carrier energy balance. x = (Te /T )y and making integration over y we obtain the equation for θ ≡ Te /T Γ(s + 7/2) θ − hθs−1/2 − 1 = 0. into Eq.
80) Here AT and AI are the coeﬃcients for thermal and impact ionization processes. BT NA − AI (ND − NA ) At a proper electric ﬁeld. The concentrations of neutral acceptors and holes are assumed to be negligible. It can be found from the expression BT (T.11: The impact ionization process where a high energy electron scatters from a valence band electron producing 2 conduction band electrons and a a hole. E) is the coeﬃcient for the Auger process in which two electrons collide at an ionized donor. (6.6. The breakdown is governed by the equation dn = AT (ND − NA ) + AI n[ND − (NA + n)] dt − BT n(NA + n) − BI n2 (NA + n) . . one being captured with the other taking the excess energy. the denominator vanishes. IMPACT IONIZATION 149 Figure 6. clearly observed a threshold in the current which is masked at large temperatures as the impurities become ionized. NA + n is the concentration of ionized donors and ND − (NA + n) is the concentration of neutral donors. Eb )NA = AI (Eb )(ND − NA ) . At small n NA we obtain for the steady state concentration n0 = AT (ND − NA ) . this is just the breakdown point. Eb . The onset of the breakdown is shown more clearly in Fig. E) is the coeﬃcient of thermal recombination of a single electron with an ionized donor. BT (T. while BI (T.12.13 where the reciprocal Hall coeﬃcient and Hall mobility are shown. 6. To understand the formula above note that ND − NA is the concentration of uncompensated donors. The decrease of Hall mobility is due to crossover to lattice scattering from the impurity one as the electron energy increases. This term is not important at small n.
6. At the same time. Actually. AT (ND − NA ) so the recovery from breakdown must be exponential. Consequently. Impact breakdown is often accompanied my instabilities of I − V curves. it depends only on the degree of compensation NA /ND . τ= then Eq.13 Few Words About Phonon Kinetics. the temperature T is just the temperature of the phonon system.12: Currentvoltage curves of nGe at low temperatures.. phonon system form a thermal bath for electrons.150 CHAPTER 6. it has been studied experimentally. (6. Figure 6. phonon distribution can be nonequilibrium. Such a assumption is based on the belief that phonons have eﬃcient enough scattering which brings them to the equilibrium. CLASSICAL DC TRANSPORT . To analyze the phonon kinetics one can .80) can be rewritten as − dn n − n0 = .. If one deﬁnes a time constant. In particular. it is the case when a temperature gradient exists. In most of our consideration we have assumed the phonon distribution to be equilibrium. dt τ n0 .
τU ∝ exp(Θ/T )). All these processes make the phonon physics rather complicated. Rather we restrict ourselves with few comments. The current density. Consequently. ∂t ∂r sg ≡ ∂ω ∂q where the collision integral is determined by the scattering processes. These processes are rather complicated in comparison with the electronelectron ones because the number of phonons does not conserve.13: Impact ionization at low temperatures in nGe doped by Sb (ND − NA = 2. along with the scattering processes (2 → 2) there are processes (2 → 1) and (1 → 2). Probably most important phenomenon is phonon contribution to thermal conductivity.6. • Scattering by static defects. Indeed. Their −1 −1 frequency and temperature dependencies are diﬀerent (τN ∝ T ω.13. FEW WORDS ABOUT PHONON KINETICS. • Scattering phonons by electrons.2 × 1014 cm−3 ). 151 Figure 6. The most important of them are • Phononphonon processes. Scattering processes could be normal (N) or Umklapp ones. τ −1 ∝ ω 4 ). f ). reciprocal Hall coeﬃcient and Hall mobility are shown. Usually it is the Rayleigh scattering (scattering by imperfections with the size less than the wave length. as well as extrapolated Ohm’s law. investigate the Boltzmann equation for phonons ∂N ∂N + sg = Iph (N. phonon ﬂux transfers the energy and this contribution in many cases is the . We are not going to discuss it in detail.
T ) = τ0 (T )(ε/kT )r ζ −ε T .. the kinetics becomes rather complicated and very interesting. the impurity scattering appears ineﬀective both for phonons and electrons.. As we have discussed. Nevertheless. An electron with an energy spectrum is placed into a magnetic ﬁeld parallel to zaxis. Derive the Drude formula. τph .3.2. CLASSICAL DC TRANSPORT . at low temperatures the phonon mean free path becomes of the order of the sample size. 6.14 Problems p2 p2 p2 y x + + z ε(p) = 2mx 2my 2mz 6. and boundary scattering appears very important. . Dph (ω) = 6. As a result. f0 (ε) = exp and that τtr (ε. the phonon thermal conductivity increases with the decrease of the temperature. π2 3 6.152 CHAPTER 6. Find the cyclotron eﬀective mass and compare it with the densityofstates eﬀective mass deﬁned as √ 3/2 1/2 2md ε g(ε) = . It is the case in many devices of modern electronics. Assume that that the electrons obey Boltzmann statistics. T ) ∝ εr . Nprocesses cannot lead to ﬁnite thermal conductivity and one take into account defect scattering. In this case at low temperatures (when Umklapp processes are not important) electron and phonon systems strongly interact (electronphonon drag). the phonon contribution can be derived in the same way as for electrons. If one introduced the phonon transport relaxation time. Expressing the transport relaxation time as τtr (ε.1. most important. The result is κph = where dω ω gph (ω) Dph (ω) ∂Nω ∂T 1 sg I −1 sg ω 3 is the phonon diﬀusion coeﬃcient. In very clean materials. or Umklappprocesses. Usually.
46).10. T ) = τ0 (T )(ε/kT )r . (6. 6. 6. Derive the condition c = −∞ for Eq. Derive Eq. 153 6.6. Compare thermopower α = η/σ for degenerate and nondegenerate electron gas.27).4.56).44) for the polarization.7.6.26) for the screened Coulomb potential. 6. (6. Derive the expression (6. Derive the expression for the solution of the Boltzmann equation G = eτtr ∂f0 E + (µ/c)2 (HE)H + (µ/c)[EH] . 6. .8. ϕ= Ze −r/rs e . Assume τtr (ε. Derive Eq. PROBLEMS ﬁnd the expressions for Drude conductance at ωτ0 1 and ωτ0 1. r 6. Using the expression (6. Derive the expression (6.9.12.5. ∂ε 1 + µ2 H 2 /c2 Use this expression to calculate the conductivity tensor. 6.71) ﬁnd imaginary part of 1/ (q. (6. Using the WiedemannFranz law compare the coeﬃcients κ and β for a typical metal.14.11. ω) which is responsible for damping of the wave of electrical polarization. 6. e2 / W (θ) = 4πni v 2ε(1 − cos θ) + 2 2 /2mr 2 s 6.
154 CHAPTER 6... . CLASSICAL DC TRANSPORT .
c −iqHz = 155 4π σEy . The Maxwell equations read 1 ∂H 4π curl E = − . Assume that the sample is placed in an external ac electromagnetic ﬁeld.1: Arrangement for the calculation of the skineﬀect. Let all the ﬁelds be proportional to x Metal H E y Figure 7. the propagation direction is x. 7.1 Skin Eﬀect. curl H = j. We get the following equations ω iqEy = i Hz . H z.1: E y. c ∂t c As a starting point we assume that j = σE and consider the arrangement shown in Fig. 7. c z Vacuum . Normal Skin Eﬀect. exp [i(qx − ωt)] .Chapter 7 Electrodynamics of Metals In this Chapter we discuss ac properties of metals.
Only the electrons with small component vx contribute to the interaction with the ﬁeld (the other ones spend a very small part of time within the region where the ﬁeld is present). 7. q2 2πωσ (7. σc2 Ey (0) 4π Ey (0) 4π ω = = 2 . 1940). The picture of the fragment of the electron orbit near the surface is shown in Fig. Let us consider the expression (7. On the other hand. the penetration depth being δ= c 1 =√ . ELECTRODYNAMICS OF METALS 4πiωσ/c2 = (1 + i) 2πωσ/c2 = q1 + iq2 .1) in more detail. We see that the wave dumps in the metal. At low temperatures σ increases and in clean metals it can be large. this expression can be valid only if all the ﬁelds change slowly at the scale of . (θ ≈ π/2). Indeed. ∞ −(c/4π)Hz 0 c Hz (0) c q Anomalous Skin Eﬀect. Using the Maxwell equations we can rewrite Z= Substituting (7. Finally.1) Usually the surface impedance is introduced as a sheet resistance of a surface layer ∞ Z = Ey (0)/ 0 jy dx ≡ R − iX. The part R is responsible for the heating of the metal (surface quenching). The active (R) and reactive (X) components can be measured by monitoring the amplitude and phase of the reﬂected wave. The eﬀective density of electrons participating in the interaction is neﬀ ∼ ne dΩ ∼ ne δ/ .2. 4π . and the solid angle element being dΩ ∼ 2π sin θ dθ ≈ 2πδ/ . the mean free path increases with the decrease of the temperature.1) we get R=X= 2πω . one can face the violation of the simple expression j = σE we have employed. Now we consider the case δ that leads to the anomalous skin eﬀect (London. So the skin depth decreases (at least at high frequencies).156 Combining these equations we get q 2 = 4πiωσ/c2 → q = CHAPTER 7. Introducing the spherical coordinate system with the polar axis along x we estimate dθ ∼ δ/ .
This estimate means that the the mean free path is replaced by the imaginary quantity i/q.1) 4πωσ0 b q= c2 Consequently.2: On the anomalous skineﬀect. 1 2 δ= =√ Im q 3 The surface impedance could be found as Z= 4πω = c2 q 2 b 1/3 1/3 4πiωσeﬀ /c2 eiπ/3 . 157 l δ dθ θ x Figure 7. (7. X = R 3. So. while the complex coeﬃcient cannot be determined by these simple considerations. (7. we come to the conclusion that the eﬀective conductivity should also contain the factor ∼ δ/ . √ We get: Z ∝ ω 2/3 . . The typical √ dependence of the surface conductance R on σ0 is shown in Fig.1. This dependence is conﬁrmed by the experiment. 7.3. It can be shown by exact calculation that σeﬀ = σ0 ib q where q is the wave vector while b ∼ 1. SKIN EFFECT. Now we can use the expression q= and get (Problem 7.7.2) c2 4πσω0 b 1/3 .3) πω c2 2/3 1/3 σ0 (1 − √ 3). It is important that the conductivity σ0 enters only in the combination σ0 / which is determined only by the electron spectrum.
For ne ∼ 1022 cm−3 . s−1 where is measured in cm. We understand that if the frequency ω equals to ωc the returning electrons are each time accelerated by the electromagnetic ﬁeld. yplane being shown in the picture. From the criterion δ ≈ we get ω ∼ c2 pF /(2πne e2 3 ). 7. If the frequency ω of the external electromagnetic ﬁeld is high and the temperature is low the condition δ rc is also met. .2 Cyclotron Resonance Now we consider the case where an external magnetic ﬁeld is also applied. It is clear that the resonance condition depends on the orbit shape and one can study the latter observing the resonance. 1956). pF ∼ 10−19 g·cm/s we get ω ∼ 10−2 −3 .3: Dependence of the surface conductance on the bulk conductivity. For ∼ 10−3 m we get ω ∼ 107 s−1 . 7. This is the source of the cyclotron resonance in metals (Azbel. ELECTRODYNAMICS OF METALS R1 B A σ1/2 0 Figure 7. In this case electrons move along helicoidal lines. We do not demonstrate here quite complicated procedure of solution of the Boltzmann equation.158 CHAPTER 7. Assume that the ﬁeld is strong enough and rc . The main physics is connected with the possibility for some electrons to return into the skin layer while the most part of time they spend in a ﬁeldfree region. To understand the physical picture let us look at Fig. Kaner. let us estimate the border between the normal skin eﬀect and the anomalous one. the projection to x. Finally.4.
vx vy −e(vE)−(−iω + τ −1 )a The ﬁrst two equations give the electron trajectory t2 ∂f0 ∂ε r(t2 ) − r(t1 ) = t1 v(t3 ) dt3 . (6. . To estimate the eﬀect we write down the nonstationary Boltzmann equation ∂f ∂f ∂f ∂f ∂f f − f0 + +v − eEz − e(vE) =− . E as small.54). ∂t1 ∂r Now we remember the characteristic method to solve partial diﬀerential equations. Namely. ∂t ∂t1 ∂r ∂pz ∂ε τ where the “trajectory time” t1 was introduced by Eq. The reason is that the only small group of electrons is important and ”in” term of the collision integral is much less than the ”out” one. we can write dx dy da dt1 = = = . in this equation 1 = τ (p) Wp. CYCLOTRON RESONANCE ϕ m δ P ϕm Q z.2.4: On the cyclotron resonance in metals.7. It is important that the relaxation time approximation is exact in this case.H y x 159 rL Figure 7. p Considfering the electric ﬁeld. we put f = f0 + a − and get ∂a ∂a + (−iω + τ −1 )a + v = −e(vE) . Consequently.p δ(εp − εp ).
they produce a background current.5: Surface orbits.1 It is important. ELECTRODYNAMICS OF METALS It corresponds to the instant position of the electron which feels the ﬁeld E (r(ti )) .t1 ) = −e c v(t2 )E (r(t2 )) exp (−iω + τ −1 )(t2 − t1 ) dt2 where the integration constant can be taken from the boundary conditions. . we get the equation ∂a + (−iω + τ −1 )a = −ev(t1 )E (r(t1 )) ∂t1 The solution is t1 a(r. that we are interested in the function a at a given point r at the time t1 .160 CHAPTER 7. 1 or rc ϕ2 ∼ δ m → ϕm ∼ δ . eﬀective interaction region. We will not do all the calculations. we get δ = rc (1 − cos ϕm ). As we have seen. 7. Rather we will make the orderofmagnitude estimates.4. Consider the orbit depicted in Fig. If we introduce the maximal angle ϕm for 2φm x δ Figure 7. if the orbit does not touch the surface one can put c = −∞. rc The electrons which touch the surface are not important for the resonance. (7. As a result. Now we come to the result for the current t1 ji = e2 (dsF ) vi k −∞ vk (t2 )Ek (r(t2 )) exp (−iω + τ −1 )(t2 − t1 ) dt2 . So we should pick up the electrons with t 2 r(t2 ) = r+ t1 v(t3 ) dt3 .4) This is the general formula and we need to specify all the dependencies.
ϕ) 1 2rc ϕm . Finally. that the only diﬀerence between the contributions is the factors exp(−kw) where w = T (τ −1 − iω) while k = 1. . It is important. So the integral over dθ is of the order of vx max /v or (vy /v)ϕm . 7. ϕ of the normal (see Fig.4) splits into the sum of the contributions corresponding to each excursion. v vy vK(ϕ) 1 − e−w .6).6: The deﬁnition of the Gaussian curvature.7.) = The remaining integral over the FS can be written as dSF → dΩ K(θ. Now we can estimate the integral. . CYCLOTRON RESONANCE 161 The length of the orbit inside the skin layer is ≈ 2rc ϕm . ϕ) is the socalled Gaussian curvature which is just the product K = (R1 R2 )−1 . This is very short period in comparison with the total time T =2π/ωc between successive t1 excursions to the interaction region. 2. . the duration time being 2rc ϕm /vy . vy 1 − e−w (7. after the integration over θ we get the contribution vy ϕm /vK(ϕ). As a result. we get ji ∼ 2e2 (2π )3 dϕ 2rc ϕm vy ϕm vi vk Ek . the integral is proportional to (2rc ϕm /vy )(1 + e−w + e−2w + . ϕ). Picking up everything. . where K(ϕ) ≡ K(π/2. (7.5) where K(θ. . We see that the important electrons move along the sample’s surface. Finally. R1(2) is the principal radius of curvature at the point with the direction θ. n dS R R dθ1 2 dθ2 1 Figure 7. −∞ in Eq.2.
−w K(ϕ) 1−e Here n ≡ v/v. we can put βµ ∼ /rc 1.5. H) ∼ 2e2 (2π )3 dϕ δ ni nk . The result is 2/5 c2 1 1 δ∼ 1/5 (1 + α)2/5 ωσ0 rc and ωδ ω Z∼ 2 ∼ 2 c c 3/5 2/5 −1 1 1/5 rc σ0 2 1− α . We have 2 µ∼ rc ϕm ∼ δrc 1. One could write the usual estimate for the conductivity using the eﬀective number of electrons. we see that if the factor (1 − e−w ) is of the order 1. Then we can proceed as follows. But this result appears wrong because it does not take into account that there is ﬁnite fraction of diﬀuse scattering from the surface. and σs σr . Now we should remember that there are electrons which reach the sample’s surface. 0) ∼ σ0 δ/ for the anomalous skineﬀect. To estimate the corresponding contribution of these electrons we take into account that neﬀ ∼ ne ϕm ∼ ne δ/rc . Most important are the ones shown in Fig. for an estimate. If this fraction is β one can write σs ∼ σ0 ϕm 1 + βµ where µ is the number of the reﬂections from the surface along the path . 7. Introducing α ≡ σr /σs 1 we write eﬀective conductivity as √ δrc σeﬀ ∼ σ0 (1 + α) and substitute it to the selfconsistent equation for the penetration depth (7.162 CHAPTER 7. In the absence of external magnetic ﬁeld w → ∞ and we return to the result σr (ω. This factor takes into account the momentum transfer to the surface. So. 5 . The fraction β has also the estimate β ∼ ϕm for a surface with atomic roughness. and √ ϕm ϕm δrc σs ∼ σ0 ∼ σ0 ∼ σ0 βµ ϕm µ As a result. ELECTRODYNAMICS OF METALS Substituting the estimate for ϕm we get (σr )ik (ω.2).
at the two points marked 3 and 4 on the central section C. To clarify the situation let us recall that ωc = eH/mc where 1 ∂S(pz . These points are connected by the dash line in Fig..g. C) in planes pz = const perpendicular to the magnetic ﬁeld direction are shown on a closed Fermi surface with inversion symmetry. CYCLOTRON RESONANCE From this expression the ratio Zr ∼ Z δ ∼ rc c2 3 ωσ0 rc 1/5 163 1. The problem is that the eﬀective mass is not constant along this line because the energy spectrum is not quadratic.2. only small fraction of the trajectories can be important. .7: Momentum space geometry for the cyclotron resonance. So.7. Most of the absorption comes from a narow band centered about the contour (dashed line) where the velocity of the electrons is parallel to the surface. 2π ∂ε F We are interested in the points where vx = 0 since only such electrons spend lonmg time near the surface. or at those marked 1 and 2 on orbit A. 7. To do this we should analyze the integral 2π ni nk dϕ Bik = K(ϕ) 1 − e−w(ϕ) 0 In the denominator we have 1 − e−w = 1 − exp 2πiω 2π exp − ωc ωc τ Because ωc τ 1 we have the resonances at ω/ωc = k where k is an integer. e. The complication is that ωc depends on ϕ. Now we can estimate the resonant part in more detail. ε) m(pz ) = .7. Several orbits (A. B. These two points coalesce at the elliptic limiting points P and Q where the velocity is parallel to the magnetic ﬁeld. Figure 7.
8. (ϕ − ϕ0 )2 . if ∆ ≡ (H − Hk )/Hk .5) in powers of (ωc τ )−1 . −1 √ 2k ∆b . The integral being determined by the vicinity of ϕ0 .e. ∆>0 I= . ∆ < 0. The integrals I are the same while one should take the (0) sum of the factors Bik (ϕ0 ) in both points (3 and 4). (7. according to Fig. the ones near the sections with maximum density of states. The procedure employed is valid at ωc τ 1. In the opposite limiting case the oscillatory part of the impedance is exponentially small. The √ resonant contribution is maximal at ∆ ∼ (ωτ )−1 : Imax ∼ (1/k) ωτ For k ∼ 1 it means √ Imax ∼ ωc τ . The integral I depends on the relation between the parameters ∆ and (ωτ )−1 . i 2k We see that the result depends on the character of extreme (maximum or minimum). Usually the frequency is ﬁxed while people change the magnetic ﬁeld and monitor the absorption. −1 ∆>0 . It is the case for some magnetic ﬁeld Hk . At b > 0 −1 √ −i 2k ∆b . Thus. In this case. ELECTRODYNAMICS OF METALS i. + ∆/b − i/bωc τ ] In fact.7 there are 2 points of the intersection between the extreme cross section and the line vx = 0. ∆ we get 1 − e−w ≈ w + 2πik ≈ 2πk (ωτ )−1 + ∆ + b(ϕ − ϕ0 )2 . 7. At b < 0 I= 2k ∆b ∆b −1 . ∆ < 0. In real metals there are many interesting manifestations of the cyclotron resonance corresponding to diﬀerent properties of FS. expanding e−w where w is given by Eq. or with extremal eﬀective mass.164 CHAPTER 7. Consequently. at the maximum the ratio Zr /Z acquires the extra large factor √ ωc τ . where ωext = eH/mext c. Z max rc This ratio could be in principle large but usually is rather small. and we get ni (ϕ0 )nk (ϕ0 ) Bik = K(ϕ0 ) ∞ −∞ 2πika [x2 dx (0) ≡ Bik (ϕ0 )I. A typical experimental picture is shown in Fig. we can write ω ωc = 1 + ∆ + b(ϕ − ϕ0 )2 k where the angle ϕ0 speciﬁes the direction for the extremum eﬀective mass while b is a dimensionless constant of the order 1. . and √ Zr δ ∼ . Suppose that we are near the kth resonance ω = kωext . 7.
t − t1 ) E(r1 . ω.3. 7. ω τ −1 we return to the static case. ω) where σ(q. ω) should be analytical function of ω in the upper halfspace to keep the causality. ω) = σ(q. ω → 0 we return to the expression for the static conductivity. In the case q → 0.3 Time and Spatial Dispersion General Considerations In general. At qv. Making use of the Boltzmann equation in the relaxation time approximation we get σik (q.t) is determined by the electric ﬁeld in the vicinity of ˙ the point r and at previous times t1 < t t j(r. the current density j(r. j(q. t) = After Fourier transform we get dV1 −∞ dt1 σ(r − r1 . We see that there are 3 parameters with the dimension of frequency: qv. t1 ) . TIME AND SPATIAL DISPERSION 165 Figure 7.7. and τ −1 . ω) = e2 (dp) vi vk i(qv − ω) + τ −1 − ∂f0 ∂ε . In the general case we can write 1 −i(qv − ω) + τ −1 1 −i(cos ϑ − ω/qv) + (qvτ )−1 = = i(qv − ω) + τ −1 (qv − ω)2 + τ −2 qv (cos ϑ − ω/qv)2 + (qvτ )−2 .8: Typical experimental picture of the cyclotron resonance. ω)E(q.
e. let us consider longitudinal oscillations. 4π ω 2 where ωp = 4πne e2 m (7. we come to the equation for (δne ) ieω − Consequently. ELECTRODYNAMICS OF METALS where ϑ is the angle between q and v. ω) (qE) . We get next to isotropic conductivity σ(ω) ∼ e2 dε g(ε) − ∂f0 ∂ε sin ϑ dϑ dϕ v 2 sin2 ϑ cos2 ϕ σ0 ∼− . we get σ(ω) = i 2 ωp . σ 2 q (δne ) + σi(qE) = 0 egT ∂ne + div j = 0 → ieω(δne ) + σ(q. For σ and ωτ 1 we get σ ∼ e2 dε g(ε) − ∂f0 ∂ε sin ϑ dϑ v 2 cos2 ϑ (qvτ )−1 σ0 ∼3 . This term is connected with the plasma oscillations is an electron gas. ω)q 2 E = 0. We see that σ⊥ (i. for the direction perpendicular to q) strongly diﬀers from σ . As a result. δne = −σ(q. We get the Poisson equation div D = div E = −4πe(δne ).166 CHAPTER 7. ∂t . The case of strong spatial dispersion corresponds to q¯ v ω. 2 + (qvτ )−2 2 qv (cos ϑ − ω/qv) (q )2 ω qv. Then we can apply the continuity equation. e[ω + iD(q. τ −1 . τ −1 The limiting case is called the time dispersion one. ω)q 2 ] and +i 4πσ(q. 4π −iω iωτ If we apply the Drude formula. ω) ω + iD(q.ω)i(qE∗ ) = 0.6) is the plasma frequency. −e Here E∗ = − (ϕ − ζ/e) = E + (1/e)(∂ζ/∂ne ) (δne ) = E + (egT )−1 iq(δne ) . Indeed σ⊥ ∼ e2 dε g(ε) − ∂f0 ∂ε sin ϑ dϑ dϕ v 2 sin2 ϑ cos2 ϕ ω πδ cos ϑ − 4π qv qv ∼ 3π σ0 . Indeed. 4 q This result is connected to the estimates which have been made in concern with the anomalous skineﬀect.
6) in powers of qv/ω and put ω = ωp we obtain the dispersion law for plasma waves (plasmons). that the masses for electrons and ions are diﬀerent. ω) e2 gT 167 As a result. see Problem 7.3. we get the following dispersion law for the waves in a gas eﬀ = +i 4πσ(q. The Jellium Model Now we introduce a very simple but instructive model of the electronion response to the external ﬁeld. as well to make estimates. the eﬀective dielectric function with respect to longitudinal perturbations has the form eﬀ (q. If we expand the relation (7. one should remember. 2 1 − (ω 2 /ω 2 )(qR)2 ω p 2 2 ωp 2 ωp q = − (qR)2 4πe2 gT ω ω At qR 1 we get plasma oscillations. ω) = +i 4πσ(q. ω) . In a quasi static limiting case ω qvF we get eﬀ = q 2 + R−2 q2 i. and for important frequencies the inequality ωi = 4πZe2 M qvF . At the same time. This model is very useful to treat the nature of electronelectron interaction in superconductors.2. ω)q 2 This expression is valid for both ions and electrons and one should sum the contributions to the conductivity. ω)q 2 = − and come to the dispersion equation 1− 2 ωp 1 = 0. ω) = σ(q.6) we get iD(q. TIME AND SPATIAL DISPERSION Here we have denoted D(q. ω + iD(q. the static screening.e. ω)q 2 Substituting (7. ω) = 0.7. As we have seen in the previous section. ω ωp = 4πe2 m . ω + iD(q.
ωq ∼ ωi /R ∼ vF m/M .Coulomb repulsion (1st term) and attraction for small frequencies. ω) CHAPTER 7.4 Electromagnetic Waves in High Magnetic Fields. ω) 2 ωq 1+ 2 2 ω − ωq . ω)Ek . . c2 (7.168 is met. ω ωc or ω ωc .8) ∂a = −e(vE). and one can use the static conductivity tensor. of the order of the sound velocity. The Boltzmann equation for the afunction has the form i(qv − ω) + τ −1 a + We see that if qvF . i. ω) has two parts . As a result. We see that the eﬀective matrix elements of the electronelectron interaction 4πe2 /q 2 eﬀ (q. 7. The dispersion equation is det q 2 δik − qi qk − 4πiω σik = 0. ∂t1 If the FS is closed and the numbers of electrons and holes are not equal we get q2 −4πiωc−2 σxy −4πiωc−2 σxz 2 4πiωc−2 σxy qz −qy qz − 4πiωc−2 σyz −2 −2 2 4πiωc σxz −qy qz + 4πiωc σyz qy − 4πiωc−2 σzz det = 0. ELECTRODYNAMICS OF METALS = 1− 2 ωi R−2 + 2 ω2 q = 2 ω 2 (q 2 + R−2 ) − ωi q 2 ω2q2 or 1 1 q2 = q 2 + R−2 eﬀ (q. R−2 + q 2 For long waves. External magnetic ﬁeld changes drastically the situation because nondissipative oﬀ diagonal part or conductivity exceeds the diagonal one. k (7. We came to the conclusion that in the absence of magnetic ﬁeld an electromagnetic wave decays in the metal. qrc 1 both time and spatial dispersion are unimportant. 2 ωq = 2 ωi q2 . we obtain eﬀ (q.3) q 2 δik − qi qk Ek = k 4πiω c2 σik (q.7) Before starting our analysis let us specify the conductivity tensor.e. To analyze the wave propagation one needs to solve the Maxwell equations which in the absence of the displacement current and for the ﬁelds proportional to exp(iqx − ωt) read as (Problem 7.
3. PROBLEMS 169 Here we have assumed that the vector q is in the (y. As a result. the angle (q. Taking into account that qz = q cos θ we get ω= c2 q 2 cos θ cHq 2 cos θ = . 7. Derive the dispersion law for plasmons.5. 7.7. det q 2 δik − qi qk − 4πiω σik = 0. z)plane. the dispersion equation simpliﬁes as 2 q 2 qz + 4πiωc−2 σxy 2 = 0. c2 . This wave is called the helicon.1. One of them is measurements of the surface impedance in thin plates. Derive the equation (7.2. There are diﬀerent experimental methods to study electromagnetic excitations in metals. Because the largest element in the last row is σzz we come to the estimate for small enough q ∼ 4πωc−2 σxy q 2 ∼ 4πωc−2 σxy ∼ 4πωc−2 σyz 4πωc−2 σzz . 7. Then from the ﬁrst row we get q 2 Ex − 4πiωc−2 σxy Ey = 0 → Ex = i cos θ Ey .5 Problems 1 2 δ= =√ Im q 3 c2 4πσω0 b 1/3 7. Derive the dispersion relation for electromagnetic waves in metals. So the wave is polarized elliptically. z) being θ and have taken into account only the terms of 0th and 1st orders in (ωc τ )−1 . . Changing magnetic ﬁeld people change the wavelength of the waves and it is possible to observe resonances when the sample’s thickness is an integer times the wavelength. Ey . Another approach is to study the interference between the electromagnetic wave and the wave which has passed through a thin plate. There are also waves of other kinds in metals in magnetic ﬁeld.3).7) we have Ez Ex . 4πσxy  4πene − nh  According to the last row of the matrix (7.
170 CHAPTER 7. ELECTRODYNAMICS OF METALS .
we get δε(p. There is another useful approach to study highfrequency properties of good conductors . 8. We see that it is possible to produce an eﬀective force varying as exp(iqr − ωt) and in such a way investigate the Fourier components of electronic response. e is the polarization vector of the wave.1 Landau Attenuation. If we express λik (p)uik = i ik 1 2 λik (p)(qi uk + qk ui ) = i ik ik ik λik (p)qi uk = iqλu (where u is the displacement. The main advantage is that acoustic wave propagate inside the conductors without suﬃcient damping. As a result. The Boltzmann equation for the electrons in the ﬁeld of a sound wave has the form i(qv − ω) + τ −1 a = ik λik (p)(v )uik (r). As far as for good conductors ω σ and q R−1 one can show that it is enough to request the neutrality condition δne = 0 that is the same as eϕ(r) = − Λik (p) F uik (r). i(qv − ω) + τ −1 a = −(qv)qλu.to induce an acoustic wave and measure its attenuation (or its velocity).Chapter 8 Acoustical Properties of Metals and Semiconductors. λ = while n = q/q) we obtain λik (p)ni ek . The interaction between the acoustic waves and the electrons can be written as δε(p. r) = [Λik (p)− Λik (p) F ] uik (r) ≡ λik (p)uik (r). r) = Λik (p)uik (r) + eϕ(r) where the potential ϕ should be determined from the Poisson equation. 171 .
F (qv) i(qv − ω) + τ −1 F (qv)τ −1 (qv − ω)2 + τ −2 The most interesting case is the one of the socalled shortwave sound q 1 which can be met in pure conductors at low temperatures.. Indeed. In this case we see that only the electrons with qv ≈ ω → vq ≈ s (8. (8.1) So. the average interaction being small.2) are important. vF Usually. ˙ This expression should also be averaged over the period 2π/ω of the sound wave. The damping due to the resonant electrons is called the Landau damping. One can immediately express the absorbed power through the distribution function. the attenuation coeﬃcient is measured which is determined as Q ≈ 2ωq 2 g( F )λ2 u2 π Γ= where Eac is the energy density in the wave Eac = 2 ρω 2 u(r.. ACOUSTICAL PROPERTIES. t)2 /2 = 2ρω 2 u2  Q Eac s . The electrons with qv ≈ ω move in resonance with the wave and they feel a slow varying ﬁeld. In the Landau damping region (qv)τ −1 ω s ≈π =π . for Fermi electrons at low temperature we obtain ¯ Q = 2g( F ) Re (−iωδε)∗ a = 2ωq 2 g( F )λ2 u2 F = 2ωq 2 g( F )λ2 u2 Re . 2 + τ −2 (qv − ω) qvF vF F As a result s . This average is calculated in a complex form A(t)B(t) = 2π/ω ω Ae−iωt + A∗ eiωt Be−iωt + B ∗ eiωt 2π 0 = AB ∗ + A∗ B = 2 Re (AB ∗ ) . This condition has a straightforward physical meaning: because vF s most of electrons feel rapidly oscillating ﬁeld produced by the acoustic wave. Q= (dp) ε f = ˙ (dp) ε(p)a(p) − ˙ ∂f0 ∂ε = dε g(ε) − ∂f0 ∂ε ε(p)a(p) ε .172 CHAPTER 8. it has been analyzed at ﬁrst for plasma waves.
1. We get Γ= g( F )λ2 s 2ωq 2 g( F )λ2 u2 π(s/vF ) =π q . 2ρω 2 u2 s ρs2 vF 173 Since λ is of the order of a typical electron energy. To illustrate the situation we analyze the case q ⊥ H. 8. only small parts of the electron orbit in a magnetic ﬁled contributes to attenuation.2 Geometric Oscillations The short wave regime is very useful to study the Fermi surface. . ∂x Thus.2. phases are equal An electron spends diﬀerent time near these planes. ρs ∼ M na s ∼ ne F . ωc τ 1. Indeed.8. for rough estimates we can put λ ∼ 2 2 F . the longest being near the points 1 and 2. An electronic orbit is shown in Fig. These points are the ones where the interaction is most important. The dashed lined show the planes where wave’s 1 2 Figure 8.1: On the geometric oscillations. So g( F )λ2 π ∼1 ρs2 and Γ/q ∼ s/vF 1. only the electrons with v almost perpendicular to q are important. GEOMETRIC OSCILLATIONS while ρ is the crystal density. The coeﬃcient Γ characterizes spatial decay of the wave: ∂Eac = −ΓEac . qrc 1. we have proved that acoustic waves have relatively small damping. As a result. 8.
the corresponding regions for pz are hatched. Then. the period being ∆ (2) (1) 1 H = 2πe 1 .. only the region near the FS (the layer of the thickness ∼ kB T ) contributes to the absorption.2. ACOUSTICAL PROPERTIES. Quantum transport is out of the scope of this part of the course.. If the value . As we know. 8. (8. Let us direct the xaxis along q. and genuine oscillations correspond to the (2) (1) extreme cross sections with respect to py − py . (2) cq py − p(1) y In fact.174 CHAPTER 8.3) is denoted as p. On the other hand.3) Consequently. the oscillations are relatively small (as in the case of the cyclotron resonance). The value of pz corresponding to the condition (8. z The energymomentum conservation laws for the phonon absorption require εN + (pz + qz )2 /2m = εN + p2 /2m + ω → ωc (N − N ) + pz qz /2m = ω. Then. z For realistic sound frequency this condition can be met only for N = N . The eﬀect is more pronounced for open orbits. in a quantizing magnetic ﬁeld the energy spectrum consists of the Landau bands εN = ωc (N + 1/2). y eH Consequently. θ ≡ ∠(q. from the equation of motion dpy e = Hvx dt c we obtain cq (2) ϕ= py − p(1) . The geometric oscillations provide a very powerful way to measure diameters of the FS. As a result. 8. pz ) = εN + p2 /2m. one can control the value of pz changing the propagation direction. if the number of wavelengths at the orbit’s diameter is changed by an integer n the phase diﬀerence is changed by 2πn. and we get pz = mω/qz = msq/qz = ms/ cos θ .3 Giant Quantum Oscillations. if ϕ 1 the afunction oscillates with magnetic ﬁeld. the diﬀerence py − py depends on pz . The Landau bands are shown in Fig. Now let us assume that a function is extreme for a given phase diﬀerence t(2) ϕ= t(1) (qv) dt. ε(N. we will consider a very beautiful quantum eﬀect of giant oscillations of the sound absorption. Nevertheless. H).
3: Giant oscillations of sound attenuation. The typical experimental picture is shown in Fig.4. the attenuation coeﬃcient Γ experiences giant oscillations. the absorption is very small. in typical semicon In the previous section we discussed the case when q ductor materials the opposite inequality. As a result.8. However. .3. Figure 8. q 1. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 175 κΤ µ Energy p pz Figure 8. The giant oscillations provide a useful tool for investigation of the FS.2: Landau levels.4 Acoustical properties of semicondictors 1. is usually met. 8. If magnetic ﬁeld is changed the regions move along the pz axis. The reason is that ionized doping impurities produce rather strong scattering. 8. p is outside these regions. and the typical electron velocity is much less than in a metal.
5) Here summation over repeated subscripts is assumed.. The condition actually q 1 means that one can use a hydrodynamic approach which we used to describe response to “slow” perturbations. D = E + 4πP where P is the polarization created by the acoustic wave. E) ≡ F (T. ACOUSTICAL PROPERTIES. Tensor βi.6) − 4πβi.7) Now we can substitute Eq. 8. In the stationary state j = 0 and δn = − Here φ is the electrical potential.kl ukl ..4. In the case of piezoelectric interaction. so that E = − ϕ. ρ ∂ 2 ui ∂σik = 2 ∂t ∂xk . Here D is the electrical induction. ciklm is the socalled elastic moduli tensor while 1 ∂ui ∂uk uik = + 2 ∂xk ∂xi is the strain tensor. D) − = F0 + ciklm uik ulm − 4π 2 8π ik Ei Ek σ0 ϕ. The piezoelectric interaction mechanism is clariﬁed in Fig.176 CHAPTER 8. (8.6) into the elasticity equation.kl describes the piezoelectric interaction.4) + βi.kl Ei ukl . According to general principles. eD (8.km El . the second relation between δn and ϕ can be extracted from the Poisson equation div D = 4πe(δn) . the stress tensor is σik = The electric induction is Di = −4π ˜ ∂F ∂Ei = uik =const ik Ek ˜ ∂F ∂uik = ciklm ulm + βl. E=const (8. To get a quantitative description let us write the free energy of the deformed crystal (at ﬁxed electric ﬁeld E) as ED 1 1 ˜ F (T. (8. Thus we can write j = σ0 E − eD (δn) where δn is the variation in the electron density. (8.
e As a result.8) 2 ∂t ∂xk ∂xk This equation should be solved together with the Poisson equation (8. ∂δn e + div j = 0 . one can rewrite the full set of equations as (−iω + Dq 2 )(δn) + (cq 2 − ρω 2 )u − βq 2 φ = 0 Elasticity 2 2 4πβq u + q φ − 4π e(δn) = 0 Poisson 2 σq φ + (−iω + Dq 2 ) e(δn) = 0 Continuity (8.4.8. After deformation “center of gravities” of positive and negative triangle do not coincide. and as a result a dipole moment appears.4: A plain ionic lattice without symmetry center.ik (8.9) ∂t Now let us assume for simplicity that the wave is propagating along a principal axis of the crystal (axis x). to get ∂ 2 ui ∂ulm ∂El = ciklm + βl.4) and the continuity equation. For a traveling wave all the quantities should be proportional to ρ exp(iωt + iqx) .11) . ACOUSTICAL PROPERTIES OF SEMICONDICTORS 177 Dipole moment Equilibrium cell Deformed cell Figure 8.10) (8. Thus the continuity equation can be written as σ 2 q φ = 0. Polarization P is just the dipole moment of the unit volume. (8.
R= 4πe2 ∂n ∂ F −1/2 is the screening length.12) where q0 = ω/w = ω ρ/c.. (8. τm = is the Maxwell relaxation time. while χ= 4πβ 2 c 4πσ is the socalled piezoelectric coupling constant. The 1st one yields 2 q 2 = q0 → q = ±q0 . Since usually χ 1 it is naturally to use an iteration procedure.178 CHAPTER 8. In the general case it is natural to look for the solution as q = q0 + q1 . If one puts χ = 0. (8.14) The qualitative picture of such a dependence is straightforward .at low frequencies there is a compensation of electrical and diﬀusion current. A nontrivial solution of this set exists only is the determinant of the corresponding matrix vanishes. the attenuation being proportional to . One easily obtains 2q1 (qR)2 − iωτm = −χ q0 1 + (qR)2 − iωτm to get Γ = χq0 (1 + ωτm 2 2 2 q0 R ) + .. q1  q0 . R it describes overdamped electron density waves.12) is decoupled into two equations. After some straightforward algebra the secular equation can be written as 2 q 2 − q0 1 + (qR)2 − iωτm = −χ . q2 (qR)2 − iωτm (8. then Eq.13) (ωτm )2 (8. where Im q1 characterizes the (amplitude) attenuation of the wave while the power attenuation is Γ = 2 Im q = 2 Im q1 . so it describes usual acoustic waves propagating along (against) the xaxis. The 2nd one yields i√ q= 1 − iωτm . ACOUSTICAL PROPERTIES.
5 1 0. At large frequencies the charge has no time to redistribute in the ﬁeld of the acoustic wave. If the sample is a part of a closed loop with the transport current density j one can rewrite the variation of the transport current as δj = e(δn)vd .5 (curve 3). vd ≡ 1 ∂j e ∂n .6 2 0. 2 + (ω − q0 vd )2 τm (8. 8.8. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 179 Joule heat.4. Frequency dependences of the absorption are shown in Fig.4 1 0.8 0.5: Dependences of the reduced attenuation coeﬃcient. Γ/Γ0 . ω/ωmax for ωmax τm = 2 (curve 1). E=const Substituting this expression to the equations above we obtain Γ = χq0 (1 + 2 q0 R2 )2 (ω − q0 vd )τm . ω 2 . One can see that the dependence Γ vs.2 3 0 1 2 3 4 5 Frequency Figure 8. the maximal attenuation being Γmax = χ w ωmax τm R 4 + (ωmax τm )2 This maximum depends on the product ωmax τm reaching the absolute maximum Γ0 = χ s 4R at ωmax τm = 2.15) . on the reduced frequency. ω has a maximum at ω = ωmax = s/R . 4 (curve 2) and 0.
than the sample can generate acoustic waves (phonons). . for ωmax τm = 2. Find the relation between the amplitudes of electric ﬁles and deformation for the case of acoustic wave in a piezoelectric semiconductor.1. That means ampliﬁcation of acoustic waves by the charge carriers drift.. Hint: A dc current appears in the second approximation in the wave amplitude. Such a system placed in an acoustic resonator is an acoustic analog of the laser. 8. ACOUSTICAL PROPERTIES.6: Dependences of the reduced attenuation coeﬃcient on the reduced drift velocity. Horizontal line indicates the attenuation due to defects and lattice vibrations. Thus jdc = σE − eD(∂ δn/∂x time ≈ (δσ)E = (σ/n) (δn)E . Compare electrical and mechanical energies carried by the wave in a piezidielectric.3.6 One can see that at vd  ≥ s the attenuation coeﬃcient changes its sign. This dependence is shown in Fig.5 Problems 8. V = vd /w. If the gain is larger then the attenuation due to defects and lattice vibrations. Find dc current induced by a acoustic wave in a nondegenerate piezoelectric semiconductor. 8. 8. Figure 8..2. 8.180 CHAPTER 8.
3) without changing of the physical ﬁeld. = φ− c ∂t (9. magnetic ﬁeld H. = (9.2) In this way we automatically meet the ﬁrst and the last ME. as well as for the corresponding inductions D = E and B = µH read 1 ∂B c ∂t 1 ∂D ×H− c ∂t ·D ·B ×E+ = 0 4π J c = 4πρ = 0. E.Chapter 9 Optical Properties of Semiconductors 9. The potentials are not unique. A potentials as E = − B = 1 ∂A − c ∂t × A. φ (9. E and B. c ∂t 181 . the socalled Lorentz gauge is convenient. A φ = A+ χ 1 ∂χ . For many cases. φ and vector.1) It is convenient to introduce scalar.1 Preliminary discussion Basic equations The Maxwell equations (ME) for electric ﬁeld. they can be replaced by new ones. In that case we put ·A + 1 ∂φ = 0.
c. OPTICAL PROPERTIES OF SEMICONDUCTORS Then one can rewrite ME as 2 A− 1 ∂2A 4π = − J 2 ∂t2 c c 2 1∂ φ 2 φ − 2 2 = −4πρ . W ≡ c 2πc2 µ 0 That can be expressed in terms of Nω photons in the volume V according to the relation W = ωNω .4) At J = 0 one can put · A = 0. c ∂t (9. the relation between the wave amplitude and photon density is A0 2 = 2π µc2 Nω .6) √ √ Here c/ µ is the velocity of light. t) = A0 {exp[i(kr − ωt)] + c. µ 2πc2 µ 0 (9. V Thus. and we get the solution A(r.7) 9.8) .5) the ﬁelds being E = −2(ω/c)A0 sin(kr − ωt) B = −2k × A0 sin(kr − ωt) . (9. c ∂t c ∂t (9. The energy density is √ S µ ω2 = A2  .1) J = σE and eliminating B we get the following equation for E 2 µ ∂ 2 E 4πσµ ∂E E= 2 2 + 2 . k = ω µ/c is the wave vector of light. Substituting into (9. ω V (9. The Poynting vector (power ﬂux) is c 1 ck 2 ˆ 2 S= [E × H] = √ kA0  sin2 (kr − ωt) .} .182 CHAPTER 9.2 PhotonMaterial Interaction Now we can formulate a macroscopic theory of photonmaterial interaction. 4π π µ Its time average is ˆ c S = k√ ω2 A2  . φ = 0.
9) Now it is time to introduce the complex refractive index N = n + iβ . At the interface one has partial reﬂection.12) Measuring α and R we ﬁnd optical constants n and β. . so that k=n We have N = µ+i 4πσ . PHOTONMATERIAL INTERACTION Looking for the plane wave solution now we obtain complex k. (9. c c In this way.10) ω ω + iβ . (n + 1)2 + β 2 (9. the solution has the form E = E0 exp iω nz −t c exp − βωz c .9. From the continuity of the tangential component of magnetic induction we get (using ME) (n + iβ)E0 = E2 − E1 . Matching the boundary conditions at z = 0 for electric ﬁeld E0 = E1 + E2 .11).2. ω 183 (9. ω (9. in the media placed at z > 0. Then the solution in the vacuum is E1 exp iω nz −t c + E2 exp −iω nz +t c . Combining the boundary conditions. while in the material it is given by (9.11) The quantity α ≡ 2βω/c is called the (power) absorption coeﬃcient. we obtain E1 R≡ E2 2 = (n − 1)2 + β 2 . Consider an interface between the vacuum and the material at z > 0. k= ω c µ+i 4πσ .
10. . m (9.2 One can ﬁnd a discussion in the book [3]. 9. 9. Let us discuss some limits of these equations ωp = 2 (n + β)(n − β) = 1 − ωp τ 2 2 2nβ = ωp τ /ω .1 To construct a quantum theory. ω(1 + ω 2 τ ) σ0 . and the reﬂection coeﬃcient is close to unity. Low fr As both n and β increase as ω → 0 n ≈ β ≈ (2πσ0 /ω)1/2 . From this expression one ﬁnds the skin depth δ = c/ωβ = (c2 /2πσ0 ω)1/2 = 2 ωp τ . Thus we employ secondorder perturbation theory. At ω close to ωp (plasma edge) both n and β become very small. The corresponding processes are shown in Fig. ω Large frequencies. 1 + iωτ σ0 = ne2 τ . one needs to allow for the conservation laws which include both energy and momentum transfer. For the frequencies above the plasma edge the material is essentially transparent.13) ω Using the linearized Boltzmann equation and relaxation time approximation one obtains (ω) = 1 + i σ(ω) ≡ σ1 + iσ2 = In this way the optical functions are n2 − β 2 = 1 − 2 ωp τ 2 1 + ω2τ 2 2 ωp τ nβ = .184 CHAPTER 9. 1 Im ≈ 1/ωτ . Frequency dependence of the reﬂectivity is shown in Fig.10) and putting function = µ = 1 we can introduce the complex dielectric 4π σ(ω) . Sec. (9. (9. ωτ Re ≈ 1 − (ωp /ω)2 . OPTICAL PROPERTIES OF SEMICONDUCTORS DrudeZener theory Having in mind Eq. 11.14) Here 4πne2 m is the plasma frequency.
6 0.2.15) (9.8 50 10 Reflectivity 0. ±i.15) and deﬁning jx = σE = −envx 1 − i(ω ± ωc )τ 2 (1 − iωτ )2 + ωc τ 2 One can see that the absorption given by σ± = σ0 Re σ± = σ0 1 + (ωc ± ω)2 τ 2 σ0 = .16) is maximal (at ωc τ 1) if ω close to ωc (cyclotron resonance).5 3 Figure 9. 2 − ω 2 )τ 2 ]2 + 4ω 2 τ 2 [(1 + (ωc 1 + (ωc ω)2 τ 2 we obtain e = −eE0 η± eiωt − v × H . Cyclotron resonance and Faraday eﬀect Consider propagation of a polarized light through a transparent medium containing free electrons with the eﬀective mass m in a magnetic ﬁeld H. 0) . c (9.9.1: Dependence of the reﬂection coeﬃcient on the reduced frequency. v.4 0. PHOTONMATERIAL INTERACTION 185 0. The simplest equation for electron velocity.5 w 2 2.5 1 1.2 0 0 0. 2 Solving the vector set (9. It is strongly dependent on the polarization because σ ≈ σ0 for leftpolarized wave and almost vanishes for the . w = ω/ωp . Numbers near the curves indicate values of ωp τ . has the form 1 ˙ m v+ v τ Here the polarization vector is 1 η± = √ (1.
Solid curve is the electron dispersion law. Re{Ex } 2 If damping is small than one can neglect Re{σ} and express the rotation angle through σ (i) ≡ Im{σ} as (i) (i) ωd 2πd 2σ− σ+ θ= (n+ − n− ) = . n± = Re − 4π σ± ω .186 CHAPTER 9.circularly polarized waves having the phases n± z φ± = ω −t .2: Scheme of phononassisted transitions. Introducing the complex refractive index. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 9. the angle between the polarization plane the xaxis is determined from the relation Re{Ey } φ+ − φ− tan θ = = − tan . c Then the complex amplitude of the ﬁeld is Ex = Ey φ+ + φ− φ+ − φ− cos . This is the way to study the carrier’s charge because cyclotron mass is proportional to e. 2 2 E0 exp i Consequently. rightpolarized one. we can decouple a plane wave into a sum of left. 2 2 φ+ + φ− φ+ − φ− = −E0 exp i sin . c c n+ + n− . Straight solid lines show optical transitions while dashed line show transitons involving phonons.and right.
18) The dependence of the reﬂection coeﬃcient on the reduced frequency in shown in Fig. (9. we get at ω. while the minimum corresponds to longitudinal phonons. (9. 2 ω0 − ω 2 − iωγ Here is a residual contribution to dielectric constant while n is the density of oscillators. KramersKronig relation Let us introduce complex conductivity as j(ω) = σ(ω)E(ω) . 9. we identify ω0 as the frequency of the transverse optical phonons. ωc 1/τ θ= πe2 nHd c2 m2 ω 2 (n+ + n− ) 187 This expression is independent of τ and can be used to determine the eﬀective mass. PHOTONMATERIAL INTERACTION As a result. .3 The minimum in that dependence corresponds to ω = ωo From the LyddaneSachsTeller relation ωl = ωo 0 ∞ −1 ≈ ∞−1 0 0 ∞ . Lattice reﬂectivity in polar semiconductors Lattice reﬂectivity can be modeled by the oscillator equation 2 m¨ + mγ x + mω0 x = eE1 exp(−iωt) .17) (ω) = ∞ + 2 ω0 − ω 2 − iωγ Introducing static dielectric constant (ω) = ∞ 0 ≡ (0) we get 0 + 2 ω0 ( 2 ω0 − ω 2 − iωγ − ∞) . Thus 2 ωp .9. x ˙ The dipole moment of the unit volume is 4πP = (ω)E1 = 4πnex = 2 ωp E1 .2.
In time representation.5 Reduced frequency Figure 9.05 0. ∞ = 12.9 1 1.2 0 0.19) should be (t. one can write j(t) = and σ(t) = must be real. w = ω/ω0 .6 Reflectivity 0. Numbers near the curves indicate values of γ/ω0 .8 0. The important point is causality and one must deﬁne σ(t) = 0 at t < 0 .1 w 1.3 1.19) 1 2π dt σ(ω)e−iωt −∞ .2 1.4 1. The integral must vanish.4 0. Thus. Using also the property σ(ω) → 0 as ω → ∞ one can prove that the function σ(ω) is regular in the ωupper semiplane.5 0.3: Dependence of the reﬂection coeﬃcient on the reduced frequency. 0 = 15. Thus the integration limits in (9.188 CHAPTER 9. Im σ(−ω) = − Re σ(ω) . ∞ (9.8 0. Now let us consider a contour integral σ(ξ) dξ ξ−ω along the contour shown below. or Re σ(−ω) = Im σ(ω). σ(−ω) = σ ∗ (ω) . Thus dt σ(t − t ) E(t ) . OPTICAL PROPERTIES OF SEMICONDUCTORS 0. ∞).
Using the relation [f (ˆ). An important consequence . For example.3 Microscopic singleelectron theory 1 e ˆ p + A(ˆ) r 2m c 2 The Hamiltonian has the form H= + eφ + U (r) . P As a result.4: Integration circuit.20) These relations can be generalized for a dielectric function (ω). p] = i r ˆ ∂ f (ˆ) r ∂ˆ r .3. ∞ 1 Re σ(ξ) P dξ π −∞ ξ − ω ∞ Im σ(ξ) 1 dξ .21) An important point that momentum and coordinate do not commute. 0 9. Im σ(ω) = − P π −∞ ξ − ω σ(ξ) dξ − iπσ(ω) = 0 . Thus 2 ωp = lim {ω 2 [1 − (ω)]} . (9. ξ−ω Re σ(ω) = (9. and 2 (ω) − Re (∞) = −ωp /ω 2 . we know that at ω ωp β → 0.9. MICROSCOPIC SINGLEELECTRON THEORY 189 ω Figure 9. ω→∞ Using KramersKronig relation one can show the if Im (ω) decays faster that ω −3 than 2 ωp = 2 π ∞ ξ Im (ξ) dξ .summation rules.
corresponds to photon absorption while + is for emission.21) as H= p2 e ie + A·p− 2m mc 2mc ·A+ e2 A2 + eφ + U (r) . 2mc2 (9. Thus we specify the amplitude as ˜ A0 2 dω = 2π c2 Nω gph (ω) dω ω to get the following expression for the transition probability with absorption. (9. (9. c ≡ c/ µ.190 CHAPTER 9.23) The Fermi golden rule leads to the expressions for the scattering rate W (i) = 2π f  f H i  δ(Ef − Ei 2 ω) (9. Here we have to specify in what we are interested in.24) where . It can be written as the product N = Nω gph (ω) where ω2 gph (ω) = 2 3 2π c ˜ √ is the photon density of states. OPTICAL PROPERTIES OF SEMICONDUCTORS we can rewrite Eq. (9. Let us chose the gauge A = φ = 0. we shall consider the radiation as a classical ﬁeld and use the timedependent perturbation theory which yields scattering rates. If we are interested what happens with the electrons we have of sum over the phonon distribution. Assume the radiation ﬁeld to be small.25) Here pA is the projection of the electron momentum to the direction of A. Namely.22) Hereby we will use semiclassical radiation theory as most simple. Thus one can decouple the Hamiltonian as H = H0 + H where 2 H0 = − H 2 2m ie = A· mc + U (r) . W (a) 4π 2 e2 Nω gph (ω) (ω) = m2 ω 2 d 3 ∗ r ψp exp(ikr)ˆA ψp p ∗ . such as the linear term (ie /mc)A · /(h2 /2m) 2  ∼ eA/pc 1.26) . Deﬁne photon ˆ intensity as I(ω) = V 2 ωNω gph (ω) we can write the ﬁnal expression as W (a) 4π 2 e2 I(ω) (ω) = 2 2 2 m Vω 2 d 3 ∗ r ψp exp(ikr)ˆA ψp p ∗ . (9.
4. one can neglect the photon wave vector. . Thus we are left with vertical transitions with matrix elements uck pA uvk where c. The result can be expressed through electron density of states. The ﬁrst item in r.h. of Eq. and 1 p2 1 ω= + . W (a) (ω) = 4π 2 e2 Nω gel (Ef ) m2 ω 2 ∗ d3 r ψp exp(ikr)ˆA ψp p ∗ .28) k Interband transitions Bulk materials Consider bandtoband transition in direct gap materials. Indeed. SELECTION RULES 191 For the situation when one is interested in light absorption it is necessary to sum over the electron states. For near bandedge transitions one can use the function in the BZ center. Usually one can put eikr ≈ 1 (dipole approximation). gel . 2 me mh The only result of quantum theory of radiation is that it changes Nω → Nω + 1 in the expression for the emission rate (spontaneous emission).s. (9. v denotes conduction (valence) band.4 Selection rules 2 The selection rules are dependent on the matrix element Mif = ∗ d3 r ψf eikph r pA ψi ˆ ∗ . 1 d f pi = f ri = iωif f ri . 9. We have the following speciﬁcation of the states • Conduction band: uc0 = s spherically symmetric. The last term requires k = k because centralcell functions are periodic. When the states have Bloch form ψkl = eikr ukl (r) the explicit expression for dipole matrix element is ∗ Mif = k ψk l ψkl d3 r − i u∗ l ( ukl )ei(k−k )r d3 r .27) It is important that the transition is almost “vertical”.9. (9. m dt ωif = Ei − Ef . (9.28) is 0 (Bloch states are orthogonal!).
= = = 3 sin θ cos φ . −1/2 Remember that px py py Symmetry allows the transitions px px s = py py s = pz pz s . OPTICAL PROPERTIES OF SEMICONDUCTORS – Heavy holes: 3/2. . −3/2 – Light holes: 3/2. Quantum wells The discussion above can be generalized for quantum wells. 1/2 3/2. Two facts are important • The centralcell functions are only weakly eﬀected by conﬁning potential. 3/2 3/2. Thus measuring the matrix elements in the units of px px s we obtain √ HHpx s = HHpy s = 1/ 2 √ LHpx s = LHpy s = 1/ 6 √ LHpz s = 0 . 4π 3 cos θ . 4π 3 sin θ sin φ . LHpx s = 2/ 6 .29) These rules have important implications for polarization dependencies of the light absorption.192 • Valence band: CHAPTER 9. 4π 1 = − √ [(px + ipy ) ↓ −2pz ↑] 6 1 = √ [(px − ipy ) ↑ +2pz ↓] 6 1 = − √ (px + ipy ) ↑ 2 1 = √ (px − ipy ) ↓ 2 (9.
Bulk semiconductors 4πe2 a · pif 2 g3D ( ω) . let us introduce a relation between the scattering rate and absorption coeﬃcient. r e h Before summarizing. m2 cη( ω) √ 2(mr )3/2 ( ω − Eg )1/2 (parabolic bands) . Here mr is reduced eﬀective mass. gel ( ω) = π2 3 α( ω) = W (a) . ν The main diﬀerence is replacement of the 3D density of states √ 3/2 2m ( − Eg )1/2 3D gel ( ) = π 3 by its 2D analog 2D gel mr = W π 2W m n gv gc Θ(En m − ω) .4. νm n gv gc ≈ δnm . W (a) = α˜Nω . vkh AW ν (9. We have.32) . c Consequently.9. nm n m Enm = Egap + Ec + Ev . SELECTION RULES 193 • The absorption at low enough frequencies is important only in the well region because barriers have wide gaps. m−1 = m−1 + m−1 .31) For symmetric conﬁning potentials. cNω ˜ (9. α= Summary Now we can give a summary for interband transitions.30) Thus we have 2D Mif = 1 AW νm n gv gc ν d2 ρ ei(ke −kh )r uνm pA un e vkh ck (9. The states are n ψc = √ m ψv 1 n eike ρ gc (z)un e ck AW 1 νm = √ eikh ρ gv (z)uνm .
5 and 9. (9. 9. Quantum Well α( ω) = g2D 4πe2 a · pif 2 m2 cη( ω) W 2 fnm Θ(Enm − ω) .34) The total photon density of states if photons are emitted in 3D space is 2ω 2 gph ( ω) = 2 2 2π c ˜ where coeﬃcient 2 allows for 2 transverse modes for each q.5: Absorption coeﬃcient in GaAs. m2 cηω (9.33) fnm represent the overlap between n and m subband overlap functions. Note that excitonic eﬀect can change the results inside the bandgap. The recombination rate for a bulk material is Wem = 4πe2 a · pif 2 (Nω + 1)gph ( ω) . It is a consequence of the assumption that the wave function is localized inside the well. nm g2D = mr /π . This expression can be easily modiﬁed for quantum wells. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 9.194 CHAPTER 9. Here a · pif denotes the dipole matrix element. . a is the polarization vector.7.6 Important feature is 1/W dependence in the case of quantum well. 9. Some experimental results are shown in Figs. In real life the upper states are spread outside the well. while η is the refractive index of the material. see Fig.
one has also to sum over the angular momentum . (9. The higher subbands become closer spaced and eventually one gets bulk absorption coeﬃcient. Here Γ is the socalled optical conﬁnement factor which is just the fraction of optical intensity in the active region.4. We have calculated the rates assuming that initial state is occupied but ﬁnal is empty. one has quasiFermi distributions for electrons and holes. 9.7 As quantum well structure for inplane poA larized light. What we need. fe(h) the result being G( ω) = 4πe2 d3 p a · pif 2 2 cηω 3 m (2π ) × [fe (Ee (p)) + fh (Eh (p)) − 1] δ [Ee (p) − Eh (p) − ω] . It can be positive only if fe (Ee (p)) + fh (Eh (p)) > 1 (population inversion). SELECTION RULES 195 Figure 9. One gets a very similar form for a quantum well by replacement the states p → n.6: The same for 100 ˚GaAs/Al0. E − µe(h) = 1 + exp ± kT −1 . In general. p . The HH transition is ≈ 3 times stronger than LH transition in this polarization. In general.9. is to average the result in a proper way to extract relative number of such conﬁgurations.3 Ga0. ΓG = αloss .8 The main requirement is to compensate losses by gain G( ω).35) Here we calculate the diﬀerence between (induced) emission and absorption rates. Few words about semiconductor lasers A typical band proﬁle to get a lasing eﬀect is shown in Fig.
An important contribution which can be optimized is Auger processes. Indirect interband transitions When the energy and momentum conservation law cannot be met..196 CHAPTER 9.10 We have to employ the secondorder perturbation theory. of reduced density of states (quantum wells!!) An important feature is the threshold current that is the product of the electron charge eRrec where Rrec is the recombination rate due to spontaneous photon emission and nonradiative processes.7: Schematic structure of wave functions. In the most cases. In this case the necessary momentum can be supplied by a phonon in course of phononassisted transition.9 They can be direct or phononassisted (trapassisted. Fig.10 can contribute. However. Let us consider an example. then indirect transitions come into play. Hint = Hph + Hep . there are states at some other values of p where the energy conservation can be met. The main directions to obtain lasing – increase of optical conﬁnement. 9. W = 2π n f Hint n nHint i Ei − En 2 δ(Ef − Ei ) d3 p . It must be as small as possible. 9. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 9. Fig. (2π )3 The interaction Hamiltonian is a sum of the contributions of electronphoton and electronphonon interaction. states of the holes. the most important are the transitions with m = n. etc). One has to pay for that because this process involves 2nd order perturbation theory. Let us consider a situation when phonon energy is less than direct gap. indirect transitions . 9. Both combinations shown in Fig. Auger processes are very harmful for lasing. and people try to decrease them. In any case.
The width of the active region dimensions in the quantum well ≤ 100 ˚. . A reverse one is called impact ionization.4. CHCC Auger process Figure 9. SELECTION RULES 197 Cladding layers Active region Quantum well active region Figure 9.8: Typical band proﬁles used for bulk (upper panel) and quantum well (lower panel) lasers. A while in double heterostructure laser it is ≥ 0.1 µm.9: A typical Auger process.9.
5 Intraband Transitions Bulk semiconductors Intraband transitions must involve a phonon. Thus pif = − i W g 2∗ (z)e−ikρ a g 1 (z)eikρ d2 ρ dz .198 CHAPTER 9.10: A typical indirect transition. or some other scattering mechanism. However. The secondorder process is very much similar to the one discussed above. If k is in the ρplane. Consider 2 subbands with wave functions ψ i = g i (z)eikρ ui (r) . then the matrix element is 0. lead to an additional small coeﬃcient corresponding to electronphonon coupling. while the central cell functions are essentially the same for all the subbands. nk The functions gi (z) are orthogonal.11. 9. Quantum wells A remarkable feature . if the light is polarized in zplane. It is very important for lasers because it is responsible for losses in cladding areas. Fig. z W ∂z . OPTICAL PROPERTIES OF SEMICONDUCTORS Phonon c Photon Photon v Phonon Figure 9. 9.possibility of intraband (but intersubband) transitions in the lowest order. One can trace that comparing the absorption proﬁles for GaAs and Si. then i ∂ pif = − g 2∗ (z)ˆ g 1 (z) d2 ρ dz .
we get Wabs = 4π 2 e2 Nω 1 m2 ω W pif 2 δ(Ef − Ei − ω)f (Ei )[1 − f (Ef )] .5. Assuming that only one subband is ﬁlled and introducing electron concentration as Nc = f δ(Ef − Ei − ω)f (Ei ) we could obtain the result.44σ What is important that the absorption is strongly dependent on the polarization of the incoming light. f W . If electric ﬁeld is parallel to the 2D plane then there is a weak freeelectron . Any way. and pif ≈ Finally.44σ Physics of the broadening is rather complicated (disorder.44πσ)1/2 1. (1. a Gaussian broadening is assumed. Usually. m cηω W (1.44πσ)1/2 1. we get 4π 2 e2 pif 2 1 (E − E12 )2 α( ω) = 2 exp − . INTRABAND TRANSITIONS 199 Figure 9.9. then the integral is ﬁnite. If the states have opposite parities..11: Absorption coeﬃcient of Si and GaAs. in 2D case the joint density of states is inﬁnite in the resonance if both subbands have the same dispersion law. However. phononrelated processes). 1 (E − E12 )2 g(E) = exp − .
lead to photoionization.12: Energy proﬁle a quantum well (left panel) and schematic behavior of absorption coeﬃcient (right panel). e. otherwise dψN (z) ∗ pif ∝ dz ψM (z) = 0.36) T exp(ikz) in the region III Here k2 = 2mε 2 . s = 1. Then we have to match both the functions and their derivatives at two boundaries. dz Note that this rule is opposite to the case of interband transitions. For a scattering state in the continuum spectrum.12). the wave function for the incoming energy ε can be written as exp(ikz) + R exp(−ikz) in the region I B exp(iKz) + C exp(−iKz) in the region II . OPTICAL PROPERTIES OF SEMICONDUCTORS ε1 I ε2 W Absorption ε x Resonant ω3/2 Nonresonant II III Frequency Figure 9. 2 + (K − k)2 exp(2iKa) (K + k) It is clear that at small k (k K) the coeﬃcient B (as well as C and T ) are small. K2 = 2m(W + ε) 2 . ψε = (9. . a properly polarized light can induce transitions from discrete to continuum states. However. . absorption. The selection rules (for symmetric quantum wells with isotropic spectrum) imply that the transition can take place only between the states with opposite parity. For example. 9.. Thus the electrons are reﬂected from the well. Let us sketch the calculation for a rectangular well with the depth W (Fig. i. In such a situation.200 CHAPTER 9. 2. 2k(k + K) B= . The resonant absorption discussed above is possible only if the light is polarized perpendicular to 2D gas. at Ka = sπ/2. In the wells with ﬁnite depth. there is a continuum spectrum above discrete states. we have B = c = 1/2 ..
the well behaves as FabriPerot resonator for de Broglie waves. py . INTRABAND TRANSITIONS 201 That means full penetration . Only for these states overlap of wave functions is signiﬁcant. e. There is also spin splitting. 2mr 1 ≡ mr 1 1 + me mh . 2m n = 0. (9. Now let us discuss the behavior of the absorption close to the threshold ( ω = W ).39) Thus. .38) (9. ∆E± = gµB Bz . . The account of these eﬀects is beyond the scope of this course. mr c 2mr c e A0 epvc 2 δpy . mc n .py δpz . One can show that for the socalled nonresonant wells with √ 2mW = s /a √ the absorption is small and proportional to ω − W + ε1 . . 2. these “resonant” states are very important. (9.5. 1.37) where eB .9. the fundamental edge must be shifted ∝ B. the energies (for parabolic bands) being n = n+ 1 2 ωc + p2 z . Above we ignored frequency dependence of dielectric function which might be important near resonant transitions. As a result. Interband transitions in a magnetic ﬁeld In a magnetic ﬁeld. pz }. As it is well known. while for the resonant ones it −1/2 is proportional to ( ω − W + ε1 ) . the quantum numbers of an electron in a magnetic ﬁeld are {n.pz δnn . i. . for small ε. One can easily show that because one can neglect the photon wave vector the dipole matrix element can be expressed as Pvc = Thus the transition probability is Wvc = 2π e2 A0 2 epvc 2 m 2 c2 dpy dpz δ π2 2 ω − Eg − (n + 1/2) eH p2 + z . Landau levels are formed in the conduction and valence bands. mc Thus the band edge moves to give the energy gap as ωc = Eg (B) = Eg (0) + e B. µB = e /2m0 c . Now let us estimate the absorption coeﬃcient.
Implications . Elliot. In heterostructures. Thus one observes sharp excitonic transitions. Excitonic states are known since 1931 (Frenkel).40) 9. Calculate dipole matrix element for the transitions between the subbands in a rectangular quantum well of width W with inﬁnite potential barriers. e2 ωc α= 2 epvc 2 m ωnc Thus. In particular. Knox. Now we turn to the role of electronelectron (electronhole) interaction. due to spatial conﬁnement. Deﬁne ω from the request that the typical spread of the ground state wave function is W and compare the result with the case of rectangular conﬁnement. Consider a simple example. OPTICAL PROPERTIES OF SEMICONDUCTORS The following calculation is straightforward. Further work – Peierls. one can tune exciton transitions . Wannier.7 Excitons In the previous discussion we employed the independent electron approximation. there are maxima at ωmax − Eg − ( eH/mr c)(N + 1/2) = 0 . The eﬀect of other electrons enters only through the occupation probabilities without altering eigenvalues of the electronic problem. 9.2. dpz δ A − Finally. etc. In poorer quality samples these states merge with bandtoband transitions.highspeed modulation of optical signals. The oscillator strength is also increased. 9. Assume that light is polarized perpendicular to the well. 1 ω − Eg − ( eH/mr c)(N + 1/2) (9. 2mr 2 N 3/2 p2 z = Lz 2mr mr /2A . optoelectronic switches. We use the following simpliﬁcations dpy = Lx eH/c . There energy positions can be tuned by electronics and optics.6 Problems 9. Make a similar calculation for a parabolic conﬁnement U (z) = (1/2)mω 2 z 2 .1. In bulk materials the binding energy is very low and such states can be observed only in pure materials and used for their characterization. the binding energy increases.202 CHAPTER 9.
The second leads to the hydrogen atom problem. me + mh .42) me ke + mh kh . k = to get H= K2 + 2(me + mh ) 2 R= me re + mh rh me + mh K = ke − kh h2 k 2 e2 − 2mr 2r (9.7. • “bleaching” of exciton transition by high electronhole density.41) Then we introduce new coordinates r = re − rh .7. EXCITONS 203 cband (empty) cband Coulomb interaction + vband (full) vband Figure 9. h2 k 2 e2 − 2mr 2r F (r) = EF (r) . We will discuss the latters because they are relevant to semiconductors. For them we use the eﬀective mass theory for the envelope function.1 Excitonic states in semiconductors There are two types of excitons – Frenkel (small radius) and WannierMott (large radius). The 1st term gives solution ψcm = exp(iKR) .9. . • by application of a transverse electric ﬁeld (quantum conﬁned Stark eﬀect). 9. 2 2 2 e − 2me − 2mh 2 h − e2 re − rh  ψex = Eψex . (9.13: The band structure of independent electrons (left) and Coulomb electronhole interaction which would modify the band picture (right).43) Here mr is the reduced mass. (9.
where a is the lattice vector. As a result ψnK = eiKR Fn (r)φc (re )φv (rh ) where φc.44) Em = − mr e4 1 .204 CHAPTER 9. Thus the proper basis functions are Φcαe . 2 i=j ri − rj  Because of translational symmetry. In general. The excitonic state then can be constructed as a linear combination of the .46) where αc(v) ≡ {k. OPTICAL PROPERTIES OF SEMICONDUCTORS ke kh k Figure 9. ψex ({ri + a}) = eiKa ψex ({ri }) .v are central cell functions. 1 e2 He = H0 + .14: Schematic picture of an exciton in Bloch representation.14. 2 2 2 n2 (9. 9.45) Typically. 2(me + mh ) 2 (9. The eigenvalues are EnK = En + K2 . E1 = 2 − 6 meV. S} describes momentum and spin state of the electron or hole.vαh (9. We need to develop a perturbation theory to ﬁnd an interaction between light and excitons. see Fig.
A the lattice constant a. K) ≡ Ec (k + K/2) − Ev (k − K/2)k→−i . In the case of simple parabolic bands the solution is simple and coincides with given above.7. (9.v. The envelope ground state wave function is F100 = 1 πaex 3 e2 Fβ (r) = Eex Fβ (r) . Namely. 9. In this way we come back to the real space.9.47) where the set of quantum numbers β ≡ {n.50) . Now we employ the generalized eﬀective mass approximation assuming that the exciton has large scale and the coeﬃcients Aβ (k) are localized in kspace. we arrive at W = 2π eA mc 2 2 δK apif 2 k A(k) δ(Eex − E0 − ω) . Assuming that pcv is k independent.7. K) − Here Ecv (−i .k−K/2.48) e−r/aex . Fβ (r) = Aβ (k)eikr k which obeys the hydrogenlike equation Ecv (−i . respectively. The typical value of aex is about 100 ˚.49) than ˚ Here aB = 0. aex = ( m0 /mr )aB . EXCITONS building blocks (9. Note that is a quite complicated function which can strongly diﬀer from static dielectric function at large carrier concentrations. (9. Rex = mr e4 /2 2 2 .Se .k+K/2.Sh (9. ex En = Eg − Rex /n2 . β ψex = k 205 Aβ (k)Φβ c. l.2 Excitonic eﬀects in optical properties The transition rate from the ground state ψ0 to the excitonic state ψK (according to the Fermi golden rule) is W = 2π eA mc 2 2 δK k A(k) apcv (k) δ(Eex − E0 − ω) .529 Ais the Bohr radius. m} characterizes the energy eigenvalue index and angular momentum indices.46). r (9.
206 From the deﬁnition,
CHAPTER 9. OPTICAL PROPERTIES OF SEMICONDUCTORS
Aβ (k) = Fβ (0) .
k
Finally, for the ground state we have W = 2π eA mc
2
δK apif 2
δ(Eex − E0 − ω) . πa3 n3 ex
(9.51)
In a realistic case, δfunction is broadened. An important note is that we have a selection rule K = 0. This is why the transition is discrete even though the excitonic states are extended. As a result, we arrive at the following picture. Inside the gap there are sharp excitonic lines with intensities proportional to n−3 . They become closer and closer as n increases. One can introduce exciton density of states as gex = 2(∂n/∂E) = n3 /Rex . Then it is easy to rewrite the absorption coeﬃcient α inside the gap through αF – the absorption coeﬃcient without excitonic eﬀects, α = αF 2πRex . (Eg − ω)1/2
1/2
ω≈Eg
(9.52)
Thus α reaches a constant at the band edge. Above the gap one can obtain πxeπx α = αF , sinh πx x= Rex ω − Eg
1/2
.
Far enough from the edge the result tends to the one for the absence of the excitonic eﬀects. A typical experimental plot is shown in Fig. 9.15 Very instructive is luminescence at low temperatures where electrons an holes freeze out in the excitonic states. Here one can clearly observe free excitons, as well as various bound excitons.
9.7.3
Excitonic states in quantum wells
To illustrate peculiarities of the quantum wells let us consider ﬁrst a shallow Hlike center in a well 0 ≤ z ≤ a. We have to solve SE of the type
2
−
2
2m
Ψ−
e2 x2 + y 2 + (z − z0 )2
Ψ = εi Ψ .
(9.53)
Here we assume that the structure has the same dielectric constant of all the parts. Such an assumption is good for heterostructures but fails for MOS systems. Also it is assumed that the eﬀective mass approach is valid.
9.7. EXCITONS
207
Figure 9.15: Measured absorption in GaAs at the temperatures 294, 186, 90, and 21 K. At room temperature the excitonic transitions merge with bandtoband absorption. The boundary conditions for inﬁnite potential are Ψ(0) = Ψ(a) = 0 . Let us consider a simpliﬁed situation when aB a. (9.54)
Then one can neglect the item (z − z0 )2 in Eq. 9.53. In this case the variables z and ρ = x2 + y 2 are decoupled, and Ψ = φ(ρ)χ(z) . The solution of the 2D problem (see e. g. [6]) lead to eigenvalues −ε0 /(i − 1/2)2 where ε = me4 /2 2 2 is the 3D Rydberg energy. Thus εN,i = εs N 2 − ε0 , (i − 1/2)2 εs = π 2 . 2ma2 (9.55)
According to inequality (9.54), ε0 εs . That means that each level of size quantization has impurity satellites. It is important that for all the N = 1 impurity states overlap with continuous spectrum of lower subbands. Consequently, it has a ﬁnite life time even in the absence of collisions. In the limiting case (9.54) the energy of ground state is 4 times larger than in the 3D case. Beyond his limit the energy is between ε0 and 4ε0 , it depends on the position z0 . As a result, a sort of “impurity band” appears. Another assumption which was used is the inﬁnite potential. It is valid until aB δ= .
m(W − ε1 )
208
CHAPTER 9. OPTICAL PROPERTIES OF SEMICONDUCTORS
In the opposite case the calculations are rather cumbersome, especially when eﬀective masses within the well and the barrier are diﬀerent. Now we can reformulate the results for the excitons. In this case SE has the form − e2 2me
2 e
−
e2 2mh
2 h
Ψ−
e2 (xe − xh )2 + (ye − yh )2 + (ze − zh )2
Ψ = εex Ψ .
(9.56)
Under the condition (9.54) we can also drop zdependent part of the denominator. Thus we are left with 2D problem. It is natural to introduce new variables R= Consequently, Ψ(re , rh ) = ψN (ze )ψM (zh ) exp(iKR)Φ(ρ) . As a result, the equation for Φ diﬀers from similar equation foe an impurity state by the replacement me mh , m → mr = me + mh and mr e4 εex = − . (i − 1/2)2 In many materials (Si, AIII BV ) because of the presence of both light and heavy holes there are 2 type of excitons. In general, the Hamiltonian for relative motion has the form
2
me ρe + mh ρh , me + mh
ρ = ρe − ρh .
H = −
2mr e2 − + Vew (ze ) + Vhw (zh ) re − rh 
1 ∂ ∂ 1 ∂2 ρ + 2 2 ρ ∂ρ ∂ρ ρ ∂φ
−
2 ∂2 ∂2 − 2 2 2me ∂ze 2mh ∂zh
2
where Viw (zi ) are conﬁning potentials. There is no simple analytical solution for this equation. Moreover, the parabolic approximation is usually bad for hole states in GaAlAs heterostructures. It is also important to allow for screening. So numerical methods are usual. The expressions for the absorption coeﬃcient are similar, however one must use correct matrix elements. The important quantity is the oscillator strength deﬁned as fnm Here pnm (k) =
µν ν d2 ρ U0 (ρ)ˆ U0 (ρ) p µ µ ν dz gn (z)gm (k, z)
2 = 2 mE ex (2π) nm
2
d k Gnm (k) apnm (k)
2
.
(9.57)
9.7. EXCITONS
209
Tunneling
Figure 9.16: On the FranzKeldysh eﬀect. while Gnm are the coeﬃcients of expansion of the exciton wave function in terms of the basis in kspace, ψ ex =
nm
d2 k n, k n, −k Gnm (k). 4π 2 e2 ηmcW
Then, as usual, αnm =
ex fnm δ(Enm − ω).
nm
Oscillator strength is substantially increased because of exciton conﬁnement. More exact theoretical treatment is given e. g. in the book [6].
Quantum conﬁned Stark eﬀect
Consider optical absorption in the presence of an external electric ﬁeld. The electrical ﬁeld pulls apart electronhole pairs which causes the broadening of the exciton peak and a shift of the peak to lower energies (FranzKeldysh eﬀect, Fig. 9.16). In heterostructures, the most interesting is transverse ﬁeld because it allows to tune exciton transitions. The presence of the large barriers helps the electron and hole to be together and the transition takes place up to the ﬁelds ≤ 100 kV/cm. The electric ﬁeld 1. Changes intersubband separations; 2. Pushes electrons and holes to opposite directions making the energy sepatations smaller. Due to the separations of electron and holes in space the exciton binding energy decreases. The ﬁrst eﬀect is usually much more important. Let us make a crude estimate valid at small electric ﬁeld. The Hamiltonian can be written as H = H0 + eF z ,
210
CHAPTER 9. OPTICAL PROPERTIES OF SEMICONDUCTORS
where F is the electric ﬁeld. The ﬁrst perturbative correction is ∆E (1) = ψ1 eF zψ1 = 0 because the ground state is even. The second order correction for the ground state in a square well is 1 15 me2 F 2 W 4 ∆E (2) = −1 . 2 24π 2 π 2 One has to optimize the well width W because in wide wells the absorption goes down, the optimum being at W ∼ 100 ˚. A
Chapter 10 Ac transport and optics in doped semiconductors
10.1 Impurity states
A typical energy level diagram is shown on Fig. 10.1 Shallow levels allow a universal
Ec ED EA Ev
Figure 10.1: band diagram of a semiconductor. description because the spread of wave function is large and the potential can be treated as from the point charge, U (r) = e2 / r . To ﬁnd impurity states one has to treat Schr¨dinger equation (SE) including periodic o potential + Coulomb potential of the defect.
Extremum at the center of BZ
Then for small k we have En (k) = We look for solution of the SE (H0 + U )ψ = Eψ 211 k . 2m
2 2
212 in the form ψ=
nk
CHAPTER 10. DOPED SEMICONDUCTORS
Bn (k )φn k (r) ,
where φn k (r) are Bloch states. By a usual procedure (multiplication by φ∗ (r) and intenk gration over r) we get the equation [En (k) − E]Bn (k) +
nk nk Un k nk Un k Bn (k) = 0
1 = V
u∗ un k ei(k −k)r U (r) dr . nk
Then, it is natural to assume that B(k) is nonvanishing only near the BZ center, and to replace central cell functions u by their values at k = 0. These function rapidly oscillate within the cell while the rest varies slowly. Then within each cell
cell
u∗ un 0 dr = δnn n0
because Bloch functions are orthonormal. Thus, [En (k) − E]Bn (k) +
n
U (kk )Bn (k ) = 0 4πe2 . Vk − k 2
1 U (kk = V Finally we get
2 2
ei(k−bk )r U (r) dr = −
k 4πe2 − E Bn (k) − 2m V
k
1 Bn (k ) k − k 2
where one can integrate over k in the inﬁnite region (because Bn (k) decays rapidly. Coming back to the real space and introducing 1 F (r) = √ V we come to the SE for a hydrogen atom,
2
Bn (k)eikr
k
− Here
2
2m
−
e2 F (r) = EF (r) . r
1 e4 m , t = 1, 2 . . . t2 2 2 2 F (r) = (πa3 )−1/2 exp(−r/a), a = Et = − For the total wave function one can easily obtain ψ = un0 (r)F (r) . The results are summarized in the table.
2
/me2 .
10.1. IMPURITY STATES Material GaAs m/m0 12.5 0.066 E1s (th.) E1s (exp.) (meV) (meV) 5.67 Ge:6.1 Si: 5.8 Se: 5.9 S: 6.1 S: 5.9 6.8 7.28 13 13.*
213
InP CdTe
12.6 0.08 10 0.1
Table 10.1: Characteristics of the impurity centers.
Several equivalent extrema
Let us consider silicon for example. The conduction band minimum is located at kz = 0.85(2π/a) in the [100] direction, the constant energy surfaces are ellipsoids of revolution around [100]. There must be 6 equivalent ellipsoids according to cubic symmetry. For a given ellipsoid,
2 2 0 (kz − kz )2 + 2 (k 2 + ky ) . 2m 2mt x Here m = 0.916m0 , mt = 0.19m0 . According to the eﬀective mass theory, the energy levels are N fold degenerate, where n is the number of equivalent ellipsoids. In real situation, these levels are split due to shortrange corrections to the potential. These corrections provide interextrema matrix elements. The results for an arbitrary ration γ = mt /m can be obtained only numerically by a variational method (Kohn and Luttinger). The trial function was chosen in the form
E=
F = (πa
a2 )−1/2 ⊥
x2 + y 2 z 2 + exp − a2 a ⊥
1/2
,
and the parameters ai were chosen to minimize the energy at given γ. Excited states are calculated in a similar way. The energies are listed in table 10.1. Material Si (theor.) Si(P) Si(As) Si(Sb) Ge(theor/) Ge(P) Ge(As) Ge(Sb) E1s (meV) E2p0 (meV) 31.27 11.51 45.5 33.9 32.6 11.45 53.7 32.6 31.2 11.49 42.7 32.9 30.6 11.52 9.81 4.74 12.9 9.9 4.75 14.17 10.0 4.75 10.32 10.0 4.7
Table 10.2: Donor ionization energies in Ge and Si. Experimental values are diﬀerent because of chemical shift
214
CHAPTER 10. DOPED SEMICONDUCTORS
Impurity levels near the point of degeneracy
Degeneracy means that there are t > 1 functions, φj , j = 1, 2..t nk which satisfy Schr¨dinger equation without an impurity. In this case (remember, k ≈ 0), o
t
ψ=
j=1
Fj (r)φj (br) . n0
The functions Fj satisfy matrix equation,
t 3 αβ ˆ ˆ Hjj pα pβ + U (r)δjj j =1 α,β=1
Fj = EFj .
(10.1)
If we want to include spinorbital interaction we have to add Hso = 1 [σ × 4mc c2 0 ˆ V ] · p.
Here σ is the spin operator while V is periodic potential. In general Hmatrix is complicated. Here we use the opportunity to introduce a simpliﬁed (the socalled invariant) method based just upon the symmetry. For simplicity, let us start with the situation when spinorbit interaction is very large, and splitoﬀ mode is very far. Then we have 4fold degenerate system. Mathematically, it can be represented by a pseudospin 3/2 characterized by a pseudovector J. ˆ There are only 2 invariants quadratic in p, namely p2 and (ˆ · J)2 . Thus we have only p two independent parameters, and traditionally the Hamiltonian is written as H= ˆ 1 p2 m0 2 5 γ1 + γ 2 − γ(ˆ · J)2 . p (10.2)
That would be OK for spherical symmetry, while for cubic symmetry one has one more invariant, i p2 Ji2 . As a result, the Hamiltonian is traditionally expressed as ˆi H= ˆ 1 p2 m0 2 5 γ1 + γ2 2 − γ3 (ˆ · J)2 + (γ3 − γ2 ) p
i
p2 Ji2 . ˆi
(10.3)
This is the famous Luttinger Hamiltonian. Note that if the lattice has no inversion center there also linear in p terms. Now we left with 4 coupled Schr¨dinger equations (10.1). To check the situation, let o us ﬁrst put U (r) = 0 and look for solution in the form Fj = Aj (k/k)eikr , k ≡ k .
The Hamiltonian (10. LOCALIZATION OF ELECTRONIC STATES 215 The corresponding matrix lemenets can be obtained by substitution k instead of the operator p into Luttinger Hamiltonian.3: Parameters of the Luttinger Hamiltonian for Ge and Si The usual way to calculate acceptor states is variational calculation under the spherical model (10.h = 2m0 2 γ1 k 2 ± 4 γ2 k 4 1/2 2 2 2 2 2 2 2 2 +12(γ3 − γ2 )(kx ky + ky kz + kz kx ) . The parameters of Ge and Si are given in the Table 10.044 11.2).69 ∆ 0. β = m /mh . The eﬀective masses are m (h) = m0 /(γ1 ± γ) .4 0.25 5.29 15. E = If γ1 ± 2γ > 0 both energies are positive (here the energy is counted inside the valence band) and called the light and heavy holes.2) does not depend on the ˆ 2 direction of k. 10. the potential being V (r) = j U (r − rj ) . In this case the set of 4 diﬀerential equations can be reduced to a system of 2 diﬀerential equation containing only 1 parameter. E = γ1 − 2γ 2m0 2 2 k .44 13. Thus the system is decoupled into 4 independent equation with two diﬀerent eigenvalues.35 4. consider an ordered lattice of impurities.22 0. .1 Material Ge Si γ1 γ2 γ3 4. The calculations for the full Luttinger Hamiltonian (10. It solutions lead to the anisotropic dispersion law 2 γ1 + 2γ 2m0 2 2 k .2.3) require explicit form of Jmatrices.2 Localization of electronic states What happens when the number of doping impurities is large and their wave functions overlap? Narrow bands and Mott transition As a simple example. Thus let us direct k along z axis and use representation with diagonal Jz .10. E .4 Table 10.39 1.
Is this correct? In principle. for a simple cubic lattice E = 2I(b0 ) i cos(ki b0 ) where here b0 denotes the lattice constant for impurity lattice. j aj 2 = 1 . then one must allow for the interaction. each impurity adds one electron. At large b0 the band is narrow and this is the case.216 CHAPTER 10. of a singleimpurity problem. En . Along the tightbinding method. Also. The only important property of the overlap integrals. DOPED SEMICONDUCTORS Assume that we know the eigenstates φn and eigenvalues.3) The eﬀective Hamiltonian has the form H= j + j aj aj + m. we assume the impurity bandwidth is less that the spacing between En and restrict ourselves by the lowest level. and therefore ignore Bloch (centralcell) factors. In this way we get energy bands. E0 . I(m) is that it is small (tightbinding approximation!). Fig. because we neglected electronelectron interaction. Here we shall use singleband approximation. no. the distribution being P( ) = 1/A .j=0 I(m) a+ aj+m . It U0 is comparable with the bandwidth ∼ I(b0 ). the energy being E= m eikm I(m) . Let us plot the electron terms a a function of 1/b0 The insulatortometal transition of this kind is usually called the Mott transition. Thus the impurity lattice is a metal. For example. I(b0 ) ∝ exp(−βb0 /a) 0 where β is a number of the order 1. (10. and each state possesses 2fold spin degeneracy. As the lattice constant increases. ψ= j aj φ(r − rj ). According to our model. j The energies are assumed to be uncorrelated and random. two electrons at the same site repel each other the energy can be estimated as U0 ≈ e2 /a. Suppose that impurities are still ordered. but depths of the potential wells are random. In fact. we cam expand the wave functions in terms of the above eigenvalues.   < A/2 0 . Anderson transition We come back to singleelectron approximation and concentrate on disorder. Expanding near k = 0 we get E(k) = 6I(b0 ) − I(b0 )k 2 b2 0 the eﬀective mass being m∗ = 2 /2Ib2 .   > A/2 .
Twostate model Now let us turn to 3D case and try to discuss Anderson result in a simpliﬁed form. they can be characterized by the energies 1 . Ac /I. Anderson has formulated the following criterion for localization. Namely. 2D case is a marginal. LOCALIZATION OF ELECTRONIC STATES 217 E E +U o o Eo A 1/b o Figure 10.2. at which delocalized states begin to appear in the middle band. Let us place a particle at the site i and study its decay in time due to quantum smearing of the wave packet. The Anderson model has one dimensionless parameter. The state is called extended if ψi (t)2 → 0 at t → ∞. to the right a metal. consider two potential wells. where I is the overlap integral for nearest neighbors.3: Potential wells in the Anderson model. the states being also localized at any disorder. Figure 10. W/I. In 1D case the states are localized at any disorder. In a 3D system there is a critical value. To the left of point A is an insulator.10.2: Dependence of electron bands on impurity sublattice period b0 . When isolated.
Consequently. DOPED SEMICONDUCTORS Lattice xc 4/xc Diamond 0. Ac 4 = I xc where xc is the percolation threshold for the site problem.2 Finally. while ∆ ≡ 1 − 2 . then the bandwidth is 4I. and collectivization does not occur. I (∆/2)2 + I 2 . (10.II = ± (∆/2)2 + I2 . let us chose a band δ/2 ≤ ≤ δ/2. It is clear that it must be a threshold in the quantity W/I where the transition takes place.II = √ (φ1 ± φ2 ). Nonresonant sites can be disregarded as I W. If one assumes that the connected cluster is a 1D chain.4 . In such a model. I. Then let us look for connected resonant states which share a site. ψI. following Thouless. Here the origin for energy is taken at ( 1 + 2 )/2. This solution is reasonably good at  1 − 2  In general.43 9. and we have a matrix Schr¨dinger equation. see the Table 10.4) Thus at ∆ I either c1 or c2 is close to 1.3 Simple cubic 0. o ∆/2 − E I I∗ −∆/2 − E .II = c1 φ1 ± c2 φ2 .9 Ac /I 8. one arrives at the following proﬁle of densityofstates (DOS) for the Anderson model. 2 the energy diﬀerence being EI −EII = 2I. δ∼I and call the sites resonant if their energy falls into the band. 10. This is quite a good estimate. Now.31 12. The secular equation is thus E 2 − (∆/2)2 − I2 = 0 → EI.218 CHAPTER 10. EI − EII = The ratio c1 = c2 ∆/2 ± ∆2 + 4I2 . At 1 = 2 the wave functions are 1 ΨI.0 15 Table 10. Fig.4: Percolation thresholds and critical values Ac /I obtained numerically for different lattices and 2 and wave functions φ1 and φ2 .
the missing electron represents an elementary excitation. 10. The material is called lightly doped if there is only a small overlap between electronic states belonging to diﬀerent impurities. the remaining positive charges polarize the neutral donor located in vicinity. At T = 0 each of donors must have an electron. −E0 . The reasons are • If one removes an electron. The ﬁrst mechanism is usually more important for realistic semiconductors having compensating impurities.3. i = κ ri − rl  k=i ri − rk  l The occupation numbers have to be determined to minimize the free energy (at T = 0 – electrostatic energy). is shown in Fig. . Now let us assume that there are also acceptors which at capture electrons from the donors and are fully occupied T = 0. Localized states are shaded. say ntype. the contribution being dependent on the conﬁguration of neutral neighbors. Thus we have neutral donors. A typical dependence of the Fermi level µ on the degree of compensation. An excitation can be localized at any donor. the energies being slightly diﬀerent. Let us count the energy i of ith donor from the energy of an isolated donor. • There is a quantum overlap between the donors being excited. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS. K = NA /ND . We have acc don e2 1 1 − nk − . 10. Let us start with a material with only one type of impurities. negatively charged acceptors and an equal number of positively charged donors. Here N is the impurity concentration while a is the localization length. Mobility edges are denoted as Ec . In lightly doped materials conductivity vanished exponentially as T → 0. N a3 1. 219 g(E) E c Ec E Figure 10.4: Density of states in the Anderson model.5 Below we discuss limiting cases of small and large K. Theses randomly distributed charges create a ﬂuctuating random potential which localizes the electronic states. That contributes to donor ionization energy.10.3 Impurity band for lightly doped semiconductors.
Each acceptor carries a negative charge. each acceptor can be regarded as immersed in an inﬁnite sea of donors. and 2complexes (positive). Low degree of compensation At K 1 most of donors keep their electrons. In a ﬁrst approximation. K. . Transporting a hole from a donor situated near a charged acceptor to inﬁnity requires work of order e2 /κrD .6. it occupies the donor the most closed to an acceptor. and only a small number is empty and charged positive. there are some acceptor without holes.a. 10. To illustrate the situation let us consider a conﬁguration shown in Fig. The work necessary to remove a hole equals to e2 /κr − e2 /2κr = e2 /2κ. some acceptors do not have a close donors (Poisson distribution). We end at the following situation.6. DOPED SEMICONDUCTORS 0 0.220 µ CHAPTER 10. So the neutrality condition which ﬁxes the Fermi level is actually N0 (µ) = N2 (µ) . it becomes large at small r. A positive charged hole will be located as close as possible to a negative acceptor. Namely.5: Position of the Fermi level µ as a function of the degree of compensation. and some acceptors having 2 holes. The energy of attraction to the acceptor equals 3e2 /κl while the repulsion energy from two other holes is 2e2 /κl. where rD is the average distance between the donors.b. To get a quantitative theory one has to add more input. the concentration of charged donors is equal to NA . so they bind holes very weakly. 10. 1complexes (neutral). There are 3 conﬁgurations – 0complexes (negative) where there is no ionized donor near a particular acceptor. It is curious that an acceptor cannot bind more than 2 holes. Thus. Indeed. So holes prefer to ﬁnd another acceptor with more close donors even at the expense to become a second hole. Consider a conﬁguration √ shown in Fig.5 1 K Figure 10.
r2 ) − µ]Θ[ 2 (r1 . the probability being exp(−4πND rµ /3). Consequently. • it can be more than one pair of donors near a given acceptor. so there must be a sharp peak at −E0 . . This estimate is very close to exact result. as a concentration of pairs of donors whose additional energies 1 and 2 exceed µ when both donors are ionized. Using this estimate and solving the neutrality equation one obtains µ = 0. It is much more diﬃcult to ﬁnd number of 2complexes. and ﬁnally multiply by NA .2 κ r1. Thus. Let us estimate it from above. Integration yields > 3 N2 (µ) = 7. Thus.14 · 10−4 NA (4πND rµ /3)2 . = > 2 N2 (µ) = NA ND dr1 r2 >r1 dr2 Θ[ 1 (r1 . r2 ) − µ]Θ[ 2 (r1 .10. N0 (µ) = NA exp − 4π e6 ND 3 κ3 µ3 . near the Fermi level g( ) ∝ NA / D . Let us put the origin of coordinates at acceptor site and suppose that a donor is located at r1 . D = e2 /κrD = (e2 /κ)(4πND /3)1/3 . For 0complex. The majority of donors are far from few acceptors.3. there must be no donors within the sphere of radius rµ = e2 /κµ from a 3 ﬁxed acceptor. r2 ) − µ] .61 D . This estimate is larger because • it could be another close donor which initiates a 1complex. the number of pairs with r2 ≥ r1 is ND r2 >r1 dr2 Θ[ 1 (r1 . As a result. 1. The average number of donors in the element dr2 is equal to ND dr2 . IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS. > N2 (µ). Here 1 1 e2 − . r2 ) − µ] . + l + r r + + l + l 221 Figure 10.2  r1 − r2  To get the total concentration of pairs one has to multiply it by ND and integrate over r1 . The tails of g( ) above the Fermi level falls with the characteristic energy D . Now let us discuss the shape of the peak.6: Donoracceptor conﬁgurations.
and one has to allow for screening. We shall show that longrange ﬂuctuations are much more important. we and at the Poisson equation ∆φ = − 4πe 4π ρ(r) − [N2 (µ + eφ) − N0 (µ + eφ)] . the resultant potential being e2 (N0 R3 )1/2 /R. This approach is consistent at eφ(r) µ when only small number of complexes are responsible for screening. It is small indeed because N0 ND . We will check later that the screening potential varies little over a distance between the complexes. As a result. The typical charge in the sphere is e2 (N0 R3 )1/2 .58ND 1/6 −1/3 K −1/2 . κ κ Here ρ(r) is a Gaussian random function whose correlator is given by (10. ξi (r) = Ni (r) − Ni (r) .and 2complexes. the charge ﬂuctuations are ρ(r)ρ(r ) = 2e2 N0 δ(r − r ) . At the same time. one can employ the selfconsistent ﬁeld approximation. DOPED SEMICONDUCTORS Above we did not take into account electrostatic interaction between the complexes. In such a way we obtain the equation 4πρ φ ∆φ = − + 2 κ r0 where the screening length r0 is given by the expression 1 4πe d = [N2 (µ + eφ) − N0 (µ + eφ]φ=0 . Consequently. = 0. Therefore. 2 r0 κ dφ Substituting the expressions for the complex concentrations we obtain r0 = 0. the majority of complexes contribute to charge ﬂuctuations and are uncorrelated. 1/3 An average ﬂuctuations of charge produce an average potential of order e2 N0 /κ. . Let us introduce ﬂuctuations of the complex concentrations for 0. ξ0 (r)ξ0 (r ) ξ0 (r)ξ2 (r ) = ξ2 (r)ξ2 (r ) = N0 δ(r − r ). the interaction leads to an additional dispersion of the peak.5) Let us now consider a sphere of radius R where there is ∼ N0 R3 complexes.58NA −1/2 ND = 0.5). It diverges as R → ∞.222 Longrange potential CHAPTER 10. However. We consider the ﬂuctuations as uncorrelated. (10.
223 In a standard way. In this case. Indeed. It is assumed that the second donor is empty. 1 F (eφ) = √ exp[−(eφ)2 /γ 2 ] . the binding energy being ∼ E0 . 10. Thus all the electrons are able to ﬁnd proper donors whose potential is lowered by the potential of charges neighborhood. .3. Solid line shows the conduction band edge.26 DK 1/4 . the concentration of occupied donors. It is Gaussian. Thus the Fermi level is situated well below −E0 . to get a Gaussian −1/3 ﬂuctuations one has to assume r0 N0 or 3 4πN0 r0 /3 1. see Fig. The condition can be rewritten as K −1/2 0.3 (r ND ) another positively charged donor. High degrees of compensation Now we turn to the case 1−K 1. γ pi γ = 2e2 φ(r) 2 = 0. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS.7: Energy diagram of highly compensated semiconductor. Its inﬂuence at r a is just = −e2 /κr. n = ND − N A ND .10. To understand the structure of the DOS tail consider a certain donor having at small −1.7 E E0 g(E) µ Figure 10. Thus a pair can contain only 1 electron. occupied states are shaded.05. All the above results are applicable only at very small K. one can determine the distribution function near the Fermi level.
The excess ﬂuctuating density is ∆N = (Nt R3 )1/2 /R3 . κR It also diverges at large R. κn1/3 2/3 It increases with decreasing n. In this way we get for a typical potential energy of an electron. we get µ=− D 21/3 (1 − K)1/3 . Here we disregarded the states with several extra electrons which are important very deep in the gap. This is purely classical result. How the screening takes place. . Now the Fermi level (at T = 0) is easily found from the conservation law µ g( ) d = n . where r( ) = e2 /κ . of donors and acceptors. One has to multiply this quantity by ND and divide by 2 (pairs!) to get g( ) = 3 2 3 D ND 4 . γ(R) = e2 (Nt R3 )1/2 . −∞ As a result. To obtain an estimates we can repeat the discussion for K 1 and replace the donor concentration by the total concentration. They can be neutralized at ∆N = n leading to the expression for the screening length. The probability to ﬁnd another donor is 4πND r2 (dr/d ) d . + d ). 3 Nt rs )1/2 n= 3 rs → 22/3 Nt rs = . (1 − K)2/3 −1/3 The random potential amplitude is γ(rs ) = e2 Nt . DOPED SEMICONDUCTORS To ﬁnd g( ) let us calculate the concentration of pairs having the energy in the interval ( . Nt .224 CHAPTER 10. It is valid only at rµ Longrange ﬂuctuations At 1 − K 1 it is a large and important eﬀect because screening is weak. a.
the electronic states being localized.6) (10. which must satisfy matrix Schr¨dinger equation. To analyze the physics of dissipation. However. E+ − E− ≡ W = ∆2 + 4I2 . at low temperatures dc conductance vanishes in the insulating phase. and then sum the contributions of diﬀerent pairs. c2 ∆±W (10. the quantum states of an electron sharing the pair can be expressed through onecenter wave functions as ψ± = c1 φ1 ± c2 φ2 . The modulation lags in phase comparing to the ﬁled due to relaxation. Below we consider both mechanisms. AC CONDUCTANCE DUE TO LOCALIZED STATES 225 10.10. ac conductance remains ﬁnite. The second mechanism is due to phononassistant transitions – an external ﬁeld modulates the occupation numbers of close pairs. As a result. The reason is that an electron (or hole) can hop between the adjacent localized states giving rise to a ﬁnite energy dissipation. Consider a close pair of localized states. Consequently. The ﬁrst one is resonant absorption due to direct absorption of photons accompanied by transition between the states ψ + and ψ − . Deeply in the insulating phase the most probable is to ﬁnd only pairs of localized states which are separated by the distances much less than the average.7) Thus at ∆ I either c1 or c2 is close to 1. let us consider such a pair. . Dissipation by an isolated pair One can discriminate between two absorption mechanisms. Here the origin for energy is taken at ( 1 + 2 )/2. The secular equation is thus E 2 − (∆/2)2 − I2 = 0 → E± = ± (∆/2)2 + I2 .4.4 AC conductance due to localized states As we have seen. We used such a concept to discuss Anderson localization. As we have seen. To ﬁnd the dissipation one has to calculate the contribution of a single pair. while ∆ ≡ 1 − 2 . o ∆/2 − E I I∗ −∆/2 − E ψ+ ψ− = 0. a ﬁnite dissipation appears. and collectivization does not occur. c1 2I(r) = .
The occupation number n+ = n− exp(−W/kT ). There is one state with the energy E2 = 1 + 2 + e2 . (10. There are two states with energies ± E1 = 1 + 2 2 ± W . 1 2 κr (10. 4 (10.10) describes 4 states of the pair: 1. The pair has 2 electrons.226 Resonant contribution CHAPTER 10. the lower level to be occupied is n− = 1 E− − µ exp − 1 . Let us write down a twosite Hamiltonian H1. and we obtain ﬁnally. 2 3.9) (10. while i include Coulomb interaction with other neighbors.8) Here ni are the occupation numbers. The energy E0 = 0. Z kT E− − µ E+ − µ Z = 1 + exp − 1 + exp − 1 kT kT + exp − E2 − 2µ kT . κr Consequently. DOPED SEMICONDUCTORS The resonant absorption is due to transition of an electron from the state with the energy E − to the state E + .11) . The Hamiltonian (10. The energy absorbed by a pair per unit time due to an electric ﬁeld 1 E = E0 cos ωt = E0 [exp(iωt) + exp(−iωt)] 2 can be written as (Fermi golden rule!): q= Occupation numbers The occupation numbers n± are determined from the following considerations. The pair has no electrons. the probability to ﬁnd a pair with 1 electron. 2.10) 2π ω eE0 −r+ 2 δ ( ω − W ) (n− − n+ ) .2 e2 = 1 n1 + 2 n2 + n1 n2 + I(r)(a+ a2 + a+ a1 ) . q= 2π ω E− − µ eE0 −r+ 2 δ ( ω − W ) exp − 1 4Z kT 1 − exp − ω kT . The pair has 1 electron.
let us start with the unperturbed one.12) (10. 227 (10.c. r) 1 .] one easily obtains the relevant contribution to the absorbed energy as q= We get q= eE0 · r2 2 ∆ W 2 ω 2π 2π/ω ˙ dt W (t)n1 (t) .10. H0 = 1 2 ∆ 2I(r) 2I(r) −∆ = ∆ σ3 + I(r)σ1 . Substituting n+ (t) = n0 (t) + n1 (t) .13) while τ is the population relaxation time. σ3 = 1 0 0 −1 . σ2 = 0 −i i 0 . To calculate the dissipation one has to specify the relaxation time. ∂t τ Here n0 (t) = 1 . AC CONDUCTANCE DUE TO LOCALIZED STATES Relaxational contribution To analyze this contribution one has to consider the balance equation.16) . 2 (10. ∂n+ n+ − n0 (t) = . uik (rj ) = Thus. r)]2 4kT cosh(W/2kT ) (10. σ1 = 0 1 1 0 .4. To do that let us specify the Hamiltonian to describe coupling between localized electrons and phonons. To construct the Hamiltonian. Under inﬂuence of the phononinduced strain the energy of each (j) component of the pair acquires the term proportional to the strain tensor.15) Here we introduce Pauli matrices. 0 ω 2 τ (W.14) The last factor is just −(∂n0 /∂W ). 1 + [ωτ (W. ik (1) (2) 1 2 ∂ui (rj ) ∂uk (rj ) + ∂xk ∂xi . n1 (t) ∝ [e−iωt + h. which depends in general on W and r. say for n+ (t). exp[W (t)/kT ] + 1 W (t) = [∆ + eE(t) · r]2 + 4I(r)2 . (10. 1 ˜ Hint = 2 Λik uik (r1 ) − Λik uik (r2 ) σ3 .
σ2 σ3 = iσ1 . (10. − E1 − µ < E2 − 2µ . ˆ ˜ ˆ 1 Hint = T −1 Hint T = 2 Λik uik (r1 ) − Λik uik (r2 ) ik (1) (2) ∆ 2I(r) σ3 − σ1 W W . DOPED SEMICONDUCTORS where Λik are the component of the deformational potential tensor for each component.17) We are interested in the item proportional to σ1 which is responsible for phononassisted transitions between the levels. Summation over the relevant pairs. it is convenient to rewrite (10. (10. One can show that P ≈ 1 at − 2 − and E1 = ( 1 + 2 − W )/2 e2 − − − W < E1 − µ < 0 . let us assume low temperatures. we get 2 1 1 2I(r) = .16) in the form H0 = W 2 cos χ sin χ sin χ − cos χ . T ≤ ω/k. The quantity τmin has a transparent physical meaning of the minimal relaxation time for a pair with given interlevel spacing W . 1 Having in mind the algebra for Pauli matrices. cos χ ≡ ∆ . What we need is to ﬁnd the socalled pair distribution function which is the probability to ﬁnd a pair with bare energy spacing W and spatial distance r. κr . 2 σi = 1. Then n− − n+ ≈ 1 at − E1 − µ < 0 . Resonant contribution For simplicity. ˆ T = cos χ − sin χ sin χ cos χ = ˆ cos χ − iσ2 sin χ . σ3 σ1 = iσ2 . σ1 σ2 = iσ3 we obtain the interaction Hamiltonian in a new basis. It is dependent on several characteristics of the electronphonon interaction which we do not discuss now. 1 It means that one can introduce the variables ∆ = instead of 1 and 2 . r) τmin (W ) W Here we have extracted the coordinatedependent factor (2I(r)/W )2 = 2I0 exp(−2r/a).228 (j) CHAPTER 10. Now we can make the transformation to a new basis which makes the Hamiltonian H0 diagonal. Using Fermi golden rule to calculate the relaxation rate. Now we can proceed adding the contributions of diﬀerent pairs that appears rather tricky. W Then one can represent the old basis through the new one as φ1 φ2 ˆ =T ψ+ ψ− . Technically.18) τ (W.
As a result. 10. The full scheme of calculations can be described as follows. I(r) ∝ exp(−r/a). 2 . Now we are ready to specify the results for low temperatures. → 229 W+ e2 κr . r) . . . the coupling matrix element in the case of resonant contribution (as well as relaxation time in the case of the relaxational contribution) depend on r much stronger that other quantities. Substituting expression . As a result. When the center of E2 .E1 µ e2 κr E+ 1 E1 W Figure 10.. We deﬁne σ(ω) = 2 i qi 2 E0 = 1 2 E0 dr d 2 g( 2 ) 2 d 1 g( 1 ) q( 1 . One can explain qualitatively this factor as follows from Fig.4.. one can replace r apart from exponential functions by a proper characteristic length rc (which is diﬀerent for the resonant and the relaxational contributions).10. (10.8: Energy scheme of absorption by a pair with the length r with allowance of Coulomb interaction.8. AC CONDUCTANCE DUE TO LOCALIZED STATES and − dE1 (n− = n+ ) .. Another important simpliﬁcation arises from exponential decay of the overlap integral. gravity ( 1 + 2 )/2 falls into the region of the width ∼ e2 /κr below the Fermi level the pair remains singly ionized and contains only 1 electron.19) For the simplest (Anderson) model g( ) = g0 Θ(A/2 −  ).
However the occupation ± numbers of the states E1 become very close. . The case of very large temperatures can be considered in a similar way. r) ∝ exp(2r/a) . r) of the energy and spatial spacings (W and r) one obtains σ(ω) = e2 π 2 ω 3kT ∞ ∞ r4 dr 0 0 τ F (W. (n− − n+ ) ≈ 2 − 4 cosh [(E1 − µ)/2kT ] Thus. ω ± both states E1 fall into the layer ≤ kT around the Fermi level. the diﬀerence (n− − n+ ) being 1 .14) which assumes that there are only the pairs with one electron. r) dW .22) We will see later that F (W. r) is a smooth function of r comparing to τ (W. Introducing the distribution function F (W. The case of ﬁnite temperatures is more complicated.20) for the contribution of a single pair we get (at T = 0) 2 8π 2 e2 g0 σ(ω) = 3 ∞ rω e2 ω+ κr ω+ e2 κrω r4 I 2 (r) dr [( ω)2 − 4I 2 (r)]1/2 (10.230 CHAPTER 10. kT e2 /κrω .21) − the width of integration over E1 remains essentially the same. and (n− − n+ ) ≈ tanh( ω/2kT ) . This estimate is valid within all the region ω. At the region ω kT e2 /κrω (10. At kT e2 /κrω . 2 cosh (W/2kT ) 1 + ω 2 τ 2 (10.20) = where 2π 2 2 2 4 e g0 aωrω 3 rω = a ln(2I0 / ω) . 3 Relaxational contribution Let us start with expression (10. DOPED SEMICONDUCTORS (10. 2 2 4 σ(ω) = π 2 e2 ag0 ω 2 rω .
The properties of the ratio G= ωτ0 exp(2r/a) ωτ = 2 2τ 2 1+ω 1 + ω 2 τ0 exp(4r/a) 231 depend strongly on the product ωτ0 . 2 cosh (W/2kT ) τ0 (W. At ωτ0 ≥ 1 . π F (W. . r = rT ∼ (a/2) ln(2I0 /kT ). r) dW 1 . In the absence of Coulomb interaction. F (W. spatial distance r. It is important that for the relevant pairs W ∼ kT . the temperature dependence being determined by the properties of the functions F (W. σ appears ωindependent. AC CONDUCTANCE DUE TO LOCALIZED STATES Thus let us deﬁne τ = τ0 exp(2r/a) where τ0 is a smooth function of W and (in general) r.23) Thus. At ωτ0 1 the ratio G has a sharp maximum at r = rcω = (a/2) ln(1/ωτ0 ) and we can express G as G≈ In this way we obtain σ(ω) = 4e2 4 ωarcω 3kT ∞ 0 4a δ(r − rcω ) . ωτ0 r4 e−2r/a dr 0 0 F (W. rcω ) dW ∝ ω. cosh2 (W/2kT ) (10. r) = d 1 d 2 g( 1 )g( 2 ) δ W − ( 1 − 2 2) + 4I 2 (r) − + + − × [f0 (E1 )[1 − f0 (E1 )] + f0 (E1 )(1 − f0 (E1 )] . r) and τ0 (W. one has G≈ As a result. σ(ω) = e2 π 3kT ∞ ∞ r≥a 1 exp(−2r/a) . r). r) (10.10.4.24) Let us discuss a bit the distribution function F which is just the probability to ﬁnd a singleelectron pair with the energy distance W .
9: The absorption coeﬃcient as a function of the energy of light quanta at 77 K in nGaAs. The integration is very simple for the Anderson model (g = g0 = const). 1. r) = g0 [W 2 − 4I 2 (r)]1/2 2 ∼ g0 kT . DOPED SEMICONDUCTORS Here f0 is the Fermi function. and one has to calculate the number of pairs taking into account electron repulsion at the same center.2. r) = g0 [W 2 − 4I 2 (r)]1/2 W W+ e2 κr .5 Interband light absorption A typical experimental picture of frequencydependent light absorption in heavily doped degenerate GaAs is shown in Fig. In that case 2 F (W. 6 – 31.232 CHAPTER 10. tanh(W/2kT ) Coulomb interaction changes the situation. 4 – 12. 6 – 65.2. 2 F (W. 3 – 5. 10.5.02. . 5 – 16. n · 10−17 .9 The main features are: Figure 10. cm−3 : 1 – 0. At low enough at kT e2 /κrcω that leads to the result similar to the one discussed above.3. Thus at kT e2 /κrcω the absorption is essentially temperatureindependent at ωτ0 10. 2 – 2.
10.5. INTERBAND LIGHT ABSORPTION
233
• rapid decrease of absorption (4 orders of magnitude) inside the forbidden gap (1.51 eV at 77 K). • Shift towards short waves with increasing concentration (MossBurstein shift). The last feature is due to Pauli principle which requires that the transitions should take place only into empty states (above the Fermi level). For indirect transitions the shift is equal to µ while for direct ones it is µ(1 + me /mh ), see Fig. 10.10. This picture is
µ
µ me
m
h
Figure 10.10: Scheme of typical interband absorption processes. relevant to very low temperatures. At ﬁnite temperatures there is an absorption below the threshold because one can ﬁnd a hole in the conduction band with the energy µ − with the probability exp(− /kT ). Thus, α ∝ exp[−(µ + Eg ω)/kT ] . Another important source which we are going to discuss are transitions from ﬂuctuation levels above the top of valence gap, Fig. 10.11 We see that the absorption is proportional to the probability to ﬁnd a level with the energy h = Eg + µ − ω which decays exponentially with h . This probability must be multiplied by the transition probability which is not exponentially small in many important cases. Thus, the frequency dependence of absorption in degenerate doped semiconductors reproduces the DOS proﬁle for minority carriers. The situation is somewhat diﬀerent in the case of nondegenerate materials where the Fermi level is situated deep in the forbidden gap. The situation is realized at high temperatures or degrees of compensation, as well as in indirect materials. Assume that there are impurities of both signs, Nt = ND + NA . The impurity potential is regarded as Coulombic at short distances r ≤ r0 and screened at large distances. Let
234
CHAPTER 10. DOPED SEMICONDUCTORS
Eg
Eg
Figure 10.11: Scheme of interband transitions in a degenerate semiconductor at T = 0. r0 be large enough to consider the potential as classical; we also neglect the correlation in defect positions. Mathematically, that can be expressed as
2 2
, 2 2 m e r0 m h r0
γ,
e2 3 γ= (Nt r0 )1/2 . κr0
One can show that in such a case the DOS tail can be represented as g( ) = g(0) exp(− 2 /γ 2 ) . In such an important case the absorption behavior does not represent the behavior of DOS, see Fig. 10.12 Suppose we are studying the transition which results in the formation of an
εe
A Eg B
∆
hω
εh
Figure 10.12: Absorption of a quantum of deﬁcit ∆ in a nondegenerate semiconductor. electron of energy
e and
a hole of energy
h, h
∆=
−
e
10.5. INTERBAND LIGHT ABSORPTION
235
(here the energies are calculated from the nonperturbed band edges). We observe that the electron and hole are spatially separated. Thus the matrix element involves overlap integral which has almost nothing to do with DOS. What we meet here, is the FranzKeldysh eﬀect in a random ﬁeld. To derive the result we use the conventional optimum ﬂuctuation method. Here we demonstrate a simpliﬁed version of the method. Consider a volume with linear dimension R. Charge ﬂuctuations in the volume create a uniform electric ﬁeld E, determined by the condition eER = ∆ . The excess number Z of charge defects to create the ﬁeld E = Ze2 /κR2 must be κR∆ EκR2 Z= = 2 . (10.25) e e The contribution of such a ﬂuctuation to the absorption coeﬃcient is proportional to 1. the probability to ﬁnd Z excess charges in the given volume, exp(−Z 2 /Nt R2 ) , 2. the probability for an electron to tunnel the distance R to meet the hole, exp −R (we assume mh m2 ). m2 ∆/
Substituting Z from Eq. (10.25) we obtain the probability to be proportional to √ κ2 ∆2 R me ∆ exp − 2 − . e Nt R Maximizing the exponent, we obtain ˜ R=a Consequently, α(∆) = exp −β α(0) ∆ E0
1/2 1/2
∆ E0
1 . (Nt a3 )1/2 1 (Nt a3 )1/2
where β is the number of the order 1. The derivation is valid at ˜ R ≤ r0 . In the opposite case, the probability to ﬁnd the proper ﬂuctuation decreases, and the ˜ optimal cluster has the size r0 . In that situation one has to substitute r0 instead of R to obtain ∆2 α(∆) = exp − 2 . α(0) γ
236
CHAPTER 10. DOPED SEMICONDUCTORS
Part III Basics of quantum transport
237
Chapter 11 Preliminary Concepts
11.1 TwoDimensional Electron Gas
An important system where quantum eﬀects were observed is twodimensional electron gas (2DEG). There are two basic systems where 2DEG has been studied. One of them is Si MOSFETs (metaloxidesemiconductor ﬁeldeﬀect transistors). A very good review of such systems is given in Ref. [7]. A typical device is shown in Fig. 11.1. A (100)Si surface serves
2DEG
eVg

 
  
EC E F EV
EF Metal
SiO2
pSi
Figure 11.1: Band diagram showing conductance band EC , valence band EV and quasiFermi level EF . A 2DEG is formed at the interface between the oxide (SiO2 ) and ptype silicon substrate as a consequence of the gate voltage Vg . as a substrate while SiO2 layer behaves as an insulator. 2DEG is induced electrostatically by application a positive voltage Vg . The sheet density of 2DEG can be described as ns =
ox
edox
(Vg − Vt )
where Vt is the threshold voltage for the barrier’s creation Another important systems with 2DEG involve modulationdoped GaAsAlGaAs heterostructures. The bandgap in AlGaAs is wider than in GaAs. By variation of doping it is possible to move the Fermi level inside the forbidden gap. When the materials are 239
240
CHAPTER 11. PRELIMINARY CONCEPTS
put together, a uniﬁed level of chemical potential is established, and an inversion layer is formed at the interface.
nAlGaAs
iGaAs
EC EF
EV
EC EF EV
EF
EC + + + 2DEG EV
Figure 11.2: Band structure of the interface between nAlGa As and intrinsic GaAs, (a) before and (b) after the charge transfer. The 2DEG created by a modulation doping can be squeezed into narrow channels by selective depletion in spatially separated regions. The simplest lateral conﬁnement technique is to create split metallic gates in a way shown in Fig. 11.3 A typical nanostructure is shown in Fig. 11.4.
11.2
Basic Properties of LowDimensional Systems
Wave Functions
Let us direct zaxis perpendicular to the plane of 2DEG. The wave function can be decoupled as Ψ(r, z) = χ(z) ψ(r) where r is the vector in plane of 2DEG. Throughout our considerations we will assume that all the distances are much larger than interatomic distance and thus we will use the eﬀective
11.2. BASIC PROPERTIES
241
Gate AlGaAs
Gate +
GaAs
Channel
Figure 11.3: On the formation of a narrow channel by a split gate.
Figure 11.4: Scanning electron microphotographs of nanostructures in GaAsAlGaAs heterostructures. Taken from M. L. Roukes et al., Phys. Rev. Lett. 59, 3011 (1987). mass approximation. A good approximation for the conﬁning potential is a triangular one, U (z) = ∞ at z < 0 ; F z at z > 0 .
Then one can write the Schr¨dinger equation for the wave function χ(z) as o ∂ 2 χ 2m + 2 (E − F z)χ = 0 . ∂z 2 Instead z we introduce a dimensionless variable ζ= The quantity
F
(11.1)
z−
E F
2mF
2
1/3
.
=
2mF
2
−1/3
plays the role of characteristic localization length in z direction. Then Eq. (11.1) acquires the form χ − ζχ = 0
the energy being En. Ai(ζ) ≈ 1 −(2/3)ζ 3/2 e . 0 For large positive ζ it decays exponentially.337 .242 CHAPTER 11. In the present case it includes the subband quantum number n.088. Here Ai(ζ) is the Airy function deﬁned as 1 Ai(ζ) = √ π ∞ cos(u3 /3 + uζ) du . ζ2 ≈ −4. It is clear that g( ) = δ( − α ) α where α is the set of quantum numbers characterizing the states. PRELIMINARY CONCEPTS which should be solved with the boundary conditions of ﬁniteness at inﬁnity and zero at z = 0. 2ζ 1/4 while for large negative zeta is is oscillatory. valley quantum number .k = En + E(k) = En + k . 2m 2 2 2 Note that the eﬀective mass m is considerably smaller than the mass of a free electron. 0 Normalized electron densities An χn (z) are shown in Fig. The normalization constants An for each level are deﬁned as ∞ −1 An = dz χn (z)2 . Here E0 = F2 2m 2 → En = −E0 ζn . 1/3 . + d . The energy spectrum E is deﬁned by the roots ζn of the equation Ai(ζ) = 0 . spin quantum number σ. Ai(ζ) ≈ 1 sin ζ1/4 2 3/2 π ζ + 3 4 . 11. Density of States The density of states g( ) is deﬁned as number of states per the energy interval .5. Such a solution has the form χ(ζ) = A Ai(ζ) . Each level creates a subband for the inplane motion. We have ζ1 ≈ −2.
2. Because of energyindependent density of states the sheet electron density is linear in the Fermi energy. BASIC PROPERTIES 243 0.3 0. For 2D case we obtain easily g( ) = νs νv m 2π 2 Θ( − En ) .2 0. 11. n Within a given subband it appears energyindependent. If the spectrum is degenerate with respect to spin and valleys one can deﬁne the spin degeneracy νs and valley degeneracy νv to get νs νv g( ) = dd k δ ( − En. At low temperature (kT EF ) all the states are ﬁlled up to the Fermi level.4 0.5 0. the total density of states can be represented as a set of steps. and inplane quasimomentum k.1 0 1 1 2 2 3 ζ 4 5 6 7 Figure 11. d being the dimension of the space.6. (2π)d n Here we calculate the number on states per unit volume. ns = N νs νv mEF + const 2π 2 . as shown in Fig. v (for ntype materials). F = ( 2 /2mF ) . Since there can exist several subbands in the conﬁning potential (see Fig.6.6 0.k ) .11.5: Normalized electron densities An χn (z/ F )2 for the ﬁrst (1) and second (2) 1/3 subbands in a triangle potential with the slope F . inset). 11.
√ −1 νs νv dEs (kx ) νs νv m 1 + √ gs ( ) = = 3/2 . In a similar way.7. 2m Here Ens ≡ En + Es characterizes the energy level in the potential conﬁned in both (z and y) directions. − Ens (11.3) The energy dependence of the density of states for the case of parabolic conﬁnement is shown in Fig. 11.k = En + Es (kx ) = En + Es + 2 2 kx ns Θ( − Ens ) √ . N where N is a proper normalization factor.244 3 2 CHAPTER 11.s. while the Fermi momentum in each subband can be determined as 1 kF n = 2m(EF − En ) . the energy being . while for the parabolic conﬁnement U (y) = (1/2)mω0 y 2 (typical for splitgate structures) Es = Es = (s − 1/2) ω0 . the inplane wave function can be decoupled as a product 1 ψ(r) = η(y) eikx x . .2) 2π dkx 2 π − Ens The total density of states is √ νs νv m g ( ) = 3/2 2 π + En. g ± . For squarebox conﬁnement the terms are (sπ )2 . The situation is more complicated if the gas is conﬁned into a narrow channel. respectively. We have. along yaxis. 2mW 2 2 where W is the channel width. Here N is the number of transverse modes having the edges En below the Fermi energy.6: Density of states for a quasi2D system. say. PRELIMINARY CONCEPTS Density of states 1 E1 E2 EF E 3 Energy Figure 11. It is conventional to introduce partial densities of states for the states with kx > 0 and kx < 0. (11.
BASIC PROPERTIES 245 Figure 11. interaction with periodic potential of the s crystalline lattice leads to renormalization of the spin splitting µB → µ= gf µB where gf is called the spectroscopic spin splitting factor. H = 2 1 e ˆ p − A − µH + eφ 2m c 2 p e e2 A2 µ = − (A · p + p · A) + − ˆ · H + eφ . Generally. Indeed. Here µB = e/2mc is the Bohr s magneton while ˆ is the spin operator. one should replace the canonical momentum p by the operator ˆ p → p = −i and add also an extra spin term −µH where µ = µB ˆ/s. according to the classical theory the Hamilton’s function of a charged particle in an external electromagnetic ﬁeld is H= e 1 p− A 2m c 2 + eφ . s 2m 2mc mc2 s .2. Motion in a perpendicular magnetic ﬁeld 2DEG in a perpendicular magnetic ﬁeld gives an example of 0dimensional electronic system. where φ is the scalar and A is the vector potential of the ﬁeld.11. Finally we get. According to the rules of quantum mechanics.7: Density of states for a quasi1D system (solid line) and the number of states (dashed lines). and p is the generalized momentum of the particle.
2 The wave function in a magnetic ﬁeld is not uniquely deﬁned: it is deﬁned only within the gauge transform 1 ∂f A→A+ f. However diﬀerent components of velocity do not commute.246 Since CHAPTER 11. Thus zcomponent of spin is ˆ conserved and can be replaced by its eigenvalue σ. φ→φ− . According to the quantum mechanics we arrive at a similar expression. v ˆ That means that the particle cannot simultaneously have deﬁnite velocities in all three directions. p2 ˆy p2 ˆ µ + + z − sz H . c ∂t where f is an arbitrary function of coordinates and time. The Hamiltonian then becomes 1 H= 2m eHy px + ˆ c 2 A y = Az = 0 . ˆ 2m 2m s First. the generalized momentum of the particle is related to its velocity by the Hamilton equations. vy } = i(e /m2 c)Hz . s It is naturally to search for solution in the form ψ = ei(px x+pz z)/ φ(y) . vz } = i(e /m2 c)Hx . vx } = i(e /m2 c)Hy . those operator commute if divA = 0. Let us determine the energy levels in a 3dimensional system embedded into a uniform magnetic ﬁlm with a vector potential Ax = −Hy . In classical mechanics. 1 2m eH px + ˆ y c 2 + p2 + p2 ψ − ˆy ˆz µ σHψ = Eψ . PRELIMINARY CONCEPTS ˆ ˆ p · A − A · p = −i divA . the operator sz commutes with the Hamiltonian. mv = p − eA/c . Thus one can analyze the Schr¨dinger o equation for an ordinary coordinate function. v ˆ {ˆz . Under such a transform only the phase of wave function is changed by the quantity ef / c that does not aﬀect the observable quantities. . It holds in a uniform ﬁeld with 1 A = H × r. the commutation rules being {ˆx . v ˆ {ˆy .
and the energy spectrum reads as 1 p2 E = n + + σ ωc + z . For an electron. (11.11. the operators y0 and x0 do not commute. ˆ ˆ That means that the coordinates x0 and y0 cannot take deﬁnite values simultaneously. we o obtain E = (n + 1/2) ωc − (µσ/s)H + p2 /2m .8) 2m 2 E+ µσ p2 H− z s 2m 1 2 − mωc (y − y0 )2 φ = 0 . n = 0. µ/s = −e /mc. Here vt is the tangential component of the velocity. 1.2. they are called Landau levels. any function of the type C(kx )ψN. In classical mechanics the motion in a magnetic ﬁeld in xyplane takes place in a circle about a ﬁxed center.kx . .5) Since this equation is the same as the Schr¨dinger equation for a harmonic oscillator. 1 One can ask: why the coordinates x and y are not equivalent? The reason is that the wave functions (11. it commutes with the Hamiltonian. The quantity x0 corresponds to a classical x coordinate of the circle center.4) Here Hn is the Hermite polynomial. Thus we have.kz kx In a classical mechanics. (11.8) correspond to the energy independent of ky . (11. Consequently. However. Since Az = 0 we get pz = mvz . o φ + Here y0 = −cpx /eH = −a2 kx . Here the conserved quantity y0 corresponds to y coordinate of the center of the circle. ωc = eH/mc . 2 (11. 247 Thus the motion along magnetic ﬁeld in 3D system is not quantized. .6) z The ﬁrst term gives discrete levels which corresponds to the ﬁnite motion in the xyplane. BASIC PROPERTIES The eigenvalues px and pz take all values from −∞ to ∞. 1 . . H aH = (c /eH)1/2 . For a motion in the xyplane we have the following Schr¨dinger equation. x = x0 − rc (vy /vt ) . the radius of the circle is rc = cmvt /eH = vt /ωc . (11. y = y0 + rc (vx /vt ) .7) 2 2m The eigenfunctions φn (y) are φn (y) = π 1/4 aH √ 1/2 1 2n n! exp − (y − y0 )2 2a2 H Hn y − y0 aH . It is easy to see that the combination x0 = cpy /eH + x is also conserved.
If we ignore the spin splitting we can assume spin degeneracy and multiply all the formulas by the factor 2. Lx kz = 2π nz . 2π 2πa2 0 2πa2 H H (11. To take the spin into account one should add the spin splitting ±µB gf H to the energy levels. To get DOS one should to diﬀerentiate this equation with respect to ε. H Now it is easy to calculate number of states in a 3D system treating the kz variable as for the usual 1D motion √ 2 2mLz 2kz Lz ε − ωc (N + 1/2) = 2π 2π for each state with a given N . Lz At the same time. The result is √ dZ(ε) 2m Θ[ε − ωc (N + 1/2)] . So. We take it into account automatically using g(ε) = 2gs (ε). We will come back to this property later. As usual. PRELIMINARY CONCEPTS corresponds to the same energy and one can chose convenient linear combinations to get correct asymptotic behavior. we assume that the solution exists only in the region 0 < y 0 < Ly . . To calculate the density of states in a magnetic ﬁeld ﬁrst we should count the number of the values ky corresponding to the energy εα (the socalled degeneracy factor). the total number of states per volume for a given spin is √ 2 2m ε − ωc (N + 1/2) Zs (ε) = ZsN (ε) = (2π)2 a2 N H N where one has to sum over all the values of N with nonnegative ε− ωc (N +1/2).9) This is very important relation which shows that one can imagine Landau states as cells with the area a2 . Finally. The total number of sates is Z(ε) = 2Zs (ε).248 CHAPTER 11. the degeneracy factor is Lx max Ly Lx Lx kx max = y = . we apply cyclic boundary conditions along y and z axes and get kx = 2π ny . gs (ε) = = 2 dε (2π)2 aH N ε − ωc (N + 1/2) Here for x > 0 . Θ(x) = 0 for x < 0 is the Heaviside step function. 1 1/2 for x = 0 .
s. We observe that DOS in a given magnetic ﬁeld oscillated with the increase in energy just similar to the case of quasi 1D systems.σ Thus the density of states has sharp maxima at the energy levels that is a feature of socalled 0dimensional system. For a 2DEG the motion along zdirection is quantized.8. The Fermi level is also shown. The Fermi level is assumed to be ﬁxed by external conditions. they form the socalled Landau fan. The Landau levels as functions of magnetic ﬁeld for a given value of pz are shown in Fig. We see that if magnetic ﬁeld is small many levels are ﬁlled. BASIC PROPERTIES 249 Energy 2 1 0 E Energy E pz H Figure 11. The behavior of the density of states could be interpreted qualitatively in the following way. 4π 2 2 c n. the density of states (per area) being g( ) = νv eH δ( − En. and instead of eipz z/ we have χs (z).8: Landau levels as functions of pz (left panel) and of H (right panel).σ ) . for the ﬁeld HN −1 determined from the equation εN −1 (HN −1 ) = F the (N −1) becomes empty. Let us start with some value of magnetic ﬁeld and follow the upper ﬁlled level N . Then. F Here mc is the socalled cyclotron eﬀective mass which in the case of isotropic spectrum is the same as the densityofstates eﬀective mass. the slopes of the “fan” also increase and at a given threshold value HN for which εN (HN ) = F. Here Landau subbands play the same role as the modes of transverse quantization for quantum channels. In real samples the peaks are smeared by disorder.2. At low magnetic ﬁelds its dependence on magnetic ﬁeld is very weak. . As the ﬁeld increases. The means that for each subband of spatial quantization we have a sharp Landau level.s. As a function of magnetic ﬁeld. 11. We get HN ≈ mc c e F 1 . As the ﬁeld increases the electrons are transferred from the N th Landau level to the other ones. N so ∆ 1 H ≈ e mc c .11.
5 1 1.250 CHAPTER 11. F .3 Degenerate and nondegenerate electron gas At equilibrium the states are ﬁlled according to the Fermi function 1 .9 1 0. In the The limiting case T = 0 is actually means the the inequality kT opposite limiting case. Since at T = 0 f0 ( ) ≈ Θ( − ζ) .5 1 1.5 2 Figure 11. PRELIMINARY CONCEPTS 11. The chemical potential is determined by the normalization to the total number of electrons as ∞ n= 0 g( ) f0 ( ) d where n is the electron density. At zero temperature the chemical potential is called the Fermi energy.5 0 ε/ζ 0. the Fermi energy is given by the equation F n= 0 g( ) d . kT F . . we get ∞ f0 ( ) ≈ e(ζ− )/kT .9: The Fermi distribution (solid line) and its energy derivative multiplied by kT (dashed line) for ζ/kT = 10. 11.10) is met. f0 ( ) = exp[( − µ)/kT ] + 1 where µ is the chemical potential while k is the Boltzmann constant.5 0. n = eζ/kT 0 g( ) e− /kT d .5 2 2. F (11. The graph of the Fermi function and its energy derivative is given in Fig.
λ. λ = 2π/kF = 2π/ns √ where ns is the sheet density. 2mkT . RELEVANT LENGTH SCALES Thus.4 Relevant length scales One can discriminate between several important length scales in lowdimensional systems.1: A few relevant length scales.11) 11. p ≈ 2mkT . They are shown in the Table 11. This length is deﬁned as λ= 2π 2π = p k where p (k) is the typical electron momentum (wave vector). 0 251 ∞ g( ) e− /kT d . 1 mm Mean free path in the quantum Hall regime 100 µm Mean free path/Phase relaxation length in highmobility semiconductor at T < 4 K 10 µm 1 µm Commercial semiconductor devices (1990) 100 nm de Broglie wave length in semiconductors.1. Mean free path in polycrystalline metallic ﬁlms 10 nm 1 nm de Broglie wave length in metals Distance between atoms 1˚ A Table 11. Note that 1 µm = 10−6 m = 10−4 cm. For the Boltzmann gas. For the case of a single ﬁlled band in 2DEG. (11. A The above mentioned scales have the following physical meaning: De Broglie wave length. 1 1 = A(T ) n This distribution is called the Boltzmann one.11.4. 1 nm = 10−9 m = 10 ˚. f0 ( ) = A(T ) e− /kT . For Fermi gas the characteristic momentum is just the Fermi momentum. and λ= √ 2π .
If the phases of the waves are not destroyed. in any stationary potential the equations of motion are timereversible. However. Among them are inelastic scattering by phonons. a speciﬁc quantum interference phenomena can be observed and important.252 CHAPTER 11. etc. The only processes which can be responsible for phase relaxation are the ones which broke the symmetry with respect to timereversal. Lϕ . The above mentioned relaxation process is relevant to the interference of the wave functions belonging to a singleelectron state. It is deﬁned as = vτtr where v is the typical velocity while τtr is the socalled transport relaxation time. interference can be also important for the interaction of two electrons having close . where the electron wave functions having diﬀerent prehistory are collected at the same point. τϕ . describes relaxation of the phase memory. Phaserelaxation length. LT . Indeed. An important feature of such processes is that an electron suﬀers many elastic collisions during a typical time τϕ . m The physical meaning of mobility is that a typical electron drift velocity acquired in an external electric ﬁeld E is given by the relation vd = uE . It is deﬁned as 1 ∝ dθ sin θ W (θ) (1 − cos θ) τtr where θ is the scattering angle while W (θ) is he scattering probability. where D = (1/d)v is the diﬀusion constant (d is the dimensionality of the electron gas). Usually the transport is characterized by the mobility u= eτtr . classical motion can be described as evolution of the probability to ﬁnd a particle at a given point at a given time. in quantum mechanics the state is characterized by the wave function which has a phase. However. This is a characteristic length between the collisions with impurities or phonons. electronelectron collisions. spinﬂip processes. PRELIMINARY CONCEPTS Mean free path. It is clear that scattering against any static spinindependent potential cannot lead to the phase relaxation. This is a specially quantum mechanical relaxation length which has no analogs in classical physics. The phaserelaxation time. . Thermal dephasing length. Namely. The phase is important in the socalled interference phenomena. Since it moves diﬀusively a proper way to estimate the relevant length Lϕ is as follows: Lϕ = Dτϕ .
10: Electron trajectories for the diﬀusive ( < W. The situation is illustrated in Fig. one can discriminate between diﬀusive. and the situation appears more rich and interesting.4. W . Indeed. scales Lϕ and LT become important. transport. Such a classiﬁcation appears incomplete in the situation where diﬀerent dimensions of the sample are substantially diﬀerent. most of the recent work has been based on the gallium arsenide (GaAs)–aluminum gallium arsenide (AlGaAs) material system. ≥ L. L and ballistic. 11.11. Some important parameters for such systems are shown in Fig. If phase coherence is taken into account. L). L) transport regimes. . From [11].11. RELEVANT LENGTH SCALES 253 energies. quasiballistic (W < < L) and ballistic ( > W. Thus the characteristic length of coherent propagation is estimated as LT = D/kT . L. Mesoscopic conductors are usually fabricated by patterning a planar conductor that has one very small dimension to start with. Comparing mean free path with characteristic dimensions of the system. Although some of the pioneering experiments in this ﬁeld were performed using metallic conductors. the Figure 11. 11. if the energy diﬀerence between the electrons is ≈ kT they travel almost coherently during the time /kT .10 for the case where the length L of the sample is much larger than its width.
11: Electronic properties of the 2DEG in GaAsAlGaAs and Si inversion layers. From [10].254 CHAPTER 11. . PRELIMINARY CONCEPTS Figure 11.
the transport through the systems can be formulated as a quantum mechanical scattering problem. Thus one can reduce the nonequilibrium transport problem to a quantum mechanical one.Chapter 12 Ballistic transport 12. In the following we shall use the Fermi level of nonbiased system as the origin for the chemical potentials. If the channel is long and uniform. The main principle of this approach is the assumption that the system in question is coupled to large reservoirs where all inelastic processes take place. Ideal quantum wire Consider 2 large reservoirs of electron gas reservoirs having the diﬀerence δn in the electron density and separated by a pure narrow channel.socalled Landauer approach. δµ = δn/g( F ). ∂εn (kz )/∂kz  h If we take into account electron spin and N transverse modes are open. then the total current carried by the state characterized by a transverse mode n and a given direction of spin which propagates without scattering is Jn = e 2 dkz ∂εn (kz ) = 2π ∂kz 2π F +µβ dε F +µα ∂εn (kz )/∂kz 2 = δµ . then the conduc2 tance is given by the expression G = 2e N . Another important assumption is that the system is connected to reservoirs by ideal quantum wires which behave as waveguides for the electron waves.1 Landauer formula We start this chapter by a description of a very powerful method in physics of small systems . h We come to a very important conclusion: an ideal quantum wire has ﬁnite resistance h/2e2 N which is independent of the length of the wire. So the diﬀerence between the chemical potential in αth reservoir will be denoted as µα . We start our analysis from the discussion of the properties of an ideal quantum wire. 255 . Consequently. For small δn one can assume that there is a diﬀerence in a chemical potential.
U. while its total entropy. First of all let us specify what heat release is. Such a distribution can be characterized by a local electrochemical potential and sometimes an electron temperature. The amount of order in the electron distribution resulting in electric current can bring about mechanical work. In such a way the electrons transferring the current can execute a work on the rod. [23]). The product RC of the whole system. the equilibrium with respect to the lattice is established at the scales of electronphonon and phononphonon mean free paths. and this means dissipation of mechanical energy into the heat. the amount of heat generated per second in both reservoirs being the same.256 CHAPTER 12. which determines the conductivity of the reservoirs themselves. It is interesting to indicate that even purely elastic collisions can result in a heat generation although they of course cannot establish full equilibrium. . The latter can in principle be measured by optical methods. This means that for all the practical purposes the conduction process can be looked upon as a stationary one. It has been shown that the heat release is symmetric in both reservoirs even if the scatterers in the system are asymmetric. a local equilibrium electron distribution is established over the length scale determined by electronelectron interaction. That means a ﬁnite heat generation even in the absence of any inelastic processes inside the wire. The rate of heat generation is expressed through T ∂ S/∂t. It will be convenient to consider an isolated system. also establish full equilibrium. the amount of order in the electrons’ distribution diminishes. BALLISTIC TRANSPORT As we have seen.e. What equilibrium needs is inelastic collisions which transfer the energy of electrons taking part in charge transfer to other degrees of freedom. As a result of scattering. and a magnetic rod can be drawn into the coil. The total energy of the system. is growing. That is the same mean free path that enters the Drude formula. This has a clear physical meaning. one can let the current ﬂow through a coil. This thermodynamically deﬁned heat is generated in the classical reservoirs over the length having a physical meaning of the electron mean free path. ˆ ˆ S. which is made only for the sake of derivation. Therefore we will have in mind the following physical situation. There is a capacitor which is discharged through the conductor of interest. For instance. where T is the temperature. is conserved. This means that the result is independent of the assumption that the considered system is isolated. is much bigger than any relaxation time characterizing the electron or phonon system of the conductor. All the above considerations do not mean that the collisions that give the main contribution to the heat release. On the other hand. through the applied voltage and characteristics of the nanostructure itself. such as to other electrons and phonons. R and C being the resistance and capacitance respectively. even an ideal quantum wire has a ﬁnite resistance. i. Below we will discuss the physical picture of heat release by a currentcarrying nanostructure (here we follow the considerations of Ref. In particular. Only over those distances from the channel one can treat the results in terms of the true local temperature.
this is the conductance which is measured between two reservoirs.1. G= 2e2 h N Tn = n=1 2e2 Tr tt† . in the original formulation the quantum resistance was described as N 2e2 Tn G= . Ei + 2 2 ki 2m = EF . Having in mind that the resistance of the connecting ideal wires (per one conducting mode) is h/2e2 we can ascribe to the scattering region the resistance h 1 h R −1 = 2 . the quantity which is usually measured is given by Eq. 12. If there is some reﬂection only a part of the current is transmitted. 2e2 T 2e T where R is the reﬂection coeﬃcient. Let each lead has the cross section A and have N⊥ transverse channels characterized by wave vectors ki so that.1). Tn . h n=1 As a result.1) Here t is the matrix of scattering amplitudes while the expression is called twoterminal Landauer formula.2) h n=1 1 − Tn However. h (12.1 consisting of a barrier connected to reservoirs by ideal quantum wires. (12. . LANDAUER FORMULA 257 Resistance of a quantum resistor Consider a system shown in Fig. In this case one can introduce the transmission probability of the mode n. (12. Consequently. Consider ideal wires which lead to a general elastic scattering system.1: On the resistance of a quantum resistor. Indeed.12. This very important and looking simple formula was confusing during a long period. to obtain (including spin degeneracy) N 2 J = δµ Tn . Figure 12. Now we derive the Landauer formula for ﬁnitetemperature and socalled multichannel case when the leads have several transverse modes.
. we denote the proper amplitudes by primes. If we replace the incoming and outgoing channels. It one deﬁnes the total transmission and reﬂection into ith channel as Ti = j tij 2 . then from unitarity condition we get Ti = i i (1 − Ri ) . From the current conservation we must require unitarity while from time reversal symmetry ˜ S = S.258 CHAPTER 12. the diﬀerences µ1 − µ2 are also assume small to yield linear transport. Let us introduce the total transmission probability from the bath α to the bath β. Reﬂection amplitudes rij are introduces in a similar way for reﬂection into the ith incoming channel. Multiterminal resistance For simplicity we shall discuss the case of zero temperature. In this way it is convenient to introduce 2N⊥ × 2N⊥ scattering matrix as S= r t t r . i Thus the conductance becomes G= dE − Tr tt† . Thus we have also SS = I where star stays for complex conjugation while tilde ˜ for transposition. Ri = j rij 2 . We shall assume that the particles are absorbed in the outgoing baths. Nα Nβ Tα→β = n=1 m=1 tβα. Since the densities of states in each channel are 1D like. We introduce the scattering amplitudes tij for the transmission from jth incoming to ith outgoing channel..mn 2 . The outgoing channels are fed up to thermal equilibrium population. This is the twoterminal conductance measured between the outside reservoirs which includes contact resistances. BALLISTIC TRANSPORT The incoming channels are fed from the electron baths with the same temperature and chemical potentials µ1 . gi (E) = (π vi )−1 we write the current through outgoing channels as e dE [f1 (E)Ti (E) + f2 (E)R (E) − f2 (E)] I = π i = (µ1 − µ2 )e π 2e2 h dE − ∂f ∂E ∂f ∂E Ti (E) . . . In a magnetic ﬁeld the Onsager relation requires S(H) = S(−H). . The sources are assumed to be incoherent. µ2 .
we can write ˆ I = Gµ .5) are called often the LandauerB¨ttiker formalism. I3 = I4 = 0. The equations (12. The sum of rows of this matrix is zero because of current conservation. respectively. Then I = I j where 1 −1 j =I 0 . The fraction Tα→β /Nα is transmitted to the reservoir β while the fraction Tα→α /Nα = Rα /Nα is reﬂected back into reservoir α.1. we see that the reservoir α injects the current (2e/h)Nα µα into the lead α.12. They u V 3 4 1 I 2 I Figure 12. . 4terminal resistance. Thus Nα − R α = β=α Tβ→α = β=α Tα→β . the sum of the elements of each row also vanishes because if one changes all the chemical potentials by the same amount no current will be induced. The the net current Iα is given by the following set of equation. Indeed.5) Here we use the relation Tα→α = Rα . 0 Thus R34 = µ4 − µ3 ˆ = G−1 j I ˆ − G−1 j 4 3 .4) and (12. ˆ where the conductance matrix G is deﬁned as Gαβ 2e2 = [(Nα − Rα ) δαβ − Tβ→α (1 − δαβ )] h 2e2 = [Nα δαβ − Tβ→α ] .4) (12. e. g. Counting all the chemical potentials from the Fermi level. we can put I1 = −I2 = I. allow ﬁnd. LANDAUER FORMULA 259 Here Ni is the number of propagating modes in each lead connected to ith reservoir. h Iα + (Nα − Rα )µα − Tβ→α µβ . h (12. 2e β=α (12.2: On the resistance of 4terminal device.3) Introducing vectors I and µ with components Iα and µα .
A T = ∞ 0 dE g(E) (∂f0 /∂E) A(E) .3: A sketch of QPC formed by splitted gates. BALLISTIC TRANSPORT Having in mind the properties of the scattering amplitudes we have. One can easily generalize the above expressions for the case of ﬁnite temperatures by ˆ replacement of the element of Gmatrix by their thermal averages. β.2 Application of Landauer formula Point ballistic contact The most clean system is the socalled quantum point contact (QPC) .αβ (−H) . The quantization is not that accurate as in quantum Hall eﬀect (about 1%) because of nonunit transparencies Tn and ﬁnite temperature.3 The conductance of Figure 12. 12.short and narrow constrictions in 2d electron gas. δ while the current passes through the contacts α. π −π/2 2π Thus the “diﬀusion constant” is Def f J 1 = = W vF δn π → G = e g( F )Def f 2 2e2 kF W = . h π . Note that this relation works even in the case when the concept of local conductivity is not applicable. In a classical picture one can write π/2 dα 1 J = W (δn)vF cos α = W vF (δn) . ∞ dE g(E) (∂f0 /∂E) 0 12.260 CHAPTER 12.γδ (H) = Rγδ. QPC is quantized in the units of 2e2 /h. It is interesting to compare quantum and classical behavior of QPC. What we only need is linear response and absence of inelastic scattering inside the device under consideration. Here Rαβ. A sketch of QPC is shown in Fig.γδ stands for the resistance measured for voltage contacts γ. Tα→β (H) = Tβ→a (−H) that results in the reciprocity relation Rαβ.
Series addition of quantum resistors Assume that we have two obstacles in series. 1 is B exp(kx − ωt). Let the wave with unit amplitude is incident to the region. Note that the integer part of the quantity kF W/π is just the number of occupied modes according to quantum mechanics.5: On the classical conductance of a point contact. Let the wave emerging from the obstacle iφ D 1 A B C Be −i φ Ce Figure 12. The obstacles are connected by an ideal conductor. the amplitude of the reﬂected wave is A while D is the amplitude the wave transmitted through device. In this way we get the . It reaches the obstacle 2 gaining the phase φ. the phase shift of the wave along which being φ. EF + eV α W EF Figure 12.12. The reverse wave C gains the phase −φ.4: Quantization of conductance of a point contact: Schematic picture (left) and experimental result (right).6: On series of quantum resistors.2. having the complex amplitude B exp(iφ). APPLICATION OF LANDAUER FORMULA 2 Conductance (2e /h) 261 Gate Gate voltage Figure 12.
Such a behavior can be formulated as a “renormalization group” 1 d −1 G R dn n = G −1 n + 1. G≡ 2. Ce−iφ = r2 Beiφ . Solving this equation we obtain. by the phase φ. 1 − R1 1 − R2 R1 + R2 . D= that yields for the total transmittance: T = D2 = CHAPTER 12.7) T D T1 T2 2e This is a very strange formula. Then the total reﬂection ﬁrst increases linearly in n. Tn Thus an addition a good conductor increases the resistance by R/Tn > R.6) where θ = 2φ + arg(r2 r1 ). i. e. BALLISTIC TRANSPORT B = t1 + r1 C D = t2 Beiφ eiφ t1 t2 . Finally the total transmission becomes substantially less than 1. (1 − R1 )(1 − R2 ) As a result the Ohm’s law survives only at small reﬂections. (12. Thus the average resistance grows exponentially with the length which has something to do with 1D localization.262 following set of equations. Assume that we made an ensemble of the systems which diﬀer only by the distance between the obstacles. 2π). Now let us add a very good conductor to this chain. The averaging over φ we get G −1 = while the Ohm’s law will provide G −1 = R1 R2 + . We get G −1 n+1 = Rn + R = G −1 Tn n + R . The ratio between reﬂection and transmission which should be understood as a reduced resistance (in units h/2e2 ) of the system excluding wires is √ 2 R A R1 + R2 − 2 R1 R2 cos θ hG G −1 ≡ = = . Let us construct a chain of n resistors with very small reﬂections. 1 − e2iφ r2 r1 T1 T2 √ 1 + R1 R2 − 2 R1 R2 cos θ (12. This considerations are not fully satisfactory because resistance . Let the distribution of φ will be constant in the interval (0. A = r1 + t1 C .
APPLICATION OF LANDAUER FORMULA 263 is not the proper quantity to be averaged. This point needs some more explanation. the proper quantity to be averaged is ln(1 + G −1 ). t1 → t1 e+iθ . 2 So the exact scaling is given by the relation −1 ln 1 + Gn = n(Rh/2e2 ) . Parallel addition of quantum resistors. Indeed. The quantity − ln T plays the role of extinction exponent and it should be additive to successive scatterers is the relative phases are averaged out. j . In the presence of AharonovBohm ﬂux Φ through the loop. An AharonovBohm ﬂux Φ through the opening can be represented as A · dl along the path circulating the opening. Let us now discuss the parallel addition of two singlechanneled quantum resistors. Here A is the vector potential. 1 + G −1 = 1 + R/T = 1/T → ln(1 + G −1 ) = − ln T . Timereversal symmetry requires ti = ti while the current conservation requires −ti /ti = ri /ri . Here θ = πΦ/Φ0 .7. We get this relation using 2π dθ ln(a + b cos θ) = π ln 0 √ 1 a + a2 − b 2 .7: On the parallel addition of quantum resistances. t2 → t2 e−iθ . 12. One can eliminate this ﬂux by a gauge transform ψ = ψ exp ie c χj (rj ) . The geometry of the problem is shown in Fig.12. the branches are absorbed by the scattering parameters.2. following from the gauge invariance the scattering amplitudes are renormalized as t1 → t1 e−iθ . t2 → t2 e+iθ . ri → ri . ri → ri . Following Anderson. All the phases and scattering eﬀects along t1 r1 I x1 x2 y1 t’ 1 r1 ’ u1 v1 v2 u2 Φ F y2 t2 r2 t’ 2 r2 ’ Figure 12.
BALLISTIC TRANSPORT where χ is deﬁnes as Al = χ. δ. all the discussed eﬀects are due to interference. γ + δ cos 2θ + cos 4θ (12. B = D = E = 0 . When the electron coordinate is rotated once around the ring the phase of χ is changed by δχ = 2πΦ/Φ0 . o However. x2 . δ = = 0. β = 0 . y2 . u1 . Thus we observe that nonconducting branch can inﬂuence the total conductance strongly. 1 2 D = E = t1 t2 C = t2 + t2 − (2 − r1 − r2 )(2 − r1 − r2 ) . γ = D2 + E2 . y1 . The subscript 1 is used for left incoming channel and right outgoing channel. δ = 2 Re (DC + EC ) . 1 2 This expression describes a rich physical picture. v1 . in this case. Indeed. t1 = 0. v2 . α = A2 + B2 . C = t2 − (2 − r1 − r2 )(2 − r1 − r2 ) . still the appropriate choice of phases of the reﬂection amplitudes r1 and r1 can result either in T = 0 or T = 1. F. β = 2 Re (AB ) . If the size of the system exceeds Lϕ we come back to classical laws. −1/ 2 −1/2 1/2 Here Sii denote the reﬂection amplitude of the ith channel while oﬀdiagonal elements Sij are the transition amplitudes from the channel i to j. R It can be done solving the set of matching equations at the scatterers and the triple connections. A = t2 t2 + t2 (r1 − 1)(1 − r1 ) . B = t2 t1 + t1 (r2 − 1)(1 − r2 ) . θ = 0 the transmittance can be strongly dependent on the phases of the complex scattering amplitude. the price for this is that the transformed wave function.264 CHAPTER 12. ψ . does not satisfy periodic boundary conditions. β. If we make one branch fully nonconducting. t2 − (2 − r1 − r2 )(2 − r1 − r2 )2 2 Putting r1 = 1 we obtain T = 0. The transformed Schr¨dinger equation has Al = 0. Of course. Even in the absence of magnetic ﬁeld.8) where α. γ. γ = t2 − (2 − r1 − r2 )(2 − r1 − r2 )2 . T ≡ F 2 = 4 α + β cos 2θ . A = t2 (r1 − 1)(1 − r1 ) . 2 2 2 2 α = t2  (r1 − 1)(1 − r1 ) . After rather long algebra made originally in Ref. [24] we arrive at the solution. To ﬁnd the transmitted wave one has to determine 10 unknown amplitudes. = 2 Re (DE ) . As a result we get t2 2 (r1 − 1)(1 − r1 )2 . In our calculation this phase shift is absorbed into the expressions for the transition amplitudes. x1 . are rather complicated functions of the scattering amplitudes. T = . It is assumed that the connections do not introduce additional scattering and can be described by the unitary scattering matrix √ √ 0 −1/ 2 −1/ 2 √ S = −1/√2 1/2 −1/2 . u2 .
. The authors showed that if the point contact has a smooth proﬁle. i. e. the potential n (x) for the upper transverse mode. Indeed.8. Let us assume that we can separate the variables in an adiabatic way. the potential n (x) is semiclassical.x (y). An explanation of such a behavior was given in Ref. the experimental steps were more or less rectangular. n (x) = 2m[d(x)]2 −1 If the variation d(x) is smooth at the scale of de Broglie wave length. The transmittance step depends occurs when the Fermi energy crosses the maximum of ρ dο Energy E x Figure 12. [25]. In this way we get the transverse wave functions ϕn. see Fig.3 Additional aspects of ballistic transport Adiabatic point contacts The results of ﬁrst observations of conductance quantization were surprising. Expanding the potential near its maximum we get n (x) = n (0) 1− ∂ 2 d(x) ∂x2 x=0 x2 d .12. Then one can use the semiclassical scheme for scattering problem and choose ψn (x) = pn (∞) i exp pn (x) x pn (x ) dx 0 .x (y) = 2 2y + d(x) sin πn . π 2 n2 2 . let us consider a channel with rectangular conﬁnement. d(x) d(x) The Schr¨dinger equation for the longitudinal motion has the form o d2 ψ − + 2m dx2 2 n (x)ψ = Eψ . Ψn (x. y) = ψn (x)ϕn.3. and ﬁrst solve the Schr¨dinger equation for a given width o d.8: On the adiabatic quantum point contact. if its width d depends on the longitudinal coordinate x in a smooth way. . To make the results simple. kF . then the T (E) dependence is very close to a perfect step. pn (x) = 2m[E − n (x)] . ADDITIONAL ASPECTS OF BALLISTIC TRANSPORT 265 12. However. from quantum mechanics it is well know that any sharp potential barrier produces oscillations in the transmission coeﬃcient as a function of the energy. 12.
p2 ) and (p1 . 12. see Fig.9: Scattering processes for electronelectron interaction.9.266 CHAPTER 12. inside the Fermi sea both ﬁnal states should be outside the Fermi sea (Pauli principle!). According to the momentum conservation law. we get the barrier as 2x2 U (x) = n (0) 1 − .9. p2 < pF. T (E) = 1 1 + exp[−π 2 (kd0 /π − n0 ) 2ρ/d0 ] . p1 + p2 = p1 + p2 . p1 . dρ The transmission through a parabolic barrier is known. p2 ) are not the same. The same numerical factor helps for the semiclassical condition to be valid. 12. We observe that the shape of the step is almost n independent. If this particle interacts Figure 12. BALLISTIC TRANSPORT Since ∂ 2 d/∂x2 = 2/ρ where ρ is the curvature radius of the center of constriction. n0 is the number of upper level. with another one. Concept of Fermi liquid Let us begin with the estimate of the electronelectron scattering in a Fermi gas. p2 > pF . p1. the √ transition being sharp at ρ ≥ d0 . Suppose that we have a particle 1 outside the Fermi sea. as we have seen. To make the motion through √ the contact ballistic the elastic mean free path should exceed ρd0 .9) Here d0 is the minimal width of the constriction. This criterion reads π 2 2ρ/d0 1. It is important that the numerical factor π 2 2 makes the transitions sharp even at R ∼ d0 . The momentum conservation law is shown graphically in the right panel of Fig. (12. 2. and. they are .4 Electronelectron interaction in ballistic systems The case of pure 3D metal. 12. One should keep in mind that the planes (p1 . while √ k = −1 2mE.
Consequently. The estimates above based on the conservation laws provide background of the theory of Fermi liquid. But from the Pauli principle. The energy conservation law actually determines the angle between p1 and p2 for given absolute values of these vectors. The typical value for the quasiparticle energy is kB T. he can treat them as to near classical ones provided (ε − F )τ ≈ ε− F F 1. But at the same time. The simplest way to estimate τ is to use dimensionality approach. Consequently. the upper limit for p2 is pF . This is why the electronelectron interaction can be treated in the leading approximation in a selfconsistent approximation. the rest is to integrate over p2 = p2  and p1 = p1 . Finally. So W ∝ (ε− F )2 . 2 α1 2 dp2 dp1 = −α1 dα2 0 dα1 = where we have introduced αi = pi − pF .12. p1 < p1 + p2 − pF . Indeed. Now we should remember that ε − F = vF (p − pF ). To get the escape probability for the particle 1 one should integrate over the intermediate momenta W ∝ δ(ε1 + ε2 − ε1 − ε2 ) (dp2 ) (dp1 ) (p2 is ﬁxed by the momentum conservation). We came to important conclusion: if one is interested in quasiparticles near the Fermi level. ε − F  F . 0 α1 +α2 0 < p1 − pF < (p1 − pF ) + (p2 − pF ). we come to the following chain of inequalities 0 > p 2 − pF > p F − p1 . Now let us recall that p2 > pF . Thus p1 + p2 − pF > pF . . E − E INTERACTION IN BALLISTIC SYSTEMS 267 shown together for convenience. the only quantity which is proportional to (ε − F )2 and has the time dimensionality is τ∼ F (ε − 2 F) . It means that all the momenta are close to pF and the angles with the vector p1 + p2 are almost the same. The essence of this concept is that the excitations in the vicinity of the the Fermi surface can be treated as quasiparticles which behave as particles with renormalized velocity. Let p1 be close to pF . So let us assume cosines to be the same and from the relation between the projections write down p1 ≈ p1 + p2 − p2 . or p2 > 2pF − p1 . p1 > pF . Consequently. the eﬀects of electronelectron interaction are not crucially important in pure 3D systems. Consequently. the average potential and kinetic energies are of the order of F .4. As a result.
Then the energy of excitation is ωk = q vF . collective electron modes (plasmons) with linear spectra are described by new. According to this model. It the absence of interactions. j j+1 j (12. Consider a single particle excitation near +kF where we remove one electron with k < kF and place it into a free state with k + q > kF . the space and time dependence of density (and spin) correlation functions are substantially diﬀerent from the ones for noninteracting systems. That means that the energy and momentum conservation laws are actually the same. The lowenergy excitation exist near ±kF . [16]. k < π.c.otherwise the correlation eﬀects are canceled out at the contacts between the interacting quantum wire and noninteracting reservoirs. The new features manifest itself only if there is one (or several) scatterers inside the quantum wire . the Drude conductivity is predicted to vary as power law with temperature.10) When the interaction V = 0 this Hamiltonian can be diagonalized as Ek = −t cos k. Creation of a real electron in this model is equivalent to excitation an inﬁnite number of plasmons. For example. however the velocity is renormalized. and this is why they are not restrictive as in a 3D case. In the presence of a scatterer.268 CHAPTER 12. Linear spectrum implies a bosonlike description. A 1D quantum wire is appropriately characterized by a conductance. where T is the transmission coeﬃcient. Because of that. the conductance of an ideal singlemode quantum wire. One can ﬁnd a good review of this model in Ref. Adding a similar state near −kF we have a situation similar to phonons in one dimension. Mathematically in can be done using 1 Here we follow Ref. is quantized. A proper model for interactive 1D electrons is the socalled TomonagaLuttinger model. as well as for edge states under conditions of quantum Hall eﬀect (see below). [16]. E − EF ≈ v(p − pF ). adiabatically connected to leads. The electronelectron interaction modiﬁes dramatically the lowenergy excitations in a quantum wire that leads to striking predictions for the transport. . boson modes. TomonagaLuttinger liquid For 1D interacting systems the above considerations are not valid because for a single branch linear dispersion near the Fermi points the energy spectrum is close to linear. the conductance drops to G = 2e2 T /h. . G = 2e2 /h. That manifests itself in various kinetic quantities. When the interaction is turned on this dispersion law remains. BALLISTIC TRANSPORT Onedimensional systems. To get a ﬂavor of the theory 1 let us consider a spinless electrons hopping on 1D lattice with the Hamiltonian H = −t j c† cj+1 + j V 2 c† cj c† cj+1 + h. the perturbative corrections describing even weak electronelectron interaction are divergent. The Luttinger liquid model which was previously used for 1D organic conductors now became important for highmobility quantum wires. All that together leads to a rich and very interesting physical picture. For this reason.
[ΦR (x).10) in the same from with replacement c → b. E − E INTERACTION IN BALLISTIC SYSTEMS (JordanWigner) canonical transform.11) H= 2π From the commutation relations it can be seen that the Hamiltonian leads to the equation of motion 2 2 ∂t θ = v 2 ∂x θ and a similar equation for φ.11) as 2 2 H = πv0 [NR + NL + 2λNR NL ] (12. θ(x )] = δ(x − x ) .4. v g(∂x φ)2 + g −1 (∂x θ)2 . 2 We observe that ∂x φ is the momentum conjugate to θ. These two ﬁeld commute with one another and satisfy the relations. √ Now. The right and left moving electron densities can be reconstructed as NB/L = ±∂x ΦR/L . nj → ρ(x) . It is convenient to expand the original Fermion operator into two part corresponding to the motion around the points ±kF . (12. ΦL (x )] = iπ sgn (x − x ) . that keeps the Hamiltonian (12. v = vF and g = 1. As a result. as ρ −ρ0 = ∂x θ(x)/π we arrive at the phononlike commutation ˜ rule. as well as an additional dimensionless constant g depend on the strength of interaction. Then we can rewrite the Hamiltonian (12. iπ [φ(x). In this way we replace φj → φ(x) .12) . where ΦR/L ≡ φ ± θ. we arrive at the eﬀective Hamiltonian. nj ≡ c† cj j Then we can proceed to continuum limit. One can check that the b operators at diﬀerent lattice points commute. For noninteracting electrons. focusing on scales long compared to the lattice constant. and therefore they are bosons. ˜ Extracting from the total electron density its average value. the velocity v. φ(x) ≈ ψR + ψL = ekF x eiΦR + e−kF x eiΦl 00 .12. ρ0 = kF /π and introducing the “displacement” operator. θ. cj = exp iπ k>j 269 c† ck k bj . the boson operators can be approximately decoupled as bj → nj exp(iφj ) . ΦR (x )] = −[ΦL (x).
g. the d. However.c. for the case of longrange interaction −1 comparing to the scale kF . the scatterers “undress” the excitations of interacting systems. got the repulsive case the linear conductance is zero. In particular. There are analytical expressions only for some models.13) we get nR = (ge/2πv)µR . φR/L = gφ ± θ. There are several experiments where some deviations from the predictions of singleelectron theory were observed. BALLISTIC TRANSPORT . λ= 1 − g2 . However it is proportional to T 2(g−1)/g . as well as in the presence of some scatterers. A very important point is that the parameter g has a physical meaning of dimensionless (in units e2 /h per spin) conductance of an inﬁnite ideal Luttinger liquid. that diagonalize the Hamiltonian (12. For example. As a result. e. Now we can raise the chemical potential of right chiral mode nR by an amount µR Them δH = −eµR nR . experiments. Unfortunately. As a result.c. if the Luttinger liquid wire has a large barrier with low transmission coeﬃcient T0 one can employ the results for the density of states in a semiinﬁnite liquid.13) L g 2π The operators nR/L correspond to the densities of right and left moving interacting electrons. the case g < 1 corresponds to λ > 0 (repulsion) while g > 1 corresponds to attraction. Since the additional current to the right is IR = enR v we get e2 G=g . (12.270 with v0 = v 2 g+ 1 g CHAPTER 12. the electronelectron correlations are eﬀectively . 1 + g2 This Hamiltonian describes interacting system of right and left moving electrons. That results in the nonlinear currentvoltage curve at low temperatures. such as unusual conductance quantization and anomalous temperature dependences.10) as πv 2 1 H= nR + n2 . and minimizing (12. dV Thus. (12. Because of longrange correlations. in a quantum wire it is impossible to couple only to one chiral mode. conductance of a ﬁnite Luttinger liquid wire coupled to noninteracting leads appears the same as for noninteracting case.14) h As is was already mentioned. That can been traced introducing new variables. the interaction leads to a strong renormalization of density of states near an obstacle. may interesting and important eﬀects can be observed. It the case of weak scattering the results are substantially diﬀerent. I ∝ T0 V 2(g−1)/g V → G(V ) ≡ dI ∝ T0 V 2(g−1)/g . At ﬁnite temperature it does exist. We identify v0 to vF . The Hamiltonian allows chiral general solutions f (x ± vt). nR/L = ± ∂x φR/L . interaction eﬀects can be revealed in a. It is not straightforward how one can relate the parameters v and g with the original lattice model because we have only the eﬀective theory for lowenergy excitations.
This system is much more pure that quantum wires.10. . We are going to discuss quantum Hall systems later. 12.4. We shall see that near the edges of a Hall bar a speciﬁc edge states appear which can be described by the above mentioned model. The results of such experiment is demonstrated in Fig. Therefore. and interaction eﬀects are crucially important.12. E − E INTERACTION IN BALLISTIC SYSTEMS 271 destroyed by disorder and electronphonon scattering. The concept of Luttinger liquid is speciﬁcally important for quantum Hall eﬀect systems. to observe the interaction eﬀect one needs extremely pure samples and low temperatures.
Edge states (d) form the quantum wire. (a) Wire preparation by cleaved edge overgrowth of GaAsAlGaAs by molecularbeam epitaxy. 1. Because of the large quantum mechanical zero point motion of the electrons. The exceptional quality of the 1D wires is central to our ability to obtain high quality. primarily serves to vary numbers denote the wire lengths in microns. The wire is 00319007 96 77(22) 4612(4)$10. BALLISTIC TRANSPORT FIG. 73. For . 73. 25. as subsequent 1D electronic subband are ﬁlled with electrons.] shown in Fig. The mean free path is estimated as 10 µm.Jt Onedimensional (1D) electronic systems. mainly focusing on our novel wire fabrication process. A long and narrow evaporated tungsten [Fig. cleaved edge overgrowth specimen. GN T . The temperature ally smooth barriers and on the fourth side by a dependence of the higher plateaus. Inset: different lengths fabricated consecutively along the edge of a suitable bias conditions. 3. This suggests te affects only the density in the wire region and that each mode contributes an equal amount to the total e gate affects the density in the entire edge. has an electron den1 2 3 1011 cm22 .Ps. 1(a)] will later deﬁne the 1D wire region. For details see text. the lowest plateau z direction by the quantum well and in the y direcremains ﬂat even at 20 K with a value approaching GQ at y the strong triangular potential of the cleavededge high enough temperatures. The voltage (VT ) measured conductance multiplied by an empirical factor of 1. to decrease for the higher Quantization in Quantum wires [From A. Transport through the wires at low temperatures (0. are expected to show unique transport behavior as a consequence of the Coulomb interaction between carriers [1–4]. Even for Coulomb energies smaller than the electron kinetic energy correlated electron behavior is expected. Panels (e) and (f) show diﬀerent charge distributions for diﬀerent top voltages. the quantized conductance is re 272 producibly lower than NGQ .10: Nonuniversal Conductance modes. socalled Luttinger liquids. and a mobility m $ 3 3 m2 V sec. 4612 ME 77.Ad. The longer correlation length causes the system to be more susceptible to pinning by local impurities. which. Wire fabrication by cleaved edge overgrowth [10] and the unique. dashed curve is region Linear response conductance multiplied by wires of 1(c) shows a blowup of the critical device the measured conductance of the last plateau for an empirical factor 1. suggests once more that there is no dependence overgrowth wires are conﬁned on three sides by on the electron density in the wire. The exceptionally long transport mean free path in excess of 10 mm and the exceedingly large subband spacing of 20 meV make these wires ideal for studying effects of electronelectron ee interactions in 1D. NUMBER 22 (a) Wire preparation by cleaved edge overgrowth of GaAsAlGaAs by MBE. 1(e).50. after the at a temperature 0. At higher temperatures and dc biases the conductance approaches NGQ . The panel (c) shows a blowup of critical device region. However. et al.15. 77. Inset: . 1(a)]. none of the scenarios provides a satisfactory interpretation of all our observations.15. esulting twodimensional electron gas (2DEG) re500 nm below the top surface. Linear response conductance of a 2 mm long wire tely along the entire edge. the conductance appears as a series of plateaus or steps with values equal to GQ multiplied by the number of partly occupied wire modes N . only m from the cleaved edge. through consecutively along the denote the wire length in microns.3 K. in situ contacting scheme are shown in Fig. these correlations are short ranged and their spatial extent is expected to increase in a power law manner as the system’s temperature is lowered [4]. PHYSICAL REVIEW LETTERS 25 NOVEMBER 1996 AlGaAs layers and doped from the top [Fig. the top gate (T) Linear response conductance of cleaved edge overgrowth specimen. The rigid rise. and 1(f ) show a sequence of Figure 12. 1(d)] creating one or more ed edge states along the cleave. This quantization results from sal value GO an exact compensation of the increasing electron velocity and the decreasing density of states as the number of carriers increases.Solid line the the measured conductance. T .23.Dx. At high temperatures the higher plateaus increasingly negative the 2DEG is separated and degrade due to the thermal population of the more closely D wire becomes ﬁrmly conﬁned in two dimensions: spaced upper subbands [8]. Although the wire’s conductance is quantized in equal steps showing plateaus that are ﬂat to within 5%.3 K. It is important to realize that the appears to be given by GN T NG1 T . As VT is egion for different topgate voltages VPhysical Review effect of temperature on (1996). One of the ﬁngerprints of a noninteracting 1D conductor is its quantized conductance in multiples of the univer2e2 h [8]. We discuss three different models to put our unexpected ﬁndings in their proper context. The dashed curve is is measured he help of the tungsten gate T . or 40 nm thickness embedded between two CHAPTER 12. nonuniversality. The starting point is a modulation doped GaAs quantum well of 14. For this reason we reiterate the intricate fabrication process.00 © 1996 The American Physical Society fabricated by cleaving the specimen [see also panel (b)]. While some aspects of the data can be reproduced qualitatively. the topgate temperature wire in a solid line is the measured conductance. In an earlier publication. Therefore the conductance of a 1D system is expected to be suppressed at low temperature even for a wire with just a few impurities [4–6]. In essence. to the 1D wire.PACS numbers: 73. 4612 the wire conductance is coby. we determined the transport mean free path as well as the energy and mode spectrum in the wire using magnetotransport spectroscopy [9]. preserving the ationdoping sequence. 2. This reduction is of ﬁxed amount for a particular wire width and can be as large as 25%.23. plateaus rules out a single series resistance as the origin of ctrons density along the edge. 1. reproducible data. Therefore. The m wire itself is fabricated by cleaving the specn ultrahigh vacuum and overgrowing the smooth ge plane with a second modulation doping sequence 1(a) and 1(b)].. the length of the channel is about 2 µm. The numbers single 25 nm the last plateau for wires of diﬀerent lengths fabricated tes the 2DEG into two sheets that connect.3 K) presents a signiﬁcant mystery. Electrons in such cleaved plateau. Here we present results of such an investigation as temperature and bias voltage are varied. This introduces electrons at the edge quantum well [see Fig. extends exactly to the edge of the quantum well. In such a case the step height would have ures 1(d).20. Yaatic cross sections of charge distributions in the The Letters. The edge of a single 25 nm ge states. The25 nm quantum well vs. This remarkable results as well as many other nonFermi liquid properties of the Luttinger model remain largely untested by experiments due to the lack of a suitable 1D wire [7]. 73. is stronger and electric ﬁeld. Strong overlap bethe 2DEG and the edge states couple both systems FIG. The side gate (S). The 1D wire region is in a 25 nm quantum well vs the topgate voltage VT Linear response 2DEG measured ed by decoupling the edge states from the conductance ofataa 2 µm logof 0.
1) where θ = 2φ + arg(r2 r1 ). It is clear that the transmittance T = T1 T2 √ 1 + R1 R2 − 2 R1 R2 cos θ T1 T2 √ . (1 − R1 R2 )2 273 (13. the maximal value being Tmax = (13.Chapter 13 Tunneling and Coulomb blockage 13.1 Tunneling Modern technology allows to fabricate various structures involving tunneling barriers. One of the ways is a splitgate structure. of series connection of to obstacles.1: Splitgate structure allowing resonant tunneling. 1 − e2iφ r2 r1 1 − eθ R1 R2 (13.2) is maximal at some speciﬁc value of θ where cos θ = 1. Such a system can be considered as a speciﬁc example Gate Barriers Gate Figure 13.3) . The complex amplitude of the wave transmitted through the whole system is D= t1 t2 eiφ t1 t2 eiφ √ = .
√ a θ = 2ka = 2ah−1 2mE → θ = 2m 2a = E v where v is the electron velocity. (13. We are interested in the scattering problem shown in Fig. Let us assume that all the phase shift is due to ballistic motion of an electron between the barriers.4) This expression is speciﬁcally simple at T1 . 13. (Γ1 + Γ2 )2 /4 + (E − E (r) ) (13. An important point is that the phase θ gained in the system is a function of the electron energy. TUNNELING AND COULOMB BLOCKAGE 1. T ≈ T1 T2 (T1 + T2 )2 /4 2 + (θ )2 (E − E (r) ) Γ1 Γ2 = 2 . Then. C. The reason of this fact in quantum interference in the region between the barriers which makes wave functions near the barriers very large to overcome low transmittance of each barrier. D. T2 Tmax = 4T1 T2 . the socalled attempt frequency.5) Here we denote θ ≡ (∂θ/∂E)E−E (r) and introduce Γi = Ti /θ . As a result. where νa = v/2d is the frequency of oscillations inside the interbarrier region. B. the quantity Γi can be rewritten as Γ = νa Ti . . To specify the transition amplitudes let us consider a 1D model for a particle in a well between two barriers. To ﬁnd a transmission probability one has to match the wave functions and their gradients at the interfaces 14 between the regions AC. Thus near a particular value E (r) deﬁned by the equality cos θ(E (r) ) = 0 → θ(Ek ) = 2πk one can expand cos θ as 1 1− 2 ∂θ ∂E 2 (r) E − E (r) 2 . Thus at low transmittance we arrive at a very simple formula of a BreitWigner type. They have the following form eikx + re−ikx a1 eκB x + a2 e−κB x b1 eikx + b2 e−ikx c1 eκD x + c2 e−κD x teikx in in in in in the the the the the region region region region region A. T1 = T2 = T . E . The physical meaning of the quantities Γi is transparent. Thus it is clear that Γi are the escape rates through ith barrier. (T1 + T2 )2 Thus we observe that two lowtransparent barriers in series can have a unit transmittance if they have the same partial transparencies.2.274 CHAPTER 13.
so we consider a simpliﬁed model of the potential U (x) = U0 d[δ(x) + δ(x − a)] . bi . In this case we have 3 regions.13.1. κ2 a(1 + r) . teik(x−a) x>a (13. So the transparency exponentially decays with increase of the product κd.2: On the resonant tunneling in a doublebarrier structure. so after some tedious algebra we can ﬁnd everything. ci ). t. Here κ2 = 2mU0 / 2 . κi = κ2 − k 2 . The transmission amplitude is given by the quantity t while the reﬂection amplitude – by the quantity r. tκ2 a . κ0 κ4 sinh2 (κd) + 4k 2 κ2 0 Here d is the barrier’s thickness. Here k= −1 √ 2mE . . The calculations for a doublebarrier structure is tedious. t. For a single barrier one would get T (E) = 4k 2 κ2 k 2 κ2 ≈ 4 e−2κd .6) The matching conditions for the derivatives at the δfunctional barrier has the form ψ (x0 + 0) − ψ (x0 − 0) = κ2 dψ(x0 ) . ai . TUNNELING 1 B C 2 3 D 4 275 Incoming Reflected U B E0 Resonant level UD Transmitted E A E Figure 13. Thus we get the following matching conditions B kA − ik(1 − r) A sin ka + B cos ka ikt − k(A cos ka − B sin ka) = = = = 1+r. A sin kx + B cos kx 0 < x < a .7) ψ + U0 dδ(x − x0 )ψ = Eψ around the point x0 . eikx + re−ikx x < 0. One can prove it by integration of the Schr¨dinger equation o ( 2 /2m) 2 (13. In fact we have 8 equations for 8 unknowns (r. 0i κ0i = −1 2mUi .
Thus two barriers in series can have perfect transparency even if the transparency of a single barrier is exponentially small.η solution tends to k0 a = sπ . Physically.8) can be rewritten as tan z = −ηz . κ2 d (13. . A schematic diagram of a real device is shown in Fig. in a biased system we obtain the situation shown in Fig. The physical reason is quantum interference. However. In this way. Near the peak one can expand all the quantities in powers of E − E0 E − E0 k − k0 ≈ ≈ k0 .8) We immediately observe that at k = k0 the total transmission amplitude t = 1 and there is no reﬂection. allows one to make a generator. Negative diﬀerential conductance. (E − E0 )2 + 1 (ΓL + ΓR )2 4 Here ΓL(R) / are the escape rates for the electron inside the well to the left(right) lead. if voltage across the system is zero the total number of electrons passing along opposite directions is the same. 13.8) deﬁnes the energy E0 = 2 2 k0 2m where the transparency is maximal. dJ/dV ≤ 0. s = 0. Of course. where η ≡ 2/κ2 da = 2 /mU0 ad . The condition (13. r = 0. ±1. 1 the The solution of this equation can be found graphically. For “strong barriers”. one can make a transistor. with optical interferometer). while for “weak” barriers k0 a = (s + 1/2)π . Substituting r = 0 we get the following requirement for the set of equation to be consistent k = k0 .4. 13.3. In . Commercial resonant tunneling transistors are more complicated than the principle scheme described above.. (∂E/∂k)k0 2E0 The result for a general case can be expressed in the BreitWigner form T (E) = ΓL ΓR . They are given by the attempt frequency v0 /2a = k0 /2ma times the transparency of a given barrier.276 CHAPTER 13. TUNNELING AND COULOMB BLOCKAGE First one can easily see that there is a solution with zero reﬂectance. and the current is absent. Equation (13. One can also control the system moving the level E0 with respect to the Fermi level by the gate voltage. that means that an electron gains the phase 2πs during its round trip (cf. tan k0 a = − 2k0 .
2. while the number of electrons from emitter is controlled by the baseemitter voltage. We describe it by the eﬀective capacitance C to take into account polarization of the electrodes. COULOMB BLOCKADE 277 E0 eV Current Bias voltage Figure 13.2 Coulomb blockade Now let us discuss a speciﬁc role of Coulomb interaction in a mesoscopic system.13.3: Negative diﬀerential conductance in doublebarrier resonanttunneling structure. The condition of alignment is controlled by the collectorbase voltage. So it can be tuned by the gate voltage VG . this device resonant tunneling takes place through localized states in the barrier. 2C Now let us estimate the diﬀerence e2 ∆E(n + 1) − ∆E(n) = −eVG + n . Now let us remember that the charge is transferred by the electrons with the charge −e. the energy as a function of the number n of electrons at the grain is n2 e2 ∆E(n) = −neVG + . There exist also transistors with two quantum wells where electrons pass through the resonant levels in two quantum wells from the emitter to collector if the levels are aligned. Consider a system with a dot created by a splitgate system (see above). 2C Here the ﬁrst item is the work by the source of the gate voltage while the second one is the energy of Coulomb repulsion at the grain. C . Then. If one transfers the charge Q from the source to the grain the change in the energy of the system is Q2 ∆E = QVG + . 13. The graph of this function is the parabola with the minimum at Q = Q0 = −CVG .
Rev. Such a device (as was recently demonstrated) can work at room temperature provided the capacitance (size!) is small enough. As a result of the Coulomb blockade. E. 14.4: Schematic diagram of a Si MOSFET with a split gate (a). They are attributed to resonant tunneling through localized states in the barrier. Below we shall review the simplest variant of the theory. 61. which creates a potential barrier in the inversion layer (b). We observe that at certain values of VG . 1654 (1988). Lett. Otherwise one has to pay for the transfer that means that only inelastic processes can contribute. Phys. TUNNELING AND COULOMB BLOCKAGE Figure 13.. Coulomb blockade as a physical phenomenon has been predicted by Kulik and Shekhter [26].9) the diﬀerence vanishes. A simple theory of single charge tunneling For simplicity. As a result. and the conductance vs. VGn = n e .5 K are shown. That fact allows one to create a socalled singleelectron transistor (SET) which is now the most sensitive electrometer. There are very good reviews [13. gate voltage dependence is a set of sharp peaks. electron tunnel onebyone. A second trace is shown for a magnetic ﬁeld of 6 T. 15] about singlechange eﬀects which cover both principal and applied aspects. let us ignore discrete character of energy spectrum of the grain and assume that its state is fully characterized by the number n of excess electrons with respect to .278 CHAPTER 13. at e2 kB T ≤ 2C the linear conductance is exponentially small if the condition (13. It means that only at that values of the gate voltage resonant transfer is possible. In the right panel oscillations in the conductance as a function of gate voltage at 0. so called “orthodox model”. From T. C (13.9) is met. This phenomenon is called the Coulomb blockade of conductance. Kopley et al.
The charge conservation requires that − ne = Qe + Qc + Qg = Ce (Ve − U ) + Cc (Vc − U ) + Cg (Vg − U ) .13. In this way we come to the criterion En − En+1 + eVe ≥ 0 . The eﬀective charge of the grain is hence Q = CU = ne + i=e. (13. En+1 − En = (2n + 1)e2 e + 2C C Ci Vi i (13.13) . To organize a transport of one electron one has to transfer it ﬁrst from emitter to grain and then from grain to collector.c. The left (emitter) and right (collector) tunnel Re Ce Ve Vg Grain Rc Cc Vc Cg Figure 13. an electric charge can be accumulated at the grain.5. junctions are modeled by partial resistances and capacitances. where U is the potential of the grain. The energy cost for the ﬁrst transition. Cg . The gate voltage.5: Equivalent circuit for a singleelectron transistor.11) i The last item is not important because it is nindependent. The voltages Ve and Vc of emitter and collector are counted from the ground. 13. Thus.12) must be less than the voltage drop eVe .10) Ci Vi . Vg . In the stationary case. Here we shall concentrate on this case. is coupled to the grain via the gate capacitance. the charge of excess electrons and the charges induced by the electrodes. C≡ i Ci . This charge consists of 4 contributions. In the nonstationary situation.g (13. (13.2. and the currents are diﬀerent. To calculate the energy of the systems let us employ the equivalent circuit shown in Fig. COULOMB BLOCKADE 279 an electrically neutral situation. the currents through both junctions are the same. the electrostatic energy of the grain is Q2 (ne)2 ne En = = + 2C 2C C 1 Ci Vi + 2C 2 Ci Vi i .
Vb ≥ (2n + 1)e/C − 2(Cg /C)Vg . Here Γn n−1 = Γe→g (n − 1) + Γc→g (n − 1) . Ve = −Vc = Vb /2 pn [Γe→g − Γg→e ] . let us write down the Hamiltonian as H0 = He + Hg + Hch + Hbath . It can be determined from the balance equation. Then we get the criterion. Vc and Vg to make the current possible. n c† cqσ − N + . We assume that emitter and collector electrodes can have diﬀerent chemical potentials. where Ge = Gc = G. Γn n+1 = Γg→e (n + 1) + Γg→c (n + 1) . (13. For simplicity let us consider a symmetric system.15) Here pn is the stationary probability to ﬁnd n excess electrons at the grain. the above considerations are applicable at zero temperature. TUNNELING AND COULOMB BLOCKAGE In a similar way. pn−1 Γn + pn+1 Γn − Γn−1 + Γn n−1 n+1 n n+1 pn = 0 .16) The proper tunneling rates can be calculated from the golden rule expressions using tunneling transmittance as perturbations. This is a manifestation of Coulomb blockade. to organize the transport from grain to collector we need En+1 − En − eVc ≥ 0 . He.13) provide the relations between Ve . The current through the emittergrain transition we get I=e n C). It is important that the threshold linearly depends on the gate voltage which makes it possible to create a transistor.14) and (13. Ce = Cc ≈ C/2 (Cg where Vb is bias voltage. (13. (13.c = kσ † k ckσ ckσ † q cqσ cqσ qσ .14) The inequalities (13.280 CHAPTER 13. Of course. To do that. We observe that there is a threshold voltage which is necessary to exceed to organize transport.17) (13.18) (13. qσ Here Hbath is the Hamiltonian for the thermal bath. n= ˆ qσ Hg = Hch = (ˆ − Q0 )/2C . N + is the number of positively charged . .
2π ψ iHint ψ ψHint i Eψ − Ei 2 δ(Ei − Ef ) . Cotunneling processes As we have seen. say. Fig. emitter and grain as He↔g = Tkq c† cqσ + h. 13. Ve ) = Γg→e (−n. Here we have introduced the tunneling conductance of e − g junction as Ge = (4πe2 / ) ge ( F )gg ( F ) Ve Vg Tkq 2 . physically they describe thermal activation over Coulomb barrier. Ci Vi ± eVµ is the energy cost of transition. The temperaturedependent factor arise from the Fermi occupation factor for the initial and ﬁnal states. V C/e < 1.q. only two charge states play a role. To describe tunneling we introduce the tunneling Hamiltonian between. more charge states are involved. a higherorder tunneling process transferring electron charge coherently through two junctions can take place. respectively.σ Applying the golden rule we obtain Γe→g (n) = Ge e2 ∞ ∞ d −∞ k −∞ d q fe ( k )[1 − fg ( q )] δ(En+1 − En − eVe ) .13.c. . A standard nextorder perturbation theory yields the rate Γi→f = Two features are important.2. at low temperature the sequential tunneling can be exponentially suppressed by Coulomb blockade. e2 2Gc Γg→c (n. Ve. The results of calculation of currentvoltage curves for a symmetric transistor structure are shown in Fig.g being the volumes of the lead and grain. for diﬀerent values of Q0 . For such processes the excess electron charge at the grain exists only virtually. COULOMB BLOCKADE 281 ions in the grain. In this case.6. At larger bias voltage. In this way one arrives at the expressions Γe→g (n. At low temperatures and low bias voltages. e F( ) = while ∆±. To illustrate this fact. along the Landauer formula.µ (n) = En − En±1 ± eVµ = 1 C e2 2 en e i (13.c ) . Vc ) = Γc→g (−n. a similar plot is made for symmetrically biased transistor. 13.20) Here 1 + exp(− /kT ) → Θ( ) at T → 0 .7. −Vc ) = 2 F(∆−. −Ve ) = 2Ge F(∆+. kσ k.e ) . Ve = −Vg = V /2.19) (13.
However.6: The current of a symmetric transistor as a function of gate and bias voltage at T = 0 (from the book [5]). and one obtains Γcot Ge Gc 1 1 = + 12πe ∆−. At T = 0 the integrals can be done explicitly. after the process an electronhole excitation is left in the grain. A detailed treatment of that case is presented in the book [5].c (n − 1) 2 V3 for eV ∆i . The probability of such elastic cotunneling has a small factor (gg Vg )−1 . with overwhelming probability the outgoing electron will come from a diﬀerent state than the one which the incoming electron occupies. the current appears proportional to V 3 that was observed experimentally.c (n − 1) − q + q ).e (n + 1) ∆+. Hence. The situation is not that simple for the degenerate case when ∆i = 0. Therefore. There is also a process when an electron tunnels through the system leaving no excitations in the grain. Transitions involving diﬀerent excitations are added incoherently. thus it can be important at very low bias voltage. proportional to V .c (n − 1). it leads to the current. • The leads have macroscopic number of electrons.e (n + 1) ∆+. . As a result.282 CHAPTER 13. TUNNELING AND COULOMB BLOCKAGE Figure 13. g → c with the energy cost ∆−. • There are 2 channel which add coherently: (i) e → g. the result being Γcot = Ge Gc 2πe4 d e k g d q g d q c d k 2 f ( k )[1 − f ( q )]f ( δ(eV + k q )[1 − f ( − k k )] 1 1 × + ∆−. and (ii) g → c.e (n + 1). In that case the integrals are divergent and the divergence must be removed by a ﬁnite life time of a state. e → g with the energy cost ∆+.
The curves of such type are called the Coulomb staircase.25 and 1 (from the book [5]). Among them are devices consisting of large molecules with the probes attached in diﬀerent ways.13. . Now several room temperature operating Coulomb blockade devices were reported. This is one of important trends. Such devices are extremely promising both because they are able to operate at room temperatures and because they will allow high integration.5 the currentvoltage curve is linear at small bias voltage. 13.9 An important point is that at present time the devices can be fabricated so small that the criterion kT ≤ e2 /C can be satisﬁed at room temperatures. The linear conductance of such a structure as a function of the gate electrode C is shown in Fig. Another one concerns with singleelectron devices which include superconducting parts. 13.2. Probably most interesting are the devices where tunneling takes place through a small quantum dot with discrete spectrum. Ge = 10Gc . COULOMB BLOCKADE 283 Figure 13. Concluding remarks There are many experiments where Coulombblockaded devices are investigated. An example of such device is shown in Fig. as a function of bias voltage at T = 0 and diﬀerent Q0 . At Q0 = 0 the Coulomb blockade is pronounced. This is probably a starting point for new extremely important ﬁeld .8. There is a lot of interesting physics regarding transport in such systems.molecular electronics. 0. while at Q0 /e = 0.7: The current of asymmetric transistor.e = 0.
B 85.8: (a) A typical structure of a quantum dot. the voltage of gate electrode C. TUNNELING AND COULOMB BLOCKAGE Figure 13.284 CHAPTER 13.. . The depleted (shaded) areas are controlled by electrodes 14. and F. P.9: Conductance of a quantum dot vs. Kouwenhoven et al. 367 (1991). (b) a model of a quantum dot. Phys. Figure 13. C. From L. Electrode C also controls the electrostatic potential in the dot. From [7]. Z.
As a result.1 Ordinary Hall eﬀect j = σ0 (E + [j × H]/nec) .Chapter 14 Quantum Hall Eﬀect and Adiabatic Transport 14. We have seen that the number of states per unit area for a ﬁlled Landau level is nH = 1/2πa2 = eH/ch .2 Integer Quantum Hall eﬀect . One can solve this vector equation to obtain the resistivity tensor ρ= ˆ ρ0 H/enc −H/enc ρ0 . σ0 = ne2 τ /m .General Picture In the quantum case one faces the Landau levels.1) There is a striking similarity between the quantization of the conductance of a ballistic channel in units of e2 /h and of the Hall conductance. 1 + (ωc τ )2 σxy = nec 1 + σxx . H Usually the ﬁlling factor ν = n/nH 285 . H ωc τ (14. In a magnetic ﬁeld electrons’ trajectories are curved because of Lorentz force. 14. ρ0 = 1/σ0 . The inversion of this tensor gives the conductivity tensor with the components (in 2d case) σxx = σ0 .
or edges. Shubnikovde Haas eﬀect). This result seems very fundamental. QUANTUM HALL EFFECT for a fractionally ﬁlled level is introduced. Thus one has to consider either impurities. we can now expand the exact wave function as Ψ= npy cnpy ψnpy (r) . The crucial point that the most of the states are localized and cannot carry the current. and Landau levels smear into subbands. py is not a good quantum number any more. The average H density of states is AnB / ωc . as well as to the shift in the centerofmotion coordinate is shifted in xdirection by v/ωc . units) 2 Classical result 1 1 2 Filling factor 3 Figure 14. H z) and a single impurity at the point r0 = {x0 . As a result. Experimentally. The total degeneracy of a Landau level in the absence of disorder is N = AnB = A/2πa2 where A is the sample area. the following picture was observed. Indeed.286 CHAPTER 14. Thus.9. the translational invariance can lead to such a picture. To make the analysis as simple as possible let us discuss a 2d electrons in crossed electric and magnetic ﬁelds (E x.1: Schematic dependence of Hall resistance on ﬁling factor. according to the electrodynamics. As we have seen (see Sec. It is clear that only violation of 3 2 Hall resistivity (h/e ) Longitudunal resistivity (arb. the result seems fundamental independently whether classical of quantum mechanics is discussed. one can eliminate the electric ﬁeld on a spatiallyhomogeneous system by assuming a drift velocity v = c [E × H]/H 2 . The generally accepted picture is as follows. 6. y0 }. If one expresses the Hall component of the conductivity tensor through the ﬁlling factor ν and assumes ωc τ → ∞ he obtains σxy = νe2 /h. . the weak electric ﬁeld leads to the energy shift py v where v = cE/H is the drift velocity in ydirection. Impurities violate the translational invariance. Using the corresponding states as a basis.
py The right hand side of this equation as a function of the energy is shown below One can Right hand side 1/λ Energy 1/λ Localized states Figure 14. Then one can write cnpy = λ ∗ ψnpy (r0 )Ψ(r0 ) E − Enpy . its energy shift being proportional to λ. The other levels are almost unperturbed and extended. Now we recall that npy cnpy ψnpy (r0 ) = Ψ(r0 ).14. Substituting the previous expression into this equation and dividing by Ψ(r0 . The lowest such state can be represented as (for r0 = 0) ψloc ∼ exp ixy x2 + y 2 − 2a2 4a2 H H .py n. E − En.GENERAL PICTURE We get ˆ cnpy H0 + V ψnpy = npy npy 287 cnpy Enpy + V ψnpy = E npy cnpy ψnpy . ﬁnd from this equation one completely localized state for each Landau level. Let us now express the potential as V = λδ(r − r0 ) where λ is a proper coupling constant. INTEGER QUANTUM HALL EFFECT . we get the exact condition for eigen energy 1 = λ ψn. .2.2: Formation of localized states in 2DEG in magnetic ﬁeld.py (r0 )2 .
kmin ) . ˜ c ∂ Ay h ∂α . Proof : The main procedure is a s follows. I=− h nk h nk It is not trivial to prove this equation. 2π Each mode behaves just as the transverse mode in a quantum channel. and the current is given as 2 2 (En.288 CHAPTER 14. 1 ˜ δH = − (I · A) . the current operator can be written as 1 ∂δH e ∂H ˆ Iy = − =− . with the replacement k → k +α. Prange using gauge considerations. The extended states in the presence of the auxiliary have the same form is in its absence. H which we can label by the discrete quantum number k as k= p y Ly . It was done by R. Ay = e Ly (14. QUANTUM HALL EFFECT Now let us take into account only the lowest Landau level which we assume to be completely ﬁlled. Thus the extended states which extend from 0 to Ly must depend on α while localized states satisfy boundary conditions automatically since their amplitude at the boundaries vanish. Consider the system as a cylinder and introduce an auxiliary constant ˜ vectorpotential A along y axis as c 2πα ˜ .kmax − En. ˜ The vector potential A leads to an additional item in the eﬀective Hamiltonian.2) can be eliminated by the gauge transform ψ → exp(2παy/Ly )ψ only if α is integer. (14. We have one localized state and N −1 extended ones where N = A/2πa2 . We have speciﬁed periodic boundary conditions along yaxis. Φ0 .k+1 − Enk ) = − (En.2) Increase of the parameter α by one corresponds to increase the magnetic ﬂux in the sample by 1 quantum. If one applies periodic boundary conditions then the vectorpotential such as given by Eq. c Thus.
14. Thus we come to the following picture. Now we have to remember that the state with kmax (kmin ) correspond to the upper (lower) edge of the sample if we map the quantum number k to the centers of gravity of the states. nk 289 As we have already mentioned. As we have shown. EDGE CHANNELS AND ADIABATIC TRANSPORT while the average current is e d ˆ I= I =− h dα Enk (α) . extended states the steps in Hall resistance and peaks at the longitudinal resistance occur. Thus we come in a natural way to edge states. Replacing the derivative by the average value over the region 0 ≤ α ≤ 1 we get the result given above. only the number of occupied extended states is important. In .k α=1 = En.k+1 α=0 . the current is independent of the density of states. Thus En.3 Edge Channels and Adiabatic Transport The quantization of the conductance of the ballistic channel arises from the ﬁnite number of propagating modes each of which can carry only a very speciﬁc current.3. according to the construction of the quantum number k the introduction of the vectorpotential leads to the replacement k → k + α. Thus it is tempting to consider the modes of an ideal ﬁnite system embedded into an external magnetic ﬁeld. as the Fermi level passes the regions of the Energy Localized Extended Density of states Figure 14.3: Density of states in 2DEG in magnetic ﬁeld.14.
dk It is easy to calculate such a velocity for a parabolic conﬁnement. and we come to the following picture of quantum terms The cyclotron orbits (solid lines) correspond to Landau level. . k ∂py = 1 dEn (k) . k m = n. k = ψnk (x)eiky where k is the eigenvalue of py . E) space such trajectories are separated by the line 2 (X ± W/2)2 = rc . only the edge states can contribute to the current. Then one can write x = X + vy /ωc .290 CHAPTER 14. and they have zero group velocities. the energy E and X. Dashed lines reproduce two sets of edge states (corresponding to skipping orbits). These sets carry the currents in opposite directions. the motion is quantized. Let us start from a ideal electron system conﬁned by the potential V (x) in the presence of the magnetic ﬁeld H z. Y ). 2m 2m It is natural to look for a solution in the form (H commutes with py !) n.. Their dispersion law can be obtained (approximately) from the BohrSommerfeld quantization condition. The average velocity for such a state is vn (k) = n. y = Y − vx /ωc . For a single spin component we have the Hamiltonian H= [py + (eH/c)x]2 p2 x + + V (x) . We have not shown traversing trajectories which correspond to higher energies. In a long strip of width W the trajectories can be classiﬁed as a cyclotron orbits . If the Fermi level is situated between the Landau levels. . or traversing trajectory. 2. 2 The result is v(k) = k k 1 = . We have two constants of motion. skipping orbits. h−1 px dx + γ = 2πn . M m 1 + (ωc /ω0 )2 To understand what is going on let us consider a classical orbit with the center (X. k py + (eH/c)x n. The quantity rc = v/ωc is the cyclotron radius of the orbit. 1 2 V (x) = mω0 x2 . According to quantum mechanics.. n = 1. In the (X. QUANTUM HALL EFFECT this simpliﬁed picture we can obtain some understanding concerning the nature of localized and extended states. k ∂H n.
Consider an electron at the Fermi level.14. as well as by disorder. In an external potential.5: Electron terms in a 2D strip in magnetic ﬁeld.4: Typical electron trajectories in a 2D strip in magnetic ﬁeld. Its energy consists of (n − 1/2) ωc (+ spin contribution which I do not discuss now).W/2 x W/2 Figure 14. Skipping orbits Energy Fermi level 0 Wave vector. Thus. k Figure 14. while px = mvx = (eH/c)(Y − y) .3. as well the the part EG = F − (n − 1/2) ωc due to electrostatic potential created by the edges. the center of the orbit moves with the drift velocity vd (R) = c [ V (R) × H] eH . EDGE CHANNELS AND ADIABATIC TRANSPORT 291 2 (eHW)2/8mc Energy . 1 a2 H (Y − y) dx = 2π Φ γ = 2π n − Φ0 2π . One can show that for the rigid boundary the phase shift of the skipping orbit γ = π/2.
292
CHAPTER 14. QUANTUM HALL EFFECT
which is parallel to the equipotentials. That can be easily shown from classical mechanics in a magnetic ﬁeld. The typical spread of the wave function along the guiding center is spread within the range of magnetic length aH . Now we can map the classical picture to quantum mechanics according to k → −x(eH/c). Thus, if the typical scale of the random potential of the disorder is greater than the magnetic length, we arrive at the picture.
Closed Egde Energy Fermi level
0 Wave vector, k
Figure 14.6: Electron terms in the presence of longrange disorder. Assume that the edges are in a local equilibrium. Thus if there is a diﬀerence δζ chemical potentials between the edges,then each channel contributes (e/h)δζ to the current in the Hall direction. The system appears robust because to obtain a interchannel exchange one needs tunneling with exponentially low probability. Actually we have an almost ideal ballistic conductor and the only diﬀerence with the systems discussed earlier is that the edge channels with diﬀerent directions of the current do not overlap in space. In a typical realistic situation, the contacts are out of local equilibrium and the measured resistance depends on the properties of contacts. Consider for example, a situation when the edge channel at the lower edge are in equilibrium at chemical potential EF , while the edge channel at the upper edge are not in local equilibrium. Then the current at the upper edge is not equipartitioned between N modes. Let fn is the fraction of the total current I that is carried by by states above EF in the nth channel at the upper edge, In = fn I. The voltage contact at the upper edge will measure a chemical potential which depends on how it is coupled to each of the edge channels. The transmission probability Tn is the fraction of the current In that is transmitted through the voltage probe to a reservoir at chemical potential EF + δζ. The incoming current
N
Iin =
n
Tn fn I,
with
n
fn = 1,
(14.3)
has to be balanced by an outgoing current, Iout = e e δζ (N − R) = δζ h h Tn ,
n
(14.4)
14.3. EDGE CHANNELS AND ADIABATIC TRANSPORT since the voltage probe draws no net current. Thus the Hall resistance, δζ h Rh = = 2 eI e
−1
293
Tn fn
n n
Tn
.
(14.5)
The Hall conductance remains quantized only if fn = 1/N , or at Tn = 1. The ﬁrst case corresponds to local equilibrium, while the second case corresponds to an ideal contact. The LandauerB¨ttiker formalism forms the basis on which anomalies in the QHE due u to absence of local equilibrium in combination with nonideal contacts can be treated theoretically. This is a simpliﬁed picture of the integer quantum Hall eﬀect in the random potential. The real life is much more complicated. In particular, there exists an extremely interesting fractional quantum Hall eﬀect, which manifests itself at fractional values of the ﬁlling factor. We do not discuss this eﬀect in the present course.
Role of localization
As we have seen, at H = 0 a 2D system with disorder should have its states localized at all energies. However, only extended states are sensitive to the ﬂux and can provide the QHE. At the same time, ranges of energies with only localized states are needed to pin EF there and have ﬁnite plateaus. Thus, introduction of magnetic ﬁeld must delocalize some states. As we have seen, extended modes appear near edges. However, extended states in a magnetic ﬁeld are present also in the bulk of the conductor. To discuss this phenomenon let us recall the main relevant quantities. First, let us note that the condition ωc τ 1, or rc , rc = vF /0c for cyclotron motion is fully classical. In terms of quantum mechanical length, aH = cH/eH the classical cyclotron radius rc can be written as rc ∼ kF a2 ∼ aH H √ EF ωc ∼ aH N
where N is the number of full Landau levels. The weak localization regime corresponds to the inequality aH , while the intermediate regime where aH rc while rc can be comparable with also exists. 1, rc .
Strong magnetic ﬁeld, ωc τ
As we have discussed, in a uniform electric ﬁeld the drift velocity directed along [E×H] appears, vd = c(E/H). This concept can be generalized for the case of a smooth random potential V (x) with does not change a lot on the scale of cyclotron motion. Then, it rc is much less than the correlation length d of the random potential, the guiding center moves
294
CHAPTER 14. QUANTUM HALL EFFECT
along the equipotential line V (r) = V . If its orbit is closed and embeds the area A(V ), then the typical frequency is ωd = 2π dl vd
−1
2c = H
dl dx⊥ dV
−1
=
2c ∆V , H ∆A
where dx⊥ is an element of length in the direction of the potential gradient. Such a slow motion can be quantized for any Landau levels into locally equidistant levels with the separation 0d . The area between two quantized orbits is given by the relation H ∆A = c = Φ0 ; e ∆A = 2πa2 . H
Thus the ﬂux of H in the area per state in a given Landau level corresponds to a ﬂux quantum, as for free electron. Let us assume that the amplitude of the random potential is much less than ωc , so there is no interLandaulevel mixing. Then the potential energy of a properly quantized levels should be added to ωc (j + 1/2) for jth Landau band. The levels correspond to the orbits running around the potential “hills”, or inside potential “lakes”. Both kinds of states are localized. There is one and only one energy, Ec , (in 2D case) at which the equipotential curves span the whole system (imagine ﬁlling up of the potential V (r) “terrain” with water). The characteristic size of the orbit, ξp , may be deﬁned by the r.m.s. of the area enclosed by the equipotential contours for the localized states. It must blow up at E → Ec , ξp ∼ E − Ec −νp , νp 1 . Such an orbit provides the way to transfer an electron between the edges. There is also a very interesting intermediate situation when aH rc , or ωc τ 1.
As was shown by Khmelnitskii (1984), even in this region QHE plateaus can exist which are irrelevant to Landau levels.
14.4
Fractional Quantum Hall Eﬀect
Fractional quantum Hall eﬀect (FQHE) was discovered by the group of Tsui et Bell Laboratories [31]. Using a highmobility GaAs/AlGaAs heterostructures they observed quantization of Hall conductance at ﬁlling factors ν = 1/3 and 2/3 at very low temperatures (below 1 K). Later more rich structure, as shown in Figs. 14.7 and 14.8 at fractional ﬁlling factors was discovered. It appears that only account of of Coulomb interaction leads to understanding of the problem. Now the studies of FQHE belong to the most active area of research. Below we shall provide a very brief sketch of the problems regarding electronelectron interaction in magnetic ﬁeld and FQHE.
14.4. FRACTIONAL QUANTUM HALL EFFECT
295
Figure 14.7:
Few electron with Coulomb interaction
The role of electronelectron interaction is determined by the relation between the mean free distance between electrons, rs , and the Bohr radius, aB = 2 /me2 . At rs aB one can use the usual mean ﬁeld description of interacting electrons, considering screening, plasmons, charge density waves, etc. However, at rs ≥ aB the interaction energy becomes larger than the average kinetic energy. As a result, there exists a strong electronelectron correlation, and the electrons tend to crystallize. It is known that magnetic ﬁeld enhances these eﬀects. To get some understanding let us start with more simple problem of few electrons in a magnetic ﬁeld. Historically, these studies appeared important because they led to discovery of a new state, the incompressible electron liquid, that is believed to transform into (Wigner) crystal at very low densities.
Two electrons. Let us discuss the case of 2 electrons in a very strong magnetic ﬁeld, ωc ≥ e2 / aH . This inequality means that Landau levels are not mixed by the Coulomb interaction (see below). Using symmetric gauge, A = (−Hy/2, Hx/2, 0)and introducing polar coordinates we
296
CHAPTER 14. QUANTUM HALL EFFECT
Figure 14.8: Recent results on the fractional quantum Hall eﬀect. easily obtain zeroth approximation Hamiltonian H0
2 mωc ρ2 ωc ∂ = − + + , 2m 8 2i ∂ϕ 1 ∂ 1 ∂2 ∂2 2 = 2+ + 2 2. ∂ρ ρ ∂ρ ρ ∂ϕ 2 2
This Hamiltonian commutes with the angular momentum, lz = ∂ . i ∂ϕ
Thus it is natural to classify the states using the eigenvalues m of the angular momentum, lz . The eigenfunctions have the form ψnm (ρ, ϕ) = Nnm aH ρm eimϕ exp − m+1
m
ρ2 4a2 H
Lm n
ρ2 2a2 H
.
(14.6)
Here n is nonnegative integer, m is integer, Ln are Laguerre polynomials, while Nnm = n!/2π2m (m + n) are normalization factors. The energy eigenvalues are Enm = ωc [n + (m − m + 1)/2] . (14.7)
14.4. FRACTIONAL QUANTUM HALL EFFECT
297
The lowest Landau level corresponds to n = 0, m > 0. The Coulomb energy for the lowest state can be easily calculated as EC = 0me2 / r0m = e2 Γ(m + 1/2) . aH m! (14.8)
At large m is decays as m−1/2 . Two electrons are described by the Hamiltonian H0 (1) + H0 (2) + Hint . √ It can be rewritten through the centerofmass coordinate, R = (r1 + r2 )/ 2, and the √ relative coordinate, r = (r1 − r2 )/ 2, as √ H0 (R) + H0 (r) + Hint (r 2) . As a result, the centerofmass motion is separated, and we look for a solution in the form Ψ(R, r) = φ(R)ψ(r) . Now we are left with a singleparticle problem for the relative motion. Since the interaction energy is radiallysymmetric one can look for a solution in the form ψ(r) = R(r)e−imϕ with odd m because of the Pauli principle [ψ(−r) = −ψ(r)]. The radial Schr¨dinger o equation is easily written in the dimensionless units as − 1 d2 R 1 dR 1 − + 2 dr2 r dr 2 m2 r2 α +m+ − r2 4 r R = ER , (14.9)
where r is measures in units √ aH , E is measured in the units of ωc , while dimensionless of interaction constant is α = 2e2 / aH ωc . At large magnetic ﬁeld this equation can be solved perturbatively with respect to α. In the lowest approximation we obtain: E0m =
(1)
ωc e2 Γ(m + 1/2) + . 2 aH m!
(14.10)
The energy of the centerofmass motion must be added. We ﬁnd that the interaction destroys the degeneracy of the lowest Landau level. At large m the correction decreases because the electrons are less sensitive to interaction at long distances.
298
CHAPTER 14. QUANTUM HALL EFFECT
Three electrons. For 3 electrons we can also strip the centerofmass motion. It can be done by the transform ρ = Or where √ √ 1/√2 −1/ 2 0√ √ O = 1/√6 1/√6 −2/ 6 . √ 1/ 3 1/ 3 1/ 3 After the transform the interaction Hamiltonian can be written as e2 Hint = √ 2 1 2 2 √ + √ + ρ1 ρ1 + 3ρ2   3ρ2 − ρ1  . (14.11)
Again, we can write the eigen function as a product Ψ(ρ1 , ρ2 , ρ3 ) = φ(ρ3 )ψ(ρ1 , ρ2 ) and in this way to reduce the problem to a twoparticle one. An important point is that the probability density must be invariant under rotation about multiples of π/3. The resulting Hamiltonian also commutes with the total angular momentum, L. Then the states can be classiﬁed according to eigenvalues M of the orbital momentum. It was shown by R. Laughlin that a proper complete set to diagonalize a 3electron system can be written as m, m = F 2 2 2 2 (z2 + iz1 )3m − (z2 − iz1 )3m (z1 + z2 )m e−(z1  +z2  ) . 2 (14.12)
Here zi = ξi + ηi , ξ, eta are the Cartesian components of the vector ρi /aH , F is a normalization factor. The states (14.12) are the eigenstates of the total angular momentum with M = 3(m + m ). To diagonalize the system one has to solve the secular equation det eδmm δm m − mm Hint mm  = 0 . The crucial point is that the basis (14.12) is an extremely good starting approximation since oﬀdiagonal elements of Hint are typically at least 10 times less than the diagonal ones. The minimum angular momentum for which a nondegenerate solution exists is M = 3 (m = 0, m = 1). The next solution corresponds to M = 9, it is combined from the states (3,0) and (1,3). These states have the lowest energy at Hint = 0. The “charge density” for the state with M = 9 is 1/3 comparing to the state with M = 3. Since the angular momentum is conserved and the angular momentum corresponds to the area of an electronic state, the 3 electrons are “incompressible”.
14.4. FRACTIONAL QUANTUM HALL EFFECT
299
Fractional quantum Hall states
It is impossible to diagonalize exactly the system of many electron states. An extremely eﬀective approximate guess was suggested by R. Laughlin which we shall discuss for the case of very large magnetic ﬁeld when only the lowest Landau level is important. The singleelectron states for that case can be written as r0m = Nm m −z2 /4 z e , aH
where z = x + iy. The complete set of N electron states with total angular momentum M = N mν are the Slater determinants ν=1
N
Ψ(1 . . . N ) =
P (ν1 ...νN )
(−1)
P µ=1
m Nmµ zνµµ
1 exp − 4
N
zα 2
α=1
.
Since the ground state in the independent band approximation is a combination of Slater determinants, its general form is 1 Ψ(1 . . . N ) = f (zj − zk ) exp − 4 j<k There are several requirements to the functions f (z): • The function f (z) must be a polynomial of z; • Since Ψ should be a Fermion state, f (−z) = −f (z); • Ψ can be chosen as an eigenfunction of the total angular momentum. Therefore, the function f (z) has to be homogeneous. The simplest choice is f (z) = z m , (n odd) . Thus the approximate wave function has the form 1 Ψ(1 . . . N ) = (zj − zk ) exp − 4 j<k
m N N
zα 2
α=1
.
zα 2
α=1
.
(14.13)
The Laughlin state (14.13) describes a liquidlike system. The twoparticle correlation function
N (m) g2 (zz , z2 )
=
ν=3
drν Ψ(1 . . . N )2
at small distances is proportional to z1 − z2 m that reﬂects the Pauli principle for the electrons. The smallest possible value of m is 3. The total angular momentum is just
300
CHAPTER 14. QUANTUM HALL EFFECT
M = N m, while the area covered by the electrons is A = N (2πma2 ). Thus the average H electron density is (2πma2 )−1 , and the ﬁlling factor is ν = 1/m. To keep electrostatic H stability one has to add the positive background. The estimate for the Coulomb energy for the Laughlin state can me obtained as EC
(m)
=
N (N − 1) e2 2A
d2 r (m) g2 (r) − 1 . r
Because the correlation function decay strongly at small distances the incompressible liquid state appears more stable than the Wigner crystal. An interesting fact is that the Laughlin state appears the exact ground state for ν = 1/m in the case of contact interaction, Hint (r) ∝ δ(r). As a consequence of the electronhole symmetry it is easy to ﬁnd the state corresponding to the ﬁlling factor (1 − ν) if the state for ν is known.
Elementary excitations
Elementary excitation are important both for transport and dynamics. Changing of energy of the electron system can be achieved by its compression, or, equivalently, by changing of angular momentum while keeping the neutralizing background. In other words, it means that new quasielectrons of quasiholes are introduced into the state Ψν if ν = 1/m. An introduction of a quasihole can be represented as
N
Ψ+ = A+ (z0 )Ψν (z1 . . . zn ) , ν
A+ (z0 ) =
j=1
(zj − z0 ) .
Let us estimate the eﬀective charge of this excitation. The average area per particle which is covered in the state with ﬁlling factor ν = 1/m is (N − 1)(2πma2 ). It can be seen by H direct calculation of the integral. The corresponding charge density is ρ0 = −N e e ≈− . 2 (N − 1)(2πmaH ) 2πma2 H
Thus, each electron occupies the area with m ﬂux quanta. Its charge must be compensated by a positive background. In the state Ψ+ the maximum angular momentum per particle is increased by 2πa2 . ν H This corresponds to the change in the charge density which is equivalent to the positive charge +e/m. Quasielectrons can be created in a similar way,
N
Ψ− = A− (z0 )Ψν (z1 . . . zn ) , ν
A+ (z0 ) =
j=1
∂ ∗ − z0 ∂zj
.
Here the partial derivative acts only on the polynomial part of the wave function Ψν leaving alone the Gaussian part. It can be shown that the eﬀective charge of the quasielectron is −e/m.
the properties of that liquids diﬀer signiﬁcantly from those of the incompressible Laughlin liquid. Very speciﬁc features of Hall conductance were observed at ν = p/q where p. It appears that the quasiparticles can be considered as particle with socalled fractional statistics – anyons. that at odd denominators the electrons also condense in some quantum liquids. However. q are integers. . Tsui and R. o D. both for odd and even denominator q. the story is not over. It appears.4. These features were not explained by original theory by Laughlin. Very interesting collective excitations were also predicted and observed experimentally by inelastic light scattering. Laughlin were awarded by the Nobel Prize 1998 for their discovery of FQHE. H. More work has to be done to understand the whole physical picture and to construct a proper transport theory. It just demonstrates some basic trends in the ﬁeld.14. The above discussion is deﬁnitely not an “explanation” of FQHE. However. FRACTIONAL QUANTUM HALL EFFECT 301 The gaps between the ground and excited states were observed directly from temperature dependences of conductance. St¨rmer.
QUANTUM HALL EFFECT .302 CHAPTER 14.
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Part IV Superconductivity 307 .
.
1914). Magnetic ﬁeld does not penetrate the sample. 309 1 1 − (T /Tc )4 .1). • Superconductivity can be destroyed also by an external magnetic ﬁeld Hc which is also called the critical one (KammerlinghOnnes. (This rule is not valid for thin samples. The temperature Tc is called the critical one. the ﬁeld does exist inside a surface region with the thickness δ ∼ 10−5 − 10−6 cm where persistent screening currents ﬂow. • The MeissnerOchsenfeld eﬀect (1933). • To be more exact. B = 0 (see Fig. Empirically. We review here the most important properties of superconductors which are deﬁnitely well known. see below). They are • Zero resistance (KammerlinghOnnes. Empirical temperature dependence of the penetration depth is δ(T ) = δ(0) so δ → ∞ at T → Tc. • If the superconductivity is destroyed by a current the critical current is just the one which produces the ﬁeld Hc at the surface (the Silsby rule). In many important cases this eﬀect can be not complete. the magnetic induction being zero. 1911) at T < Tc .1 General properties. Hc (T ) = Hc (0) 1 − (T /Tc )2 . 15. We will come back to the problem later.Chapter 15 Fundamental Properties of Superconductors 15.
while Ekin is connected with persistent currents. the induction being ¯ the spatial average of the local magnetic ﬁeld. namely. at T < Tc ) the transition is the type I one. electromagnetic and sound absorption which has the threshold ω = 2∆ (because a pair of excitations is created by a quantum). One can write the free energy as F= Fs dV + Ekin + Emag where Fs is the free energy on the condensed system. FUNDAMENTAL PROPERTIES Figure 15. it is convenient to use the local magnetic ﬁeld h(r). Nevertheless. resistivity changes abruptly. In this case one would expect great increase of the thermal conductivity. As a result. • The penetration depth continuously changes from the ﬁnite value to inﬁnity at Tc . • There are other arguments in favor of the gap in the excitation spectrum. Rather. • The phase transition to the superconducting (SC) state in the absence of magnetic ﬁeld is the type II one. One could imagine that electrons do not interact with the lattice in the SC state. The London Equation In the following. if H = 0 (i. Contrary. At the same time. tunnel eﬀect and so on. it should vanish at the transition point. it is continuous at the transition point. B = h. one comes to the conclusion that it is a new type of condensed state. If we denote js = −ns ev(r) .1: The Meissner eﬀect. So. Indeed. there is a discontinuity of the speciﬁc heat.310 CHAPTER 15. It means that the properties of electron system change also continuously.e. But this gap is strongly temperature dependent contrary to semiconductors. there in no hidden heat. • The last property which is very important is that electron contribution to the speciﬁc heat behaves at low temperatures as exp(−∆/kB T ) that means that there is a gap in the elementary excitation spectrum.
δL = mc2 . c (15. GENERAL PROPERTIES. Fig.2) At low temperature it is natural to assume that ns = ne . h2 dV. We get δF = 1 4π 2 (h · δh+δL curl h · curl δh) dV = 1 4π 2 (h + δL curl curl h) · δh dV (the second expression is obtained by the interacting by parts. 15. curl h = (4π/c) js . ﬁeld and current depend only on z. the surface is the (x. for orderofmagnitude estimates we get for δL ∼ 500 ˚ for simple metals like Al and Sn (m ∼ m0 ) and ∼ 2000 ˚ A A for transition metals with large m. y) plane. check!).1). (15. 4πns e2 1 8π 2 h2 + δL curl h2 dV 311 1 2 ns mv 2 dV. curl h = As a result. As a result. 8π 4π js . div h = 0.1 Ekin = The energy of the magnetic ﬁeld is Emag = Then. with the density of superconducting electrons. Now we get the equation for h that provides the minimal free energy. 1 We assume that the velocity is a slowvarying function of coordinates.3) which should be analyzed together with the Maxwell equation (15. The Meissner eﬀect For the simplest geometry. . F = F0 + with F0 = Fs dV .1. ns .15. We have 2 h + δL curl curl h = 0. for the minimum we get the London equation 2 h + δL curl curl h = 0.1) (15. Then.2.
h = const. Thus.2: The Meissner eﬀect. curl h = 0. p . From the London equation. and we get j y. 2. 1. So. The ﬁeld cannot be normal to the superconductor surface. If h x the equation div h = 0 is automatically met. Penetration depth. js = 0. we obtain ∂h/∂z = 0. If h z.312 CHAPTER 15. we have proved the concept of the penetration depth. the Maxwell equation is 4π dh = js dz c and the London one djs ns e2 h c = h= 2 . Consequently. FUNDAMENTAL PROPERTIES Figure 15. dz mc δL 4π The solution is h(z) = h(0) e−z/δL . h = 0.
8π .1. Figure 16. In a SC state Fs = 2 πr0 LFs + 2 π(r1 − h2 2 r0 )L 8π 313 . cL h2 . 2 2 Fn = πr0 LFn + πr1 L 2. Consider a long cylinder with length L and a coil with N shown in Fig. the ﬁeld is homogeneous h= 4πN I .Chapter 16 Magnetic Properties of Type I Superconductors 16.1: Magnetic properties of a long cylinder.1 Thermodynamics in a Magnetic Field. 1. In a normal state. 16.
2 Penetration Depth Relation Between the Current and the Field It is very convenient to use the vector potential according to the relation h = curl A. At the transition the magnetic ﬂux Φ decreases. c c 4π Now we can derive several important relations. . As a result. Fn − Fs = 2 Hc . The speciﬁc heat step is L = T (Sn − Ss ) = − d Cn − Cs = T (Sn − Ss ) dT This relation is conﬁrmed by experiments. the work being s V I dt = − n N dΦ c dt I dt. at h = Hc . Let us ﬁx the current I and change the temperature. 4π 2 V I dt = πr0 L 2 Hc . Tc Tc 16. 8π 2 NI NI 2 2 h (Φn − Φs ) = πr0 h = πr0 L .314 CHAPTER 16. dT Ss = − dFs → dT Sn − S s = − the hidden heat being dHc 1 Hc 4π dT dHc T Hc > 0. The entropy Sn = − dFn .. 1. Here we have neglected surface eﬀects – penetration of the ﬁeld inside the sample and kinetic energy of surface currents (r0 δ). Let us ﬁnd the diﬀerence Fn − Fs . If we keep the current constant V I dt = In the equilibrium. 1 =− T 4π dHc dT 2 . 4π dT It is known that at T → Tc Hc → 0 while dHc /dT remains ﬁnite. PROPERTIES OF TYPE I . We have proved that at H = 0 L = 0 (type II transition). Fn − Fs = As a result. the voltage V is induced.
PENETRATION DEPTH 315 To make this equation deﬁnite one should chose the gauge and the boundary conditions. In this case the potential can be considered as constant. R4 R=r−r . for type I materials. . if there is a gap ∆ in the excitations spectrum the electrons in the layer F ns e2 A mc (16. Eq.2. The width of the layer in the pspace is δp ∼ 2∆/vF .2) To get C we apply this expression to the case of slowvarying vector potential. We see that the London equation is valid at δL ζ0 . Nevertheless. and we should come to the London expression. As a result (see Problem 16.3) 4πmcζ0 The exact result can be obtained from the microscopic theory and it is much more complicated. (16. In this section we are interested in the opposite limiting case. (16. The ﬁrst condition is just the continuity equation while the second is met in the absence of the currents ﬂowing into the sample.1) − ∆ < p2 /2m < F +∆ are correlated.1) 3ns e2 C=− . it means that the spatial size of the package is ζ0 = vF π∆ (the factor 1/π is introduced for convenience).2) is a very good approximation and we will use it extensively. Usually the gauge div A =0. To get the relation between the current and the vectorpotential usually the Pippard’s phenomelogical expression is used j(r) = C A(r ) · R R −R/ζ0 e dV . [An = 0]surf ace is chosen. (16.1) is valid if both the current and ﬁeld slowly vary in space. (16. [jn = 0]surface . In such a gauge the current response is js = − with div j =0. The materials with δL ζ0 are called the type II superconductors.16. The quantity ζ0 is called the coherence length. As the same time. the Eq. According to the uncertainty principle. δL ζ0 .
The exact theory is very complicated for this case. 16. A is not very small only in the layer with the thickness δ one should multiply this expression by δ/ζ0 to get j=− ns e2 δ A.316 CHAPTER 16. 15. Consequently. mc ζ0 .2. Let us keep Eq.2) but perform the integration only over the points r which are accessible from the point r along the straight line (see Fig. The integration in Eq. Near the surface it is obviously incorrect.2).2: On the shadow eﬀect. Let us return to our geometry. PROPERTIES OF TYPE I . 2 ζ mc 0 The exact theory leads to the extra factor 0. Fig.62 it this equation: 2 δ 3 = 0. Penetration depth. (16.62 δL ζ0 .1) we get h(z) = h(0) e−z/δ with the following selfconsistent equation for δ δ −2 = 4πns e2 δ 2 → δ 3 = δL ζ0 . Figure 16. (16.. (16. and we will apply the model considerations (Pippard). If the vectorpotential would be constant near the surface one would obtain j=− ns e2 A. In reality. j are parallel to z.2) is performed over the whole sample.4) . One can use the following rule. Let the vectors A. mc ζ0 Substituting this relation to the Maxwell equation (15.
A Al 157 Sn 355 Pb 370 ζ0 .1. At δ one can integrate over R considering A(r ) as constant.4). PENETRATION DEPTH ˚ Metal δL . We see that the penetration depth increases with the increase of the impurity concentration. As a result δ ∼ δL ζ0 δL 1/3 1. . The comparison is given in the table 16. so we can determine ζ0 . The result is j(r) = C We returned to the London equation j(r) = − ns e2 A(r) mc ζ0 4π 1 −1 3 ζ0 + −1 A(r).2) to get j(r) = C A(r ) · R R exp −R R4 1 1 + ζ0 dV . Thus. It is just to introduce the facto exp(−r − r / ) in the integrand of Eq. There are several conventional ways to measure the penetration depth: by magnetic susceptibility of small SC particles.16. Fig. The best way is study a cavity with SC walls. in particular. (16.5) This way was successful to explain many experimental results. ˚ A 490515 510 390 317 Table 16. For clean metals one can obtain the ratio ne /m and vF from the speciﬁc heat data and calculate δL .1: Values of δ and ζ0 for 3 metals. or thin ﬁlms. while ∆(0) can be obtained from the similar measurements in the SC state. ˚ δth . on the alloys SnIn. Impure materials are type II superconductors. (16. 16. or the inductance of a coil with long SC cylinder as a kernel (the Kazimir method). Alloys The idea to take impurities into account in the simplest way belongs also to Pippard. Clean Metals Now we brieﬂy discuss the experimental picture. It interesting to check the relation (16.2. Another way is measuring the inductance of a coil near the SC surface. while δ ∼ ζ0 δL ζ0 2/3 1.3. R=r−r. Filed Penetration into Clean Metals and Alloys. ˚ A A 16000 530 2300 560 830 480 δexp .
5) remain valid at ﬁnite temperatures. we have the Meissner eﬀect and h =0 inside the sphere. (16.6) Temperature Dependence of the Penetration Depth As a prescription. Another boundary condition is (hn )r=a = 0 h → H0 at r → ∞. If the ﬁeld is very low. 16. Near Tc C ∝ Tc − T . Figure 16.318 CHAPTER 16.3: The dependence δ vs which leads to the penetration depth δ = δL ζ0 at in SnIn alloys. To discuss the penetration depth we have always used the long cylinder conﬁguration which provides constant magnetic ﬁeld at the surface. ζ0 .4.3 Magnetic Properties of Samples with an Arbitrary Shape Nature of the Intermediate State. Fig. To get the ﬁeld outside one should write the Maxwell equation div h = curl h = 0. PROPERTIES OF TYPE I . We will discuss this complete dependence after considering microscopic theory.2) and (16. δ. People often use the empirical relation given above which works relatively well. .. One can retain the quantity ζ0 obtained for zero temperature while the factor C becomes temperaturedependent. 16. the Pippards relations (16. To understand what happens for a sample with an arbitrary shape let us consider a SC sphere with the radius a embedded in the external magnetic ﬁeld H0 .
at the equator (θ = π/2) hθ = (3/2)H0 and at H0 = (2/3)Hc the maximal ﬁeld is just Hc . AH0 = A(1 − ρ)Hc → ρ = 1 − H0 . h = H0 . and the ﬂux is AH0 where A is the ﬁlm’s area. (the ﬁeld cannot be normal to a SC). In the N regions h z. div h = curl h = 0. To study the system in more detail.e. This state is called the intermediate one. the tangential ﬁeld component is 3 (hθ )r=a = H0 sin θ. far away the ﬁeld is homogeneous. in a very thin plate intermediate state exists at any ﬁeld H < Hc .3. Hc .16.ARBITRARY SHAPE 319 Figure 16. the area being A(1 − ρ) while the ﬁeld is equal to Hc . What happens at 2 Hc < H 0 < H c ? (16. Fig. the ﬁeld at the interface being Hc . For example. It is clear that condition (16. h = const. We see the set in N and S layers. In Slayers h = 0.(16. i.4: Field distribution near a SC sphere with the radius a. we get the solution for the region outside the sphere a3 cos θ h = H0 + H0 2 r2 that is just the ﬁeld of a magnetic dipole. Inside the ﬁlm the total ﬂux penetrated only the normal regions.7) is shape dependent. To keep the ﬂux constant we should ﬁx the fraction of SC volume to be ρ= ds . dn + ds Indeed. As a result. .5).7) 3 In this region the normal and SC phases coexist. 2 Thus. At the surface.. let us consider the plate in a perpendicular magnetic ﬁeld.. As a result. As a result.
(16. generators. Adding the magnetic energy (h2 /8π) dV we get F= sample Fs dV+ all space (h2 /8π) dV. We cannot determine the thickness dn.s from geometry consideration and need to discuss thermodynamics.320 CHAPTER 16. PROPERTIES OF TYPE I .8) . Free energy Consider a system consisting of the sample and external objects (coils.5: Field distribution in a plate embedded in a transverse ﬁeld. Important Thermodynamics Relations Now we introduce the most important concepts of thermodynamics to use them in the following chapters.. Figure 16. The energy of the electrons can be written as (we put the electron charge −e) U= i 1 e pi + A 2m c 2 + Vi + i=j Vij . To get the free energy one should add the entropy contribution−T S.). Thus U − TS ≡ sample Fs dV. etc.
. To understand its physical meaning we consider the situation when no external currents ﬂow into the sample.9) Consequently. the induction B should also change.3. c div B = 0. As a result.ARBITRARY SHAPE Magnetic induction 321 In many cases. but much less than the sample’s size.. 4π¯ j. (16. c δt . c (16. From the local Maxwell equations we get curl B = Magnetic ﬁeld strength Assume that the ﬁeld h(r) has changed because of the variation of the currents in the coils. Outside the sample h δh H δB = .16. The function H(r) deﬁned in such a way is called the magnetic ﬁeld.10) 4π where we have introduced the factor (1/4π) just for convenience. outside the sample the thermodynamic ﬁeld H is the same as the microscopic ﬁeld.11) To prove this expression let us assume that the induction B(r) has the variation δB(r) for the time δt.10) is rather formal. We have curl H = 4π je . The deﬁnition (16. the electric ﬁeld E appears in the external circuit according to the Maxwell equation 1 δB curl E = − . Expanding the free energy in powers of δB(r) we get 1 δF = H(r) δB(r) dV (16. we will face the problems when the ﬁeld changes at the scale ∆x which is small in comparison with the sample’s size. etc. According to this deﬁnition ¯ B = h inside the sample B = h outside .. In this case ¯ = ¯s + je j j where je is the current density in the external coils. 4π 4π h = B. In those case it is convenient to introduce magnetic induction B(r) as the average ﬁeld at the distances ∆x. As a results.
12) we prove Eq. Then.10) δF = δt 1 4π c 4π H δB c dV = −δt δt 4π c 4π H curl E dV [E × H] ds = −δt E curl H dV − δt where the last integral is calculated over the surface of the whole system and it is equal to the emitted energy. Usually. after the integration by parts. (16. δG = − 1 4π B · δH dV − S δT.12) On the other hand. ¯ ¯ Because div B =0 one can put B = curl A where A is the “macroscopic” vectorpotential.13) 1 4π B · H dV.322 CHAPTER 16. it is known from the thermodynamics that for reversible processes this work should be equal to the variation of the free energy. (16. To get the equilibrium at ﬁxed T and B one should minimize F. (16. while the work produced by these currents is δW = −δt je E dV.11). S δT + δG = − 1 4π 1 ¯ curl A · δH dV = 4π 1 ¯ A · curl δH dV = c ¯ A · δje dV. . This is just the potential which should be minimized at ﬁxed T and je . Neglecting the last term and comparing the result with Eq. experimentally both the external currents and the temperature are kept ﬁxed. Thermodynamic potential at ﬁxed T and je If both the temperature and ﬁeld are changed δF = 1 4π H δB dV − S δT. δW = δF. This electric ﬁeld leads to the work δt je E dV upon the external currents. Now we return to the deﬁnition (16.. To take it into account it is convenient to construct a special thermodynamic potential G=F− Consequently. (16. PROPERTIES OF TYPE I .
Minimization with respect to B : B = H(1 − ρ). ii) the quantity H is constant over the sample and equal to Hc .ARBITRARY SHAPE 323 Magnetization Curve in the Intermediate State To get the magnetization curve B(H) let us calculate the Gpotential for the sample. curl H = 0. as well as the ﬁeld distortion near the surface. The distribution of magnetic ﬁeld can be obtained from the set of equations div B = 0. 8π 8π(1 − ρ) 1. These relation are equivalent to the conventional relation B =µH for a paramagnet.16. The only (but very important) diﬀerence is that in SC it is nonlinear. 2.3. Introducing B we get F = Fn − Now G(B. Minimization with respect to ρ : B = Hc (1 − ρ) → hn = Hc . ρ)= F − 2 BH ρHc B2 BH = Fn − + − . .. 8π 8π condensation energy Here we dropped the interface energy at S − N boundaries.. . B H = Hc B and usual boundary condition of continuity of Bn and Ht (normal component of induction and tangential component of the ﬁeld. If the magnetic ﬁeld in a normal state if hn B = (1 − ρ)hn + ρ · 0 = (1 − ρ)hn . That means: i) B H. 4π 8π 8π(1 − ρ) 4π 2 ρHc B2 + . The free energy density is F = Fn − 2 2 ρHc +(1 − ρ) hn .
We have H 2 = Hc . Outside the sample H = B = H0 − H1 a3 2 cos θ r2 where H1 is a constant. We come to the conclusion the fraction of SC regions in a sphere is ρ=1− B0 3H0 − 2Hc Hc − H0 =1− =3 . Field distribution in a sphere. Critical current of a SC wire.. Applications. Consider a wire with the radius a. 16. Hc Hc Hc 2 Hc < H 0 < H c . On the other hand. Force lines are the straight ones. Thus. 1. Then we apply boundary conditions: Continuity of Ht → H0 + H1 sin θ = Hc sin θ. So. B0 = 3H0 − 2Hc . 2 At I > Ic the surface is to become normal. We chose zaxis along B and H. We know that inside H = Hc . H1 = 2(H − Hc ). 2 Proof.324 CHAPTER 16. we conclude that the external part (at R < r < a) should be normal while the internal part (0 < r < R) should be in an intermediate state. . (H · straight one. in this case the current would be uniform that leads to the condition H < Hc near the central part. so 0= H 2 = 2(H · )H+2 H × curl H .6.vector H does not change along the force line and it is the 2. Fig. PROPERTIES OF TYPE I . 3 The ﬁeld at the equator and at the poles of a sphere is shown in Fig. 16. The ﬁeld at the surface is H(a) = 2I/ca. 3. which are constant. 0 Consequently. the critical current is Ic = ca Hc . If H(a) < Hc all the wire is in a SC state.7 carrying the current I. )H =0 . As a result. 2 Continuity of Bn → (H0 − H1 ) cos θ = B0 cos θ. Let us denote B as B0 .
As a result. At the boundary. So. 16. this current should produce a constant electric ﬁeld E (remember: curl E = 0).6: Field distribution at the equator (1) and poles (2) of a SC sphere.16. cR 2 a We come to the conclusion that the current I − I1 should ﬂow through the normal external part. .ARBITRARY SHAPE 325 Figure 16. Let us discuss the structure of the intermediate state in more detail. Microscopic Structure of the Intermediate State.8 and placed in a perpendicular magnetic ﬁeld H0 .7. 16. the central part cannot be completely SC. The picture of the intermediate state in a wire is shown in Fig. at r = R.. Let us assume that . Figure 16.3. one has H(R) = Hc and we get the condition for the current inside the tube r < R H(R) = Hc = 2I1 cRHc R → I1 = = Ic < Ic < I. Consider a plate shown in Fig.7: Field distribution in a wire..
8: Microscopic domain structure. 8π d 8π dn d = dn + ds condens. energy for h = H0 (d/dn ) Now we come to the next approximation. Our aim is to determine the widths dn.9. Magnetic energy is also changed near the surface which we take into account by another dimensionless function V0 2 H0 2 Lx d Ly V0 8π s d ds d . The way is to minimize the free energy with respect to dn. Creation of the N − S interfaces. 3. PROPERTIES OF TYPE I .s of the layers. 8π d 2. the normal and SC regions form a layered structure. The energy ”loss” is of the order ∼ d2 Ly for each s interface.. Figure 16. Deformation of the force lines near the surface. If the interfaces are ﬂat and the surface energy is neglected F =− 2 Hc ds H 2 d Lx L y e + 0 Lx L y e . λ ∼ 103 − 104 ˚. We have to take into account 1. magn. SC domains become thinner near the surface. 16.326 CHAPTER 16. The total loss is 2 H c 2 Lx ds ds Ly U0 8π d d where U0 is the dimensionless function which depends on the shape of the regions. We allow for the interfaces introducing a speciﬁc surface energy H2 γ = c λ.s at given H0 . A 8π The corresponding contribution to F is 2 Hc 2Lx γeLy × (number of interfaces) = λeLy . As shown in Fig. . That means the ﬁxed ﬂux through the plate and one has to use Gpotential.
16. As we have seen earlier.9: Domain structure near the surface. ϕ = 10−2 . A . Minimizing with respect to d we get d= λe .7. . Let us consider the quantities ρs and d as independent variables.3.ARBITRARY SHAPE 327 Figure 16.. we get d ∼ cm. we obtain d ≈ 0.. for a macroscopic material 1 − ρs = H0 .06 cm. Hc We ﬁx the SC density ρs according to this expression and get F = Fmacro + 2 Hc eLx Ly 8π 2λ d + ρ2 U0 + ρ2 (1 − ρ2 )V0 s s s d e . λ ∼ 3000 ˚. s s 2 s √ λe. ϕ(ρs ) ϕ(ρs ) = 1 2 ρ U0 + ρ2 (1 − ρ2 )V0 . Taking e ∼ 1 The typical estimates are: for H0 /Hc ∼ 0.
Shal’nikov. Consider two limiting cases. We write the previous expression as G= dV Fn − 2 Hc 8π + γA .. In the N region the thermodynamic potential G decreases due to mag2 2 netic contribution (Hc /8π) − (Hc /4π) while in the Sregion it decreases according 2 to the condensation energy as −(Hc /8π). In our previous macroscopic treatment we have assumed the sharp N − S boundary. There are several methods to observe the domain structure.328 CHAPTER 16. 1. 1.4 The Nature of the Surface Energy. PROPERTIES OF TYPE I . 2. 3 → energy of magneticﬁeld. 2. 2 λ ∼ ζ0 and γ ∼ (Hc /8π)ζ0 . The contribution discussed above is very small and we return to the Lonfon equation for the ﬁeld. ζ0 δ. The surface domain structure is much more complicated because of the surface winding (see the lower panel of Fig. What is the diﬀerence if we come to the microscopics? The new feature is that the superconductivity becomes ”spoiled” at the distance ∼ ζ0 that leads to the loss of the condensation energy. ζ0 δ. In the end of the chapter we discuss qualitatively the nature of the interface contribution to the energy. 16. 16. 5 → kinetic energy of the currents. Consequently. 2 → condensation energy of the S−region.9). We have discussed a simpliﬁed picture. 4 → microscopic analog of the quantity − (BH/4π). 1947). 3. We have h = Hc in the N . Change of the resistance of a thin wire while motion along the sample’s surface (Meshkovskii. Decoration by ferromagnetic powder. The Gpotential has the form G= x>0 dV Fn − 2 Hc h2 Hh δ2 + − + 8π 8π 8π 8π dh dx 2 The speciﬁcation of the items is 1 → free energy of normal phaseat H = 0. Optical methods (using Faraday rotation).region while h = Hs exp(−x/δ) in the Sregion.
5. Derive Eq. . γ= 1 8π ∞ 329 dx h2 + δ 2 0 dh dx 2 − 2hHc = − 2 Hc δ. As a result.3). (16.5 Problems 16. 8π We see that surface energy is negative. PROBLEMS extracting the surface contribution. 16.1. So the system ”wants” to make as many surfaces as possible. They are called the type II superconductors and we will discuss these materials in the next chapter. It is not surprising that superconductors with ζ0 δ have speciﬁc magnetic properties.16.
.330 CHAPTER 16. PROPERTIES OF TYPE I ..
Hc2 = 300 000 G. A Usually. At the same time.1. 331 .69Hc2 . The magnetization curve B(H) is shown in Fig. The physical reason is similar to the bubbles creation at the wall of the glass with beer (see later). Hc = 6 000 G. It means that persistent currents still exist.2. the thickness being ∼ 103 ˚. Another names for this region are the vortex state (see below). The Meissner eﬀect in a long cylinder is complete only in very weak ﬁelds. H < Hc1 . Hc3 = 1. Such a situation holds at Hc1 < H < Hc2 where Hc2 is the socalled upper critical ﬁeld which is much greater than Hc . 8π 2. 17.Chapter 17 Magnetic Properties of Type II Superconductors 17. at Hc2 < H < Hc3 a surface SC layer still exists. Such a region has been discovered by Shubnikov (1937) and is called the Shubnikov phase. The lower critical ﬁeld Hc1 is much less than the thermodynamic ﬁeld Hc deﬁned as 2 Hc Fn − Fs = . even in the equilibrium state the penetration is not complete. 3. and the mixed state (do not mix with the intermediate state for type I SC). The temperature dependencies of the critical ﬁelds are shown in Fig. At H > Hc2 a macroscopic sample does not repel the ﬂux. The values of critical ﬁelds for V3 Ga at T = 0 are: Hc1 = 200 G. One can observe the layer measuring surface conductivity. and B ≡ H. At H > Hc1 magnetic ﬁeld lines penetrate the cylinder. 17.1 Magnetization Curve for a Long Cylinder Type II superconductors have the following general properties 1. Now we will concentrate on the region Hc1 < H < Hc2 with partial ﬁeld penetration. Nevertheless. The ﬂux Φ is less than in the normal state.
Now let us discuss the phase transition at H equal to the critical value Hc1 or Hc2 . 17.1). We have Gi = Fi (T. According to experimental results.332 CHAPTER 17. j. It is interesting that the areas below the curves in Fig. So we face the typical type II transition. 17. MAGNETIC PROPERTIES TYPE II Figure 17. Let us consider thermodynamics for this transition. We start with H = Hc2 . B) − Bi H . ∂Bi 4π while the entropy is Si = − ∂Gi ∂T =− H (17. In some experimental works people prefer to plot magnetization M= M −H 4π (see Fig. Bi ) = . ∂T . 2.2 are the same for type I and type II SC (Problem 17. Let us consider two phases: the Shubnikov one i. The curve B(H) is continuous at H = Hc2 . and the ”normal” one.3).1) ∂Fi . 1. in which most of the sample is in the normal state (B = H(.1: Phase diagram of a long cylinder of type II superconductor. 4π the dependence B(H) is determined from the condition ∂ H Fi (T. There is no hidden heat while there is a discontinuity of the speciﬁc heat.
H .1) we obtain [dH = (dH ∗ /dT )dT ] dGi Bi dH ∗ = −Si − . Si = Sj . Now we can calculate the speciﬁc heat at given magnetic ﬁeld as Ci = T ∂Si ∂T .17.1. along the equilibrium curve (Gi = Gj ) we have dGi /dT = dGj /dT . If there is no hidden heat the entropies should be also equal. dT 4π dT Then. That leads to the continuity of the curve B(H) along the equilibrium line H = H ∗ (T ). Thus Bi = Bj . Si = Sj . Indeed. MAGNETIZATION CURVE FOR A LONG CYLINDER 333 Figure 17. we have at the line dFi ∂Fi ∂Fi dBi = + dT ∂T ∂Bi dT Using the magnetization curve (17.2: B vs H curves for type I (dashed line) and type II (solid line) superconductors. Let the SC and normal state are in equilibrium at some ﬁeld H ∗ (in our case H ∗ = Hc2 ) that means Gi = Gj .
3) where dB dBi dBj = = dT dT dT .3: Magnetization curves for type I (dashed line) and type II (solid line) superconductors. we get Cj − Ci = T dH ∗ dT ∂Si ∂H − T ∂Sj ∂H . we express dSi = dT ∂Si ∂T + H ∂Si ∂H T dH ∗ .2) T dH ∗ = dT + Bi ∂H ∂Bi T dB dT (17. (17. T ) 4π ∂T ∂Bi ∂H . MAGNETIC PROPERTIES TYPE II Figure 17. As earlier. dT dt As a result. dT We should remember that along the magnetization curve dSi dSj = . We have ∂Si ∂H Then = T ∂Si ∂Bi T ∂Bi ∂H =− T ∂ 2 Fi ∂Bi ∂T ∂H ∂T ∂Bi ∂H =− T 1 ∂H(Bi .334 CHAPTER 17. T The last part of the calculation is to express the derivative (∂Si /∂H)T through magnetic characteristics.
ζ (the core’s characteristics usually enter under the sign of logarithm).4) which is called the Abrikosov vortex line (Abrikosov. 9. at least at δ.2.4). .2 Microscopic Structure of the Mixed State Physical Picture The ﬁrst important feature of type II SC is that the surface energy is negative (see Sec.3) into (17. 1956). we can expect that the magnetic ﬂux Φ= h · dS is equal to Φ0 (maximal mixing in the system). MICROSCOPIC STRUCTURE OF THE MIXED STATE 335 is the induction derivative along the equilibrium line. It is clear that in this case the system “wants” to form a ﬁne mixture of normal and SC regions. Consider an isolated ﬁlament (see Fig. the structure of the core is not important for many applications. It has a core with a radius ζ in which the density ns of SC electrons decays to zero in the center. Looking at the curves in Fig. the surface contribution to the free energy being very important. ζ. 17. According to the results both of the experiment and the theory (we will discuss it in detail). if one knows both the dependence H ∗ (T ) and magnetic susceptibility ∂Hj T for both phases he can predict the speciﬁc heat discontinuity. the magnetic ﬂux through a hole in a massive SC in quantized: Φ = kΦ0 . or ﬁlaments with the radius ∼ ζ.2) we get ∂Si 1 dH ∗ ∂Bi 1 dB =− + ∂H T 4π dT ∂H T 4π dT T Cj − Ci = 4π dH ∗ dT 2 ∂Bj ∂H − T ∂Bi ∂H T ∂B Consequently. Check of thermodynamic properties is very important to prove that you observe the true bulk eﬀects. 17. One can show that at δ. 17. Substituting (∂H/∂T )Bi from (17. To get the physical picture we start with the case of a mixed state with small B (H − Hc1 Hc1 ). 2e Thus. The magnetic ﬁeld is maximal in the center while at r > δ it decays as a result of screening by circular currents. Φ0 = ch = 2 · 107 G · cm2 .17. As we will see later. One can imagine 2 types of the structure: thin layers (with the width ∼ ζ).2 we see that Ci > Cj . ζ the latter is more advantageous. The condition Φ = Φ0 determines all the structure of an isolated line at δ. This relation can be checked experimentally. However one should keep in mind that it is rather diﬃcult to reach true equilibrium conditions in type II SC (see below). and we discuss it in more detail.
4: Structure of an isolated ﬁlament in a type II superconductor.336 CHAPTER 17. Because δ. (17.5) where z is the unit vector directed along zaxis.1.1. Outside the core the ﬁeld is determined by the London equation 2 h + δL curl curl h = 0 .4) 8π r>ζ We are interested in the linear tension. 8. (17.e. ζ we can express it introducing a δfunction source in the London equation as 2 h + δL curl curl h = z Φ0 δ2 (r) (17.in the value of F for a unit length. ζ. Properties of a isolated vortex line. To prove this assumption let us integrate the Eq. MAGNETIC PROPERTIES TYPE II Figure 17. let us neglect the core contribution to the free energy. the contribution of an isolated line can be expressed as 1 2 F= h2 + δL (curl h)2 dV . The presence of the core we take into account as a boundary condition at r → ζ. Because we are interested in the case δ. r>ζ. i.5) over the area of a circular contour with the center at the axis and the radius . As was shown in Sec.
h. Indeed. Thus we prove that the total ﬂux is equal to Φ0 . ζ r δ. δ.6) is h= Φ0 2 2πδL πδL −r/δL e . We have F= 2 δL 2πζ h(ζ) curl hr=ζ = 8π Φ0 4πδL 2 ln δL . Now we will ﬁnd the structure of the ﬁled. (17. MICROSCOPIC STRUCTURE OF THE MIXED STATE r. The ﬁrst integral in the l. It has the form h= Φ0 K0 2 2πδL r δL (17.5) and get 2 δL 2πr curl h = Φ0 →  curl h ≡ − ∂h Φ0 1 = .h. It is easy to calculate it for ζ r δ. one can ﬁnd exact solution of the London equation (17. is just the magnetic ﬂux through the contour.4) we get F= 2 δL 8π [h × curl h] dS where the integral is to be calculated over the surface of the core (the cylinder with the radius ζ). one can neglect the ﬁrst integral in the l. δ it is possible to neglect the contour integral. of Eq. Using the Stokes theorem we get 2 h · dS + δL 337 curl h · dl = Φ0 . Comparing the exact solution (17. In principle.6) with the asymptotic one we get: const =0.7) . 2r r. Now we can easily calculate the free energy.5) together with the condition div h = 0.2. h= Φ0 2 2πδL ln δL + const r . 2 ∂r 2πδL r As a result.17. The largedistance asymptotics of the ﬁeld.6) where K0 is the Bessel function. Remembering that c j= curl h 4π we see that for r.s. ζ (17. according to (17.s. After integration of the second term in the integrand of (17.
F is only logarithmically dependent on ζ. MAGNETIC PROPERTIES TYPE II Discussion of the last formula. 2πr Now let us average Eq. Because d δ the quantities A and F are almost zindependent.8) π∆(0) 8π 2 which follow from the BCS microscopic theory. 2. F is proportional to Φ2 . We have div A = 0 . Fθ = Φ0 . 4π δeﬀ δeﬀ = 2 δL . 3. Consequently it is more proﬁtable to create 2 vortices with 0 the ﬂux Φ0 that one with the ﬂux 2Φ0 . Isolated Vortex in a Slab Now we discuss the properties of the isolated vortex in a thin slab (d we have the London equation h+ 2 4πδL curl j = z Φ0 δ2 (r). Denoting the total current as J = jd we get J= c 1 (F − A) . h = curl A .9) over zcoordinate. We can rewrite the formula for T = 0 using the expression for Φ0 and the relations (see below) 2 Hc 1 vF ζ0 = . 2 4πδL A+ j=F c (17. 8π We prove that the core contribution appears small in comparison with the one due to the supercurrent. d .338 CHAPTER 17. c δ) (Pearl). Inside It is convenient to come to the vectorpotential A. (17.9) where in the cylindric coordinates Fr = Fz = 0 . = g( F )∆2 (0) (17. 3 8π ζ Now we can compare this energy with the core contribution which is of the order δFcore ∼ 2 Hc 2 ζ . 1. We get F= 2 π 2 Hc 2 δL ζ ln .
10) we introduce Fourier components Aqk = Fq = A(s.z) ei(qs+kz) dV. δeﬀ δeﬀ We can ﬁnd Aqk from this equation and then substitute it to the deﬁnition (17. MICROSCOPIC STRUCTURE OF THE MIXED STATE 339 To solve the problem we need the ﬁeld distribution outside the slab. We come to the very simple equation −(q 2 + k 2 )Aqk + 1 1 Aq = Fq . We can make calculations assuming that we have a plane with the current Jδ(z): curl curl A = 1 4π j = (F − A) δ(z) → c δeﬀ 2 A+ 1 (F − A) δ(z) = 0.17.11) of Aq . hzq ≈ For large distances (qδeﬀ Jq ≈ 1) Φ0 z. F(s) δ(z) eiqs dV = i Aq = 1 2π dk Aqk = A). 4πδeﬀ 2π q 4π r 4πδeﬀ 1 d 2 Φ0 δeﬀ hz (r) = − (Jr) ≈ . The result is Aq = Finally. 4π δeﬀ 4πδeﬀ 1 + 2qδeﬀ 1 Fq . 1 + 2qδeﬀ 1).11) Φ0 [z × q] .z) δ(z)eiqs dV . (17. 2qδeﬀ 4πδeﬀ r c cΦ0 i [z × q] cΦ0 2qδeﬀ Fq = → J(r) = 2 2 . q2 where s is the inplane coordinate. A(s.10) To get the last equation we used the London gauge (curl curl A = − To solve Eq. (17. . We have c 1 c 2qδeﬀ (Fq −Aq ) = Fq . δeﬀ 2 (17. 1 + 2qδeﬀ 1 2π dk q2 1 1 1 (Aq − Fq ) = (Aq − Fq ).2. Aq = Now we know everything: the current Jq = magnetic ﬁeld: hq = i [q × Aq ] = Small distances correspond to large q (qδef f . 2 δ + k eﬀ 2qδeﬀ Φ0 Φ0 1 → hz ≈ . c r dr π r3 .
We have 2 h+δL curl curl h = z Φ0 [δ2 (r − r1 )+δ2 (r − r2 )] . δeﬀ ζ It is important that the vortices in a slab have long range interaction. the free energy is F= 2 δL 8π hi (r) = z Φ0 K0 2 2πδL r − ri  δL . Item (h1 +h2 ) · ([curl h1 × dS2 ] + [curl h2 × dS1 ]) which is small at ζ vortex). MAGNETIC PROPERTIES TYPE II F= Φ0 4π 2 1 δeﬀ ln . [h × curl h] dS where one should integrate over the both cores’ surfaces. As a result. Interaction between Abrikosov Vortices. Now we return to the bulk material and consider interaction of 2 vortex lines parallel to zaxis. the energy is E= 2 δL 8π [(h1 +h2 ) × (curl h1 + curl h2 )] (dS1 + dS2 ). 2. δL (currents and ﬁelds remain ﬁnite at the axis of the opposite . Sum of the free energies of separate lines 2F = 2 δL 8π [h1 × curl h1 ] dS1 + [h2 × curl h2 ] dS2 .340 The free energy of the vortex is CHAPTER 17. Indeed F12 = Φ0 −2 [z × J(R12 )] ∝ R12 . Its solution is a superposition of the two ﬁelds h(r) = h1 (r) + h2 (r) . 1. As usual. c −1 the interaction (repulsion) energy decays only as R12 . One can separate the 23 = 8 items into 3 groups.
We search solution as h = h1 +h2 where h1 = H exp(−x/δL ) is the penetration of the external ﬁeld. 0) is the ”line coordinate”. Let SC occupy the semi space x. 0) with all the currents ﬂowing in the opposite directions (mirror image). It can be calculated with the help of the image approach. Assume that we have a vortex line directed along zaxis and parallel to a plane surface (yz plane). Thus we can prove that the ﬁeld h2 is equal to this sum. at x = 0 (the second condition is just the vanishing of the current normal to the surface). The London equation for the problem is 2 h+δL curl curl h = zΦ0 δ2 (r − rL ) where rL = (xL . MICROSCOPIC STRUCTURE OF THE MIXED STATE 3.interaction of a ﬂux line with the sample’s surface. ≥ 0. The resulting London equation becomes 2 h+δL curlcurlh = zΦ0 [δ2 (r − rL )−δ2 (r−rL )] and the total ﬁeld is h = H e−x/δL + Φ0 K0 2 2πδL r − rL  δL − K0 r−rL  δL . exp(−R12 /δL ) at Interaction of a Vortex with a Surface Now we discuss an important problem . The boundary conditions at the surface are h = H. Let us add the auxiliary image vortex placed at the point rL = (−xL .2. 4π h12 = Φ0 K0 2 2πδL r1 −r2  δL . (curl h)x = 0 . Fig. Φ0 1 2 2πδL r We see that lines repulse and the interaction energy decays as R12 long distances and behaves as ln δL /R12  at small distances. the external magnetic ﬁeld being H. −1/2 2 δL 8π 341 [h1 × curl h2 ] dS2 + [h2 × curl h1 ] dS1 . It is clear that the sum of the ﬁelds produced by the both lines meet the boundary conditions.17. . 17. The ﬁeld h2 is due to the vortex.5. The interaction energy U12 = Using the relation curl h = we get U12 = Φ0 h12 .
This integral is evaluated on the total volume of the sample (x. Then we go along the old way. at ζ → 0 the main contribution to S1 is the diverging part of curl h and Φ0 1 G1 = h(rL ) − H . proportional to [h1 × curl h1 ] as an additive constant which is present in the absence of the vortex. The G free energy G= dV 2 h2 + δL (curl h)2 h · H − . The remainder is G2 = 2 δL 8π dS [h1 × curl h2 ] .342 CHAPTER 17. As usual. Now we can split the ﬁeld as h = h1 +h2 and consider the part. Transferring to the surface integral we get the ﬁrst contribution 2 δL δG = 4π dS S1 +S2 1 h − H × curl h . ≥ 0) excluding the core region. MAGNETIC PROPERTIES TYPE II Figure 17. 8π 4π We are interested in the energy per unit length. we do the following trick. We denote the corresponding contributions as G1 and G2 . h1 = H.5: On the mirror image approach. 2 where S1 is the core’s surface while S2 is the sample’s one. S2 To get the result. The integral could be rewritten as = S2 S1 +S2 − S1 . 4π 2 The second contribution can be written as G2 = − 2 δL 8π dS [h1 × curl h] S2 because at the surface h2 = 0.
at the surface S1 the ﬁeld h1 is nonsingular while at the surface the ﬁeld h2 is zero because of the boundary conditions.6. B = nL Φ0 . MAGNETIZATION CURVES.3. Indeed. BH 4π Now we discuss the magnetization curves for type II SC. To make explicit estimates we separate 3 regions . 17. Φ0 1 H e−x/δL − h(2xL ) + Hc1 − H . The ﬁrst contribution leads to the free energy of a isolated vortex G= Φ0 Hc1 4π while the second is just the interaction energy between the line and the image − The ﬁnal result is G= Φ0 Φ0 h(2xL ) with h(r) = K0 2 8π 2πδL r δL . δ2 Φ0 G2 = L dS [h1 × curl h2 ] = h1 (rl ). The free energy is G = nL F− i.17. 4π 2 The graphs of the function G(xL ) for diﬀerent H are shown in Fig.3 Magnetization curves. 8π S1 8π The result is G= Φ0 1 H e−x/δL + h2 (rL ) − H . 17. In these 2 graphs the magnetic ﬁeld is measured in units Φ0 /4πδL .j Uij − (17. As a result. 4π 2 It is clear that G = 0 if the line is at the surface (h2 = 0). This barrier is a consequence of interplay between the tendency to penetrate the sample and attraction to the image ”antivortex”. According to the London equation dS [h1 × curl h2 ] = S1 +S2 S1 +S2 343 dS [h2 × curl h1 ] We can see that the integral is very small. The barrier is very important for the real life and should be taken into account interpreting experimental results. Now we should remember that the ﬁeld h2 consists from the initial and the mirror ﬁelds. We see that at ﬁnite magnetic ﬁelds a surface barrier appears (BeanLivingstone barrier).12) where nL is the density of vortex lines.
The Lower Critical Field Hc1 . Small B (nL δL 1) where only nearest neighbor’s interaction is important.8) we get for T = 0 Hc1 π ζ0 δL =√ ln Hc 24 δL ζ0 that is usually 1. so the equilibrium value is B = 0. we get Hc1 = 4πF Φ0 δL = ln . To get Hc1 one can neglect interaction at all. We have G≈B F H − Φ0 4π . Indeed. High B where nL ζ 2 ∼ 1 and the cores overlap. region. 2 1. Consequently.6: Surface barrier in type II superconductors. at H < Hc1 the free energy G increases with the increases of B. The bracket vanishes at H = Hc1 = 4πF/Φ0 . 1) where there are many vortices inside the interaction 2 2. Intermediate B (nL δL . 3. .13) Making use of the relations (17. at H > Hc1 there is a possibility to get a minimum at B = 0.344 CHAPTER 17. At the same time. MAGNETIC PROPERTIES TYPE II Figure 17. 2 Φ0 4πδL ζ (17.
17. A detailed calculation show that for all the values of B the most stable is triangle lattice vortices (see Fig. The magnetization curve calculated from this model. MAGNETIZATION CURVES. we get G≈ B 1 Φ0 Hc1 − H + z K0 2 4π 2 2πδL d δL . where z is the number of nearest neighbors (z = 6) while the lattice constant d is determined from the relation 2 Φ0 B = n L Φ0 = √ 2 . B. (17.7). minimum which corresponds to the equilibrium value of induction B for a given H.14) 3d The result of calculations according to this scheme is shown in Fig. Taking into account that only nearest neighbors are important Figure 17. 17. 345 The vicinity of Hc1 .8. 17. as well as experimental results for the alloy More are shown in Fig.8: Dependence G vs.9.17. Repulsion of vortices becomes important and one should use the general equation (17.3. We see the Figure 17. Solid lines correspond to constant values of ns .12). .7: Triangle vortex lattice.
The sum m=0 m−2 depends only on the properties of the lattice.calculations for a laminar model. . MAGNETIC PROPERTIES TYPE II Figure 17. Certainly. To get an estimate one can replace the sum by the integral 1 1 1 → m2 (2π)2 nL m=0 1 1 B2 B2 = + 2 (1 + m2 δL ) 8π 8π d2 m 1 1 = m2 2π nL m dm 1 mmax = ln m2 2πnL mmin We calculate the energy per 1 cm. in our region 2 m2 δL . hm = 0 only for the vectors proportional to the reciprocal lattice vector. Crosses . dashed line . Introducing the primitive cell we get the Fourier component hm = n L Cell h(r) eimr d2 r.experiment. From the London equation we get n L Φ0 . In this case one should sum interaction energies for many vortices and we discuss the way to perform calculations. 2 (1 + m2 δL ) m m=0 √ The minimal value of m in the last sum is of the order 1/d ∼ nL Thus. We start with the London equation 2 h+δL curl curlh = zΦ0 i δ2 (r − ri ) where the sites ri form a 2D periodic lattice. 1 and we can drop 1 in the denominator. hm = 2 1 + m2 δL Then we write1 F= 1 8π = B2 8π 2 h2 + δL (curlh)2 d2 r = 1 8π 2 h2 (1 + m2 δL ) = m m 1 .9: Magnetization curves for the vicinity of Hc1 .346 CHAPTER 17. Intermediate magnetic ﬁelds.
ln(δL /ζ) √ β = β/ e. the total current being j + jex . mmin ∼ 1/ζ. NONEQUILIBRIUM PROPERTIES. High ﬁeld region In this region where cores overlap our approach is deﬁnitely not suﬃcient. At the same time.4. PINNING. superconductivity should exist in a high magnetic ﬁeld. (17. Then we remember that j depends only on the diﬀerence r − rL (where r is the 2D coordinate in the plane perpendicular to the line). 347 Then. exactsolution). We know that in type II SC the upper critical ﬁeld can be very high. 8π 4π ln(δL /ζ) β = 0. F= B 2 BHc1 ln(βd/ζ) + . The force is Fk = − ∂U ∝− ∂rLk dV jiex i ∂ji = ∂rLk dV jiex i ∂ji = ∂rk . 17. in a magnetic ﬁeld a force should act upon the vortices and leads them to move.381 (trianglelattice. It is clear that people are interested to fabricate a SC which is able to carry large supercurrent and. consequently.17. But moving vortices should produce nonsteady magnetic ﬁelds and. consequently. Pinning. energy loss.4 NonEquilibrium Properties. This result is in a good agreement with the experiment. To make the estimates assume that there is one vortex with the current j and the external current density is equal to jex . the question arises: Is the mixed state superconducting? Indeed. with mmax ∼ 1/d. We return to this region later after the analysis of the GinzburgLandau theory and show that the upper critical ﬁeld has the order Φ0 /ζ 2 . Finally.14) H = B + Hc1 ln(β d/ζ) . we put ∂G/∂B = ∂ F − BH /∂B = 0 and obtain (we should not forget 4π that B is related to d according Eq. Assuming that the corre2 2 sponding contribution to the free energy is ns mvs /2 = (ns m/2)(j/ns e)2 = (4π/c2 δL )j 2 /2 we get for the interaction energy U= 4π 2 c2 δL jex · j dV. Pinning. General Properties. as usual.
As a result of force balance. such a motion produces the electric ﬁeld Φ0 B ex 1 E = [B × vL ] = j . c Now let us assume that a vortex moves with a given velocity vL and there is a viscous braking force fv = −ηvL . Hc2 η(Hc2 ) = This expression is only a very rough orderofmagnitude estimate. this statement is wrong. MAGNETIC PROPERTIES TYPE II dV jiex ∂jk ∂ji − ∂rk ∂ri + i dV jiex ∂jk . The total force acting upon the vortex structure is just the Lorentz force 1 FL = [jex × B] .348 = i CHAPTER 17. Substituting the expression for curl j we get fL = Φ0 ex [j × z] c for a separate vortex. ηc We see that vL ⊥ jex ⊥B. If the .e. i.e. Fortunately. c ηc2 We observe the Ohm’s law with the resistivity vL = ρ= If we assume that at B = Hc2 Φ0 B . According to the laws of electrodynamics. In fact the viscosity η is a very complicated and interesting function of both the temperature and magnetic ﬁeld. In real materials there is pinning. Thus F= 4π 2 c2 δL [jex × curlj] dV. the vortices become pinned by the defects. ηc2 ρ = ρn (i. From this point of view we get the conclusion that the superconductivity is destroyed at H = Hc1 . ζ. To get a simple estimate let us consider a cavity in the SC with d. Suppose that 2 2 the core is in the normal state that leads to the extra energy ∼ Hc ζ per unit length. One kind of pinning is the surface barrier we have discussed earlier. ∂ri The last item vanishes because by integration by parts we get div jex = 0. to the resistivity of the normal phase) we get Φ0 Hc2 ρn c2 → ρ = ρn B . It is clear that largescale defects with size greater than ζ should be very eﬀective. Φ0 ex [j × z] .
Flux Creep One can imagine that at very j < jc the resistance is zero while at j = jc the resistance appears in a steplike character. This property will be discussed in more detail in the following section. the pinning is a very complicated property. . • The pinning force acts upon a small part of the line while the Lorentz force is applied to the whole line. In practice.17. In fact. As a result. Those instabilities are extremely important for superconductor engineering. and it is not completely understood today (especially for highTc materials). Assume that at some region a bunch of vortices hop from one position to another. 349 vortex passes through the cavity. The typical way to ﬁght with them is the thermal shunting (composite materials). and one should take into account the deformation energy of the lattice. the true critical current is zero at any ﬁnite temperature. there is attraction between the line and the cavity the force being of the order 2 fp ∼ Hc ζ (we have taken into account that at the distance ∼ ζ the vortex collides with its image). This phenomenon is called the ﬂux creep. Consequently. PINNING. Fluctuations. As a result. • Vortices interact. • It is not clear in general case what is the external current distribution inside the sample because the critical current is Bdependent. That is why one should be very accurate in interpreting relevant experiments. Another consequence are current instabilities. the resistance becomes ﬁnite (but exponentially small) at any ﬁnite temperature. Combining this expression with the expression for the Lorentz force we ﬁnd the critical current density able to start the motion jc ∼ H c c δL (we have used the relations fL = j ex Φ0 /c and Hc ∼ Φ0 /δL ζ). So the problem is collective. As a result. the heating increases. This discussion is oversimpliﬁed for many reasons. NONEQUILIBRIUM PROPERTIES. In other words. One of the consequences of the creep is dumping of the ”persistent current”. The theory of creep and thermal instabilities is very complicated.4. pining centers create a potential proﬁle for the vortices which can hop between the valleys due to thermally activated ﬂuctuations. Immediately this region becomes heated that leads to decrease of the critical current. for many materials it can be not so important. this energy is absent. This statement is wrong at ﬁnite temperatures. and we do not discuss it in detail.
At the same time. MAGNETIC PROPERTIES TYPE II Critical State at T = 0. the necessary condition of the mechanical equilibrium is just ∂p ≤ αm . Another type is the pinning force which has the maximal value αm . If we come to a metastable state • the vortex density is position dependent.350 CHAPTER 17. we can describe them as a pressure p in the 2D vortex system. 4π ∂x Now let us discuss the interaction forces.thermodynamic potential G p = −G + B G(B) = F (B) − BH 4π As a result p=− ∂G ∂S = −G − S N ∂G ∂S . We have G = SG. ∂B Inserting the deﬁnition of the . ∂x The critical state model uses the condition ∂p = αm ∂x to determine the ﬂux distribution.the critical state model. S B ∂G . In this section we discuss a very popular simpliﬁed model to treat the external current distribution in a type II SC . To be more precise. • there is the macroscopic current j= c ∂B . Suppose that the SC is in a mixed state with the ﬁeld H z. and dS dB =− . B = N Φ0 /S. In the equilibrium the vortex density is constant and equal to B(H)/Φ0 . The total force acting upon the unit volume is −∂p/∂x. Consider a piece of the xyplane with the area S having N vortices (the external ﬁeld is parallel to zaxis). we estimate the force from the thermodynamic considerations. The ﬁrst type is the repulsion one.
Hc1 .17. and → H(B) = 4π ∂F ∂B 351 (17. To solve the problem one needs the dependence αm (B). According to Bean’s model This dependence is linear and jy =const. . ∂x 4π ∂x c In this case the current distribution is given by the equation B ∂B Bjy = = αm 4π ∂x c at H(B). The proﬁles of the magnetic induction for both models are shown in Fig. and taking into account that in the equilibrium ∂G =0 ∂B we get (Problem 17. Usual ways to study pinning is to observe the penetration of slowvarying Figure 17. − H. PINNING.10.2) ∂p B ∂H(B) = ∂x 4π ∂x In the most important cases at Hc2 .15) ∂p B ∂B Bjy =− = . 17. According to the KimAnderson model the quantity αm is Bindependent.4. Hc1 we have H(B) ≈ B. magnetic ﬁeld in a bulk or hollow cylinder.10: Magnetic induction proﬁles for the Bean and KimAnderson models. NONEQUILIBRIUM PROPERTIES.
MAGNETIC PROPERTIES TYPE II 17.352 CHAPTER 17.5 Problems 17. 17. Derive Eq.15). (17.2.1. Prove that the areas under magnetization curves are the same for type I and type II SC with the same Hc . .
1 PhononMediated Attraction The ﬁrst important motivation to study electronphonon interaction was discovery of the isotopic eﬀect.1.e. Basic Concepts 18. − εk1 −q − ωq 353 Vq ≡ Vk−q. o To understand what happens let us discuss the scattering process shown in the left panel of Fig. Relying upon this fact the concept of phononmediated electronelectron attraction has been introduced (Fr¨lich. 1950). Hc ∝ M −1/2 . εk1 Vq 2 .k .Chapter 18 Microscopic Theory of Superconductivity. . Bardin.1: Electronphonon processes. 18. i. The amplitude of this secondorder process is Figure 18. the dependence of the critical parameters on the atomic mass Tc ∝ M −1/2 .
Consequently we can say that electrons within a thin layer εk1 − εk ∼ ωD near the Fermi surface attract. Thus it is equivalent to a shortrange attraction. its orderofmagnitude estimate being 3 /mpF . at the same time. there is Coulomb repulsive forces. Vq 2 .e.354 CHAPTER 18. Thus the spin wave function should be also antisymmetric. 1 that in the momentum space means ∆p ∼ ωD /vF. Thus. and kindependent. pF mV ( ωq )2 − (εk1 − εk1 −q )2 3 At εk1 − εk1 −q  ωq this amplitude is negative. The ratio is e2 a2 e2 ∼ ∼ 1. If we take into account the conservation law εk1 + εk2 = εk + εk 1 2 we obtain − Remembering that 2Vq 2 ωq . MICROSCOPIC THEORY One should also add the amplitude of the process with phonon absorption shown in the right panel. εk2 − εk1 +q − ωq We have taken into account that ω−q = ωq . i. At the same time. Another feature is that it is the interaction with the total orbital moment equal to 0 (it is independent on k direction). But. 3 /mp vF F . Consequently. It is clear that phonons with maximal q are most important (density of states increases with q). ( ωq )2 − (εk1 − εk1 −q )2 Vq ∼ −i √ pF Vnm we get the following expression for the total amplitude − ( ωq )2 . the spins should be opposite. and the total wave function should be antisymmetric. It is the only way to meet the Pauli principle. phonon attraction is a longrange one. V−q  = Vq  . Let us ﬁnd a typical spatial spread of the corresponding quantum state from the uncertainty principle ∆r ∼ /∆p ∼ vF /ωD ∼ (vF /s)a ∼ a M/m. electrons are Fermi particles. the wave function should be symmetric with respect to the interchange of the electron coordinates. It is a shortrange one due to screening and it can be written as e2 a2 δ(r1 −r2 ).
one can describe the quasiparticle spectrum in a normal metal as ξ(p) = vF (p − pF ). his original paper had a mistake and we shall follow the correct derivation below. The SE is [H0 (r1 ) + H0 (r2 ) + U (r1 .to antiparticlelike ones. it is natural to use the Fermi level as the origin of the energies.2. It the following we neglect Coulomb eﬀects and will model the interaction as constant −λ where 3 λ∼ in the interval F mpF ∼ 1 g( F ) F − ωq < ε < + ωq and λ = 0 outside this interval (the socalled BCS model). r2 ) where H0 (r1 ) is the free quasiparticle Hamiltonian H0 (r1 )ψk (r1 ) = ξk ψk (r1 ) (18.2. they decay very weakly. and in real metals the contributions to the interaction diﬀer strong enough. r2 )] Ψ(r1 . the right branch corresponding to particlelike excitations while the left branch . this is a very rough estimate. 18.1) . As a result. The situation in 1D case is completely diﬀerent: one can form a bounded state at any attraction strength. in 3D case the bound state is formed only if the potential is strong enough. Cooper (1956) was ﬁrst to understand that it is the case. 2m 2m behave as antiparticles (or holes). One should remember that antiparticles have the electric charge of the opposite sign. r2 ) = EΨ(r1 . let us reformulate the quasiparticle concept which has been used for normal metals. the electron states near the Fermi surface are very similar to ordinary particles. At the ﬁrst glance. To start. We know.18. we can classify the particles with ε > F as particlelike excitations. this model has nothing to do with the real life. Indeed. As a result. Consider the interaction of 2 quasiparticles with the same k. Unfortunately.2 Cooper Pairs Attraction does not mean formation of a bound state. ξ (h) = −ξ (e) = This spectrum is shown in Fig. It is conventional to write p2 p2 F − ≈ vF (pF − p) 2m 2m to have positive energy. 18. We write their energies as ξ The excitations with ε < their energy as F (e) p2 p2 = − F ≈ vF (p − pF ). COOPER PAIRS 355 Actually. but L. Thus.
2: Quasiparticle spectra in normal (solid line) and SC (dashed line) states.4) we get the selfconsistency equation k =kF +ωD /vF I= k =kF −ωD /vF λI 2ξk  − E .2) into Eq. To solve the equation we use the model Ukk = Denoting k =kF +ωD /vF −λ. k  < kF + ωD /vF 0. As a result.3) I= k =kF −ωD /vF ck (18.356 CHAPTER 18. 2ξk  − E Substituting this equation into Eq. outside the interval . kF − ωD /vF < k.4) we get ck = λI . (18. (18. Substituting (18. (18. [for free particles ψk (r1 ) = (V)−1/2 exp(ikr1 )]. MICROSCOPIC THEORY Figure 18. r2 ) = k ck ψk↑ (r1 )ψ−k↓ (r2 ) (18.2) where arrows mean the spin projections. In the ground state both the total momentum and total spin should vanish. one can construct the wave function as Ψ(r1 .2) we get (Check!) the following integral equation 2ξk ck + k Ukk ck = Eck .
dξ 18. As we have mentioned. We have H− FN = kσ ξk a† akσ − kσ λ V k1 +k2 =k1 +k2 a† ↑ a† ↓ ak2 ↓ ak1 ↑ . So we can suspect that its temperature smearing will strongly inﬂuence upon superconductivity.18. ENERGY SPECTRUM 357 Now recall that we are interested in a bound state with negative energy. Indeed. it is convenient to come to the quasiparticle description. k k 1 2 (18. (18. • We see that ∆ = 0 at any interaction strength. we transfer the Hamiltonian to H− F N where N = kσ a† akσ is the kσ operator of number of particles. Then means that we will keep the chemical potential F ﬁxed as the origin of the energy reference frame.6) k1 =k1 . our rule d3 k g( F ) → 3 (2π) 2 corresponds to 1D problem. λg( F ) ∼ 1. Technically. λg( F ) (18. The reason is that we have integrated only in the vicinity of the Fermi surface. Actually. Let us discuss Eq. • We see that presence of the Fermi surface is very important. • As we have seen.3 Energy Spectrum Now we come to a more detailed calculation.3. this product is small enough to make ∆ ωD . Denoting E = −2∆ and transferring the sum into the integral we get 1= λg( F ) ln 2 ωD ∆ (the factor 1/2 is due to the fact that we sum over the states with one spin projections while g is deﬁned as the sum over spin projections) or ∆ = ωD exp − 2 . For this we need to minimize the free energy with respect to the wave functions.5).5) The exact calculation has an extra factor 2 which is due to the fact that all the matrix elements are to be calculated in the renormalized state (see below). To do this we need to calculate the ground state energy for attracting electrons.
If we request the usual Fermi commutation rules for the quasiparticle commutators we obtain the relation 2 u2 + v k = 1 (18. † at p < pF : akσ = α−k−σ where α(α† ) are the quasiparticle operators. Note that this transform conserves the momentum. (18. In a superconductor. In a normal metal we can deﬁne at p > pF : akσ = αkσ . vk as parameters to minimize the free energy. a† kσ † † 2 = u2 αkσ . Then we use the coeﬃcients uk . We have akσ . Now we come to a very important point . α−k−σ } + σuk vk α−k−σ . Let us check the commutation rules for the quasiparticle operators. MICROSCOPIC THEORY All the sums are calculated over the thin interval ∼ ωD near the Fermi surface.1) 2 2ξk uk vk = ∆(1 − 2vk ). (18.7). the ground state is more complicated.introduction of quasiparticle operators. αkσ + vk α−k−σ . † Now we can express the energy through the quasiparticle numbers nkσ = αkσ αkσ . (18. We get (Problem 18. † ak↓ = uk αk↓ − vk α−k↑ . 2 vk = 1 2 1− ξk εk (18. and the simplest way to calculate the spectrum is to use the Bogolyubov transform † ak↑ = uk αk↑ + vk α−k↓ .to dagonalize the Hamiltonian (18.11) . α−k−σ k † † + σuk vk {αkσ . We get 2 H− F N = ξk u2 (nk↑ + nk↓ ) + vk (2 − nk↑ − nk↓ ) − k k −λ k uk vk (1 − nk↑ − nk↓ ) k uk vk (1 − nk ↑ − nk ↓ ) ≡ E − F N. The key idea .6).8) Now we calculate the variation with respect to vk taking into account (18.10) The solution of the equation is u2 = k 1 2 1+ ξk εk .7) k that leaves only one free variable. say vk . The physical meaning is transparent: annihilation of an electron below the Fermi surface is just the same as creation of a hole with opposite values of momentum and spin.9) ∆=λ k uk vk (1 − nk↑ − nk↓ ). αkσ = 1.358 CHAPTER 18.
Now we can calculate the quasiparticle energy as a variational derivative of the total energy with respect to the distribution function. Indeed. to create a new quasiparticle one needs the condition ε(p) + pv <0 to be met. 1 .8) with respect to. it is not the case because of the ﬁnite electron charge. vk → 1. The life is not so simple.3. if the liquid moves as total with the velocity v the energy in the laboratory frame of reference is ε(p) + pv. say. nk↑ at constant uk . nk↑ = nk↓ . vk → 0. at ξk > 0 uk → 1. Thus. of the gap we come to the relation1 vc ∼ ∆ . vk we get εk↑ = δE = δnk↑ 2 ξk + ∆2 = εk So we come to the following conclusion • There is the gap ∆ in the quasiparticle spectrum. at ξk < 0 uk → 0. The presence of the gap is very important. After the variation of (18. or ε(p) v < vc = min . 359 (18. p In the presence. Because of the symmetry of the problem we get εk↑ = εk↓ . we come to the quasiparticles of the normal metal. Thus we have δE = k (εk↑ δnk↑ + εk↓ δnk↓ ) . pF We have discussed here the simplest variant of the theory with the sstate pairing.12) In the following we consider isotropic model where the spectrum is independent of the direction of k. One can imagine also collective excitations which may have no gap. • At ξk  ∆ we come to the normal metal properties: εk → ξk . As has been shown. The pairing with nonzero orbital moment has been discussed in connection with superconductivity in the socalled heavy fermion compounds and with superﬂuid 3 He.18. ENERGY SPECTRUM where εk = 2 ξk + ∆2 . Consequently. It means that there is no lowenergy excitations and the electron liquid may be superﬂuid.
13). y= ξ 2 + ∆2 . (18. ξ 2 πkB Tc 2 ωD γ exp (−2/λg( F )) π π kB Tc = 1. (18.15) (18. At T → Tc ∆ → 0.4 Temperature Dependence of the Energy Gap Now we are prepared to discuss the temperature dependence of the gap. γ = 1. Then we use the integral representation for the McDonald function Kν (z) = Γ(1/2) z Γ(ν + 1/2) 2 ν 1 ∞ e−yz (y 2 − 1)v−1/2 dy .16) To discuss the temperature dependence one can simply calculate the integral in (18. so we analyze brieﬂy this integral. MICROSCOPIC THEORY 18. From Eq. We are interested in large values of x.10) we get 1= λ 2 (dk) 1 − 2n0 (εk ) λg( F ) = εk 2 ωD dξ 0 tanh( ξ 2 + ∆2 /2kB T ) ξ 2 + ∆2 . and 1= Thus kB Tc = and ∆(0) = λg( F ) 2 ωD dξ 0 tanh(ξ/2kB Tc ) λg( F ) 2 ωD γ = ln .13) At T → 0 tanh( ξ 2 + ∆2 /2kB T ) → 1 and 1= λg( F ) 2 ωD ln → ∆(0) = 2 ωD exp (−2/λg( F )) 2 ∆(0) (18.14) (note the extra factor 2).360 CHAPTER 18.14) and expanded the integration region to inﬁnity (the important region is ∼ ∆). At low temperatures we can rewrite the formula as ln where f (x) = 1 ∆(0) = ∆ ∞ 0 1 − tanh( ξ 2 + ∆2 /2kB T ) ξ 2 + ∆2 dξ = 2f ∆ kB T ∞ dy (1 + eyx ) y 2 − 1 . It is interesting to show the analytical formula.78. ∆ Here we have used the expression (18. ∞ ∞ f (x) = 1 dy n=1 (−1) n+1 e−nyx y2 − 1 .76kB Tc . γ (18.
Then we use the formula tanh πx = 2 4x π ∞ k=0 1 . ∼ number of quasiparticles (18. and get ∞ 361 f (x) = n=1 (−1)n+1 K0 (nx) ∼ π −x e ..3: Temperature dependence of the energy gap. We get ln Tc = T ∞ dξ 0 tanh ξ tanh( − ξ ξ 2 + ∆2 /2kB T ) ξ 2 + ∆2 .18. .4. (2k + 1)2 + x2 Substituting this formula into the previous one. at T Tc ∆(T ) = ∆(0) − 2π∆(0)kB T e−∆(0)/kB T . To do this we also divide the expression (18. expanding over ∆ and integrating over ξ we get ∞ 2n ∞ (2n − 1)!! ∆ 1 Tc =2 (−1)n+1 .17) At T → Tc it is convenient to expand over ∆ → 0.3. ln T (2n)!! πkB T (2k + 1)2n+1 n=1 k=0 The ﬁrst item leads to ∆ ≈ 3. 18. TEMPERATURE DEPENDENCE . 2x Thus..06 Tc .13) by (λg( F )/2) and subtract its limit at ∆ = 0. Tc − T The graph of the dependence ∆(T ) is given in Fig. Figure 18.
N exp − EsN − N kB T = Tr exp − H− N kB T . For brevity we assume V = ∞. We get ∆ dλ−1 (∆1 ) 2 1 Ωs − Ωn = ∆1 d∆1 . and chemical potential is Ω = −kB T ln Z. = = λ ∂λ λ Tr exp − H− N kB T Substituting the expression for the interaction Hamiltonian2 Hint = −λ k1 +k2 =k1 +k2 k1 =k1 a† ↑ a† ↓ ak2 ↓ ak1 ↑ k k 1 2 and expressing the electron operators through the quasiparticle ones as † ak↑ = uk αk↑ + vk α−k↓ . the thermodynamic potential Ω depending on the variables T. ∂λ λ Then we can integrate over λ to get λ (18. . V. λ2 1 It is more convenient to change variables to introduce inverse function λ1 (∆1 ) to get dλ1 = (dλ1 /d∆1 )d∆1 .362 CHAPTER 18.2) ∂Ω ∆2 =− 2. † ak↓ = uk αk↓ − vk α−k↑ we get (Problem 18. d∆1 0 We can obtain the integrand from the selfconsistency equation ln 2 ∆(0) = ∆ ∞ 0 1 − tanh( ξ 2 + ∆2 /2kB T ) ξ 2 + ∆2 dξ = 2f ∆ kB T . MICROSCOPIC THEORY 18.5 Thermodynamics of a Superconductor According to statistical physics. Splitting the Hamiltonian as H0 + Hint and diﬀerentiating with respect to the interaction constant λ we get H− N ∂Ω 1 Tr Hint exp − kB T 1 Hint .18) Ωs − Ωn = − 0 dλ1 2 ∆ (λ1 ). with the partition function Z= s.
Cn (Tc ) Tc The temperature dependence of the speciﬁc heat is shown in Fig. 1 It is easy to calculate asymptotic behavior because we know all the functions. 3 3 Making use of all the relations we get near Tc Cs (T ) T − Tc = 2. (kB T )3 7ζ(3) ∆4 32 (πkB T )2 Cs = T Near Tc we get ∂Ss = kB g( ) ∂T Ωs − Ωn = −g( ) where ζ(3) is the Riemann zeta function ∞ ζ(x) = 1 1 . 18. we can obtain the speciﬁc heat Cs (Tc ) = Cn (Tc ) + 4 pF m(kB Tc ) kB . We can also de . The temperaturedependent part at low temperatures is Ωs (T ) − Ωs (0) ∼ g( ) 2π(kB T )3 ∆(0)e−∆(0)/kB T . As a result. we get Ss = − ∂Ωs ≈ g( ) ∂T 2π∆3 (0) −∆(0)/kB T e . 4 This formula is clear enough: the bonding energy ∼ ∆ while the number of electron in the actual region ∼ g( )∆.4.5. nx In the same way. At T = 0 Ωs (0) = − g( )∆2 (0) . we get the exact formula g( ) Ωs − Ωn = 2 ∆ 0 d 2 ωD ln − 2f d∆1 ∆1 ∆1 2kB T ∆2 d∆1 . 3 7ζ(3) Cn (Tc ) = kB pF m(kB Tc ) .42 + 4. kB T 2π∆5 (0) −∆(0)/kB T e . 363 As a result. Finally. λ−1 (∆) = g( ) 2 ωD ln − 2f 2 ∆ ∆ 2kB T .18.76 . THERMODYNAMICS OF A SUPERCONDUCTOR ∆(0) = 2 ωD exp (−2/λg( F )) .
7ζ(3) 3 Tc π 2 (kB T )2 3 ∆2 (0) 2πg( )∆(0). 18. (δF )N. .T. There are some materials where this condition is invalid. The theory should be generalized to treat those materials.4: Temperature dependence of the speciﬁc heat. the additional terms to all the thermodynamic potentials are equal if they are expressed in the corresponding variables. In particular.V = (δΩ) .T. Hc (0) = At low temperatures we have Hc (T ) = Hc (0) 1 − while near Tc Hc = kB 16π mpF Tc − T (Tc − T ) ≈ 1. namely the interaction assumed to be weak: λg( ) 1.6 Electromagnetic Response of a Superconductor In this section we analyze the applicability of the London equation and its generalization.735Hc (0) . MICROSCOPIC THEORY Figure 18. Indeed.V and Ωn − Ωs = Thus. we should mention that one very important assumption has been extensively used. 2 Hc . termine the critical magnetic ﬁeld.364 CHAPTER 18. 8π In conclusion to this section.
In this situation one can replace A(r ) → A(r) and Qik (r − r ) dV = δik Q. As was mentioned. According to quantum mechanics.. 365 Qualitative Discussion When we’ve derived the London equation j = −QA. consequently we return to the London limit at δ ζ. As a result. one can decrease the ratio ζ/δ introducing defects. or pairs (one can check it replacing e → 2e.. Because of the correlation. The London equation is the case at very slow variation of A(r). the relation currentvectorial potential becomes nonlocal ji = − k Qik (r − r )Ak (r ) dV where Qik (r) decays at r >ζ. most of pure materials are type I (or Pippard) ones.18. etc. we can assume that only the electron which live for a long time in the surface region ∼ δ are eﬀective. δ∼ mc2 ζ mc2 ζ → δP ∼ 4πne e2 δ 4πne e2 1/3 . Here we consider only the simplest case: response of a SC to a weak steady magnetic ﬁeld at T = 0. In the opposite limiting case. ne → ne /2). The aim is just to show the way of microscopic calculations. Moreover. It is interesting that all the formulas do not feel if the carriers are single electrons. That means that one can discuss the correlation length rather than the size of pairs. ne e2 Q= mc2 we thought that the current is transferred by the electrons. We know that the characteristic scale for the variation of A is δ. Nevertheless. in the presence of a magnetic ﬁeld the Hamilton acquires the additional factor δH = − 1 c jδA dV that leads → δE = − 1 c j δA dV . The main diﬀerence is that Cooper pairs have quite large size ζ ∼ vF /∆ a (at ∆ ≈10 K ζ ∼ 10−4 cm). we’ll see later that near Tc all the SC are type II ones. The number of those electrons is proportional to the angle θ ∼ δ/ζ and nef f ≈ ne δ/ζ. Theory of the Meissner Eﬀect at T = 0. ELECTROMAGNETIC RESPONSE . impurities. So we face the problem: why Cooper pairs do not scatter each other? The answer is that they represent eigenstates of the SE and their wave function are orthogonal. δ ζ. Now we know that Cooper pairs are responsible for the superconductivity.6.
σ H2 = Then we transform e2 2mc2 q. for a bare electron the Hamiltonian is 1 − 2m 2 2 −i e e (A + A) + c c 2 A2 .σ q− q . Using the second quantization. a† ap− pσ p. MICROSCOPIC THEORY where j is the quantum mechanical average of the current (in the following we omit the angular brackets · · · ). It is clear that in a weak ﬁeld we need 2nd order of the perturbation theory because the current is proportional to A.σ Aq Aq .q Remember: the charge is denoted as −e. we write the interaction Hamiltonian as a sum of 2 parts H1 = e (p− q)a† ap− pσ mc p. At low temperatures np↑ = np↓ = 0. and k = k .q. p. The prescription to take the ﬁeld into account is to replace 3 p = −i → −i e + A c As a result. σ a† ap .366 CHAPTER 18. We see that only the item proportional to vp vp gives a ﬁnite contribution. We will do like this: we calculate the contribution to the energy and than ﬁnd the variation with respect to δA. The part H2 is of he 2nd order and it is enough to average it over the ground state. and E2 = 3 e2 mc2 2 vp Aq A−q .σ Aq .q .σ + pa† ap− pσ q.q. .σ through quasiparticle operators pσ † † † † a† ap . q = −q . To take the lack of conservation into account we expand the vector potential in the Fourier series A(r) = q Aq eiqr . the component Aq can be understood as the absorption of electromagnetic quantum with the momentum q.σ = up up (αp↑ αp ↑ + αp↓ αp ↓ ) + vp vp (α−p↓ α−p ↓ + α−p↑ α−p ↑ )+ pσ σ † † † † +up vp (αp↑ α−p ↓ − αp↑ α−p ↓ ) + vp up (α−p↓ αp ↑ − α−p↑ αp ↓ ). We see that only the ﬁrst item conserves the particle momentum.
We change p → p+ q/2 and denote ξp+ q/2 ≡ ξ+ ..6. in the ground state there is no quasiparticles. εp + εp− q We have taken into account that Aq = [A−q ]∗ and that quasiparticle operators for diﬀerent momenta anticommute. As a result 0H1 m = Finally E1 = − e 2mc 2 2 (up vp− mc q − vp up− q )(2p− q). 367 2 The ﬁrst order contribution from H1 vanishes because p pvp δq. in the second order  0H1 m 2 E1 = . Thus. ε+ ε− (ε+ + ε− ) pF and 2 vp = ne . (up vp− p..q (pAq )(pA−q )(ε+ ε− − ξ+ ξ− − ∆2 ) . E(0) − E(m) m=0 Then.18. coming to the integral over momenta and calculating the perpendicular current we get Q(q) = ne e2 e2 p4 1 − 2 F mc m cvF (2π )3 ne e2 = F mc qvF 2∆(0) . In the second integral we put q ξ± = (p ± q/2)2 − p2 F ≈ ξ ± qvF cos θ 2m (zaxis is directed along q). As a result E1 = − Remembering that δE = − we get 2e2 jq = − mc In the ﬁrst integral 2 p 2 vp Aq p 1 e 2 mc 2 p.0 = 0. ∞ dξ −∞ cos2 θ sin2 θ 1 0 (ε+ ε− − ξ+ ξ− − ∆2 ) dΩ = ε+ ε− (ε+ + ε− ) 3 F(z) = 2z (1 − t2 ) dt arsh (zt) √ t 1 + z 2 t2 . or (qAq ) = 0. ELECTROMAGNETIC RESPONSE . E(0) − E(m) = −(εp + εp− q ). ε+ ε− (ε+ + ε− ) 1 c jq δA−q q e2 + 2 mc p p(pAq )(ε+ ε− − ξ+ ξ− − ∆2 ) .q q − vp up− q )2 ((2p− q) · Aq ) ((2p− q) · A−q ) . and only transitions involving 2 quasiparticles are important. ξp− q/2 = ξ− . Finally. Now we use the gauge div A =0.
e. 4z 4 mc vF q This formula is not enough to calculate the penetration depth because it is determined for inhomogeneous space. At the same time. The inﬂuence of the ﬁnite temperature leads to creation of quasiparticles. We check the last formula remembering that ln ∆(0) =2 ∆(T ) dϕ (e(∆/kB T ) cosh ϕ + 1) . the penetration depth diverges at T → Tc .368 CHAPTER 18. i. The result for mirror reﬂection has the form 28/3 2/3 δP = 11/6 2/3 δL 3 π i. Electrodynamics at T = 0 (London limit). 4π 3 F Introducing new variable ϕ as ξ = ∆ sinh ϕ we get 1 P = p2 ug( F )G 3 F We denote P =nn mu where nn is the number of ”normal electrons”. First. we emphasize that near Tc all the SC meet the London limit. At small q (z → 0) F(z) → 1 (London limiting case). The result depends on the scattering conditions for the electron at the surface. Now we brieﬂy discuss the inﬂuence of ﬁnite temperature. at all the temperatures the correlation length is of the order of ζ0 ∼ vF /Tc . it corresponds to the qualitative estimates. MICROSCOPIC THEORY (we have introduced t = cos θ). This integral could be analyzed in limiting cases. Indeed. we have dΩ 1 p(pu) ≈ p2 u. Thus we can neglect t2 in comparison with 1 and get F(z) = π2 3π 2 ne e2 ∆(0) 1 → Q(q) = . to decrease of the number of superconducting electrons. At large q only small values of t are important. We get P= pnF (ε − pu) (dp) ≈ p(pu) − ∂nF ∂ε (dp) = g( F ) dξ dΩ ∂nF p(pu) − 4π ∂ε . . We see that nn =G ne ∆ kB T ∞ 0 −1 ∆ kB T ∞ . G(z) = 2z 0 (ez cosh ϕ cosh ϕ dϕ + 1)(e−z cosh ϕ + 1) = 1 d∆ T dT d∆ dt T .e. To estimate the number of SC electrons let us calculate the momentum of the system if all the particles move with the same velocity u. Then. vF ∆(0) 1/3 .
k . At T → Tc ns Tc Tc − T =2 → δL (T ) = δL (0) . Denoting the interaction matrix element as Λuk−k we get Hint = k. We have ns nn d ln(∆/T ) =1− =− ne ne d ln T −1 .σ Λuk−k a† ak σ .18. It means that displacement of quasiparticles is not the same as displacement of all the liquid.7. kσ Microwave Field In the linear approximation the perturbation is (e/2mc)(pA + Ap). It is just the number which enters the London penetration depth at ﬁnite temperatures. kσ k. ﬁeld acts upon a SC.c.k . 18. In the Pippard region δP (T ) = δP (0) ∆ tanh ∆(0) ∆ 2kB T −1/3 ∝ Tc Tc − T 1/3 near Tc .19) There are two kinds of processes induced by Hint .7 Kinetics of Superconductors Formulas for Transition Probabilities Consider the case where a weak a. At the same time. or by electromagnetic wave.σ ˆ k σ B kσ a† ak σ . ne Tc 2(Tc − T ) At the end of this section one should mention that although all the SC come to the London limit near Tc this transition takes place very close to Tc if δL (0) ζ0 . at T < Tc this ratio is less than 1. . As a result Hint = Thus in general case Hint = k. KINETICS OF SUPERCONDUCTORS 369 √ One can show that at T → Tc nn /ne → 1 (∆ ∝ Tc − T ). the rest being superconducting electrons. Such a ﬁeld can be created by acoustic wave. acoustic ﬁeld create a perturbation Λik uik (r. kσ (18. Acoustic Wave As we know.t).k .σ e mc (Ak−k · (k + k )) a† ak σ .
20) As a result † a† ak σ = uk uk αkσ αk σ + vk vk kσ σ1 σ 2 † ρσσ1 ρσ σ2 α−kσ1 α−k σ2 + +uk vk σ1 † † ρσ σ1 αkσ α−k σ1 + vk uk σ1 ρσσ1 α−kσ1 αk σ . 2. σ1 σ2 ρσ2 σ ρσ1 σ −k σ B − kσ and spins are reversed which means time reversion. MICROSCOPIC THEORY 1. for the case 1 . (The number of quasiparticles is not conserved!). −1. (18. (18. Transitions between diﬀerent states.3) † a† = um αmσ + mσ σ ρσσ α−mσ . We have done this transformation earlier. To analyze them we transform the Hamiltonian (18. for the case 2 . Making use of anti commutation of quasiparticle operators we get the following expression for transition matrix element M (kσk σ ) = uk uk ˆ k σ B kσ − vk vk σ1 σ 2 ˆ ρσ2 σ ρσ1 σ −k σ B − kσ .21) † † Note that the items αkσ αk σ and αkσ1 αk σ2 describe scattering of quasiparticles while † † αkσ α−k σ1 and α−kσ1 αk σ describe creation and annihilation of pairs of quasiparticles. Scattering processes. Usually it is not so important. ˆ is the matrix element where all the momenta In fact.19) to the quasiparticle operators α.370 CHAPTER 18. The perturbation can also modulates the system’s parameters. Now we analyze diﬀerent processes. In a compact form in can be written as (Problem 18. It is clear that they can diﬀer only by signs: ˆ ˆ ρσ2 σ ρσ1 σ −k σ B − kσ = η k σ B kσ σ1 σ 2 where η= Thus ˆ M (kσk σ ) = (uk uk − ηvk vk ) k σ B kσ +1. described by quasiparticle operators. where ρ = 0 −1 1 0 .
The result can be formulated as ∞ ∞ Ws 1 εε − η∆2 Θ(ε − ∆) Θ(ε  − ∆)× = dε dε Wn ω −∞ (ε2 − ∆2 ) (ε 2 − ∆2 ) −∞ × [nF (ε ) − nF (ε)] δ(ε − ε − ω).18. 2 εε εε W1 = 2πωB 2 g 2 ( F ) ∆ dε ∆ dε εε − η∆2 (ε2 − ∆2 ) (ε 2 − ∆2 ) × × [nF (ε ) − nF (ε)] δ(ε − ε − ω). KINETICS OF SUPERCONDUCTORS 371 where the coeﬃcient (uk uk − ηvk vk ) is called the coherence factor. the absorbed power is W1 = kk 2 ω νkk . (uk uk − ηvk vk )2 = Finally ∞ ∞ dξ ε = g( F ) √ . (18. (18.22) Consequently.24) . Here we have introduces the density of states with respect to the energy ε gs (ε) = g( F ) According to the deﬁnition. (18.23) We can make the same calculation for the second part. corresponding to creation and annihilation of quasiparticles which is nonzero at ω > 2∆. This factor is very important. The resulting contribution to the transition rate is νkk = 2π M (kσk σ )2 {nF (εk ) [1 − nF (εk )] − nF (εk ) [1 − nF (εk )]} × ×δ(εk − εk − ω). Denoting B 2 ≡ we get ˆ k σ B kσ W1 = 2πωB where the bar means angle average over the Fermi surface ∞ 2 ∆ dε dε gs (ε)gs (ε )(uk uk − ηvk vk )2 × × [nF (ε ) − nF (ε)] δ(ε − ε − ω). Now we discuss the applications of the formula. 2 − ∆2 dε ε ξξ ∆2 1 1+ −η .7.
At low frequencies and temperatures.6). Finally. MICROSCOPIC THEORY Figure 18. we discuss also the very important limiting case of the vicinity of Tc and small frequencies ω ∆ kB Tc . 18. ω ∆(0) we have Im Q ≈ −4π sinh ω 2kB T K0 ω 2kB T exp − ∆(0) kB T Note that the condition ω = 2∆ corresponds to the frequencies ∼ 1011 − 1012 Hz. . Consequently.372 CHAPTER 18.5: Temperature dependence of sound absorption. kB T. Ultrasonic Absorption We have η = 1. The key results are the follows. The graph of this function is shown in Fig. At ω ∆ dε ε>∆ Ws = Wn ε2 − ∆2 ε2 − ∆2 − ∂nF ∂ε = 2 . Response to Microwave Field The quantitative analysis is more diﬃcult.5. in the optical frequency range the electromagnetic properties of SC and normal conductors are practically the same. 1 + e∆/kB T At T = 0 the absorption takes place only at ω > 2∆. At T = 0 the absorption takes place only at ω > 2∆ (see Fig. 18.
This equation is oversimpliﬁed. Electron Thermal Conductivity The main electronic contribution to thermal conductivity can be calculated from the Boltzmannlike equation for quasiparticles 4 ∂ε ∂n ∂ε ∂n − = I(n) ∂p ∂r ∂r ∂p where ε(p.σ 4 † Vkk αkσ αk σ (uk uk − vk vk ).σ Vkk a† ak σ kσ where the matrix element Vkk depends only on the angle θ = (k. KINETICS OF SUPERCONDUCTORS 373 Figure 18. Note that such a twoﬂuid hydrodynamics is not the case beyond the vicinity of Tc .6: Frequency dependence of microwave absorption at T = 0.k .k . .7. In this region j= − c iωσ + A. Hint = k.18. k ). but appropriate for the problem. r) is the quasiparticle energy. To estimate the scattering rate we assume impurity scattering. 2 4πδ c ˙ Remembering that E = −(1/c)A we see that the second item is just σE and j = js +jn . After Bogolyubov transform neglecting creationannihilation terms we get Hint = k.
∂p ∂ξ ∂p εk I(n) = n − nF ξk  . Figure 18. Then . x dx .7: Temperature dependence of thermal conductivity. 18. cosh2 (x/2) The graph of this function is shown in Fig. Thermoelectric Phenomena For many years it was thought that one cannot observe thermoelectric phenomena because the drag current of quasiparticles is compensated by the counter ﬂow of supercurrent. ∂ε ∂nF ∂ξ ξk = =v .25) ε2 dε cosh2 (ε/2kB T ) T. As a result. 2π 1 = τs = π Vkk 2 (1 − cos θ)(uk uk − vk vk )2 δ(εk − εk )(dk ) = ξk εk 2 g( F ) dξk dεk dΩ 1 ξk  V (θ)2 (1 − cos θ) = 4π τtr εk Now we can do everything: ε ∂nF ∂nF =− ∂r T ∂ε Finally. ε ∂nF τtr sign ξk v T. τtr εk (18.7.this factor vanishes. MICROSCOPIC THEORY For elastic scattering ξk = ±ξk . For the sign + we get ξk /εk for the coherence factor while for the sign .374 CHAPTER 18. T ∂ε It is easy to calculate the thermal current n(1) = Q= Thus κ= ne τtr ∂ε εp n(1) (dp) = − ∂p 2mkB T 2 ne τtr kB T 2m ∞ ∆/kB T ∞ ∆ T.
ξ − ξ = pps /m = 2pvs . 4 Consequently. Here we use a simpliﬁed approach. 1 ξ+ξ 1+ 2 2ε 1 ξ+ξ 1− 2 2ε . Assume that the condensate moves as a whole with the velocity vs . KINETICS OF SUPERCONDUCTORS 375 it was shown that there are ways to observe the supercurrent and in such a way to study the thermoelectric eﬀect. ξ = ξ(−p + ps ). Then we make the same procedure as earlier and get H− N = p ξ np↑ + vp 2 (1 − np↑ − n−p+ps ↓ ) + ∆2 . At small ps one can obtain εp+ps /2↑ = ε0 + pvs . ξ + ξ = 2ξ(p) + ps /4m. (we have chosen the subscripts in the second line to fulﬁll the anti commutation condition ap↑ . It is not so easy to calculate the thermoelectric current because of some important features of superﬂow.26) +ξ n−p+ps ↓ + vp 2 (1 − np↑ − n−p+ps ↓ ) Here ∆=λ Minimizing the energy. ε−p+ps /2↓ = ε0 − pvs .7. a−p+ps ↓ = −up vp + up vp = 0. The motion as a whole means that the supercondicting coupling should be the case for the momenta p and −p + ps .18. λ (18. . instead of the Bogolyubov transform we get † ap↑ = up αp↑ + vp α−p+ps ↓ . † ap↓ = u−p+ps αp↓ − v−p+ps α−p+ps ↑ . In this case we can denote ξ± ≡ ξ(p ± ps /2). As a result. after variation over npσ we obtain the quasiparticle energies εp↑ = ε + ξ−ξ . 2 ε−p+ps ↓ = ε − ξ−ξ 2 In a more symmetric way. it is reasonable to shift the momentum by ps /2. the Cooper pair momentum being ps =2mvs . ε= (ξ + ξ )2 + ∆2 . we get u2 = u2 p −p+ps = 2 2 vp = v−p+ps = p − up vp (1 − np↑ − n−p+ps ↓ ).
3. p p p Then we shift the variables as p → p + ps /2 and assume ps j=− 2e m ∆/pF to get 2 (p + ps /2) u2 s /2 np+ps /2.376 CHAPTER 18. Check Eq.8 Problems 18. 18. 18. Substituting the expression for n(1) from (18. Prove the Eqs. (18.9) and (18.1.σ ) . 18. We get j=− e m pa† apσ = − pσ pσ e m 2 2 p u2 np↑ + vp (1 − n−p+ps ↓ ) + u2 np↓ + vp (1 − n−p+ps ↑ ) . One should be careful to calculate the current. (18. MICROSCOPIC THEORY that means just the Doppler shift of the energy. p The two ﬁrst item can be grouped as −ens vs while the last one is the thermoelectric current of normal excitations. (18. We will come back to this problem later to explain how one can observe this current.2.20) .σ + vp+ps /2 (1 − n−p+ps /2. Prove Eq.25) we get j = − ηs T.10). p+p pσ Expanding in terms of pvs we get [nF (ε + pvs ) = nF (ε) + pvs (∂nF /∂ε)] j = −2evs p 2 u2 nF + vp (1 − nF ) − p 2e m p(pvs ) p ∂nF ∂ε − 2e m pn(1) .18). ηs = − e F κ.
2 Because we are interested in the vicinity of Tc we can expand the coeﬃcients in power of τ= T − Tc . According to the principles of SC. Tc According the deﬁnition of Tc . Ψ. α > 0. Near the critical temperature. 19. As a result. First. the modulus of the order parameter is small. it is natural to assume that the ground state corresponds to the total momentum equal to 0. As the order parameter it is natural to chose the wave function of the Bose condensate. above Tc the stable state corresponds to Ψ = 0. and one can expand the thermodynamic potential as b Ωs = Ωn + aΨ2 + Ψ4 + · · · .1 GinzburgLandau Equations Derivation Let us formulate the theory of SC transition as the one for a general type II transition.Chapter 19 GinzburgLandau Theory In this chapter we consider a very powerful macroscopic theory which is very useful for many problems in SC. 377 . we describe the equilibrium values of the order parameter as Ψ=0 at T > Tc α 2 2 Ψ = − b τ = Ψ0  at T < Tc . Thus the coeﬃcient a should change the sign at the transition point: a = ατ . the wave function being the same for all the Bose particles. while below Tc Ψ = 0. one should deﬁne the order parameter.
3 2b 7ζ(3) 7ζ(3) The most interesting case is the case of external magnetic ﬁeld. Using the Gauss theorem we get δΨ∗ −i + 2e 1 A Ψ dS + c 4m dV δΨ∗ −i + 2e A c 2 Ψ. surf ace Then we put δΨ∗ = 0 at the surface and arbitrary inside. because of gauge invariance. 2b 8π Consequently. Here Ωn is the thermodynamic potential of the normal state without magnetic ﬁeld. . In this case Ψ is coordinate dependent. we get 2 (ατ )2 Hc Ωs − Ω n = = . As a result.378 CHAPTER 19. only combination −i + 2e A c is possible. we get Ωs − (0) −i 2e + A Ψ . Consequently. To make a proper dimension we write the corresponding term as 1 4m Finally. To get the minimum we calculate variation with respect to Ψ∗ : dV ατ ΨδΨ∗ + bΨ2 ΨδΨ∗ + 1 4m −i + 2e A Ψ i c + 2e A δΨ∗ c The item with the i 4m δΨ∗ can be integrated by parts. GINZBURGLANDAU THEORY Inserting the equilibrium value if Ψ0 2 into the expansion and comparing the result with the known relation for the critical ﬁeld. we get the following equation for the order parameter 1 4m −i 2e + A c 2 Ψ + ατ Ψ + bΨ2 Ψ = 0. using the microscopic theory we have 4 (kB Tc )2 mpF 4π 2 α2 = = g( F ) (kB Tc )2 . Thus we should add both the energy of magnetic ﬁeld H 2 /8π and the energy connected with the inhomogeneity. c 2 Ω(0) n dV = dV b 1 ατ Ψ + Ψ4 + 2 4m 2 −i 2e H2 + A Ψ + c 8π 2 . Here we come to the most important point: Cooper pairs are charged particles. Near the critical point it is enough to add  Ψ2 .
The second integral can be transformed into the surface one. we obtain the boundary condition n −i + 2e A Ψsurf ace = 0. Hc 2 r = r . GINZBURGLANDAU EQUATIONS If now we put δΨ∗ at the surface to be arbitrary. The rest of the free energy can be calculated in a straightforward way. Ψ0 H = H √ . The variation of H 2 leads to δ(curl A)2 = 2 curl A curl δA. On the other hand. δ A = A √ Hc δ 2 ατ  . Then we can use the relation div [a × b] = b curl a − a curl b to get δ(curl A)2 = 2δA curl curl A+2div [δA × curl A] .19. from the Maxwell equations curl curl A =curl H = 4π j c → δ(curlA)2 = 2jδA. c ∗ j = (ie /2m) (Ψ Ψ − Ψ Ψ∗ ) − (2e2 /mc)Ψ2 A forms the GinzburgLandau equations. 2 Dimensionless Parameters and Their Meaning To make the equations simples new dimensionless parameters are usually introduced: Ψ = Ψ . thus it is not important. and equating the total variation to zero we obtain ie 2e2 2 ∗ ∗ j= (Ψ Ψ − Ψ Ψ ) − Ψ A 2m mc This is just the quantum mechanical expression for the current for a particle with the charge (−2e) and the mass 2m. To obtain it one should calculate the variation with respect to the vector potential A. c 379 The variation with respect to δΨ leads to the complex conjugate expressions. b with δ = 2mc2 . b Ψ2 = 0 . The set 2e (1/4m) −i + A Ψ + ατ Ψ + bΨ2 Ψ = 0. 4π(2e)2 Ψ2 0 √ ατ Hc = 2 π √ .1. Now it is important to get the equation for electric current.
b Then it is possible to express the constants α and b through the microscopic parameters. we chose Ψ real. (19. A y. 2 b 2 Comparing this expression with the microscopic formula for ns obtained in the previous chapter we get α = ne . namely penetration of a weak ﬁeld into the superconductor x > 0. Immediately we get from the second GL equation d2 A − A = 0 → H = H0 e−x . To understand the meaning of the parameters let us consider the simplest problem. 2b 7ζ(3) 7ζ(3) ne . boundary condition . α2 4π 2 8π 2 ne α = g( F ) (kB Tc )2 → α = g( F ) (kB Tc )2 . 2κ This set contains only one dimensionless parameter √ eHc δ 2 κ=2 2 c (19. in usual units H = H0 e−x/δ . 2 dx Thus δ is just the London penetration depth near Tc . i. GINZBURGLANDAU THEORY In the following we will omit primes and use these variables. dx It is natural to consider Ψ as a function only of x.e. curl curl A = i (Ψ∗ Ψ − Ψ Ψ∗ ) − Ψ2 A . As a result. Immediately we get Ψ0 2 = ns α ns →− τ = . Indeed. b= .1) − A Ψsurf ace = 0. in the bulk of material it is natural to assumeΨ2 = 1.380 CHAPTER 19. dx At k 1 one can assume Ψ =const. We get − 1 d2 Ψ − Ψ + A2 Ψ = 0.2) which is called the GinzburgLandau (GL) parameter. Let H z. the set of equations can be expressed as i κ n i κ 2 −A Ψ − Ψ + Ψ2 Ψ = 0 . H(x) = dAy . 2 dx2 κ dΨ surf = 0.
Thus κ∼ δ ζef f ∼ δL (0) (the exact theory leads to the coeﬃcient 0. If the electron moves diﬀusely ddue to impurity scattering. According to exact theory. ne kB Tc a2 = 1 π 7ζ(3) . ∼ δL (0) ζ . 7ζ(3) π 381 Thus we determined the meaning of all the parameters. 4kB Tc 2 c . To take this change into account we substitute the expression for the penetration depth for dirty SC into Eq. Note that in this case the coeﬃcient 2 1 3D ∼ ∼ .19. impurities change strongly the penetration depth δ.72 in this formula).96. The last thing is to discuss the physics of the order parameter. It is clear that Ψ ∝ ∆ (both are proportional to τ ). 2 2 2 4mκ 4mδL (0) 4pF δL (0) Thus one can express the GL equation for alloys in the form πD 8kB Tc 2ie + A c 2 Tc − T 7ζ(3) ∆2 ∆=0 ∆+ ∆− Tc 8π 2 (kB Tc )2 and the current is expressed in the form j= ieg( F )D 1 ∗ 2ie 2 (∆ ∆ − ∆ ∆∗ ) + ∆ A . ∆τtr tanh(∆/2kB T ) At the same time. (19. GINZBURGLANDAU EQUATIONS One can show using these expressions that κ = a1 δL (0) . at ζ0 δ(T ) = δL (0) .2). the coherence length can be expressed as the characteristic electron path during the time /∆ : ζef f ∼ D ∼ 2 vF τtr ∆ ∆ ∼ ζ where D is the electron diﬀusion coeﬃcient. As we have discussed. ζ0 a1 = 24 γ ≈ 0. let us take into account that the coherence length ζ can be expressed as the electron path during the time /∆ : ζ ∼ vF /∆. 8 Modiﬁcation for SC Alloys.1. Computing the coeﬃcients at τ → 0 we obtain 1 ∆(r) Ψ(r) = a2 √ .
There is another limitation of the range of GL theory: at very smallτ  where ﬂuctuations become important and the self consistent approach becomes invalid. correspondingly ΩnH = Ωn −H0 /8π. we will derive an auxiliary expression for the free energy which will be used below. The criterion reads as τ  min(κ2 .2 Applications of the GL Theory Surface Energy at NS Interface Consider the problem where all the quantities depend only upon one coordinate. 19. In fact. In fact. while A ⊥ x. 2 d A/dx2 − Ψ2 A = 0. the theory works not so bad even beyond the vicinity of Tc . As a result. 2 If one keeps the external ﬁeld H0 ﬁxed the corresponding thermodynamic potential can be (0) 2 obtained by subtracting H0 B/4π.382 CHAPTER 19. (dΨ/dx)surface = 0. one of the conditions is the vicinity of the transition. 1). . it is possible to combine these equations taking into account that δ(T ) ∼ δL (0)τ −1/2 . Then we integrate the item with Ψ∗ by parts. Using dimensionless notations we get Ωs − Ω(0) n 2 Hc dV = 4π dV Ψ4 −Ψ + + 2 2 i − A Ψ + H2 κ 2 . τ  1. As we have mentioned. say x. GINZBURGLANDAU THEORY Finally. As a result. Another condition is the local relation between the current and vector potential.3) 4π 2 Range of Applicability for the GL Theory. δ ζ0 . The set of equations has the form (we’ll see that Ψ is real) κ−2 (d2 Ψ/dx2 ) + Ψ(1 − A2 ) − Ψ3 = 0. (19. Ωs − Ω(0) dV = n 2 Hc 4π dV H 2 − Ψ4 . the surface integral being zero. In a normal phase. H2 Ψ4 (ΩsH − ΩnH ) dV = c dV (H − H0 )2 − . In the rest integral we take into account that Ψ obeys the GL equation. This limitation is not important for bulk materials but may be very important for layered and low dimensional SC.
H = H0 = 1/ 2. x → −∞ (normal conductor) : Ψ = 0. Consider a hollow cylinder placed into a longitudinal magnetic ﬁeld. 8π 8π 3κ 2 In dimensional units that means σns √ 2 4 2 Hc δ . H = A = 0.19. but this region is small. Now we can ﬁeld employ Eq. H = 0. If the order parameter has the form Ψ = Ψeiχ . The orderof magnitude estimate has been made earlier. 2 it is wrong in the region where the √ penetrates. dΨ/dx = 0.3) and put H0 = 1/ 2. The result is that σns at √ √ κ = 1/ 2 and at κ > 1/ 2 it is negative. the last one .2. To ﬁnd the surface energy we formulate the boundary conditions x → ∞ (superconductor) : Ψ = 1. √ dΨ/dx = 0. Assume that the cylinder is in the Meissner state. we get 1 κ2 The solution is dΨ dx 2 Ψ4 1 dΨ κ +Ψ − = → = √ (1 − Ψ2 ). 2 dx2 dx κ dx dx dx dx dx 1 κ2 dΨ dx 2 We obtain + Ψ2 (1 − A2 ) − Ψ4 + 2 dA dx 2 = const = 1 2 (the constant being determined from the boundary conditions. At κ 1 (ζ δ) the most important region where A and H are small. = 3 8π κ The opposite limiting case can be treated only numerically. Quantization of Magnetic Flux. APPLICATIONS OF THE GL THEORY 383 It is easy to ﬁnd the integral of this set. 2 2 dx 2 2 κx Ψ = tanh √ . We obtain √ 2 2 Hc Hc 4 2 2 κx σns = 1 − tanh √ dx = .by dA/dx and them add the equation and integrate over x : x dx 0 dΨ dΨ 3 d2 A dA dA 1 d2 Ψ dΨ + Ψ (1 − A2 ) − Ψ + 2 − Ψ2 A = 0. Thus. (19. Let us multiply the ﬁrst equation by dΨ/dx.
He assumed the quantum to be π c/e = 2Φ0 .2 are internal (external) radius of the SC pipe.1). SC walls Here R1.384 the current is j=− CHAPTER 19. In any case the quantized quantity is in fact ﬂuxoid χ dl which is equal to the total ﬂux through the hole and the surface layer. GINZBURGLANDAU THEORY e Ψ2 m χ+ 2e A . This kind of behavior has been demonstrated in a very interesting experiments by Little and Parks (1962). It is clear to understand that the internal magnetic ﬂux is equal to Φ = nΦ0 at n− 1 2 Φ0 < Φext < n+ 1 2 Φ0 (see Fig. c We can divide the current density by Ψ and integrate over a closed circuit in the bulk of superconductor: j χ dl + 2e A dl . If the ﬁlm radius is δ one . Φ0 = π c/e = 2. the SC is cooled in a ﬁxed magnetic ﬁeld and the ﬂux is frozen inside the hole. Experimentally. To determine the trapped ﬂux one should minimize the free energy diﬀerence (ΩsH − ΩnH ) dV = 2 (Hint − H0 )2 πR1 + hole R2 R1 − 2πk ﬂux 2 Hc 4π (H − H0 )2 − Ψ 2 4 2πρ dρ . The second term is not important for a macroscopic pipe (R2 − R1 ∆) and one should ﬁnd Hint to minimize the previous expression under the quantization condition. Let us make the hollow cylinder from a very thin ﬁlm with the thickness δ. the ﬂux quantization through the hole is not exact. London (1950) before the concept of Cooper pairs. 19. It is interesting that the eﬀect has been predicted by F. Such s ﬁlm does not screen the magnetic ﬁeld.07 · 10−7 G · cm2 . As a result. dl = − e m c Ψ2 0 Thus Φ = kΦ0 .
Now we can substitute this expression into (19. . as well as the quantities χ and A are constant along the ﬁlm. So we can replace the gaugeinvariant diﬀerence χ + 2e A by its average value c χ+ 2e 1 A= c 2πR χ+ 2e A c dl = 1 R n− Φ Φ0 .4) to get 2 b Ωs − Ω(0) = ατ Ψ2 + Ψ4 + n 2 4mR2 n− Φ Φ0 2 Ψ2 + H2 . 8π the number n is within the interval n− 1 2 Φ0 < Φext < n+ 1 2 Φ. Expressing the order parameter as Ψeiχ we have Ωs − Ω(0) n dV = Ω(0) n dV 2 b 1 ατ Ψ + Ψ4 + 2 4m 2 −i 2 2e H2 + A Ψ + c 8π H2 + .4) Ωs − 2 b 4 = ατ Ψ + Ψ + 2 4m 2e χ+ A c In our case Ψ =const. We see that the magnetic ﬁeld leads to the renormalization of the critical temperature 2 τ →τ =τ+ or 4mR2 α Φ n− Φ0 2 2 2 δTc =− Tc 4mR2 α Φ n− Φ0 . We can come to cylindric coordinates and assume that the only component of A as Aϕ . can consider the vector potential to be constant in the ﬁlm.2.1: Quantization of magnetic ﬂux through a SC cylinder.19. APPLICATIONS OF THE GL THEORY 385 Figure 19. 8π 2 → (19.
and χ= 2mηs 2e T − A.386 CHAPTER 19. 19.2. Figure 19. ens c .3: On the thermoelectric eﬀect. the branches a and b being fabricated from diﬀerent materials.3. jT = −ηs T.2: On the experiments by Little and Parks. Now consider a cylindric system shown in Fig. For this reason we write the supercurrent as j = jT + js . Thermoelectric Phenomena Now we can discuss how to observe the thermoelectric eﬀects we’ve considered earlier. The graph of the experimental dependence is shown in Fig. js = − ens 2m χ+ 2e A c (we have substituted Ψ2 = ns /2. 19. In the bulk of materials j =0. Note that to observe the change of magnetic ﬂux in a SC cylinder with thick walls one should wait several years because the life time of the metastable state with ”wrong2” numbers of quanta is very long. GINZBURGLANDAU THEORY Figure 19. The key feature of the experiment discussed is the thin walls of the cylinder.
For all the cases one should use the boundary condition Figure 19. Φ0 Φ m = −n + Φ0 π e − a ηs ns dT.19.4 where the order parameter is shown). 19. b We see that there is nonquantized contribution to the magnetic ﬂux.2. ηs ns ηs ns Φ . The GL equation has the form d2 Ψ 2 − 2 + κ2 H0 (x − x0 )2 Ψ = κ2 Ψ dx . To start let us discuss stability of the SC region in the normal phase. This contribution is small but observable. Surface Superconductivity Now we discuss the surface superconductivity. We chose A = H(x − x0 ) where x0 is the parameter. dΨ dx = 0.4: On the surface supercondutivity. We have diﬀerent possibilities (see Fig. surf ace Assume that the ﬁeld is parallel to the surface. APPLICATIONS OF THE GL THEORY Integrating over the closed loop we get 2πn = 2m e 2m e T2 T1 387 ηs 2e T dl− ns c ηs ns − a T2 T1 ηs A dl = ns dT − 2π b = As a result.
The integral of the GL equation at A = 0 is ζ 2 2 dΨ dx + Ψ2 − Ψ4 1 = .3 ζ0 . (x − x0 )2 + C2 x F . The most important feature that one should modify the boundary condition for the order parameter. and x0 = x0 κH0 .6ζ0 . We know the solution Ψ = tanh x − x0 √ ζ 2 . Then one can minimize β with respect to x0 . . dirty SC. The result is Hc3 = 1. . There is an exact solution of this equation that can be expressed in terms of hyper geometric function. 2 2 The length ζ is just the coherence length .69κ = 1. H0 √ This equation has 2 parameters: β = κ/H0 .695Hc2 . Let us consider the plain surface x = 0. γ. and we have κ −Ψ + (x − x0 )2 Ψ = Ψ. the quantity βmin corresponds to H0 max .3 NS Boundary Proximity Eﬀect In this section we brieﬂy discuss important physics for the NS boundary.388 CHAPTER 19. We can ﬁnd the ratio C1 /C2 and β from the boundary conditions at the surface and at inﬁnity (they can be expressed as the function of x0 . To make the discussion as simple as possible we discuss the case of the temperature close to Tc . surf ace (19.5) To calculate µ one needs the microscopic theory but it is clear that µ ∼ ζ. It has the form Ψ = e−x 2 /2 C1 F 3−β 3 1−β 1 . pureSC √ µ= 0. 19. so we can use the GL theory. It has the form n + 2ie A Ψ c surf ace = 1 Ψ µ . z) obeys the equation zF + (γ − z)F − αF = 0. . GINZBURGLANDAU THEORY √ It is convenient to transform the equation to dimensionless variable x = x κH0 . (x − x0 )2 4 2 4 2 where F (α. The exact result is 0.
normal conductor ”spoils the superconductivity near the surface. 19. In this case the order parameter penetrates into the normal phase up to the thickness ∼ ζ ≈ vF /∆. To discuss the physical picture in more detail let us assume that metal s are the same (say.3. if the excitation energy of the electron above the Fermi level is less than ∆ it should be reﬂected from the boundary. the quasiparticle Figure 19.19. At the same time. As a result. we discuss the NS boundary in the intermediate state). The energy spectrum ε = ξ 2 + ∆2 is shown in Fig. . NS BOUNDARY the parameter x0 is to be determined from the boundary condition (19. Consequently. its energy being conserved. At the same time. At the same time. ζ 2 389 That means that the order parameter is nonzero also in the thin layer of former normal phase. and consequently its energy is greater by ∆. from the normal metal (left panel) is reﬂected. As we have discussed.5. Now let one electron come to the SC. Thus Ψ = tanh x √ +1 . The derivative dp/dt ∼ −dU/dx ∼ ∆/ζ. At the interface the chemical potentials in both phases should be equal. in the SC the electrons exist as Cooper pairs. It has no partner. Andreev Reﬂection Let us discuss the NS boundary in more detail.5) √ x0 2 µ sinh = −2 . the momentum change can be estimated as follows: δp ∼ (dp/dt)δt where δt is the time to be inside SC: δt ∼ ζ/vF . ζ ζ √ √ Near Tc ζ ∝ 1/ Tc − T and x0 ≈ −µ 2.5: Quasiparticle spectrum near the surface. the chemical potential of the pair of electrons should be the same as the chemical potential of a Cooper pair.
p1 ≈ p2 . GINZBURGLANDAU THEORY δp ∼ (∆/ζ)(ζ/vF ) ∼ pF (∆/ F ) pF . Andreev reﬂection is very important for many eﬀects in superconductors. This is the mechanism for charge transfer from normal conductor to SC. Such a process is called the Andreev reﬂection (Andreev. At the same time. What happens with the charge? In fact. ε1 = ε2 . The only way to meet these conditions is to make interbranch transition (from particlelike to antiparticlelike branch and vice versa). 1964). the group velocity will have an opposite direction. Actually the process is particle → anti − particle. . We see that both energy and momentum are almost the same. v1 = −v2 . such a reﬂection is assisted with the creation of a Cooper pair in the SC region which carries the charge.390 Thus CHAPTER 19.
20. 391 .1) Figure 20. all the voltage is dropped across the barrier (the resistance being maximal). 20. The tunnel transparency. and we get the Ohm’s law (Fig. curve 1).1: Quantum tunneling. so the diﬀerence of the electrochemical potentials is −eV (Fig.2).3. In the equilibrium their chemical potentials are equal. We see that the number of the electron which can penetrate the barrier is proportional to eV . At a ﬁxed bias.Chapter 20 Tunnel Junction.1). is given by the formula W ∼ exp (see Fig. up to the main approximation.1 OneParticle Tunnel Current Tunneling is the famous problem of quantum mechanics. 20. 20. Josephson Eﬀect. It is important that a quantum particle can penetrate the barrier with the energy less than the barrier height. Impx dx = exp − √ 2 2m x2 U (x) − E dx x1 (20. We start with the case of two normal metals.
and we see that the cost is ∆. This is the socalled quasiparticle scheme.2: Tunnel junction at a given bias. the energy per electron being ∆. To calculate the current one needs the densities of states: gn = g( F ) for the normal metal and ε gs (ε) = gn √ . Let us suppose that 1 electron made the N→S transition through the junction. oneelectron (2). and twoelectron (3) tunneling.4.392 CHAPTER 20. 20.We see that the probability decreases drastically. In a SC the electrons form Cooper pairs. In a SC its energy is greater by ∆ than the energy of an electron inside the Cooper pair. In a normal conductor. Figure 20.3: I − V curves for normal conductors (1). an extra energy should be given to the electron. Thus. there is a threshold at eV = ∆. To understand the situation let us look at Fig. JOSEPHSON EFFECT. (20. TUNNEL JUNCTION. 2 − ∆2 ε . Consequently. Now let us discuss the NS case at T = 0. their chemical potentials are just the same as the energy level of the Bose condensate.1). Energy cost for the reverse transition is just the same because one should destroy the Cooper pair. we have two free quasiparticles at the Fermi level. Why the electron pairs cannot tunnel as a whole? The total charge transferred is −2e √ that doubles U (x) in Eq. Figure 20. ε > ∆. while the mass is 2m that leads to the extra 2.
Thus j = jn (eV )2 − ∆2 eV . ONEPARTICLE TUNNEL CURRENT 393 Figure 20.4: Energy diagram for NS tunneling (S – left side. One can easily obtain the coeﬃcient taking into account that at eV be the same as for NN system. ∆2 j ∝ W g1n g2n 0 dε ε − eV  (ε − eV )2 − ∆2 = W g1n g2n (eV )2 − ∆2 .4 we should assume both signs of ε. 0. This is real density of states.1. N – right side of each panel). To use the scheme depicted in Fig. n(ε) = Θ(ε) and we get eV −∆ 2 ≈ W g1n g2n [n1 (ε − eV ) − n2 (ε)] . ∆ the result should .20. The current is given by the golden rule formula j ∝ dε W g1 (ε − eV )g2 (ε) × × {n1 (ε − eV ) [1 − n2 (ε)] − n2 (ε) [1 − n1 (ε − eV )]} = = dε W g1 (ε − eV )g2 (ε) [n1 (ε − eV ) − n2 (ε)] ≈ dε ε − eV  (ε − eV ) − At zero temperature. ε < ∆ Here positive ε corresponds to N→S tunnel transitions while ε < 0 corresponds to destruction of Cooper pairs assisted by S→N transitions. So we deﬁne √ gn ε/ ε2 − ∆2 . ε > ∆ gs (ε) = . 20.
At low temperatures the singularity takes place at eV = ∆1 + ∆2 .3. . − ∆2 We see that threshold value is eV = 2∆. We have eV −∆ 2 j ∝ W g1n ∆ dε eV − ε (ε − eV )2 − ∆2 √ ε2 ε . To see what happens at ﬁnite temperatures let us look at Fig. the result being 2 (eV )2 − (2∆)2 j −2 ∆ =E K jn eV eV where E. TUNNEL JUNCTION. the threshold singularity is smeared. Now let us discuss the SS junction. Left – Energy diagram.5: SS tunnelling. (1 − k 2 sin2 ϕ)1/2 dϕ . right – I − V curve. 20.394 CHAPTER 20. 0 E(k) = At eV = 2∆ j/jn = π/4 (see Fig. At the increase of voltage the left side of the picture moves Figure 20. JOSEPHSON EFFECT. K are the elliptic integrals π/2 (eV )2 − (2∆)2 eV K(k) = 0 π/2 (1 − k 2 sin2 ϕ)−1/2 dϕ . It is interesting to consider the case of 2 diﬀerent superconductors with Tc2 > Tc1 ≥ T. 20. At ﬁnal temperatures. nevertheless even a ﬁnite temperatures it is convenient to measure the dependence ∆(T ) from the derivative ∂j/∂V. curve 3).5 (left panel) where the density of states are plotted.
when eV ≥ (∆2 − ∆1 ). a ﬁnite supercurrent can ﬂow through SIS system almost like through a bulk SC (Josephson. We get 2e χ2 − χ1 + c Thus. E = 2C 2e dy dz ∆1 ∆2  cos χ2 − χ1 + c 2 2 2 Ax dx. The situation changes at eV = (∆2 + ∆1 ) where the upper limit of the left lower band coincides with the lower limit of the right upper band. 20. Comparing this equation with the general formula of electrodynamics δE = − 1 c jδA dV . Here C is a constant.20. The I − V curve is shown in Fig. the current decreases. 1 Ax dx . Let us calculate the Josephson current in a very simple way. let us ﬁnd the contribution of the coupling to the energy up to the lowest order. Tunneling experiments appear extremely informative to study properties of SC. Then. c Now we can chose A x and integrate the relation along x between the points 1 and 2 which are placed inside the left (and right) SC parts. all the physical quantities depend on χ+ 2e A. 1 After variation with respect to Ax is δE = − 4e C c ∆1 ∆2  sin χ2 − χ1 + 2e c Ax dx 1 δAx dV. the number of free states decreases with the voltage increase. the complete theory should take into account coherent transfer of the electron wave function. 1962). (y.5 (right panel). According to the gauge invariance. Why the phase diﬀerence is dependent on (χ2 − χ1 )? Let us consider the magnetic ﬁeld H (yz). Namely. we have considered incoherent processes. 20. the order parameters overlap. As a result.2 Josephson Eﬀect Up to now. z) is the plane of the contact. The simplest expression E=C dy dz (∆1 ∆∗ + ∆∗ ∆2 ) = 2C 2 1 dy dz ∆1 ∆2  cos(χ2 − χ1 ).2. As a result. and there is a possibility to form a united condensate. Consequently. JOSEPHSON EFFECT 395 up and the current increases because of the increase of the thermally excited states which can tunnel into the free states in the right side. Actually.
Consider the GL equation − 1 κ2 2 Ψ − Ψ + Ψ2 Ψ = 0 and suppose that the length L of the bridge is much less than ζ (in our units L/δ κ−1 ). Josephson eﬀect and related topics are called the weak superconductivity. bridge or point contact) To explain the reason we discuss here a very simple derivation based on the GL theory. 1 In particular. tunneljunction) S − N − S (SC − normalconductor − SC. Problem 20. At the same time.396 we obtain j= 4e CHAPTER 20. In fact. Consequently. proximitybridge) S − C − S (SC − constriction − SC. In this case. π∆(0) 2eR Experimentally.1). Josephson Eﬀect in a Weak Link It is important that the analogs of the Josephson eﬀect can take place not only in SIS systems but in any king of inhomogeneous structures with the part where superconductivity is suppressed. in the absence of magnetic ﬁeld. the current is tuned by the ballast resistor and the transition from zero voltage to the ﬁnite one is observed. Baratoﬀ. jc ∼ 103 − 104 A/cm2 that is 56 orders less than the critical current in a bulk sample. JOSEPHSON EFFECT.g. TUNNEL JUNCTION. Among such systems are S − I − S (SC − insulator − SC. this transition is assisted by many interesting nonlinear phenomena (see e. inside the bridge the ﬁrst item is the most important. 2e C∆1 ∆2  sin χ2 − χ1 + c 2 Ax dx 1 2e = jc sin χ2 − χ1 + c 2 Ax dx . the normal conductance R−1 is also proportional to the tunneling probability. and we have in the lowest approximation 2 Ψ = 0. Actually. It is clear that the critical current is proportional to the tunneling probability. . Thus the phase diﬀerence is connected with the supercurrent. 1963) is jc = while at ﬁnite temperature jc = π∆(T ) tanh 2eR ∆(T ) kB T . The microscopic formula for two identical SC at T = 0 (Ambegaokar. j = jc sin (χ2 − χ1 ) .
const = eiχ2 . JOSEPHSON EFFECT IN A MAGNETIC FIELD In the bulk of the ”banks” Ψ →const. The Narrow Junction Suppose that there is an external magnetic ﬁeld H ﬁeld can be described by the vector potential Ax = Hy (x)z We also neglect the ﬁeld created by the current. Let us assume that const = eiχ1 . (20. The result is j= 2 2 Ψ f (r) sin(χ2 − χ1 ) m 0 . c The experimentally measurable quantity is the average current.20. c ﬂux through the contact .3 Josephson Eﬀect in a Magnetic Field y (the junction plane is yz one).3. critical current 20. where d = 2δ(T ) + d ≈ 2δ(T ). ¯= j 1 L L 0 j(z) dz = jc c 2e HLd cos χ1 − χ2 − 2 eH − cos (χ1 − χ2 ) . in the left side . As a result. In this case 2 Ax dx = Hy0 zd. we have j = jc sin χ1 − χ2 − 2 eH .2) f (r) = 0 and tends to 1 in the bank 1 and to 0 in the bank 2. Rather we substitute Eq. in the right side Thus we can search the solution of the GL equation as Ψ = f (r)eiχ1 + [1 − f (r)] eiχ2 where f (r)obeys the equation 2 397 (20.2) into the expression for the supercurrent and transform it to dimensional units. 1 d is the thickness of the insulating region (we have taken into account that the ﬁeld decays as exp(−x/δ) in SC regions). We will not discuss the exact form of the solution which depends on the concrete system.
πΦ/Φ0 The graph of this function is shown in Fig. To take this dependence into account we denote 2e χ2 − χ1 + c and write θ(z + dz) − θ(z) = Thus 2 Ax dx ≡ θ(z) 1 2e 2π d Hy (z) dz = d Hy (z) dz. JOSEPHSON EFFECT. Denoting θ0 = χ1 − χ2 we get ¯ = jc Φ sin π Φ j π Φ0 Φ0 Φ sin θ0 + π Φ0 jc max −maximal critical current As a result. TUNNEL JUNCTION.398 CHAPTER 20. In a wide junction the ﬁeld becomes zdependent due to the ﬁeld produced by the transport current. from the Maxwell equation Hy (z) = j= c dHy 4π dz . 2πd dz On the other hand. Wide Junction One can neglect the ﬁeld produced by the own current only if the width of the junction is small. Figure 20.6: Josephson eﬀect in a magnetic ﬁeld. the maximal critical current is jc max = jc sin (πΦ/Φ0 ) . c Φ0 Φ0 dθ .6. 20.
. Here δJ = cΦ0 8π 2 djc 399 (20. For jc ∼ 102 A/cm2 δJ ∼ 10−2 cm if δL . and the solution is θ = θ0 e−z/δJ → H = H0 e−z/δJ . In this case we can replace sin θ → θ. To understand the situation let us consider the case of weak magnetic ﬁeld with no transport current.3. JOSEPHSON EFFECT IN A MAGNETIC FIELD while according to the Josephson relation j = jc sin θ. dz 2 δJ This is the FerrellPrange equation. we come to the equation c dHy cΦ0 d2 θ jc sin θ = = 2 → 4π dz 8π d dz 2 d2 θ 1 = 2 sin θ.strong magnetic ﬁeld. 20. left panel.20. Figure 20. right panel . The current distribution is shown in Fig. Thus the junction can be considered as narrow L δJ .weak magnetic ﬁeld.7: Josephson eﬀect in a wide junction. Left panel . In wide junctions we come to a very interesting picture – the junction behaves as 2D superconductor with the speciﬁc Meissner eﬀect.7. . As a result.3) is the socalled Josephson penetration depth.
7.400 CHAPTER 20.3) multiply it by dθ/dz and integrate over z. In general. cos θ1 To study the structure of the magnetic ﬁeld we discuss the solution of the soliton type with the boundary condition dθ → 0 at z → ±∞. Consider a system show in Fig. . dz To ﬁnd the constants C note that −1 θ dθ d dθ1 −2 = C − 2δJ cos θ = dz dθ π −2 C − 2δ cos θ J 1 We can get the solution assuming that θ → 0 at z → −∞ and θ → 2π at z→ ∞ We get −2 C = 2δJ and z − z0 . ﬁeld and current are shown in Fig. Superconductor Interferometers Let us discuss the principle of a very important application of quantum interference in superconductors. there is no upper critical ﬁeld Hc2 . The total current through the .9. As a result. At high ﬁeld vortexes overlap and the ﬁeld is almost uniform. 20. while the graphs of the phase. 2 δJ z − z0 = π dθ1 C− −2 2δJ . right panel. Consequently. π dδJ The important diﬀerence that the Josephson vortexes have no normal core.8. 2πd Thus we come to the picture similar to the type II SC. (20. TUNNEL JUNCTION. 20. The magnetic ﬂux in each one is ∞ Φ=d −∞ H dz = Φ0 d [θ(∞) − θ(0)] = Φ0 . In a strong enough ﬁeld we return to Eq. θ(z) = 4 arctan exp δL The distribution of current is shown in Fig 20. we get the integral dθ dz The solution can be written as θ 2 =− 2 cos θ + C. there is a chain of vortexes. One can show that the analog of the ﬁeld Hc1 is 2Φ0 Hc1 = 2 . JOSEPHSON EFFECT.
. Φ0 Φ Φ0 2e Φ Φ = 2πn → θ1 − θ2 + 2π = 2πn. In fact. ef Ic f = 2Ic cos π Φ Φ0 . We have described only one possible scheme of a SQUID (Superconductor Quantum Interference Device). we can denote θ1 = θ − π Φ + 2πn. the phase of the order parameter in the bulk of material is 2e χ= A (current is absent. JOSEPHSON EFFECT IN A MAGNETIC FIELD 401 Figure 20. If magnetic ﬁeld is directed perpendicular to the loop’s plane. j =0). and external circuit is I = Ic1 sin θ1 + Ic2 sin θ2 . We see that the critical current of the interferometer oscillates with the external magnetic ﬁeld. Distributions of phase.8: ﬁeld.3. current.20. Josephson eﬀect in a wide junction. c Φ0 If the ﬁeld is weak enough in order not to aﬀect upon the currents Ic1 . The result has the simplest form at Ic1 = Ic2 = Ic : ef I = Ic f sin θ. Φ0 Φ Φ0 θ2 = θ + π Φ . SQUIDs are very important for applications and there are diﬀerent schemes to use them. c Integrating along the dashed line we get for the total phase variation: θ1 − θ2 + Consequently. Ic2 we have I = Ic1 sin θ − π + Ic2 sin θ + π .
Rather a series circuit is constructed with a battery and a load tunable resistor. It is important that at ﬁnite temperature in the presence of voltage the oneparticle tunneling is present. Thus j = jc sin θ + ( /2eR) ∂θ/∂t. JOSEPHSON EFFECT. 20. the voltage is never kept constant. Figure 20. the electric potential enters all the equations in a combination ∂χ 2eϕ + . if the voltage V at the junction kept constant 2e j = jc sin [θ0 + ωJ t] . According to the Josephson formula. λ = .1). In this case an interesting and complicated picture can be observed (see Problem 20. dθ 2e 2e Jc R = V = (U − Jc R sin θ) = ωJ (1 − λ sin θ). TUNNEL JUNCTION.9: Superconductor interferometer. Thus. ωj = V (for V = 10−4 V ωJ ∼ 1011 s−1 ). dt U . ∂t It means that the phase acquires the additional factor 2e or t ϕ(t ) dt 2e ∂θ = V. the normal current being V /R = ( /2eR) ∂θ/∂t.4 NonStationary Josephson Eﬀect According to the gauge invariance. Usually.402 CHAPTER 20. ∂t This is the socalled notstationary Josephson eﬀect.
ω= 2 2 j 2 + jc cos ωt + jc j 2 − jc sin ωt 2 j 2 − jc . the current being U/R while the voltage at the junction is zero. We obtain θ(t) = 2e v sin Ωt .c. √ 1 − λ2 tan 1√ 1 − λ2 ωJ (t − t0 ) 2 2c m . Having in mind that V = ( /2e)(∂θ ∂t) we obtain V (t) = R 2 2eR j(j 2 − jc ) . Suppose that one modulates the voltage as V (t) = V0 + v cos Ωt. Ω V0 t + θ0 + j 2e 2eV 2e 2eV = sin θ(t) = sin (V0 t + θ0 ) cos sin Ωt + cos (V0 t + θ0 ) sin sin Ωt . At λ > 1 (or J > Jc ) one can calculate the integral exactly: assuming m = tan(θ/2) we get m=λ+ The current being I= √ We see that the current oscillates with the period 2π/ω = 2π/ωJ 1 − λ2 .20. . 2e This property is employed in metrology. jc Ω Ω Then. Another important property is the reaction of the Josephson junction to the external a. ﬁeld. 1 + m2 One can show that the time average is equal to V (t) = 1 2π 2π d(ωt) V (t) = 0 ω .4. Thus at t → ∞ θ → θ0 . NONSTATIONARY JOSEPHSON EFFECT As a result ωj (t − t0 ) = dθ 1 − λ sin θ 403 At λ > 1 there is a pole in the integrand at θ0 = arcsin(1/λ). ∞ sin(a sin Ωt) = −∞ J2k+1 (a)e i(2k+1)Ωt =2 1 J2k−1 (a) sin (2k − 1) Ωt . one should remember that ∞ ∞ cos(a sin Ωt) = −∞ ∞ J2k (a)e i2kΩt =2 0 J2k (a) cos 2kΩt .
As a result. Diﬀerent curves are measured for diﬀerent amplitudes of microwave and shifted along the xaxis. To describe the situation one should solve the corresponding problem which is more diﬃcult mathematically but is not too diﬃcult qualitatively.10). Fig. . TUNNEL JUNCTION. the steps at the currentvoltage curves appear (Shapira steps. Consequently we can plug in these series into the previous equation denoting a ≡ 2eV / Ω. 20. the amplitude being jn = (−1)n Jn (2ev/ Ω) sin θ0 . Registration of the steps is one way to construct Josephson detectors for microwave ﬁelds. Such a formulation does not coincide with the experiment where usually the current is kept constant. 2eV0 2eV = nΩ a timeindependent item appears. Now. Figure 20. JOSEPHSON EFFECT. we can recall that 2 sin 2e (V0 t + θ0 ) cos 2kΩt = sin + sin 2 cos 2e (V0 t + θ0 ) sin (2k − 1) Ωt = sin − sin We see that at 2eV0 + 2kΩ t + θ0 − 2kΩ t + θ0 .10: Shapira steps.404 CHAPTER 20. 2eV0 2eV0 + (2k − 1) Ω t + θ0 − (2k − 1) Ω t + θ0 . Thus we get resonant additional contributions to the current.
7) At jc → 0. and the current has a contribution ∂V C ∂2θ ∂Q =C = . the wave vector being k = 2eHd/ c. (20.s. γ → 0 one obtains eigen modes with velocity c0 c.20.7): θ = θ0 + ωt + kz + θ1 . j = jc sin [θ0 + (2eV / )t + (2eHd/ c)z] . and the phase velocity being v0 = ω/k = cV /Hd . of Eq. 2eR ∂t 2e ∂t2 If we substitute this expression to the Maxwell equation j = jc sin θ + j= c dH .5) Swihart waves Do not forget that the junction has a ﬁnite capacitance. (20. These waves are called the Swihart waves.5 Wave in Josephson Junctions Josephson waves Suppose that we place a Josephson junction in a magnetic ﬁeld and keep a given potential diﬀerence. In this case.6) we obtain nonlinear wave equation ∂2θ 1 ∂2θ γ ∂θ 1 − 2 2 − 2 = 2 sin θ . (20.h. ∂t ∂t 2e ∂t2 ∂θ C ∂ 2 θ + . 4πC (20.5. In the presence of Josephson current they interact with the Josephson waves. To study such a coupling let us assume that jc → 0 and iterate the r. 2 ∂z c0 ∂t c0 ∂t δJ Here c0 = γ = ec 4π 2 dC 1 RC Φ0 =c d . . WAVE IN JOSEPHSON JUNCTIONS 405 20. κd d = κ .4) This is just the wave propagating along z axis. 4π dz H(z) = Φ0 dθ 2πd dz Thus (20. θ1 omegat + kz .
1 ¯ J ≡ lim T. one obtains a clear peak (resonance) at v0 = c0 . 2 δJ ω 2 − k 2 c2 − iωγ) 0 T L (20. t) . t) = cos(θ0 + ωt + kz) sin(θ1 (z. ∂ 2 θ1 1 ∂ 2 θ1 γ ∂θ1 1 − 2 2 − 2 = 2 sin(θ0 + kz + ωt) . TUNNEL JUNCTION. 2 ∂z c0 ∂t c0 ∂t δJ From this equation. → V = c0 Hd . c dt 0 0 dz j(z. JOSEPHSON EFFECT. Usually the current rather than the voltage is kept constant.8) Now we can calculate the average current.L→∞ T Expanding the expression as sin θ(z. t) + vanishing items we get ωc2 γ 1 ¯ . θ1 = c2 exp[i(θ0 + kz + ωt)] 0 Im . Then one observes the steps at the V − I curve. J = jc 02 2 − c2 k 2 )2 + ω 2 γ 2 2δj (ω 0 As a result.406 In this case we have CHAPTER 20. Note that the criterion of applicability is ¯ j jc → c2 0 2 δJ ωγ . j j (H) c V o 2 ∆ /e V .
6. . load resistor.1.20.6 Problems 20. PROBLEMS 407 20. Consider the current in a series circuit containing a Josephson junction. and a battery.
408 CHAPTER 20. JOSEPHSON EFFECT. . TUNNEL JUNCTION.
The theory is used to identify features in the conductance which can serve as “signatures” of phasecoherent Andreev reﬂection. The applications of the theory include a quantum point contact (conductance quantization in multiples of 4e2 /h).1: Normal reﬂection by an insulator (I) versus Andreev reﬂection by a superconductor (S) of an electron excitation in a normal metal (N) near the Fermi level. A scattering theory is described which leads to a conductance formula analogous to Landauer’s formula in normalstate conduction. 409 . Figure 21. and quantum interference eﬀects in a disordered normalsuperconductor junction (enhanced weaklocalization and reﬂectionless tunneling through a potential barrier). a quantum dot (nonLorentzian conductance resonance).e. Here is a review of the present status of this rapidly developing ﬁeld. Andreev reﬂection (right) conserves momentum but does not conserve charge: The electron (e) is reﬂected as a hole (h) with the same momentum and opposite velocity. Normal reﬂection (left) conserves charge but does not conserve momentum. The missing charge of 2e is absorbed as a Cooper pair by the superconducting condensate. i.1 Introduction Recent experiments on conduction between a semiconductor and a superconductor have revealed a variety of new mesoscopic phenomena. for which the phase coherence of the electrons and the Andreevreﬂected holes is essential.Chapter 21 Mesoscopic Superconductivity 21.
ξn . 2m Electrons are subjected to a scalar potential U (r). dr Ψ+ (rβ)Ψ+ (rα)Ψ(rβ)Ψ(rα) . then these states are not independent any more. (21.5) Since we are interested in the thermodynamic potential. There are two solutions corresponding to a given excitation energy. we replace H0 → He = H0 + V (r) − F . MESOSCOPIC SUPERCONDUCTIVITY 21. Ψ+ (rα)Ψ(r β) + Ψ(r β)Ψ+ (rα) = δαβ δ(r − r ) .410 CHAPTER 21. Ψ (rα)Ψ+ (r β) + Ψ+ (r β)Ψ+ (rα) = 0 .2) ¯ n n n Here α is the spin index. + (21. Let us construct the socalled ﬁeld operators as Ψ(rα) = wn an . The way suggested by Bogoliubov is the following. then the singleelectron Hamiltonian is (21. To ﬁnd the ground state one has to minimize the proper thermodynamic potential which includes the interaction. α g ˆ Hint = − 2 (21.3) The operator for the particle number is then ˆ N= α dr Ψ+ (rα)Ψ(rα) . The ﬁeld operators meet the commutation rules.2 Bogoliubovde Gennes equation [ˆ + (e/c)A]2 p ˆ H0 = + V (r) . measured relatively to the Fermi energy – wn = wn (r) ↑ ∗ and wn = wn (r) ↓ .1) where A() is the vectorpotential. Ψ+ (rα) = wn a+ .4) while the Hamiltonian can be expressed as ˆ ˆ ˆ H = H0 + Hint where ˆ H = α dr Ψ+ (rα)H0 Ψ(rα) . ˆ One can deﬁne eigenfunctions. wn (r)σ . of the operator H0 . where wn (r) describes orbital motion while σ is the spin state. Ψ(rα)Ψ(r β) + Ψ(r β)Ψ(rα) = 0 . (21. ¯ If electronelectron interaction is present.
7) to express Ψfunctions in terms of u. (21. ∗ ˆ [Ψ(r ↓).6). and we need to derive the equation for it. BOGOLIUBOVDE GENNES EQUATION 411 and the interaction gΨ+ Ψ+ ΨΨ by the interaction with the mean ﬁeld ∆(r). nα the following commutation rules must be met. γnα ] = + n γnα . (21. (21. In this way we arrive at the Bogoliubovde Gennes equations He u(r) + ∆(r)v(r) = ∗ ∆∗ u(r) − He v(r) = There is a convenient matrix form of these equations. and then use commutation relations (21. it must take the form + ˆ Heﬀ = Eg + n γnα γnα .7) the eﬀective Hamiltonian must be diagonal.6) + ∆(r)Ψ (r ↑)Ψ+ (r ↓) + ∆∗ (r)Ψ(r ↓)Ψ(r ↑) . Since it is quadratic in Ψoperators we can use a unitary transform to diagonalize it.10) Then we can use Eq. Then we arrive at the eﬀective Hamiltonian. Ψ(r ↑) = n + ∗ [γn↑ un (r) − γn↓ vn (r)] . (21. using Eq. + ∗ [γn↓ un (r) + γn↑ vn (r)] . γnα γmβ + γmβ γnα = 0 . ˆ [Heﬀ .12) u(r) v(r) .7) Here γ is the system of new operators obeying the commutation relations + + γnα γmβ + γmβ γnα = δmn δαβ . γnα ] = − n γnα .21.6) and commutation properties of the ﬁeld operators we get ˆ [Ψ(r ↑). Indeed. ˆ Heﬀ = dr α + Ψ+ (rα)He (r)Ψ(rα) (21. Heﬀ ] = −He Ψ(r ↓) + ∆(r)Ψ+ (r ↑) .8) for γoperators. e. Heﬀ ] = He Ψ(r ↑) + ∆(r)Ψ+ (r ↓) . v and γ.8) The functions u(r) and v(r) are unknown. + ˆ [Heﬀ . i. (21. n Ψ(r ↓) = (21.9) This equation can be used to determine the functions u and v. Since after the transform (21. Here V (r) is some eﬀective potential due to electronelectron interaction.2. He ∆ ∗ ∆∗ −He u(r) v(r) = u(r) v(r) . (21. (21.11) . Let us suppose now that we know ∆(r) and ﬁnd the energy levels for the eﬀective Hamiltonian (21.
The last point of the derivation is to determine the potentials V and ∆. After rather tedious calculations we obtain the following conditions: V (r) = −g Ψ+ (r ↓)Ψ(r ↓) .13) The 1st equation is the usual Hartree result for point interaction.12) together with the selfconsistency equation (21.3 Model NS interface The model considered is illustrated in Fig. then {v ∗ . The NS interface is located at x = 0. Substituting Ψoperators from Eq. ∆(r) = g Ψ(r ↑)Ψ(r ↓) . un (r)vn (r)∗ (1 − 2fn ) .7) and using the relationship + γnα γmβ = δnm δαβ fn . i. v} is the solution for some . u∗ } is the solution corresponding to − . For that we have to minimize the free energy. It consists of a disordered normal region (hatched) adjacent to a superconductor (S). To obtain a welldeﬁned scattering problem we insert ideal (impurityfree) normal leads N1 and N2 to the left and right of the disordered region. where fn = e n /kT + 1 −1 (21.16) ∆(r) = +g Equations (21. ˆ F = H − TS . MESOSCOPIC SUPERCONDUCTIVITY ∗ • Hamiltonians He and He are diﬀerent in magnetic ﬁeld since the quantities [ i (e/c)A]2 are diﬀerent.2. • if {u. n (21.14) is the Fermi function. + • One can easily show that solutions of BdG equations for diﬀerent n are orthogonal.e. (21. 21. we obtain V (r) = −g n un (r)2 fn + vn (r)2 (1 − fn ) .16) constitute a powerful scheme to solve spatiallyinhomogeneous problems. 21. (21.412 Notes CHAPTER 21. we consider the case that the disorder is contained entirely . We assume that the only scattering in the superconductor consists of Andreev reﬂection at the NS interface. ˆ calculated for the basis diagonalizing Heﬀ . The disordered region may also contain a geometrical constriction or a tunnel barrier.15) (21.
3. within the normal region.2: Normalmetal–superconductor junction containing a disordered normal region (hatched).17) This model is also referred to in the literature as a “rigid boundarycondition”. The coeﬃcient g is the interaction constant of the BCS theory of superconductivity. At an NS interface. while Ax . NS INTERFACE 413 Figure 21. The scattering states at energy ε are eigenfunctions of the Bogoliubovde Gennes (BdG) equation (21. Since nonuniformities on length scales ξ do not aﬀect the dynamics of the quasiparticles. The spatial separation of Andreev and normal scattering is the key simpliﬁcation which allows us to relate the conductance directly to the normalstate scattering matrix. The spatial dependence of ∆(r) near the NS interface is determined by the selfconsistency relation (21. A point contact or microbridge belongs in general to this class of junctions. One can then choose a gauge such that A ≡ 0 in lead N2 and in S. the stepfunction model holds also for a wide junction if the resistivity of the junction region is much bigger than the resistivity of the bulk superconductor. A semiconductor — superconductor . At the superconducting side of the NS interface. The pair potential in the bulk of the superconductor (x ξ) has amplitude ∆0 and phase φ. The model is directly applicable to a superconductor in the clean limit (mean free path in S large compared to the superconducting coherence length ξ). ∆(r) ≡ 0 for x < 0. these can be neglected and the stepfunction model holds. Scattering states in the two normal leads N1 and N2 are indicated schematically. ∆(r) recovers its bulk value ∆0 eiφ only at some distance from the interface. To simplify construction of the scattering basis we assume that the magnetic ﬁeld B (in the zdirection) vanishes outside the disordered region. Therefore. In both cases the contribution of scattering within the superconductor to the junction resistance can be neglected. (21.16). The conditions for its validity: If the width W of the NS junction is small compared to ξ. We will neglect the suppression of ∆(r) on approaching the NS interface. and use the stepfunction model ∆(r) = ∆0 eiφ θ(x).21.12). Alternatively. or to a pointcontact junction (formed by a constriction which is narrow compared to ξ). Az = 0. the nonuniformities in ∆(r) extend only over a distance of order W from the junction (because of “geometrical dilution” of the inﬂuence of the narrow junction in the wide superconductor). g drops abruptly (over atomic distances) to zero. in the assumed absence of any pairing interaction in the normal region. Ay = A1 ≡ constant in lead N1 .
even though Ψ does not appear explicitly in the expressions which follow. z) is the transverse wavefunction of the nth mode. z)]Φn (y. The index n labels the modes. The eigenfunctions in lead N1 are chosen similarly. but does not imply a vanishing order parameter Ψ(r). The reason is that the order parameter quantiﬁes the degree of phase coherence between electrons and holes. z) = En Φn (y. z) exp(±ik h x).) .22) It is worth emphasizing that the absence of a pairing interaction in the normal region (g(r) ≡ 0 for x < 0) implies a vanishing pair potential ∆(r).12) contains ∆ not Ψ. n n n 1 (21.19) carries the same amount of quasiparticle current.18) Phase coherence between the electron and hole wave functions u and v leads to Ψ(r) = 0 for x < 0. but with an additional phase factor exp[−iσ e. N e e h h 1 (21. MESOSCOPIC SUPERCONDUCTIVITY junction is typically in this second category. This eﬀect is fully included here.16). dy dz Φn 2 = 1. The labels e and h indicate the electron or hole character of the wavefunction. 1 Scattering theory for NS systems: Basic expressions We now construct a basis for the scattering matrix (ˆmatrix). Note that both the two cases are consistent with our assumption that the disorder is contained entirely within the normal region.19) by a vector of coeﬃcients cin ≡ c+ (N1 ). n n n 0 0 (k h )−1/2 Φ (y.h kn ≡ (2m/ 2 )1/2 (EF − En + σ e. The term “proximity eﬀect” can therefore mean two diﬀerent things: One is the suppression of the pair potential ∆ at the superconducting side of the NS interface. This is a small eﬀect which is often neglected in the present work. according to Eq. c+ (N2 ) .h (N2 ) = 1 (k e )−1/2 Φ (y.h ε)1/2 .e (N2 ) = ± ψn. Φn (y. (The BdG equation (21. (21. but does not itself aﬀect the dynamics of the quasiparticles.21) The eigenfunction Φn is normalized to unity. (21. (21. In the normal lead N2 the s eigenfunctions of the BdG equation (21. which is given by Ψ(r) = ε>0 v ∗ (r)u(r)[1 − 2f (ε)]. The other is the induction of a nonzero order parameter Ψ at the normal side of the NS interface. σ h ≡ −1.20) and we have deﬁned σ e ≡ 1.12) can be written in the form ± ψn. With this normalization each wavefunction in the basis (21. c− (N2 ). z) exp(±ik e x). c− (N1 ).414 CHAPTER 21. and En its threshold energy: [(p2 + p2 )/2m + V (y. A wave incident on the disordered normal region is described in the basis (21.19) e h where the wavenumbers kn and kn are given by e. y z (21.h (eA1 / )y] from the vector potential. z).
c+ (N1 ). The elements of this smatrix can ˆ e e h h be obtained by matching the wavefunctions (21. s0 ≡ ˆ r11 t12 t21 r22 .) The reﬂected and transmitted wave has vector of coeﬃcients cout ≡ c− (N1 ). If terms of order ∆0 / F are neglected (the socalled Andreev approximation. c− (N2 ) . the result is simply c− (N2 ) = α eiφ c− (N2 ). N e e h h The smatrix sN of the normal region relates these two vectors. c+ (N2 ). A phase shift equal to plus or minus the phase of the pair potential in the superconductor (plus for reﬂection from hole to electron. N (ε) being the number of propagating modes at energy ε. . We can then deﬁne an smatrix for Andreev reﬂection at the NS interface which relates the vector ˆ of coeﬃcients c− (N2 ).) The matrix s0 is unitary (ˆ† s0 = 1) and satisﬁes the symmetry relation s0 (ε. The transformation is accompanied by a phase shift. ˆ N N (21. c+ (N2 ) to c+ (N2 ).25) Here s0 is the unitary smatrix associated with the singleelectron Hamiltonian H0 . c− (N2 ) . Andreev reﬂection transforms an electron mode into a hole mode. (21. minus for the reverse process).24) (21. 2. (We assume for simplicity that the number of modes in leads N1 and N2 is the same. −B)ji . e h (21. B)ij = s0 ˆ ˆ s0 (ε. A phase shift − arccos(ε/∆0 ) due to the penetration of the wavefunction into the superconductor.21. The ˆ ˆ reﬂection and transmission matrices r(ε) and t(ε) are N × N matrices. ˆ cout = sN cin . e h c+ (N2 ) = α e−iφ c+ (N2 ).23) Because the normal region does not couple electrons and holes.19) at x = 0 to the decaying solutions in S of the BdG equation. ˆ Andreev reﬂection For energies 0 < ε < ∆0 there are no propagating modes in the superconductor.26) where α ≡ exp[−i arccos(ε/∆0 )]. which consists of two parts: 1. NS INTERFACE 415 (The modeindex n has been suppressed for simplicity of notation.3. this matrix has the blockdiagonal form sN (ε) = ˆ s0 (ε) ˆ 0 0 s0 (−ε)∗ ˆ . without change of mode index.
(21. shh . ˆ ˆhe h h (21. (21. We now substitute Eq.30) (21. the matrices shh and seh contain the scattering amplitudes for reﬂection of a hole ˆ ˆ as a hole or as an electron. 12 (21. (21. −φ)ji . ˆ∗ ˆ ˆ† ˆT h (21. so that Tr (1 − see s† ) = Tr she s† .33). ˆ ˆ Similarly. seh .31) for see ˆhe ˆ ˆee ˆ ˆee ˆ ˆhe ε = 0 (α = −i) into Eq. at ε = 0. and she form together the scattering matrix s of the ˆ ˆ ˆ ˆ ˆ whole system for energies 0 < ε < ∆0 . as required by ˆ ˆ ˆ quasiparticlecurrent conservation and by timereversal invariance. B. ˆ ˆ h (21. i.27) The four N × N matrices see . which implies 1 − see s† = seh s† = ˆ ˆ ˆee ˆ ˆeh (ˆ† )−1 s† she s† .31) where we have deﬁned the matrices ∗ ˆ Me ≡ [1 − α2 r22 (ε)r22 (−ε)]−1 .29) (21. ∗ ˆ Mh ≡ [1 − α2 r22 (−ε)r22 (ε)]−1 .e.33) The second equality follows from unitarity of s.24) to obtain a set of 2N linear relations between the incident wave in lead N1 and the reﬂected wave in the same lead: c− (N1 ) = see c+ (N1 ) + seh c− (N1 ).26) with the 4N relations (21. Conductance of NS boundary For the linearresponse conductance GNS of the NS junction at zero temperature we only need the smatrix at the Fermi level. ˆ α eiφ t12 (ε)Mh t∗ (−ε).34) . 21 ˆ α e−iφ t∗ (−ε)Me t21 (ε). We apply the general formula GNS = 2e2 4e2 Tr (1 − see s† + she s† ) = ˆ ee ˆ ˆhe Tr she s† .32) One can verify that the smatrix constructed from these four submatrices satisﬁes unitarity ˆ † (hats s = 1) and the symmetry relation s(ε. An electron incident in lead N1 is reﬂected either as an electron (with scattering amplitudes see ) or as a hole (with scattering amplitudes she ). and obtain the expression GNS 4e2 ˆ† ˆ ˆ21 ˆ21 = Tr t12 t12 (1 + r22 r22 )−1 t∗ tT (1 + r22 r22 )−1 . We restrict ourselves to this case and ˆ omit the argument ε in what follows. After some algebra we ﬁnd for these matrices the expressions see (ε) ˆ shh (ε) ˆ seh (ε) ˆ she (ε) ˆ = = = = ∗ ˆ r11 (ε) + α2 t12 (ε)r22 (−ε)Me t21 (ε). ∗ 2 ∗ ˆ 21 r11 (−ε) + α t12 (−ε)r22 (ε)Mh t∗ (−ε). MESOSCOPIC SUPERCONDUCTIVITY General relations We can combine the 2N linear relations (21. φ)ij = s(ε.416 CHAPTER 21. −B. ˆ e ˆ h e + + ch (N1 ) = she ce (N1 ) + shh c− (N1 ).28) (21. respectively.
(21.35) depends only on the eigenvalues of the Hermitian matrix t12 ˆ ˆ12 ˆ 12 ˆ21 ˆ 21 eigenvalues by Tn (n = 1. Since the smatrix s0 of the normal region is symmetric for B = 0. (2 − Tn )2 (21. (21. we can omit the indices and write simply t the following relation between the conductance and the transmission eigenvalues: GNS = GNS 4e2 = h N 2 Tn . . Equation (21. A formula of similar generality for the normalmetal conductance GN is the multichannel Landauer formula 2e2 ˆˆ† 2e2 GN = Tr tt ≡ h h N Tn .36) for the conductance of an NS junction is a nonlinear function of the transmission eigenvalues Tn . (21. The eﬀects of multiple Andreev reﬂections are fully incorporated by the two matrix inversions in Eq.34) simpliﬁes considerably.34) over Eq. The trace ˆ† ˆ ˆ† t12 .3.38) This equivalence is of importance for (numerical) evaluations of the Landauer formula. N ). Eq. The nonlinear scattering formula (21. In the absence of a magnetic ﬁeld the general formula (21. in contrast. (21. t12 t† . in which one calculates the probability that an electron injected in mode n is transmitted. NS INTERFACE 417 ˆ ˆ where M T ≡ (M ∗ )† denotes the transpose of a matrix.21. one has r22 = r22 and ˆ ˆ ˆ ˆT ˆ ˆ21 t12 = tT . it is of importance to distinguish between the transmission eigenvalue Tn and the modal transmission probability Tn ≡ N tnm 2 . We obtain ˆ have the same set of eigenvalues. The advantage of Eq. . Since the matrices t† t12 . t† t21 . and t21 t† all ˆt† . can not be written in terms of modal transmission probabilities ˆˆ alone: The oﬀdiagonal elements of tt† contribute to GNS in an essential way. .36) n=1 This is the central result for NS interface. 2.36).37) In contrast to the Landauer formula. (21. the latter a diagonal element of that matrix.33) is that the former can be evaluated by using standard techniques developed for quantum transport in the normal state. (21. n=1 (21. (21. When dealing with a nonlinear multichannel formula as Eq. We denote these (21. since the only input is the normalstate scattering matrix. . and then obtains the conductance by summing over all modes.34) then takes the form 4e2 ˆ† ˆ ˆ12 ˆ Tr t12 t12 (1 + r22 r22 )−1 t† t12 (1 + r22 r22 )−1 ˆ† ˆ ˆ† ˆ h 2 4e2 ˆ12 ˆ ˆ12 ˆ = Tr t† t12 (2 − t† t12 )−1 .34). The Landauer formula (21.35) h ˆ12 ˆ In the second equality we have used the unitarity relation r22 r22 + t† t12 = 1.36).37) can be written equivalently as a sum over eigenvalues or as sum over modal transmission probabilities: h GN = 2e2 N N Tn ≡ n=1 n=1 Tn . The m=1 former is an eigenvalue of the matrix tt† .
h (21. relative to the Fermi level in the reservoirs. (21. and not to the transition region between two subsequent plateaus of quantized conductance. Appreciable diﬀerences appear in the transition region.39) where the eigenvalues have been ordered from large to small. This is twice the conductance quantum in the normal state. due to the currentdoubling eﬀect of Andreev reﬂection. We denote for all t.41) . Quantum dot Consider next a small conﬁned region (of dimensions comparable to the Fermi wavelength).37) for arbitrary transmission matrix: GNS ≤ 2GN .36) and (21. which are equal to either zero or one: Tn = 1 0 if 1 ≤ n ≤ N0 . or alternatively the number of transverse modes at the Fermi level which can propagate through the constriction. (21. In the classical limit N0 → ∞ we recover the wellknown result GNS = 2GN for a classical ballistic point contact. and let γ1 / and γ2 / be the tunnel rates through the two barriers. which follows from Eqs. we compare in Fig. Let εres be the energy of the resonant level. (21. Substitution of Eq. 21. In the quantum regime. (21. MESOSCOPIC SUPERCONDUCTIVITY Simple examples Quantum point contact Consider ﬁrst the case that the normal metal consists of a ballistic constriction with a normalstate conductance quantized at GN = 2N0 e2 /h (a quantum point contact). The integer N0 is the number of occupied onedimensional subbands (per spin direction) in the constriction. An “ideal” quantum point contact is characterized by a special set of transmission eigenvalues.36) yields GNS = 4e2 N0 . the simple factoroftwo enhancement only holds for the conductance plateaus. (21. To illustrate this. We assume that transport through this quantum dot occurs via resonant tunneling through a single bound state. We emphasize that Eq.418 CHAPTER 21. if N0 < n ≤ N.39) does not imply that the transport through the constriction is adiabatic. Note that N0 N .3 the conductances GNS and 2GN for a saddlepoint constriction model in a twodimensional electron gas. In the absence of adiabaticity there is no direct relation between Tn and Tn . (21. the transmission eigenvalue Tn is equal to the modal transmission probability Tn .39) into Eq. which is weakly coupled by tunnel barriers to two electron reservoirs.40) The conductance of the NS junction is quantized in units of 4e2 /h. where Eq. however. In the case of adiabatic transport. This is actually a rigorous inequality. where GNS lies below twice GN . (21.39) applies.
The dotted curve is twice the conductance GN for the case of two normal reservoirs.3. γ1 (21. 2 γ ≡ γ1 + γ2 . The 1 2 2 constriction is deﬁned by the 2D saddlepoint potential V (x.3: Solid curve: Conductance GNS versus Fermi energy of a quantum point contact between a normal and a superconducting reservoir (shown schematically in the inset). and U1 . (21. εn ≡ EF − V0 − (n − 1 ) ωy . (21.42) is modiﬁed if one of the two reservoirs is in the superconducting state. The normalstate transmission matrix t12 (ε) which yields this conductance has matrix elements √ γ1n γ2m t12 (ε) = U1 τ (ε)U2 . GNS is calculated from eq. U2 are two unitary matrices (which need not be further speciﬁed). n γ2n ≡ γ2 . Mnm ≡ 12 TBW √ γ1n γ1m .43) is † t12 t† = U1 M U1 .44) . NS INTERFACE 419 Figure 21. τ (ε)nm ≡ . 2 with ωy /ωx = 3. (21. If γ ∆E (with ∆E the level spacing in the quantum dot). the conductance GN in the case of noninteracting electrons has the form h γ1 γ2 GN = 2 ≡ TBW .36).21. with Tn = [1 + exp(−2πεn / ωx )]−1 . The transmission matrix product t12 t† (evaluated 12 at the Fermi level ε = 0) following from Eq. Let us now investigate how the conductance (21. 2e2 εres + 1 γ 2 4 (21. y) = V0 − 2 mωx x2 + 1 mωy y 2 .42) with TBW the BreitWigner transmission probability at the Fermi level.43) ε − εres + 1 iγ 2 where n γ1n ≡ γ1 .
21.45) Substitution into eq. conductance resonance (21. (21. (21.4 (solid curve). This is in contrast to the supercurrent resonance in a superconductor — quantum dot — superconductor Josephson junction. (21. It diﬀers substantially from the Lorentzian lineshape (21. and is then equal to 4e2 /h — independent of γ.46) does not depend on the relative magnitude of the resonance width γ and the superconducting energy gap ∆0 . MESOSCOPIC SUPERCONDUCTIVITY Tn = TBW 0 if n = 1. (21.46) The conductance on resonance (εres = 0) is maximal in the case of equal tunnel rates (γ1 = γ2 ). if 2 ≤ n ≤ N.420 Its eigenvalues are CHAPTER 21. Since we have assumed noninteracting quasiparticles. The inset shows schematically the normalmetal — quantumdot — superconductor junction. . from eq.42) of the BreitWigner formula (dotted curve).42). which depends sensitively on the ratio γ/∆0 . The lineshape for this case is shown in Fig. whereas all states within ∆0 of the Fermi level contribute to the Josephson eﬀect.46) for the case of equal tunnel barriers (solid curve). The diﬀerence can be traced to the fact that the conductance (in the zerotemperature.4: Conductance versus energy of the resonant level.36) yields the conductance GNS 4e2 = h TBW 2 − TBW 2 4e2 = h 2γ1 γ2 2 + γ2 + γ2 4εres 1 2 2 . the above results apply to a quantum dot with a small charging energy U for double occupancy of the resonant state. zerovoltage limit) is strictly a Fermilevel property. The amplitude and lineshape of the Figure 21. The dotted curve is the BreitWigner transmission probability (21.
Oﬀdiagonal elements of the transmission matrix tt† are crucial to arrive at the result (21. indicates the ensemble average and f (T ) is an arbitrary function of the transmission eigenvalue such that f (T ) → 0 for T → 0. The present derivation.5. cosh (L/ζn ) 2 (21. (21. in contrast.4 Andreev levels and Josephson eﬀect Consider a SNS weak link schematically depicted in Fig. one would ﬁnd GNS (l/L)GN — which underestimates the conductance of the NS junction by the factor L/l.36) is of second order in the transmission eigenvalues Tn — the ensemble average GNS is of ﬁrst order in l/L. ANDREEV LEVELS AND JOSEPHSON EFFECT Disordered junction 421 We now turn to the regime of diﬀusive transport through a disordered point contact or microbridge between a normal and a superconducting reservoir. (21. We begin by parameterizing the transmission eigenvalue Tn in terms of a channeldependent localization length ζn : Tn = 1 . one would ﬁnd a totally wrong result: Since Tn l/L 1. (21.48). . Combining Eqs.48) we have used that L/ζmin L/l 1 to replace the upper integration limit by ∞. in which transport is phase coherent.37). but much smaller than the localization length N l. and (21. is fully quantum mechanical. One can therefore write N n=1 f (Tn ) = Tn N n=1 L/ζmin dx f (cosh−2 x) 0 L/ζmin dx cosh−2 x 0 ∞ = 0 dx f (cosh−2 x) . We calculate the average conductance of the junction. The model considered is that of an NS junction containing a disordered normal region of length L much greater than the mean free path l for elastic impurity scattering. (21. we ﬁnd ∞ GNS = 2 GN 0 dx cosh−2 x 2 − cosh−2 x 2 = GN .21. averaged over an ensemble of impurity conﬁgurations.36) with the transmission eigenvalues Tn replaced by the modal transmission probabilities Tn .47) A fundamental result in quantum transport is that the inverse localization length is uniformly distributed between 0 and 1/ζmin 1/l for l L N l. In the second equality in eq. We assume that the only .36). diﬀerences between GNS and GN appear.49). The resolution of this paradox is that the T ’s are not distributed uniformly.4. . (21.48) where . (21. It applies to the “mesoscopic” regime L < lφ . If the condition L Nl is relaxed. Hence the average of Tn is of the same order as the average of Tn . Indeed. 21. but are either exponentially 2 small (closed channels) or of order unity (open channels). 21. if one would evaluate Eq.49) We conclude that — although GNS according to Eq. (21.
Andreev levels Since Josephson eﬀect is the equilibrium property let us start with the excitation spectrum. 0 for x < L/2 . where ∆ = ∆0 exp(iφ/2).51) e. In the normal lead N1 the eigenfunctions are ± ψn.52) . its applicability range being ξ0 lS where lS is the mean free path in the superconductor. Φn (y.422 CHAPTER 21.e (N1 ) = ± ψn. (21. For that we have to solve the BdG equation (21. The wave functions for the lead N2 are chosen in a similar way with the substitution L → −L.h )1/2 and σ e = 1. (21. In the superconducting lead S1 . MESOSCOPIC SUPERCONDUCTIVITY x ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ ¡ S1 N1 N2 S2 L/2 0 L/2 Figure 21.12) with proper boundary conditions. x) is the transverse wave function for the nth mode. h h (kn )−1/2 Φn exp[±ikn (x + L/2)] .50) This model is rather universal. The index n labels the transverse modes. as well as reduction of the order parameter ∆. Thus we approximate ∆= ∆0 exp(±iφ/2) for x > L/2 .e (S1 ) = eiη /2 e e−iη /2 e e e (2qn )−1/2 ( 2 /∆2 − 1)−1/4 Φn exp[±iqn (x + L/2)] . The junction width is assumed to be much smaller than the Josephson penetration depth. and En its threshold energy. σ h = −1.5: SNS Josephson junction containing a disordered normal region (hatched) scattering on the NS interfaces x = ±L/2 is the Andreev one.h Here kn = (2m/ 2 )1/2 (EF − En + σ e.h (N1 ) = 1 0 0 1 e e (kn )−1/2 Φn exp[±ikn (x + L/2)] . so the vectorpotential can be disregarded. The key simpliﬁcation is to separate in space normal and Andreev scattering. (21. it works also for SSS junctions with a constriction provided its size is ξ. the eigenfunctions are ± ψn.
The functions (21.h (S1 ) the label e replaced by h.h arccos( /∆0 ) . (21. at the NS interfaces as ˆ cout = sA cin . while arccos t ≡ −i ln t + (t2 − 1)1/2 for t > 1. c− (N2 ).51) at x = ±L/2 to ˆ the decaying wave functions (21. (21.51) and (21. As result the matrix sN has a blockdiagonal form.21. S S . ˆ N N An important simpliﬁcation is that the disordered region does not couple electrons and holes. The reﬂected and transmitted waves have vector of coeﬃcients cout ≡ N c− (N1 ). c+ (N2 ). rA ( ) = ˆ eφ/2 0 e−φ/2 0 . The eigenfunctions for S2 are obtained by substitution φ → −φ. The function arccos t ∈ (0. e e h h The matrix sN relates the above two vectors as ˆ cout = sN cin . c− (N2 ) .52).53) s0 is the unitary and symmetric smatrix associated with the Hamiltonian H0 . L → −L. c− (N1 ). ˆ N N The elements of sA can be obtained by matching the functions (21. The wave incident on the disordered normal region is described in the basis (21. c+ (N1 ).4. ANDREEV LEVELS AND JOSEPHSON EFFECT ± while for ψn. We can then deﬁne smatrix for the Andreev reﬂection. Im q 2 ≥ 0. In a superconductor.54) Here a = arccos( /∆0 ). 0 η e = φ/2 + σ e.51) by the vector of the coeﬃcients cin ≡ N c+ (N1 ). Im q h ≤ 0. Here e. where N is the number of propagating modes for given . c+ (N2 ) . ˆ sN ( ) = ˆ s0 ( ) ˆ 0 0 s∗ (− ) ˆ0 . π/2) for 0 < t < 1. there is no propagating modes for < ∆. sA . e e h h (The mode index is omitted for brevity).h ≥ 0. The result is sA ( ) = a ˆ 0 rA ∗ rA 0 .52) are normalized to carry the same amount of quasiparticle current since we are going to use them as a basis for the scattering problem. The complex functions are deﬁned such that Re q e. s0 ( ) = ˆ r11 t12 t21 r22 . The elˆ ements rik and tik are N × N matrices in the mode space.h ( 2 423 − ∆2 )1/2 ]1/2 . Now we have to introduce the proper scattering matrices. For > ∆0 we have to deﬁne the smatrix of the whole junction as ˆ cout = sSN S cin .h qn = (2m/ 2 )1/2 [EF − En + σ e.
This inequality is equivalent to ∆0 Ec ≡ /τ where τ is the traversal time through the junction. dp 2e tanh( p /2kT ) . (21.56) we get ˆ ˆ ˆ det (1 − 2 2 ˆ p /∆0 )1 ˆ ˆ21 − t12 t∗ sin2 (φ/2) = 0 . Since the elements of s0 change signiﬁcantly at the energies of the ˆ order of Ec one can put s0 ( ) ≈ s0 (− ) ≈ s0 (0).61) 2e d dφ dr ∆2 /g . The above equation allows further simpliﬁcation for a short junction with L ξ.59) (2kT ) ∆0 d ln[2 cosh( /2kT )] dρ .51) and (21. M = aˆN s ∗ 0 rA Now we are ready to ﬁnd the excitation spectrum.55) = det(ˆd − aca−1ˆ a ˆ ˆ ˆˆ b) p. we get the dispersion relation for the Andreev levels ∗ det 1 − a2 ( p )rA s0 (( p )rA s∗ (− p ) ˆ ˆ0 = 0. By matching the wave functions (21.424 CHAPTER 21. ∗ rA 0 < ∆0 there is no outgoing waves. . (21. Using ˆ ˆ s ˆ ˆ U =a det a ˆ c ˆ ˆ b ˆ d 0 rA . For and sN sA = 1. MESOSCOPIC SUPERCONDUCTIVITY The vectors cin. det(ˆN sA − 1) = 0. Consequently.52) at x = L/2 one can obtain ˆ ˆ ˆ s ˆ sSN S = U −1 (1 − M )−1 (1 − M † )ˆN U ˆ where rA 0 ˆ .56) Short junction.out are the coeﬃcients of the expansion of the incoming and outgoing waves S in leads S1 and S2 in terms of the wave functions (21. dφ (21. (21. Then instead of Eq.52).57) ˆ ˆ21 Denoting Tp the eigenvalues of the N × N matrix t12 t∗ we have p = ∆0 1 − Tp sin2 (φ/2) . the identity (21. After rather tedious calculations one can obtain the following result: I = I1 + I2 + I3 . (21. I1 = − dφ p I2 = − I3 = 2e ∞ (21.60) (21.58) Josephson current The Josephson current can be derived from the known expression for the BCS free energy F for the superconductor as I(φ) = (2e/ )(dF/dφ) .
(21. 21. Fig.63) l. Tp = and I = Ic sin φ . Substituting Eq. 21.64) 1 for p ≤ N0 . L Ic = Ic = N0 e∆0 / (quantized) . (21. the transmittance is small. The superconducting part modiﬁes strongly Figure 21. The above result coincides with the AmbegaokarBaratoﬀ formula for a tunnel junction.21. For s shot junction the contribution of the continuous spectrum vanishes.62) We see that. the 3d one vanishes for φindependent ∆.5 Superconducting nanoparticles Coulomb blockade of Andreev reﬂection Consider at an ideal superconducting electrode between normal bulk electrodes forming two tunnel junctions in series.60) we get I= e∆2 0 sin φ 2 N p=1 Tp tanh p (φ) p (φ) 2kT . In the opposite limiting case. 0 for p ≥ N0 where conductance G is calculated according to the Landauer formula.5. (21. L l. contrary to the Landauer conductance. the Josephson current is a nonlinear function of the transmittance Tp . SUPERCONDUCTING NANOPARTICLES 425 The 1st term is the contribution of the discrete states (Andreev levels). and e∆0 ˆˆ Tr tt† tanh ∆0 π∆0 = G 2kT 2e (21.6. (21. For a ballistic point contact.58) into Eq.6: An ideal superconducting electrode between normal bulk electrodes forming two tunnel junctions in series. the 2nd one is due to the continuous spectrum with density of states ρ( ). tunneling through the system which becomes sensitive to the parity of the electron number .
(21. (21. 2C E0 (N ) = ∆ for odd N 0 for even N . One can see that the parity of the electrons is changed at the intersections. and the lowest curve at a given ϕ corresponds to the equilibrium number n of the excess electrons. inelastic tunneling cannot take place (at zero temperature) at voltages below 2∆/e. and ϕ is the potential diﬀerence between the middle of the grain and the leads at vanishing bias voltage V . MESOSCOPIC SUPERCONDUCTIVITY N in the superconductor.7: From Averin & Nazarov. n = n1 − n2 .65) 2C C Here ni is the number of particles that have tunneled through ith junction. Figure 21. When N is even. The graph of E(N ) is schematically shown in Fig. The total energy can be written as U= E(N ) = [e(N − N0 ) − Cϕ]2 + E0 (N ) . and only elastic tunneling is allowed.66) Here N0 is the electron number at φ = 0. Q = en − ϕC. . 1993 (1992). The total number N of the free electrons in the superconductor depends on the electrostatic energy. Ci are junction capacitances. For odd N a quasiparticle exists unavoidably in the superconductor. while E0 allows for the quasiparticle energy. Since the potential diﬀerence ϕ can be changed by the gate the system under consideration behaves as a paritysensitive singleelectron transistor.426 CHAPTER 21. eV Q2 − (C1 n2 + C2 n1 ) . 69. which opens an inelastic channel. Phys. Rev. Lett. 21. The curves correspond to diﬀerent n. C = C1 + C2 .7.
The experimental I − V curve for such a device is shown in Fig. 21. respectively. Paritysensitive transport To compute the current near the resonances one needs to estimate the tunneling rates Γl and Γr for the tunneling from the left lead and from the right lead to the grain.8 Specifying the Coulomb energy for the system under consideration as E(N ) = (N e)2 N e + (Cl Vl + Cr Vr + Cg Vg ) .5. Phys. Rev. (21. SUPERCONDUCTING NANOPARTICLES 427 Figure 21. 1862 (1993).21.67) we observe that E(N ) = E(N + 2) at Vg = −(N + 1)e/Cg . Lett. 2C C (N ) C = Cl + Cr + Cg ..8: From Eiles et al. 70. .
while Gi is its normalstate conductance. They depend on the energy diﬀerences Γi = 2π i = E(N + 2) − E(N ) − 2eVi as i γi exp( i /kT ) − 1 . (21. Ec = e2 /2C . 1 γi = Ni Gi 2πe2 2 4∆2 arctan 2 ∆2 − Ec ∆ + Ec ∆ − Ec 2 .428 CHAPTER 21. 70.69) Here Ni is the geometric factor of the order of the number of transverse modes in the tunneling junction. (21. the “phase diagram” in the (N ) ..70) γl + γr sinh V The G vs. In general. The nonOhmic I −V curves for diﬀerent gate voltages are shown in Fig.68) This is a goldenrule expression which diﬀers from the normalstate expression by two features: (i) the excitation energy corresponds to transfer of two electrons. In general. 1862 (1993). (ii) the dimensionless parameters γi should be calculated in the second order in tunneling transparency since we are interested in the transfer of a pair of electrons. the “phase diagram” in the coordinates V −Vg showing an interplay between singleelectron and pair tunneling is observed.9: From Eiles et al. Lett. The result for Ohmic conductance is 4πe2 γl γr V G= . Rev. V ≡ 2eCg (Vg − Vg(N ) )/CkT . (21.9. Vg dependence is a set of sharp peaks at Vg = Vg . 21. MESOSCOPIC SUPERCONDUCTIVITY Figure 21. Phys.
Phys..5. Lett. SUPERCONDUCTING NANOPARTICLES 429 Figure 21.21. Rev. 1742 (1994). 72.10: From Hergenrother et al. .
. inﬂuence of magnetic ﬁeld. MESOSCOPIC SUPERCONDUCTIVITY coordinates V − Vg showing an interplay between singleelectron and pair tunneling is observed.430 CHAPTER 21. Among them are quantum cotunneling through virtual states which competes with the blockaded transport. nonperturbative eﬀects for hightransparency contacts. etc. There are other eﬀects regarding parityeﬀect tunneling which are beyond the scope of this course.
Part V Appendices 431 .
.
New vectors can be deﬁned as ai = βik ak . (22. Direct calculation.2.Chapter 22 Solutions of the Problems Chapter 1 Problem 1. i 2 1 0 1 2 cos φ φ 1 π 1/2 2π/3 0 π/2 1/2 π/2 1 0 Problem 1. The inverse transform is ak = k −1 βki ai .3. Show that this equality is suﬃcient. Solution.1) where −1 βki = A(βik ) det(βik ) 433 . Problem 1. k ˆ the suﬃcient condition for the matrix β is det(βik ) = ±1. Show that only n = 1.1. Solution. 3. 6 are available. Show that (a1 [a2 a3 ]) = (a3 [a1 a2 ]) = (a2 [a3 a1 ]). Solution. 2. We have mentioned that primitive vectors are not unique.
Find the width of the scattering peak at the half intensity due to ﬁnite size of the chain with N sites. Then we can substitute Eq. a Problem 1.1.2) Problem 1. Derive the expressions (1. V0 (22.38. The solution is x ≈ 1. (22. 2 a = (z + x) . Making use of the deﬁnition (1.10) we get b1 = b2 b1 2π (−x + y + z) . Chapter 2 . det(βik ) i All the coeﬃcients are to be integer. β. Let is expand the unknown vector b in terms of 3 noncoplanar vectors [ai ak ] b = α[a1 a2 ] + β[a2 a3 ] + γ[a3 a1 ] .434 CHAPTER 22.i nk A(βik ) a.6. Find the reciprocal lattice vectors for fcc lattice. a 2π = (−y + z + x) . Solution We write lattice vectors for fcc as a1 = a2 a1 a (y + z) . for any lattice vector we have a= k nk ak = k.2) into (1.9) we get {α. Then.5. 2 a = (x + y) 2 (see Fig. SOLUTIONS OF THE PROBLEMS where A(βik ) is the algebraic augment. Solution.10) for reciprocal lattice vectors.1). Solution Introducing the dimensionless quantity x = N a∆k /2 where ∆k is the peak’s width at the half intensity we get the following equation sin2 x = x2 /2.6).4. Problem 1. The volume of the cell is V0 = a3 /4. a 2π = (−z + x + y) . γ} = 2πgi . so we return to the condition (22.
π/a) is equal to 2z because one has to sum over ±q.5. Collecting these expressions and using the formula cos we get the formula (2. (2. Then one can use the relations (B. ˙ ˙j j .1.25). Problem 2. Solution To prove the relations it is enough to apply the equilibrium condition 0 for constant displacement u0 of all the atoms. We express the displacements according to the deﬁnition (2. ˙ ˙j j 2N nkα qjq j ei(q−q )an = N δqq .13).1) and (B.72) and get T 1 ejkα (q)aj (q. t)eiqan e∗ kα (q)a∗ (q .29).24) and do algebra.8) into Eq. 2π C Solution From the Eqs. The 2 number dz of the vibration modes within the interval (−π/a. Solution.12) we get dω = a m  cos qa dq and dq = aL dg.6.35).23) to Eq. ∂Φ ∂unαk = 0 Problem 2. Prove the relation of the Section 4.7. Substituting (2. Prove the expression (2.4.9).9). Derive the expression (2.7) we get −mω 2 = −C 2 − e−iqa − eiqa . (2. t)eiqan e∗ kα (q)a∗ (q .75) for the potential energy.435 Problem 2. (2. Solution. Problem 2. t)eiqan = ˙ = 2N nkα qj 1 = ejkα (q)aj (q. Solution. Derive the dispersion relation (2. Prove the equation (2. (2. aq = 2 1 − sin2 aq = 2 1− ω2 4C/m Problem 2. n 2 Then we use the condition Problem 2. We have 1 kk Φ = Φαβ uk α uk β = n n nn 2 all = × qjq j 1 2N Φαβ all kk nn √ 1 × mk mk ejkα (q)aj (q. Solution Use the deﬁnition (2.2.3. t)e−iq an .13).2) of the Appendix B. Derive Eq. Prove the relation (2. Solution Substitute expressions (2. (2.74). Problem 2.34) of the dynamic matrix and its property (2. t)e−iq an .
n. ∗ wn (x)wm (x) dx = 1 N a 2π ei(pn−p m)a/ pp π /a ∗ ψp (x)ψp (x) dx = = = 1 N eip(n−m)a/ = p eip(n−m)a/hbar dp = −π /a sin[π(n − m)]/[π(n − m] = 0 .76) we get the expression (2. 2 Combining this expression with the expression for aj and inserting into the expression for the energy (2. Problem 2.90). Solution. Solution. . Prove the expression (2. n=m = δn. One can use the deﬁnition (2. Derive Eq.14) into (3. n = m 1. Prove the expression (2.79).9.8.15) we get ψp (x) = 1 N ei(p−p )na/ ψp (x) = ψp (x) .2 Prove the orthogonality of the Wannier functions.15).436 Then. (3. Solution. According to the deﬁnition and equation of motion aj (q) = ˙ 1 ˙ ˙ Qj (q) + Qj (−q) + 2 iωj (q) + [Qj (−q) − Qj (q)] . Now we can sum over q and use the equation of motion (2. Solution.89) and the recursion formula HN (ξ) = 2N HN −1 (ξ) .20) and normalization condition for eigenvectors ej . Chapter 3 Problem 3. let us transform √ nn CHAPTER 22.79).m . SOLUTIONS OF THE PROBLEMS 1 Φαβ mk mk ei(q −q)an kk nn √ ei(q an −qan ) = kk nn eiq (an −an ) = = n n 1 Φαβ mk mk = kk N δqq Dαβ (q) .p Problem 3. Problem 2. Substituting (3.1.
16).6) where the curly bracket vanishes according to SE. (22.437 Problem 3. We have 1−6 eika0 = 0 eiki a + e−iki a .7) . We start from the SE for the Bloch function 2 2 ψ+ 2m [ε(k) − V (r)] ψ = 0 . Then we multiply the equation by ψ ∗ and integrate over r: 2i ψ∗ ∂ψ 3 2m ∂ε ψ ∗ ψ d3 r + dr + 2 ∂k ∂x x ∂u 2m 2 + eikr + 2 (ε − V ) ψ ∗ d3 r = 0 . Solution. Then we take the partial derivative of the equation with respect to.4) ∂ψ ∂ψ = 2i + ix ∂kx ∂x 2 ψ+ 2 eikr ∂u ∂x .41).5) As a result.3 Derive expression (3. kx with the account of relations ∂ε ∂ψ ∂ [ε(k) − V ] ψ = ψ + (ε − V ) . (22.39). ∂kx (22. The number of nearest neighbors is 6. Solution. Prove the formula (3. Solution.3) ∂kx ∂kx ∂kx ∂ψ ∂ ∂u = uekr = ixψ + ekr . i Problem 3. say. Problem 3. we get 2i ∂ψ 2m ∂ε 2m 2 + ψ + ix ψ + 2 (ε − V )ψ 2 ∂k ∂x x 2m ∂u 2 + + 2 (ε − V ) eikr =0 ∂kx + (22. Problem 3.6. ∂kx ∂kx ∂kx and 2 (22.4 Derive expression (3. We expand the exponential in the series exp(a ) = 1 + a 1 + (a )2 + · · · 2 and than we see that it is just the same as the expansion of the shifted function. Expand both numerator and denominator in powers of h and I.24).5 Prove the identity (3. Solution.
At low temperatures the function − ∂f0 behaves as δfunction at we will take advantage dε of this fact. Calculate the partition function for a harmonic oscillator. . Solution. Problem 4. Solution. Use the formulas εk = 2 k 2 /2m and δ [z − f (y)] = δ(y − z y ) f (zy ) where zy is determined by the condition f (zy ) = z. and introduce dimensionless variable η = (ε − − Finally.438 CHAPTER 22. Prove the expression (4. The last item in the l. Calculate temperaturedependent corrections to the chemical potential of a Fermi gas.h. To calculate the integrals with the Fermi function ∞ I= 0 χ(ε)f (ε) dε it is convenient ﬁrst to integrate by parts. we expand ϕ(ε) as ϕ(ε) = ϕ( F ) + ϕ ( F )(ε − F) 1 + ϕ ( F )(ε − 2 F )/kB T . Namely. . If we introduce ε ϕ(ε) = 0 χ(x) dx it is easy to show that I= 0 ∞ ϕ(ε) − ∂f0 dε dε. SOLUTIONS OF THE PROBLEMS where we have used the integration by parts. Using the deﬁnition. 2 F) + . ..3.1.11).. Chapter 4 Problem 4. The we use the formula for geometric progression to get the result. is also equal to zero (SE) and we come to the result.s.2. Problem 4. we get ∞ Z=e − ω/2kB T N =0 e−N ω/kB T . Solution. (e−η + 1)2 I = ϕ( F ) + kB T ϕ ( F )I1 + (kB T )2 ϕ ( F )I2 + . ∂f0 ∂ε dε = We have e−η dη.
Derive expression (4.22)for magnetic susceptibility. 4 y 3/2 −y Then the sum over N can be done as the sum of geometric progression.3 with ϕ(ε) = g(ε). Solution.4.439 where I1 = 0. . has the form 1 2ε − p2 /mz z p2 p2 y x + mx my = 1. Find the cyclotron eﬀective mass and compare it with the densityofstates eﬀective mass deﬁned as √ 3/2 1/2 2md ε g(ε) = . Chapter 6 Problem 6. Problem 4.1. Derive the formula (4.16) with the Boltzmann distribution function.6.5. I2 = 0 ∞ π2 η 2 e−η dη = .33). ε(p) = ε for a given pz . Calculate speciﬁc heat for the Boltzmann gas. An electron with a energy spectrum p2 p2 p2 y x ε(p) = + + z 2mx 2my 2mz is placed into a magnetic ﬁeld parallel to zaxis. Use the general expression (4. Problem 4. Solution. Problem 4. We chose the integration variable to y= and take into account that 0 ∞ ε − N − 1/2 kB T e √ 3 π dy = . 2(e−η + 1)2 6 Making use of the last expression we get 2/3 F =µ 2/3 π2 1+ 8 kB T F 2 that leads to the expression we are interested in. π2 3 Solution. The equation for the electron trajectory. Solution. Use the general procedure outlined in the Problem 4.
2π ∂ε According to the deﬁnition of the density of states. Solution. For zero temperature we have g( F ) = ∂n 3n 3n = = . Assume that that the electrons obey Boltzmann statistics. Problem 6. according to deﬁnition.2. we obtain that md = (mx my mz )1/3 .3. g(ε) = Introducing new variables as √ px = ξ 2mx . T ) ∝ εr . ζ −ε T . m py = η 2my . SOLUTIONS OF THE PROBLEMS √ S(ε. mc = 1 ∂S(ε.17). Problem 6. √ py = ζ 2mz 2 (2π )3 dpx dpy dpz δ[ε(p) − ε] . Derive the Drude formula (6. . pz ) √ = mx my . Expressing the transport relaxation time as τtr (ε. T ) = τ0 (T )(ε/kT )r ﬁnd the expressions for Drude conductance at ωτ0 1 and ωτ0 1. pz ) = π(2ε − p2 /mz ) mx my .440 This is the ellipse having the area CHAPTER 22. z Thus. f0 (ε) = exp and that τtr (ε. σ= from the expression σ = e2 D( F )g( F ) . 2 ∂ F 2 F mvF ne2 τtr .
e Note that n = e g(T )T Γ(3/2) In the Fermi gas. Γ(5/2) Problem 6. introducing k we get k α = − (r + 5/2 − ζ ∗ ) . Similarly. T g(ε)D(ε)(ε − ζ) = g(T )D(T )T (x − ζ ∗ )xr+3/2 . η = −eg(T )D(T )e ζ∗ 0 dx (x − ζ ∗ )xr+3/2 e−x = −eg(T )D(T )eζ∗ [Γ(r + 7/2) − ζ ∗ Γ(r + 5/2)] . Assume τtr (ε. It is practical to introduce the integration variable x = ε/T and denote ζ ∗ = ζ/T (here we skip the Boltzmann constant k for brevity). ζ∗ √ → ζ = − ln ∗ πg(T )T . ζ ζ Thus according to the deﬁnition. T ) = τ0 (T )(ε/kT )r . Re σ(ω) = ne2 mω 2 1 τtr = ne2 Γ(5/2 − r) .5. σ0 = e2 g(T )D(T )eζ∗ Γ(r + 5/2) . Thus. e 3 ζ Problem 6. d g(ζ)D(ζ) g(ζ)D(ζ) = (r + 3/2) . 2 τ (T ) mω 0 Γ(5/2) Γ(r + 5/2) . 2n . Using the WiedemannFranz law compare the coeﬃcients κ and β for a typical metal.4. σ0 ∝ τ0 (T ). Then − Thus ∞ ∂f0 ∂ε = 1 exp(ζ ∗ − x) .441 Solution Using the deﬁnition of Drude conductance we get τtr = τ (T ) Thus. Solution. Compare thermoelectric coeﬃcitns η for degenerate and nondegenerate electron gas. k π 2 kT α = − (r + 3/2) . At large frequencies.
q q 0 s 2 2 /2mr 2 s d3 r eiqr e−r/rs r Using the property k = k and the equality q 2 = 2k 2 (1 − cos θ) = 2ε(2m/ 2 )(1 − cos θ) . u r2 = Substituting this expression to the Poisson equation we get u − 1 r u = 0 → u ∝ exp − 2 rs rs . We have M = 2π = 4π ∞ 1 rdr −1 d(cos β) exp (iqr cos β) · exp − rrs = 0 ∞ ∞ 2π dr sin(qr) exp − rrs = 4π Im 0 dr exp(iq − r1s )r = q2 +r−2 . We have the relation κ = β − T ηα. Derive the expression (6. In a spherical symmetric system it is natural to chose spherical coordinates. One should calculate the matrix element v∝M = where q = k − k. If we search the solution as u(r)/r the equation for u has the form 1 d r 2 dr d d r2 dr u = r12 dr r2 u − r r d = r12 dr (ru − u) = ur .442 CHAPTER 22.26) for the screened Coulomb potential.27). The ratio T ηα/β (according to the WiedamannFranz law) has the order T η 2 e2 ≈ 2 σT σkB kB T F 2 . r Solution. SOLUTIONS OF THE PROBLEMS Solution. Problem 6.7. ϕ= Ze −r/rs e . Problem 6.6. the Laplace operator for the angleindependent case being 2 ϕ= 1 d r2 dr r2 dϕ dr . Derive the expression (6. e2 / W (θ) = 4πni v 2ε(1 − cos θ) + Solution.
.2. Solution We have Im 1 1 ω/τM 1 ωτM =− =− . ω) 0 (q D + 1/τM ) + ω 0 (1 + q /κ ) + ω τM Chapter 7 Problem 7. 5 .12. 1 2 δ= =√ Im q 3 c2 4πσω0 b 1/3 . Problem 6. ω) which is responsible for damping of the wave of electrical polarization. Solution. Derive the expression for the solution of the Boltzmann equation G = eτtr ∂f0 E + (µ/c)2 (HE)H + (µ/c)[EH] .443 we get the result.. ∂ε 1 + µ2 H 2 /c2 Use this expression to ﬁnd the conductivity tensor. Solution Use the relatuion (6. Problem 7. We get q 3 = −4πaωσ0 /c2 = 4πaωσ0 /c2 The following way is straightforward.71) ﬁnd imaginary part of 1/ (q.51). The calculation of the conductivity tensor is straightforward. = v 2 cos2 θ + q2v4 4 1 3 q2v2 cos θ = v 2 1 + ω2 3 5 ω2 . Derive the dispersion law for plasmons. We have 1 1 qv qv = −i 1+ + −iω(1 − qv/ω) ω ω ω The longitudinal conductivity contains 2 vz 1 + 2 eiπ . Using the expression (6. qz v z qz v z + ω ω 2 + . determine the coeﬃcients α. Problem 6. Solution. . Consequently.1. β and γ and then substtitute them into initial expression for G.3).. + .10. Start from the equation q 2 = 4πiωσ/c2 and substitute σ = iaσ0 /ql. the dispersion equation for the Fermi gas has the form 1− 2 ωp ω2 1+ 2 3 q 2 vF 2 5 ωp 2 = 0 → ω 2 = ωp 1 + 2 3 q 2 vF 2 5 ωp 9 2 = ωp 1 + (qrT F )2 . 2 2 2 2 2 2 2 2 (q. Derive the equation (7.
2 ωp (1 + (9/5)(qrT F )2 ) = 0.2 . det q 2 δik − qi qk − 4πiω σik = 0. Find the relation between the amplitudes of electric ﬁles and deformation for the case of acoustic wave in a piezoelectric semiconductor. 2 8π 2 0q 2 The mechanical energy can be estimated as Qm = 2ρ Thus ω 2 u2 1/2 2 2 2 i = w q ui  . SOLUTIONS OF THE PROBLEMS Thus.1. σik Ek we come to the result. . Chapter 8 Problem 8. We start from the Maxwell equations curl H = 4π j.kl qi ql uk 2 = .444 CHAPTER 22.3. c curl E = − 1 ∂H c ∂t and take the curl of the second one with the identity curl curl E = grad div E − After the substitution ji = k 2 E. 2 ρ Qe 4πβi. The density of electrical energy in the insulating sample is Qe = ED = 4π 0q φ2 1 4πβi. Compare electrical and mechanical energies carried by the wave in a piezidielectric. Derive the dispersion relation for electromagnetic waves in metals. Solution. 2 ω 2 1 − (ωp /ω 2 )(qrT F )2 Problem 7.kl qi qk ul 2 =χ= . Compare electrical and mechanical energies carried by the wave. we come to the dispersion equation 1− or 2 ω ≈ ωp (1 + 7q 2 rT F /5) . c2 Solution. 2 4 2 Qm 0 ρw q ui  Problem 8.
jdc = σ en 2 2 0 φω  q 4π q ω2 Now we can express the actual potential φω through the bare one. σ φ0 2 q 2 ωτm ω q .kl qi ukl φ=i 2 =i . = n time ) Solution.10) (δn)ω = − As a result. ω) . we have from (8. Taking into account the Poisson equation div D = 4πe(δn) together with the expression (8. Hint: A dc current appears in the second approximation in the wave amplitude.10) yields 4πβi. S as χS. 2 /κ2 )2 + ω 2 τ 2 enw 4π 0 (1 + q m Here w is the sound velocity The coeﬃcient jdc = w 0 φω 2 q 2 4π has the meaning of the ﬂux of electric energy due to the wave which is connected to the ﬂux in mechanical energy. ω 2en σ q 2 φω . + (q 2 D)2 Then.7) for the electrical induction D and expression (8. as ω φω = φ0 / (q. Thus jdc = ≈ σE − eD(∂ δn/∂x (δσ)E σ (δn)E .445 Solution. The the product ωτm χq 2 /κ2 )2 + ω 2 τ 2 (1 + q m . φ0 . ω As a result. Using the hint we write jdc = σ ∗ Re[(δn)ω Eω ] 2en qσ = − Im[(δn)ω φ∗ ] .3 Find dc current induced by a acoustic wave in a nondegenerate piezoelectric semiconductor. (22. ω) q2 0 −iω + q 2 D + 1/τm Problem 8. 2) e(−iω + Dq ω/τm .8) q (q.kl qi ukl −iω + q 2 D 4πβi.
Assume that light is polarized perpendicular to the well. . W 2n + 1 Problem 4. Solution.446 CHAPTER 22. Derive Eq. Solution Normalized wave functions are g n (z) = Thus. for odd n npz n + s = n + spz n 2 W W/2 2 W cos(πnz/W ). Calculate dipole matrix element for the transitions between adjacent subbands in a rectangular quantum well with inﬁnite potential barriers. Deﬁne ω from the request that the typical spread of the ground state wave function is W and compare the result with the case of rectangular conﬁnement.1. The typical conﬁnement length is related to the frequency ω as W = /mω → ω = 2 /mW 2 . Make a similar calculation for a parabolic conﬁnement U (z) = (1/2)mω 2 z 2 .3). s Chapter 9 Problem 9. The solution is similar. W 2 Chapter 16 Problem 16. From textbooks in quantum mechanics.1 ] . (16. npz n + s = i √ √ √ [ nδs. n even = −i dz cos(πnz/W )(∂/∂z) sin[π(n + s)z/W ] −W/2 2 [2 sin(πsn/2) + sin(πs2 /2) + sin(πns + πs2 /2)](n + s) . SOLUTIONS OF THE PROBLEMS is nothing else than the absorption coeﬃcient Γ. = iW s(2n + s) For s = 1 the matrix element is − 4i n(n + 1) .2. n odd sin(πnz/W ). Finally we obtain jdc = σΓS .−1 − n + 1δs.1.
We get ∂ B−H (Gn − Gs ) = = M. Derive Eq.2.15). Solution. Introducing Gpotential as Gs = Fs (B) − BH 4π we note that is should be minimal in an equilibrium state with ﬁxed H : ∂Gs ∂B For a normal state = 0. 2 At the same time. it depends only on Hc . 8π M dH = − 0 2 Hc . For A z R2 dR d(cos θ) dϕ (zR)R −R/ζ0 e = R4 A(r )R R −R/ζ0 e dV → A R4 =A R2 dR d(cos θ) dϕ 4π cos2 θ −R/ζ0 e = R2 3ζ0 Chapter 17 Problem 17. Prove that the areas under magnetiation curves are the same for type I and type II SC with the same Hc . 8π 4π From the stability condition for the normal state ∂Gn H = 0 we get B = H and ∂B Gn = Fn − Now let us change H by δH. at H = 0 Gi = Fi and (Fn − Fs )B=0 = Hc /8π. Solution. (17. .1. 8π Consequently. Problem 17. ∂H 4π Now we can integrate this relation over H from 0 to Hc2 (where Gn = Gs −equilibrium!).447 Solution. H B 2 BH Gn = Fn + − . We get Hc2 H2 . ∂p ∂ 2 G ∂B B ∂H(B) ∂B B ∂H(B) =B = = 2 ∂x ∂x ∂B 4π ∂B ∂x 4π ∂x.
We get ∆ δ∆ δE = 4vk ξk (1 − nk↑ − nk↓ ) − 2 = δvk λ δvk = 4vk ξk (1 − nk↑ − nk↓ ) − 2 ∆ duk λ(uk + vk )(1 − nk↑ − nk↓ ) = λ dvk ∆ 2 (1 − 2vk )(1 − nk↑ − nk↓ ) = 0. Prove Eq.10).18). uk = 4vk ξk (1 − nk↑ − nk↓ ) − 2 This is just the result we need.8) E =E − with ∆=λ k FN = k ξk (nk↑ + nk↓ ) + 2 2vk (1 ∆2 − nk↑ − nk↓ ) − λ uk vk (1 − nk↑ − nk↓ ). We have Hint = −λ a† ↑ a† ↓ ak2 ↓ ak1 ↑ = −λ k k 1 2 † uk1 αk ↑ + vk1 α−k1 ↓ 1 † uk2 αk ↓ − vk2 α−k2 ↑ × 2 † × uk2 αk2 ↓ − vk2 α−k2 ↑ † uk1 αk1 ↑ + vk1 α−k1 ↓ . We get † † † † uk1 uk2 αk ↑ αk ↓ − vk1 vk2 α−k1 ↓ α−k2 ↑ + vk1 uk2 α−k1 ↓ αk ↓ − uk1 vk2 αk ↑ α−k2 ↑ × 1 2 2 1 † † † † × uk2 uk1 αk2 ↓ αk1 ↑ − vk2 vk1 α−k2 ↑ α−k1 ↓ + uk2 vk1 αk2 ↓ α−k1 ↓ − vk2 uk1 α−k2 ↑ αk1 ↑ Now we should remember that k1 = k1 . Solution. SOLUTIONS OF THE PROBLEMS Chapter 18 Problem 18. Prove the Eqs. (18.448 CHAPTER 22. For Eq.9) and (18.2.1. onsequently only the following combinations lead to nonzero averages † † vk1 uk2 α−k1 ↓ αk ↓ − uk1 vk2 αk ↑ α−k2 ↑ 2 1 † † uk2 vk1 αk2 ↓ α−k1 ↓ − vk2 uk1 α−k2 ↑ αk1 ↑ → † † † † → vk1 uk2 uk2 vk1 α−k1 ↓ αk ↓ αk2 ↓ α−k1 ↓ − uk1 vk2 uk2 vk1 αk ↑ α−k2 ↑ αk2 ↓ α−k1 ↓ − 2 1 † † † † −vk2 uk1 vk1 uk2 α−k1 ↓ αk ↓ α−k2 ↑ αk1 ↑ + uk1 vk2 vk2 uk1 αk ↑ α−k2 ↑ α−k2 ↑ αk1 ↑ 2 1 . Problem 18. (18. (18. Solution.
the current being U/R while the voltage at the junction is zero. load resistor R. and a battery. we have vk1 uk1 uk1 vk1 × † † † † α−k1 ↓ α−k ↓ α−k1 ↓ α−k1 ↓ − αk ↑ αk1 ↑ α−k1 ↓ α−k1 ↓ − 1 1 − = vk1 uk1 uk1 vk1 † † α−k1 ↓ α−k ↓ αk1 ↑ αk1 ↑ 1 + † † αk ↑ αk1 ↑ αk1 ↑ αk1 ↑ 1 = 1 − n−k1 ↓ (1 − n−k1 ↓ ) − nk1 ↑ (1 − n−k1 ↓ ) − (1 − n−k1 ↓ )nk1 ↑ + nk1 ↑ nk1 ↑ Combining the formulas we come to the ﬁnal result. At λ > 1 (or J > Jc ) one can calculate the integral exactly: assuming m = tan(θ/2) we get m=λ+ The current being I= √ We see that the current oscillates with the period 2π/ωJ 1 − λ2 . Check Eq. Chapter 20 Problem 20.449 To get nonzero averages we put k2 = −k1 . k1 = −k2 . Solution.1. The voltage is V = U − RI = U − Jc R sin θ. 1 + m2 √ 1 − λ2 tan 1√ 1 − λ2 ωJ (t − t0 ) 2 . Problem 18. λ = . According to the Josephson formula. dt U As a result ωj (t − t0 ) = dθ 1 − λ sin θ At λ > 1 there is a pole in the integrand at θ0 = arcsin(1/λ). 2c m . Consequently. (18. It is checked directly by use of Bogoliubov transform.3. Solution. 2e 2e Jc R dθ = V = (U − Jc R sin θ) = ωJ (1 − λ sin θ).20). Consider the current in a series circuit containing a Josephson junction. Thus at t → ∞ θ → θ0 .
450 CHAPTER 22. SOLUTIONS OF THE PROBLEMS .
Namely. we look for the wave function in the form ψk (r) = R eikR n bn φ(r − R) where φn (r) are atomic eigenfunctions. 451 . the integrals d3 r φ∗ (r)φn (r)∆U (r) ∝ δnm m and thus lead to a renormalization of the onsite energy. From the Schr¨dinger equation we have o [E(k) − Em ]bm ≈ n bn + R=0 d3 r φ∗ (r)φn (r)∆U (r) m d3 r φ∗ (r)φn (r)∆U (r)eikR m Here ∆U is the deviation of the real potential from the superposition of atomic ones. We will classify the band structure of following a simple tightbinding approximation.outermost valence electrons are made of either s or p orbitals. IV Semiconductors C Si 1s2 2s2 2p2 1s2 2s2 2p6 3s2 3p2 Ge 1s2 2s2 2p6 3s2 3p6 3d10 4s2 4p2 IIIV Semiconductors Ga 1s2 2s2 2p6 3s2 3p6 3d10 4s2 4p1 As 1s2 2s2 2p6 3s2 3p6 3d10 4s2 4p3 Important feature .Appendix A Band structure of semiconductors Let us start with atomic structure of few important semiconductors. It is not small only in the places where atomic wave functions are small. Usually.
• X ⇒ (1. 3/4. Xpoint has only 3 distinct analogs in the 1st BZ. • L ⇒ (3/4. 0) and 5 other equivalent points. kx a ky a ky a kz a kx a kz a cos + cos cos + cos cos . 0). 1/2. ±1. 0). (±1. The opposite L points are connected by a reciprocal lattice vector. Denoting α(R) = βs = − γ(R) = − d3 r φ∗ (r)φs (r − R) s d3 r φ∗ (r)φs (r)∆U (r) s d3 r φ∗ (r)φn (r − R)∆U (r) m and neglecting (for simplicity) α(R) we obtain E(k) = Es − βs − R=0 γ(R)eikR . ±1. BAND STRUCTURE OF SEMICONDUCTORS Single atomic slevel In this case. It is reasonable to keep nearest neighbors. 2 2 2 In this case. E(k) = Es − βs − 12γ + γ 2 k 2 a2 . 1/2) and 7 other equivalent points. E(k) = Es − βs − 4γ cos 2 2 2 2 2 2 Let us examine important points. and real degeneracy is only 4fold. • L ⇒ (1/2. A simple example is fcc cubic lattice. ±1) . where 12 nearest neighbors are situated at a a a (±1. (0. 0. • Γ ⇒ (0. 0). We get the following band structure Along ΓX kx = 2πα/a 0≤α≤1 k y = kx = 0 E(k) = Es − βs − 4γ(1 + 2 cos πa) Along ΓL kx = ky = kz = 2πα/a 0 ≤ α ≤ 1/2 E(k) = Es − βs − 12γ cos2 πa) Along ΓK kx = ky = 2πα/a 0 ≤ α ≤ 3/4 kz = 0 E(k) = Es − βs − 4γ(cos2 πa + 2 cos πa) Near the Γ point.1. A. 0) • L ⇒ (1. zone center. . ±1). 0. 0.452 APPENDIX A. bs = 1. 1/2. Fig.
we have 4 wave functions. y. This is impossible to do in general. . H = Htb + Hso . i = x. Spinorbit coupling It is diﬃcult to calculate spinorbit interaction in crystals. j = 1.1: Brillouin zone of fcc lattice. z. Moreover. The case of s and p orbitals In this case. We shall not go along this way leaving this for special courses. Here we consider simple examples using tightbinding approximation. and there are many approximate methods. 4 ψ(k. there are 2 atoms per unit cell. One of the simplest is sp2 nearest neighbor expansion. The coeﬃcients are determined from the Schr¨dinger equation. r) = Ri m=1 j=12 Cmj (k)φmj (r − rj − Ri ) where Ri stand for unit cells. o φm j H − Eψ(k) = 0 .s and pi . which ignores spin degrees of freedom.453 Figure A. 2. and it is usually done with adjustable parameters.
±1 = φ1. Thus. So ﬁrst one must decouple electronic states into the eigenfunctions of a given angular momentum.−3/2 = √ (px − ipy ) ↓ 2 1 Φ1/2. 1 px = √ (−φ1.1/2 = − √ [(px + ipy ) ↓ −2pz ↑] 6 √ 2 Φ3/2.0 = 3 sin θe±iφ 8π 3 cos θ . In this way one gets (see Quantum Mechanics) 1 Φ3/2. 4π Here φij are eigenfunctions of the operators L2 and Lz with respective quantum numbers l = i and lz = j. e. 2 LS = J2 − L2 − S2 = 2 [j(j + 1) − l(l + 1) − s(s + 1)] . BAND STRUCTURE OF SEMICONDUCTORS The interaction Hamiltonian is usually written as Hso = λ L · S.−1/2 = − √ [(px − ipy ) ↑ +2pz ↓] 3 1 Φ3/2.3/2 = − √ (px + ipy ) ↑ 2 1 Φ3/2.1 + φ1.−1 ) 2 i py = √ (φ1.1 + φ1. Here we face a problem – all this considerations are applicable to the eigenfunctions of a given total angular momentum.−1/2 = − √ [(px − ipy ) ↑ −pz ↓] 3 . Then we must add spin and decompose mixed states to get eigenfunctions for total angular momentum.g. the total angular momentum being J2 = (L + S)2 = L2 + S2 + 2LS .454 APPENDIX A.0 φ1.−1 ) 2 pz = φ1.1/2 = − √ [(px + ipy ) ↓ +pz ↑] 3 1 Φ1/2. Original pstates are in fact linear combinations of such functions.
455 Then one can invert this set of equations to express pi .−3/2 − √ Φ3/2. 3 3 Finally. 3 Here ∆ = 3λ 2 /2 is the spinorbit splitting. For references. we can write the spinorbit Hamiltonian as Hso = λ 2 [j(j + 1) − l(l + 1) − s(s + 1)] .−1/2 2 3 3 √ 1 1 2 px ↓ = √ +Φ3/2.−3/2 + √ Φ3/2.−1/2 − √ Φ1/2. 2 For porbitals.2 Spinorbit splitting is given in the table A . Fig.1/2 + √ Φ1/2.1/2 3 3 √ √ 2 2 pz ↓ = √ Φ3/2. A.−1/2 − √ Φ1/2.3/2 + √ Φ3/2.1/2 − √ Φ1/2. we arrive at the following structure of valence band. As a result.1/2 − √ Φ1/2.−1/2 . s through the functions Φl.−1/2 − √ Φ1/2. One can prove that the only nonvanishing matrix elements in p representation are px ↑ Hso py ↑ px ↑ Hso pz ↓ py ↑ Hso pz ↓ px ↓ Hso py ↓ px ↓ Hso pz ↑ py ↓ Hso pz ↑ = −i = ∆ 3 ∆ 3 = −i ∆ 3 ∆ = i 3 ∆ = − 3 ∆ = −i . √ 1 1 2 px ↑ = √ −Φ3/2.1/2 2 3 3 √ √ 2 2 pz ↑ = √ Φ3/2. l = 1.m .3/2 + √ Φ3/2. s = 1/2 while j is given by the ﬁrst index of Φij .−1/2 3 2 3 √ 1 2 i py ↓ = √ +Φ3/2.1/2 2 3 3 √ 2 i 1 py ↑ = √ Φ3/2.
1: Spinorbit splitting for diﬀerent semiconductors A.82 0.1 Symmetry of the band edge states One has to discriminate between direct gap (GaAs.+3/2> 3/2.3. InAs) and indirect gap (Si. A. admixture of pstates appears.456 APPENDIX A. Ge) materials.044 0. he have Heavy holes: 1 Φ3/2. So they are made of s atomic states.3/2 = − √ (px + ipy ) ↑ 2 1 Φ3/2.+ 1/2> 1/2. This implies important limitations for selection rules.29 0.14 0.094 Table A. As one goes apart.35 0. Fig. Semiconductor Si Ge GaAs InAs InSb InP GaP ∆ (eV) 0.2: The general form of the valence band including spinorbit coupling. In the valence band.−3/2 = √ (px − ipy ) ↓ 2 . In direct gap materials the conduction band minimum occurs at Γpoint and have a spherically symmetric central cell function. BAND STRUCTURE OF SEMICONDUCTORS E 3/2.41 0.+ 1/2> k Figure A.
Quantum wells Let us discuss the case where the well region is made of direct gap material. Fig. A.3: Schematic description of the nature of central cell functions.6.1/2 = − √ [(px + ipy ) ↓ +pz ↑] 3 1 Φ1/2. Light holes: 1 Φ3/2. 457 Direct (k = 0) Indirect (k = X point) stype s+p (longitudinal) p (transverse) Heavy holes Light holes Spinsplit holes Figure A. and several theories exist.2 A.−1/2 = √ [(px − ipy ) ↑ +2pz ↓] 6 Splitoﬀ hole states: 1 Φ1/2.2 Modiﬁcations in heterostructures.A.2.A. The problem of band oﬀsets is very complicated. MODIFICATIONS IN HETEROSTRUCTURES.1/2 = − √ [(px + ipy ) ↓ −2pz ↑] 6 1 Φ3/2. so conduction band states are of stype while valence band states are ptype. For simplicity we discuss squarebox conﬁnement. Three type are usually studied. Fig. Within the eﬀective mass approach the Schr¨dinger o .−1/2 = − √ [(px − ipy ) ↑ +pz ↓] 3 A Brillouin zone for silicon is shown in Fig. A.5. An important feature is how the bands align.
E = En + k A. BAND STRUCTURE OF SEMICONDUCTORS equation for the electron states is (in the following we do not discriminate between m∗ and m) 2 − Looking for the solution as 2 2m∗ + V (z) ψ = Eψ .and lighthole states mix away from k = 0. A.3 Impurity states A typical energy level diagram is shown on Fig. 2m∗ ∂z 2 2 For an inﬁnite barrier. U (r) = e2 / r . its solution has the form f (z) = cos πnz . 2m The situation for the valence band is much more complicated because the heavy. To ﬁnd impurity states one has to treat Schr¨dinger equation (SE) including periodic o potential + Coulomb potential of the defect. 2m 2 2 . Extremum at the center of BZ Then for small k we have En (k) = We look for solution of the SE (H0 + U )ψ = Eψ k . Ψ(r) = ei(ky y+kx x) f (z) we have the equation for f − ∂2 + V (z) ψ = En ψ .458 APPENDIX A. = 2mW 2 if n is even if n is odd En Then the total energy is 2 2 . W πnz = sin . W π 2 2 n2 .7 Shallow levels allow a universal description because the spread of wave function is large and the potential can be treated as from the point charge.
a = Et = − For the total wave function one can easily obtain ψ = un0 (r)F (r) . t = 1. where φn k (r) are Bloch states. 2 Bn (k)eikr k − Here 2 2m − e2 F (r) = EF (r) . r 1 e4 m . Thus.A.3. By a usual procedure (multiplication by φ∗ (r) and intenk gration over r) we get the equation [En (k) − E]Bn (k) + nk nk Un k nk Un k Bn (k) = 0 1 = V u∗ un k ei(k −k)r U (r) dr . 2 /me2 . t2 2 2 2 F (r) = (πa3 )−1/2 exp(−r/a). Coming back to the real space and introducing 1 F (r) = √ V we come to the SE for a hydrogen atom. 2 . These function rapidly oscillate within the cell while the rest varies slowly. . . it is natural to assume that B(k) is nonvanishing only near the BZ center. Vk − k 2 1 U (kk) = V Finally we get 2 2 ei(k−bk )r U (r) dr = − k 4πe2 − E Bn (k) − 2m V k 1 Bn (k ) k − k 2 where one can integrate over k in the inﬁnite region (because Bn (k) decays rapidly). and to replace central cell functions u by their values at k = 0. IMPURITY STATES in the form ψ= nk 459 Bn (k )φn k (r) . [En (k) − E]Bn (k) + n U (kk )Bn (k ) = 0 4πe2 . nk Then. . The results are summarized in the table. Then within each cell cell u∗ un 0 dr = δnn n0 because Bloch functions are orthonormal.
7 32.27 11. 2m 2mt x Here m = 0.2: Characteristics of the impurity centers.3: Donor ionization energies in Ge and Si.6 11. the energy levels are N fold degenerate. these levels are split due to shortrange corrections to the potential.8 7.5 0. where n is the number of equivalent ellipsoids. BAND STRUCTURE OF SEMICONDUCTORS Material GaAs m/m0 12. Several equivalent extrema Let us consider silicon for example.3.916m0 .28 13 13. These corrections provide interextrema matrix elements.9 4. The energies are listed in table A.0 4.6 11.52 9.75 10.6 31.9 30. Experimental values are diﬀerent because of chemical shift .5 33.) E1s (exp. and the parameters ai were chosen to minimize the energy at given γ.17 10. 2 2 0 (kz − kz )2 + 2 (k 2 + ky ) .2 11.49 42.) (meV) (meV) 5.08 10 0. The conduction band minimum is located at kz = 0. Excited states are calculated in a similar way.9 32. mt = 0.1 S: 5. the constant energy surfaces are ellipsoids of revolution around [100].9 S: 6.81 4. Material Si (theor.8 Se: 5.67 Ge:6.74 12.1 Si: 5.51 45.7 32.85(2π/a) in the [100] direction.460 APPENDIX A.066 E1s (th.45 53.6 0.) Si(P) Si(As) Si(Sb) Ge(theor/) Ge(P) Ge(As) Ge(Sb) E1s (meV) E2p0 (meV) 31. According to the eﬀective mass theory. For a given ellipsoid.0 4. In real situation.* InP CdTe 12.7 Table A.9 9.1 Table A.32 10.19m0 . The trial function was chosen in the form E= F = (πa a2 )−1/2 ⊥ x2 + y 2 z 2 + exp − a2 a ⊥ 1/2 .9 6. The results for an arbitrary ration γ = mt /m can be obtained only numerically by a variational method (Kohn and Luttinger). There must be 6 equivalent ellipsoids according to cubic symmetry.75 14.
Then we have 4fold degenerate system. φj . n0 The functions Fj satisfy matrix equation. IMPURITY STATES 461 Impurity levels near the point of degeneracy Degeneracy means that there are t > 1 functions. while for cubic symmetry one has one more invariant. ˆ There are only 2 invariants quadratic in p. it can be represented by a pseudospin 3/2 characterized by a pseudovector J. namely p2 and (ˆ · J)2 . and traditionally the Hamiltonian is written as H= ˆ 1 p2 m0 2 5 γ1 + γ 2 − γ(ˆ · J)2 .3.1) If we want to include spinorbital interaction we have to add Hso = 1 [σ × 4mc c2 0 ˆ V ] · p. In this case (remember. To check the situation. t 3 αβ ˆ ˆ Hjj pα pβ + U (r)δjj j =1 α. Thus we have only p two independent parameters.3) This is the famous Luttinger Hamiltonian. (A. Now we left with 4 coupled Schr¨dinger equations (A. let us start with the situation when spinorbit interaction is very large. let us o ﬁrst put U (r) = 0 and look for solution in the form Fj = Aj (k/k)eikr .β=1 Fj = EFj .. Mathematically. As a result. Here σ is the spin operator while V is periodic potential. Note that if the lattice has no inversion center there also linear in p terms. 2. For simplicity. i p2 Ji2 .A. the Hamiltonian is traditionally expressed as ˆi H= ˆ 1 p2 m0 2 5 γ1 + γ2 2 − γ3 (ˆ · J)2 + (γ3 − γ2 ) p i p2 Ji2 .2) That would be OK for spherical symmetry. o t ψ= j=1 Fj (r)φj (br) . . k ≈ 0). k ≡ k .1). Here we use the opportunity to introduce a simpliﬁed (the socalled invariant) method based just upon the symmetry. In general Hmatrix is complicated. ˆi (A. p (A. j = 1. and splitoﬀ mode is very far.t nk which satisfy Schr¨dinger equation without an impurity.
4: Parameters of the Luttinger Hamiltonian for Ge and Si The usual way to calculate acceptor states is variational calculation under the spherical model (A. .044 11.69 ∆ 0. E = γ1 − 2γ 2m0 2 2 k .25 5.3) require explicit form of Jmatrices. β = m /mh . BAND STRUCTURE OF SEMICONDUCTORS The corresponding matrix lemenets can be obtained by substitution k instead of the operator p into Luttinger Hamiltonian. The parameters of Ge and Si are given in the Table A. It solutions lead to the anisotropic dispersion law 2 γ1 + 2γ 2m0 2 2 k . The Hamiltonian (A.3 Material Ge Si γ1 γ2 γ3 4.35 4.29 15. E . In this case the set of 4 diﬀerential equations can be reduced to a system of 2 diﬀerential equation containing only 1 parameter. The calculations for the full Luttinger Hamiltonian (A. Thus the system is decoupled into 4 independent equation with two diﬀerent eigenvalues.44 13. E = If γ1 ± 2γ > 0 both energies are positive (here the energy is counted inside the valence band) and called the light and heavy holes. Thus let us direct k along z axis and use representation with diagonal Jz .462 APPENDIX A.h = 2m0 2 γ1 k 2 ± 4 γ2 k 4 1/2 2 2 2 2 2 2 2 2 +12(γ3 − γ2 )(kx ky + ky kz + kz kx ) .4 0.4 Table A.2) does not depend on the ˆ 2 direction of k.2). The eﬀective masses are m (h) = m0 /(γ1 ± γ) .39 1.22 0.
E=E2 +p2/2m E1 E2 xy plne.5: Various possible band lineups in heterostructures. E=E1 +p2/2m .3. IMPURITY STATES 463 Figure A.4: Constant energy ellipsoids for Si conduction band.6: Subband levels in a quantum well. There are 6 equivalent valleys resulting in a very large density of states. E vs k z Figure A.A. Type I Type II Type III Figure A.
7: band diagram of a semiconductor.464 APPENDIX A. BAND STRUCTURE OF SEMICONDUCTORS Ec ED EA Ev Figure A. .
2) B.Appendix B Useful Relations B.2 Application of the Poisson summation formula ∞ ∞ ∞ The Poisson formula reads ϕ(2πN + t) = N =−∞ 1 2π eilt l=−∞ −∞ ϕ(τ )e−ilτ dτ. The other diﬀerence is that the function ϕ is ﬁnite. 2 2 The lower limit we replace by 0 that is good for large x. In our case ϕ(2πN + t) = 1 (2πN + t)3/2 3/2 (2π) (B. 465 .1 Trigonometry Relations cos x sin x cos2 x sin2 x = 1 ix e ± e−ix 2 1 (1 ± cos x) 2 (B. So. Finally we get the for Φ(x) 1 Φ(x) = (2π)5/2 ∞ t e l=−∞ ilt 0 τ 3/2 e−ilτ dτ.1) = (B. if we introduce the maximal integer in the quantity x as [x] we get the limits of the ϕ 1 1 from 2π x − − x − to t.3) if we replace N → −N and put t = 2πx − π.
5 at u → ∞. 5 and combine the item with ±l. we get (−1)l e2πilx +e−2πilx = (−1)l 2 t 0 t 0 3/2 t 0 τ 3/2 e−ilτ dτ + = τ 3/2 eilτ dτ τ cos [2πl(x − τ ) dτ ] . Then we integrate by parts twice to transform τ 3/2 → τ −1/2 and changing τ → (π/2l)z 2 we get l 1 2 Φ(x) = (2πx)5/2 + 3 ∞ (−1) (2πlx)1/2− 5/2 1 l5/2 5 (2π) . the asymptotic behavior being 0. dx These function oscillate with the period ≈ 1 and with dumping amplitudes. As a result. USEFUL RELATIONS 2 τ 3/2 dτ = t5/2 .466 Then we take into account that for l = 0 t 0 APPENDIX B. The nonoscillating term can be easily summed over l: ∞ l=1 (−1)l (2πlx)1/2 = (2πx)1/2 5/2 l ∞ l=1 (−1)l π2 = − (2πx)1/2 l2 12 . √ √ π − sin(2πlx)S 4lx + cos(2πlx)C 4lx 2 Here we have introduced the Fresnel integrals S(u) = C(u) = u sin 0 u cos 0 π 2 x 2 π 2 x 2 dx .
Appendix C Vector and Matrix Relations Vector A is a column Ai. ˆ ˆ ˆ A1 Trace of the matrix deﬁned as ˆ Tr A = i Aii . The inverse matrix is deﬁned by the relation ˆˆ ˆ ˆ 1. We have ˆA = 1ˆ ˆˆ = A. ˆˆ ˆˆ ˆ ˆˆ ˆˆ ˆ It is important that AB = B A. (A + B)ik = Aik + Bik . 467 . [A × B] = − [B × A] . ˆ Matrix A is a table with the elements Aik . If Aik = Ai δik ˆ the matrix is called the diagonal. the unit matrix 1 has the elements δik . Usually. We have AB = BA. AA−1 = A−1 A = ˆ We have ˆˆ ˆ ˆ (AB)−1 = B −1 A−1 . ˆˆ ˆˆ Tr (AB) = Tr (B A). Matrix dot product is deﬁned as ˆˆ (AB)ik = l Ail Blk . At the same time. two kind of vector products are deﬁned: the scalar product AB = A · B = Ai Bi i and the vector product [AB] = [A × B] = det i1 i2 i3 A 1 A2 A3 B1 B2 B3 where ii are the unit vectors. 0matrix has all the elements equal to 0. C(B A) = (C B)A.
VECTOR AND MATRIX RELATIONS The conjugate matrix is deﬁned as ˆ A† ik = A∗ . its eigenvalues are real . The matrix is called unitary if ˆ ˆ ˆ ˆ 1. k It is a set of i equations. i ˆ Eigenvectors u and eigenvalues λ of the matrix A are deﬁned as solutions of matrix equation: ˆ Au = λu or (Aik − λδik )uk = 0. We get A† A = i A2 . The number of solutions is equal to the matrix’s range. If the matrix A is Hermitian. They exist only if ˆ det (A − λˆ = 0. ki ˆ ˆ If A† = A the matrix is called the Hermitian. or A† A = ˆ Sometimes it is useful to introduce a row A† with the elements Ai . 1) ˆ it is just the equation for the eigenvalues λi .468 APPENDIX C. A† = A−1 .
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